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Patrick serves as Leader of 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 wealth management firms, private equity advisers, family offices, ERISA investment fiduciaries, dual registrants, broker-dealers, cryptotraders, FinTech and Robo-advisers, mutual fund trusts, and institutional equity and fixed income asset managers.

As a member of the Corporate and Finance 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.

In 2020, Patrick launched The Securities Compliance Podcast: Compliance in Context™, co-sponsored by Calfee and the National Society of Compliance Professionals, a nonprofit, membership organization dedicated to serving and supporting compliance professionals in the financial services industry. Patrick designed the podcast as a personal master class for the securities industry’s legal and compliance professionals.

Patrick serves on the board of directors for the National Society of Compliance Professionals and a member of the Regulatory Advisory and Publications Committees. 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's 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

  • The Best Lawyers in America©, Securities / Capital Markets Law (2022)
  • Cincy  Magazine, "Cincy Leading Lawyers," Corporate and Securities Law (2020-2021)
  • Forty Under 40 Honoree, Cincinnati Business Courier (2019)


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

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


Clients' Work

Professional & Community

Professional & Community

  • National Society of Compliance Professionals, Board of Directors, Publications Committee, Regulatory Advisory Committee
  • University of Cincinnati Law Alumni Association, Immediate Past President



On October 19, 2020, Patrick launched The Securities Compliance Podcast: Compliance in Context™, co-sponsored by Calfee and the National Society of Compliance Professionals, a nonprofit, membership organization dedicated to serving and supporting compliance professionals in the financial services industry. Patrick designed the podcast as a personal master class for the securities industry’s legal and compliance professionals.

The goal of the podcast series is to put Compliance In Context by combining the technical expertise of industry thought leaders and innovators with the practical experience of doers and key decision makers.

The first segment of each episode covers the provocative and trending compliance topics of the day, and the second segment features an expert guest participating in a deep-dive discussion of a significant topic affecting the industry. The final segment of each episode will feature one of four unique recurring series, including comical stories in the investment management industry and new regulatory guidance on controversial issues.

Season 2

Episode 8, "Finding Your Career Path In Compliance," featuring Jennifer Selliers, Director of Internal Compliance for the State of Tennessee Department of Treasury and current NSCP board member, for an authentic look at how to find your own career path in compliance (and everywhere).

Episode 7, "Fees, Expenses, Billing—Oh My!" featuring Melissa Loner, the Executive Vice President of Advisor Services at Premiere Wealth Management and current NSCP board member, to discuss best practices when it comes to fees, expenses, and firm compensation, and the types of questions you should be asking yourself when setting up a billing system.

Episode 6, "The Five Fundamentals of Compliance," featuring Jim Downing, the current Chair-Elect of the NSCP Board of Directors and current Chief Compliance Officer for Morningstar, who shares with us his Five Fundamentals of Compliance, and provides some fantastic insight into how best to run a compliance program that has multiple business lines and a global customer base.

Episode 5, "Lessons From The Front Lines - The Many Shades of ESG," featuring David Curran, the Chief Sustainability and ESG Officer at Paul Weiss to discuss ESG and implementing ESG policies inside your firm’s compliance program.

Episode 4, "What's New at the NFA?" featuring Patty Cushing, Director of Compliance at the NFA, for an insider’s look at the examination process with the NFA, new areas of focus for the SRO, ideas around remote supervision, and much more.

Episode 3, "The Impact of Insurance on Compliance," featuring Lilian Morvay to provide our listeners with valuable insights on the impact of insurance on compliance and how varying types of insurance (D&O, E&O, Cybersecurity, Professional Liability Insurance) affect how broker-dealers and RIAs are doing business today. In addition, we discuss the 2021 Investment Adviser Section Report from the North American Securities Administrators Association highlighting 2020 activities for NASAA and its broader application to the compliance profession. 

