Overview

Robert D. Conca is a Partner at Jacko Law Group, PC. His practice includes
representation of investment advisers, broker-dealers, private funds, and nonfinancial
industry companies, and their personnel, in a variety of regulatory,
transactional and corporate matters.

He has over 20 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, general counsel services, 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 advisement. 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. 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.

Practice Areas

  • Federal and State Regulatory Examinations and Investigations
  • Broker and Advisor Transitions and Breakaways
  • Mergers & Acquisitions and Corporate Transactions
  • Investment adviser and broker-dealer regulatory counsel
  • Private Fund Counsel and Compliance
  • Promissory Note Settlement and Negotiation
  • Succession Planning
  • Form U-4/U-5 Matters
  • Financial Industry Professional Agreements and Services
  • Board of Directors and Corporate Governance Matters
  • Investment, Vendor, and Employee Agreements

Speaking Engagements

Thought Leadership

Industry Publications

Blog Posts

Industry & Community Affiliations

Industry Affiliations

Southern California Compliance Group, President 2014-2016

Member, Association of Corporate Growth - San Diego Chapter

Member, San Diego County Bar Association

Bar & Court Admissions

  • The State Bar of California

Education

J.D., Loyola Law School, Los Angeles

B.A., Psychology, University of California, Berkeley

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