About
Mr. Gort specializes in presenting regulatory and compliance-associated offerings to registered funding advisers (“RIAs”). At Parker MacIntyre, Mr. Gort manages the day to day undertaking of keeping song of regulatory cut-off dates for all the corporation’s RIA customers and oversees the work of other Parker MacIntyre buddies. In this function, Mr. Gort automatically drafts Investment Advisory Agreements for RIAs, disclosure files (including Form ADV Parts 1 and a pair of, Form U4 and factor of sale disclosures), compliance manual methods and other ancillary documents for RIAs.
Mr. Gort has gathered enjoy considering that 2013 in creating felony solutions for troubles registered funding advisers face. Throughout his time at Parker MacIntyre, Mr. Gort has helped RIAs put together for SEC and kingdom regulatory examinations, furnished compliance guidance for RIA and dealer-provider customers, and researched many recent traits in securities policies and regulations (which includes cybersecurity, advertising and marketing and custody). Mr. Gort additionally frequently consults with clients and prospective clients concerning the maximum efficient options for RIA registration with numerous regulatory authorities. Mr. Gort has also been involved with and helped negotiate mergers, acquisitions and successions of RIA businesses. Mr. Gort has helped registered investment advisers of all sizes follow SEC and kingdom policies and reply to regulatory deficiency letters.
Mr. Gort, a local of Atlanta, is a graduate of the Walter F. George School of Law at Mercer University. He completed his undergraduate research at the University of Kentucky, earning a B.A. in Political Science and History, Cum Laude, in May 2010. During his collegiate profession, Mr. Gort was a nationally competitive coverage debater, incomes each man or woman and team awards at tournaments around the united states of america.
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Location
Legal Issues
- Securities Law
- Arbitration & Mediation
- Business Arbitration, Consumer Arbitration, Family Arbitration
- Stockbroker & Investment Fraud
Costs
-
Payment With Credit Card
Accept American Express, MasterCard, Visa, and Discover
Certificates
Languages
- English
Accepted Jurisdictions
Experience
- Lawyer
Parker MacIntyre
2013
Educations
Graduation year: 2013
Graduation year: 2010
