Ted McCutcheon | The Family Office Stack

Ted McCutcheon · Miami, Florida, United States.

Direct contact

No direct contact on file for Ted yet.

About

Ted McCutcheon serves as outsourced Chief Compliance Officer of WE Family Offices. He was its first General Counsel and Chief Compliance Officer and a Partner from 2013 to 2019. His securities-law and regulatory career includes prosecution, SEC enforcement and legal and compliance leadership for investment advisers and alternative-asset managers. His work includes designing and managing regulatory-compliance programmes across different investment-business models.

Experience

Founder & PrincipalCurrent
Securities Law Counsel, PLLC · Miami, Florida, United States
Aug 2024 – Present
Securities Law Counsel, PLLC is my virtual law office based in Coral Gables, Florida. The firm is currently a solo practice that leverages my experience and commitment to excellent service with information technology and an extensive network of legal subject-matter specialists and other service providers. At Securities Law Counsel, I advise a range of clients, including: - Wealth management RIAs, including multi-family offices; - Private fund advisers and asset managers; - UHNW investors; - Single family offices; - Digital Asset businesses; - Current and former shareholders of private, closely-held companies; and - Companies and individuals involved in SEC enforcement matters.
General Counsel & Chief Compliance Officer
Locust Point Capital, Inc. · Miami, Florida, United States
Dec 2022 – Jul 2024
• Led legal and compliance functions as member of senior leadership team at private credit funds manager providing senior debt, subordinated debt and preferred equity financing to middle-market companies. • Managed funds' legal work, including new products, fund documentation, offering materials, side letters, co-investments, LPAC materials. • Selected and managed outside counsel, compliance consultants and legal and compliance service vendors. • Coordinated with IR and placement agents during subscription agreement process and to market the firm’s funds in the U.S. and elsewhere. • Coordinated with CFO, IR, and fund administrators to address partnership agreement requirements, investor reporting, and evolving regulatory requirements. • Reviewed marketing materials; assisted in investor ODD. • Responsible for firm’s AML/KYC program. • Trained and advised employees and senior managers regarding regulatory compliance requirements, applicable law, regulations, and best practices. • Monitored and assessed the firm and funds' legal and regulatory risks, including in the areas of cybersecurity, allocation of investments, fund/client expenses, adviser compensation, advisory affiliate transactions, valuation of client assets, principal and cross trades, disclosure of investment risk and fund objectives, and insider trading and MNPI. • Responsible for preparation of adviser and fund corporate and regulatory filings. • Advised senior management on regulatory and legal rule changes affecting private funds, and SEC examination and enforcement trends.

Education

Cornell Law School — J.D., Law · 1995 – 1998
Brown University — B.A., English & American Literature · 1987 – 1991

Skills

Securities RegulationRegistered Investment AdvisersLaw PracticeComplianceAlternative InvestmentsPrivate CreditAsset ManagementCommodity PoolsPrivate FundFamily OfficeFamily Wealth ManagementCorporate GovernanceSecurities LitigationFiduciary LiabilityInvestigationWealth Management Services