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Overview

Patrick leads the firm’s investment management practice and represents and supports advisers in the development and administration of their compliance programs, including the creation and implementation of written policies and procedures governing all activities of the adviser and any associated funds. His clients include institutional equity and fixed income asset managers, wealth management firms, ERISA investment fiduciaries, mutual fund trusts and private fund advisers.

As part of the Corporate and Capital Markets group, Patrick also serves as outside general counsel to draft, coordinate and review all legal documents of the adviser, including contracts, fund formation documents, adviser and fund regulatory filings and other related materials.

Patrick conducts due diligence and monitors activities of sub-advisers, third-party managers and relevant service providers, and will assist with matters before the Securities and Exchange Commission, Commodity Futures Trading Commission, Department of Justice, Financial Industry Regulatory Authority, North American Securities Administrators Association, as well as before state securities commissions, attorneys general and local authorities.

Patrick serves on the board of directors for the National Society of Compliance Professionals and co-chairs the NSCP Publications Committee. He carries both Series 7 and Series 24 securities licenses, and is licensed to practice law in the state of Ohio and the Commonwealth of Kentucky.

Prior to joining Calfee, Patrick served as Investment Management Counsel and Chief Compliance Officer at Graydon Compliance Solutions, LLC and Private Funds and Regulatory Compliance Officer at Fort Washington Investment Advisors, Inc.

Patrick earned his J.D. from the University of Cincinnati College of Law, where he was inducted into the Order of the Barristers for outstanding ability in appellate advocacy. He is also a recent recipient of the Cincinnati Business Courier Forty Under 40 Award recognizing young professionals in Greater Cincinnati who are crafting successful careers while also giving back to their community.

He joined Calfee in 2019.

Honors & Recognitions

  • Cincy  Magazine, "Cincy Leading Lawyers," Corporate Law (2020)
  • Forty Under 40 Honoree, Cincinnati Business Courier (2019)

Education

J.D., University of Cincinnati College of Law, 2008

B.A., magna cum laude, University of Notre Dame, 2005

Experience

Clients' Work

Professional & Community

Professional & Community

  • National Society of Compliance Professionals, Board of Directors, Co-chair of Publications Committee
  • Cincinnati Bar Association, Treasurer, Finance and Administration Chair
  • University of Cincinnati Law Alumni Association, Immediate Past President

Presentations & Speeches

Presentations & Speeches

  • “BD/IA – Conflicts of Interest,” Speaker, National Society of Compliance Professionals Virtual Spring Conference, Cornwall Bridge, CT (April 21, 2020)

  • “Regulation Best Interest - SEC Innovation or Zombie DOL Fiduciary Rule?” Speaker, National Society of Compliance Professionals, National Conference, Baltimore, MD (October 21, 2019)
  • “Hot Topics in Compliance,” Speaker, National Society of Compliance Professionals Spring Conference, Chicago, IL (April 30, 2019)

News & Events

Publications

PDF

Licensed In

  • Ohio
  • Kentucky

Court Admissions

  • U.S. District Court for the Southern District of Ohio
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