Robert D. Conca

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.