Mr. Cromwell’s practice is focused on purchases, sales and recapitalizations of private companies, venture capital start-ups, private equity transactions, registered and unregistered investment companies (ETFs, private equity funds, real estate funds and hedge funds) and representing registered advisers and broker-dealers. Mr. Cromwell also advises clients on general corporate matters.
Prior to joining Marino Partners, Mr. Cromwell functioned as Chief Legal Officer to registered investment adviser subsidiaries of multi-national public companies, Nomura and KBW, and prior to that functioned as legal counsel to a registered investment adviser subsidiary and a trust company subsidiary of General Motors. Mr. Cromwell commenced his legal career as an associate with the law firms Shearman & Sterling and Brown & Wood.
In addition to Mr. Cromwell’s primary focus on the clients and transactions listed in the first paragraph above, Mr. Cromwell’s transactional experience includes: depository institution start-up, recapitalization and purchase and sale transactions; hedge funds, mutual funds, private equity funds, collective trust funds, CLOs and CDOs; marketing investment funds and investment management services in the U.S., Europe and the Far East; public company acquisitions, cash tender and exchange offers, public capital raises, and private placements; preparation of corporate and partnership governing documents, registration statements and periodic financial reports, securities purchase agreements, loan agreements, trust indentures, tender and exchange offer documents, ISDA swap agreements. Registered fund experience includes registration statements and marketing materials for ETFs, U.S. open-end and closed-end funds, including business development companies, and unit investment trusts. He also counseled boards of directors of registered and private funds and retirement plan committees.
Fordham University Law School (J.D.), Law Review; Emory University (B.A.)
New York bar.