Sean is a Managing Partner and serves as Head of Legal & Compliance - North America at Tower Peak Partners, based in the firm's New York City office. He is responsible for the legal and compliance functions across the region, ensuring adherence to legal and compliance regulations. Sean supports and advises the executive team on governance, risk management, and general corporate matters.
Sean has advised investment funds and their managers and sponsors on an array of legal issues relating to their formation and operation, including compliance with the U.S. Investment Advisers Act, the U.S. Investment Company Act, and the rules and regulations of FINRA. Sean has led successful SEC and other regulatory examinations and inquiries.
Before Tower Peak, Sean was Chief Legal Officer & Chief Compliance Officer at Safanad Inc., an international investment fund manager focused on private equity and real estate investments. He ran the firm's legal function, structured and represented Safanad-advised private funds, and oversaw deal execution and the acquisition and disposition of portfolio companies. Sean also supervised the Investment Advisers Act compliance program for the firm's U.S. registered investment adviser and oversaw its Dubai Financial Services Authority registered affiliate.
Prior to Safanad, Sean was Associate General Counsel at a private credit-focused investment fund manager in New York City, where he ran the legal and compliance function across the firm's investment funds and registered investment advisers and coordinated securities, finance, and mergers & acquisitions projects.
Previously, Sean worked in the investment management groups at international law firms, primarily at Skadden, Arps, Slate, Meagher & Flom LLP, where he represented fund managers and advised institutional investors.
Sean holds a Juris Doctor from the University of Pennsylvania Law School, a Master of Arts from Dartmouth College, and a Bachelor of Arts from the University of California, Berkeley.
Sean is admitted to practice law in New York and Massachusetts, and is qualified as a solicitor in England & Wales.