Robert D. Conca

Partner

Location: San Diego, California
Phone: (619) 696-9500 (Ext. 121)
Fax: (619) 615-5290
E-mail
[email protected]

AREAS OF PRACTICE

  • Representation of Investment Advisers, Registered Persons & Broker-Dealers
  • SEC, FINRA and State Regulatory Examinations and Investigations
  • Registered Investment Adviser and Broker-Dealer Formation
  • Transitioning Financial and Investment Advisers, Promissory Notes
  • Form U4 and Form U5 Matters
  • Corporate & Securities Transactions
  • Regulatory Compliance Program Development and Advisement
  • Mergers & Acquisitions
  • Succession Planning
  • Private Fund Formation
  • Business Entity Formation, Employment Agreements, Partnership Documents
  • Financial Services Law

Robert D. Conca

Robert D. Conca is a partner in the Firm's San Diego office. Mr. Conca has broad experience in a wide variety of corporate and securities matters, including financial-services and regulatory issues where he focuses on providing strategic and comprehensive legal counsel to investment advisers, broker-dealers, private equity and hedge funds, financial institutions, and other financial professionals. Mr. Conca routinely advises clients on all aspects of regulatory registration, registered investment adviser and broker-dealer formation, SEC, state and FINRA examinations, regulatory compliance, advisor transitions including Form U5, disclosure, and expungement matters, corporate transactions including, but not limited to, mergers and acquisitions, asset and stock purchase/sale transactions, private placements, crowd-funding, succession planning, solicitation and marketing activities, and financial industry regulatory filings (Forms ADV, CRS, PF, and others). He also has extensive experience providing guidance regarding business transitions/breakaways.

Mr. Conca previously served as the Chief Legal Officer, Chief Compliance Officer and Corporate Secretary of an international private equity family of companies with billions of dollars under management, where he oversaw legal, regulatory, and compliance functions for four affiliated SEC-registered investment advisers, including funds registered under the Investment Company Act of 1940. He has counseled executive management and boards of directors on strategy, corporate, regulatory, and governmental issues, and coordinated expansion of operations and legal processes in Asia and Europe.

Mr. Conca attended the University of California, Berkeley where he majored in Psychology and minored in Conservation and Resource Studies. While attending Cal, he was a four-year member of the Cal Men's Volleyball team. Mr. Conca went on to receive his J.D. from Loyola Law School, Los Angeles. Mr. Conca's prior law firm experience includes working at Buchalter, Nemer, Fields & Younger, based in Los Angeles. Mr. Conca is admitted to The State Bar of California and is a member of the San Diego Bar Association.

Education

  • Loyola School of Law, Los Angeles, California
    • J.D.
  • University of California, Berkeley, California
    • B.A., Psychology

Bar Admissions

  • California

Court Admissions

  • U.S. District Court Central District of California

Affiliation

  • Member, San Diego County Bar Association
  • Provisors, Member
  • Association of Corporate Growth, Member
  • Southern California Compliance Group, Past President, Member

Publications & Presentations

  • Ransomware is Out There: Are Your Compliance Policies and Procedures Ready?, June 2020
  • Advisor Transitions: 5 Critical Questions to Answer Before Changing Firms, June 2020
  • Beyond Private Equity Fees and Expenses: Don't Neglect These Important Compliance Areas, Wolters Kluwer: Practical Compliance & Risk Management For the Securities Industry, January 2018
  • Equity Reporting on New Form ADV, Wolters Kluwer: Practical Compliance & Risk Management For the Securities Industry, November 2017
  • Private Equity Reporting on New Form ADV, Wolters Kluwer: Practical Compliance & Risk Management For the Securities Industry, November 2017
  • Private Equity Reporting on New Form ADV, National Society of Compliance Professionals (NSCP) Currents, June 2017
  • Cover Your Legal Bases When Breaking Away, Financial Advisor IQ, June 2, 2016

Media Mentions & Appearances

  • Advice for Allocating Legal Tasks Between In House Attorneys, Outside Counsel, Consultants and Other Vendors (Part Three of Three), Private Equity Law Report, March 24, 2020
  • Ways to Approach the Process of - and Key Criteria to Consider When - Selecting Outside Legal Counsel (Part Two of Three), Private Equity Law Report, March 17, 2020
  • How Fund Managers Can Control Legal Costs and Negotiate Outside Counsel Fees (Part One of Three), Private Equity Law Report, March 10, 2020
  • New Rules and Regulations: The California Privacy Act, PEI Private Fund Compliance Forum, San Francisco, CA, October 3, 2019
  • Conclusion of the Deal: Corporate Transaction Considerations, Financial Services Network Webinar, July 11, 2019
  • Best Practices for SEC and GIPS Performance in the Private Fund Space, Ascendant Compliance Annual Compliance Conference, San Diego, CA, October 01, 2018
  • New Form ADV – Disclosures, IA Compliance: The Full 360 Degree View West, Los Angeles, CA, November 11, 2017

Honors & Awards