Practices
Christopher Riccardi is a partner in Seward & Kissel’s Investment Management Group. Christopher joined Seward & Kissel in 2000 and has been a partner since 2010.
Christopher works with sponsors and managers of various private investment funds and other pooled investment vehicles, including private equity funds, hedge funds, funds of funds, commodity pools, and various “hybrid” funds. In particular, Christopher focuses on fund formation and structuring, the offering of interests by private investment funds, and the negotiation and documentation of such investments.
Christopher has substantial experience in organizing both domestic and offshore partnerships and other investment vehicles, including separately managed accounts. Christopher also represents fund sponsors in connection with seed-capital investments and represents funds of funds and other institutional investors in connection with their investments in private funds. Christopher regularly counsels investment advisers, commodity pool operators and commodity trading advisors on regulatory and compliance matters, including the development of comprehensive compliance programs and in connection with applicable regulatory examinations. On the transaction side, Christopher represents these clients in connection with their investment activities, including private equity and venture capital transactions, joint ventures and PIPE transactions.
Christopher was recognized by IFLR 1000 as Highly Regarded in the practice area of Private Equity Funds.
Christopher received a B.S. from the United States Military Academy (West Point), an M.B.A. from Chaminade University and a J.D. from Fordham University School of Law.
Publications
- Co-authored, “Seward & Kissel’s Investment Management 2023 Year in Review,” Seward & Kissel (March 14, 2024)
- Co-authored, “FinCEN Proposes AML Requirements for Certain Investment Advisers,” Seward & Kissel (March 7, 2024)
- Co-authored, “SEC Releases FAQ on Marketing Rule Compliance – Calculating Gross and Net Performance,” Seward & Kissel (February 9, 2024)
- Co-authored, “SEC Adopts Rules Expanding the Definitions of ‘Dealer’ and ‘Government Securities Dealer’,” Seward & Kissel (February 7, 2024)
- Co-authored, “FTC Announces 2024 HSR Filing Thresholds and Fee Schedule,” Seward & Kissel (February 5, 2024)
- Co-authored, “New Resources for Growth Equity and VC Managers,” Seward & Kissel (January 12, 2024)
- Co-authored, “FinCEN’s New Rule on Beneficial Ownership Information Reporting Requirements: Application to Investment Advisers and Related Entities,” Seward & Kissel (January 2, 2024)
- Co-authored, “SEC Division of Examinations Announced 2024 Examination Priorities,” Seward & Kissel (November 28, 2023)
- Co-authored, “SEC Adopts Gross Short Position and Activity Reporting by Institutional Investment Managers,” Seward & Kissel (November 8, 2023)
- Co-authored, “SEC Adopts Amendments to Regulation 13D-G,” Seward & Kissel (October 18, 2023)
- Co-authored, “Seward & Kissel Releases 2022/2023 Hedge Fund Side Letter Study,” Seward & Kissel (October 17, 2023)
- Co-authored, “SEC Proposes Improvements to EDGAR Filer Access and Account Management,” Seward & Kissel (October 3, 2023)
- Co-authored, “SEC Sweep into Marketing Rule Violations Results in Charges Against Nine Investment Advisers,” Seward & Kissel (October 3, 2023)
- Co-authored, “Seward & Kissel Releases Second Edition of SPV Snapshot Report,” Seward & Kissel (September 20, 2023)
- Co-authored, “Compliance Dates for Final Rules Regarding the Regulation of Private Fund Advisers,” Seward & Kissel (September 18, 2023)
- Co-authored, “SEC Charges FinTech Investment Adviser with First Violation of the Marketing Rule and Additional Compliance Violations,” Seward & Kissel (September 11, 2023)
- Co-authored, “Seward & Kissel Releases Third Edition of SMA Snapshot Report,” Seward & Kissel (September 6, 2023)
- Co-authored, “The SEC Adopts Final Rules Regarding the Regulation of Private Fund Advisers,” Seward & Kissel (August 25, 2023)
- Co-authored, “SEC Enforcement of Off-Channel Communications Continues – New Series of Firms Charged with Penalties Totaling $289 Million,” Seward & Kissel (August 16, 2023)
- Co-authored, “The Modern De-SPAC and a Way Forward,” Seward & Kissel (July 27, 2023)
- Co-authored, “Expiration of SEC Staff’s No Action Letters Providing Relief to Broker-Dealers Providing MiFID II Requirements Research,” Seward & Kissel (July 17, 2023)
- Co-authored, “Seward & Kissel’s Established Manager Hedge Fund Study,” Seward & Kissel (June 20, 2023)
- Co-authored, “2022 Seed Transactions Deal Points Study,” Seward & Kissel (June 7, 2023)
- Co-authored, “Seward & Kissel’s 2022 New Manager Hedge Fund Study,” Seward & Kissel (May 17, 2023)
- Co-authored, “Building a Scalable Hedge Fund Business,” Seward & Kissel (April 19, 2023)
- Co-authored, “Off-Channel Communications: Action Items for Advisers,” Seward & Kissel (March 16, 2023)