Episode 2, "What's New at the MSRB?" featuring Mark Kim, CEO of the Municipal Securities Rulemaking Board to discuss the exciting developments happening at the MSRB, particularly on the technology and data side of the industry. We also review recent recommendations from multiple SEC Commissioners on how to improve access to private capital.

Episode 1, "The Practical Tilt," featuring Richard Chen, New York City Attorney and compliance expert to discuss the practical tilt of running an effective compliance program and how compliance officers can be more productive. In addition, we review a recent report from the Congressional Research Service looking at the SEC’s current guidance on ESG and help break down an incredibly challenging couple months in this area. 

Season 1

Episode 12, "Lessons From The Front Lines - Examinations and Enforcement," featuring Ed Wegener, the former Senior VP and Midwest Regional Director of FINRA to discuss some real lessons learned on the front lines of the investigation and enforcement process.

Episode 11, "Lessons From The Front Lines - SEC Enforcement and the Impact on the Industry," featuring Rob Kaplan and Bruce Karpati. In sharing their experiences as former Co-Chiefs of the Asset Management Unit, Bruce and Rob discuss the role of SEC Enforcement and its impact on the industry. 

Episode 10, "Thoughts on CCO Liability from Commissioner Peirce," featuring SEC Commissioner Hester M. Peirce for an in-depth conversation focusing on the controversial topic of Chief Compliance Officer (CCO) liability. In addition, we discuss the role of outsourced CCOs, the new Marketing Rule, and broker-dealer custody of digital asset securities and cryptocurrencies. She also spoke about the new presidential administration, which will bring in a new SEC Chair and Head of Enforcement, and whether she anticipates a slowdown in dialogue that’s taken place between the regulators and the industry. 

Episode 9, "Cybersecurity and Teleworking," featuring former NSCP Chair and teleworking compliance expert Craig Watanabe to do a deep dive on how firms can best prepare their compliance programs for the increase in teleworking and the types of supervision, cybersecurity, and data privacy issues that are involved there.

Episode 8, "Diversity, Equity & Inclusion in Your Compliance Program," featuring Michelle Canela and Hope Brown. They dive into diversity, equity, and inclusion in the financial services industry and also discuss the importance of mentors and mentorship.

Episode 7, "What's Up with Regulation Best Interest and How the Best Firms are Addressing the New Rule," featuring former NSCP Chair and industry stalwart Miriam Lefkowitz to do a deep dive on how firms can best prepare for the practical application of Regulation Best Interest into their compliance programs. 

Episode 6, "Recent Trends in SEC and FINRA Enforcement," featuring SEC and FINRA enforcement guru Brian Rubin for a deep dive into recent trends from the regulators and what to look out for in the future.

Episode 5, "Origins of the SEC's Asset Management Unit," featuring Rob Kaplan and Bruce Karpati discussing the origin story of SEC’s Asset Management Unit.

Episode 4, “How FinTech and RegTech Impact Compliance,” featuring Chuck Senatore on the importance of FinTech and RegTech in the financial services industry and compliance programs. Senatore is the founder of the Boston RegTech Meetup and adviser to numerous FinTech, RegTech and cryptocurrency companies.

Episode 3, “The New DOL Fiduciary Rule,” featuring ERISA expert, David Kaleda, Principal at Groom Law Group, to discuss the latest developments with the new DOL Fiduciary Rule and its impact on the investment management industry. 

Episode 2, “What’s New at OCIE?” featuring Natasha Greiner, the Associate Director of the IA/IC Examination Program, SEC Office of Compliance Inspections and Examinations. 

Episode 1, “Introducing Your Personal Master Class,” provides an introduction and origin story to the podcast. 

Additional information and episodes are available at

Listeners will find the podcast on Apple Podcast, Google Podcast, Spotify and Stitcher.



  • “Investment Adviser/Investment Company – Regulatory Review,” Speaker, National Society of Compliance Professionals National Conference, Cornwall Bridge, CT (October 19, 2020)
  • “Broker Dealer/Investment Adviser – 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



Licensed In

  • Ohio
  • Kentucky

Court Admissions

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