Senior Legal Advisor
Willow Wealth Inc.
USA
General Counsel at Yieldstreet (now rebranded as Willow Wealth) with almost 8 years of experience advising on critical legal and regulatory matters in the FinTech and private market alternative investments space. Yieldstreet is a digital platform that provides retail investors direct access to investing in private market alternatives. Spearheaded key capital-raising initiatives, including Series A, B, C and D financing rounds, and led strategic M&A transactions such as the acquisitions of Cadre and Athena Art Finance. Played a pivotal role in building Yieldstreet’s internal compliance program and navigating complex SEC and FINRA regulations, including guiding the organisation through routine audits and a settled enforcement matter.
Extensive expertise in investment advisory and broker-dealer compliance, with a focus on the Advisers Act, Securities Act, Exchange Act and Investment Company Act. Supported the launch and oversight of Yieldstreet’s publicly-registered closed-end fund, the launch of YS360 (a first of its kind private market investments digitally-enhanced managed portfolios), ensuring regulatory alignment and operational efficiency. Deeply motivated by empowering innovative financial solutions, with a strong commitment to advancing regulatory frameworks that promote investor trust and transparency.