Robert Conca, Esq., Partner

Robert Conca

Practice Areas

  • Federal and state regulatory examinations
  • Mergers & acquisitions and corporate transactions
  • General counsel services
  • Private fund counsel and compliance
  • Investment adviser and broker-dealer regulatory counsel
  • Board of directors and corporate governance matters
  • Small and mid-size business issues

Robert Conca has over 18 years of experience advising businesses and financial professionals. He has acted both in legal counsel and senior executive capacities for companies spanning all stages of development. From start-ups to established entities, his diverse experience provides a unique background allowing him to understand a client's practical business issues when delivering legal advice.

Mr. Conca has extensive experience counseling corporate clients, including SEC and state registered investment advisers and private investment funds, regarding regulatory compliance, regulatory examinations, fund management issues, investment transactions, corporate governance and Board of Directors matters, human resources, and legal and operational strategy.

Previously, Mr. Conca served as Chief Legal Officer, Chief Compliance Officer and Corporate Secretary of an international private equity family of companies with approximately $17 billion under management. He managed legal and compliance functions and strategy for four separately SEC-registered investment advisers, including a fund registered under the Investment Company Act of 1940, oversaw corporate spin-offs and advised on investment transactions totaling over $3.0 billion in the aggregate. Mr. Conca counseled all levels of Executive Management and the Board of Directors on strategy, corporate, regulatory, government and public relations issues, as well as routine corporate legal matters. In addition, Mr. Conca established and coordinated expansion of legal and operations processes for affiliate offices in Asia and Europe.

Prior to that, Mr. Conca was Legal Director and Chief Operating Officer at a start-up financial services company located in San Francisco. There, he oversaw legal operations, regulatory compliance and supervised a cross-functional team developing a novel financial services product designed to deliver a liquidity solution to open end and closed end mutual funds.

Mr. Conca began his legal career as an attorney at Buchalter, Nemer, Fields & Younger in Los Angeles where he handled corporate litigation on behalf of financial institution clients, making over 300 court appearances in three years.

Education

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

Bar And Court Admissions

The State Bar of California

Professional Affiliations

Southern California Compliance Group, president 2014-2016
Member, San Diego County Bar Association