Attorney Details

Richard B. Yates - Of Counsel

RICHARD B. YATES has spent decades representing businesses primarily in the financial services sector. Mr. Yates has extensive experience representing investment advisors, broker-dealers, banks, and both registered and private funds, as well as operating businesses.  Mr. Yates has advised clients on a broad range of commercial topics such as: product design and distribution, federal investment regulation, institutional investing, contracts, public and private securities offerings, fiduciary best practices and corporate governance, as well as general corporate and business advice.  Mr. Yates also works with smaller to middle market clients as an outsourced general counsel.  Mr. Yates has advised business owners, management teams and boards of directors of both private and public companies, including NYSE-listed entities, trust companies, registered investment companies, fintech companies and service providers. Having been a chief legal officer of an investment complex for many years, Mr. Yates always tries to serve clients in a manner that is both informed from an operating perspective and reflecting real-world business sensitivities.