Partner
Cincinnati, OH
Tina has over 25 years of experience working with fund boards, advisers, and administrators on a broad range of legal, regulatory and compliance matters in the investment management industry. Her practice focuses on the organization of new funds, navigating regulatory exams, fund reorganizations, and fund governance. Tina has experience with open-end and closed-end mutual funds, ETFs, stand-alone and series trusts, and distributors, auditors and transfer agents.
Outside of work, Tina likes to spend time with her family and travel whenever she can. When she’s closer to home, she gives her time and service as a board member of Sophie’s Angel Run, Inc., a non-profit organization near to her heart, which is dedicated to raising funds for pediatric brain tumor research.
“Do the best you can until you know better. Then when you know better, do better.”
“Respect” by Aretha Franklin
The Godfather, Sound of Music, Raising Arizona, Thelma and Louise
King Crab Legs
Van Gogh
If I weren’t a lawyer, I would be a private investigator.
Tina has over 25 years of experience working with fund boards, advisers, and administrators on a broad range of legal, regulatory and compliance matters in the investment management industry. Her practice focuses on the organization of new funds, navigating regulatory exams, fund reorganizations, and fund governance. Tina has experience with open-end and closed-end mutual funds, ETFs, stand-alone and series trusts, and distributors, auditors and transfer agents.
Outside of work, Tina likes to spend time with her family and travel whenever she can. When she’s closer to home, she gives her time and service as a board member of Sophie’s Angel Run, Inc., a non-profit organization near to her heart, which is dedicated to raising funds for pediatric brain tumor research.
Earlier in her career, Tina was the Chief Compliance Officer of a $1.5 billion series trust for 10+ years and Associate General Counsel of Integrated Fund Services, advising Integrated’s affiliated fund family, The Touchstone Funds, and its entire client base on legal and regulatory matters. She served as the Director of Fund Administration at Ultimus Fund Solutions, where she co-managed the Legal and Fund Administration department and was responsible for over 200 funds with $50 billion in assets.
Tina’s areas of expertise include:
1940 Act, Compliance, Fund Formation and Registration, Mergers & Acquisitions, Mutual Fund Administration, Certified Public Accountant, Investment Advisers, Regulatory Compliance, Fund Reorganizations, Fund Governance, Open-end and Closed-end mutual funds, ETFs, Series Trusts, and Transfer Agents.
Oversaw organization and launch of 40+ of open-end, closed-end and exchange-traded funds, including numerous initial startups
Served as liaison for clients to the Securities and Exchange Commission and coordinated responses for dozens of examinations and sweep letters, including in person presentations at client and SEC offices
Drafted, negotiated and revised a variety of financial services contracts, including investment advisory, sub-advisory, distribution, administration, transfer agent, custody, dealer, participation, revenue-sharing, fund supermarket operating agreements and side-letters.
Board member, Sophie’s Angel Run – a nonprofit organization dedicated to raising funds for pediatric brain tumor research.
At Practus, we handle complex and challenging legal matters. I look forward to talking to you about how we can best meet your goals.
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