Summary
In this episode of Alt Investing Made Easy, hosts Sarah Florer and Roland Wiederaenders interview George T Lee, a seasoned attorney specializing in investment management and family offices. The conversation covers George's background as a third-generation attorney, the evolution and institutionalization of family offices, the complexities of SEC regulations, and the importance of investment advisors in protecting investors. They also discuss the challenges of navigating private securities and the potential future regulations surrounding the investment landscape.
About Our Guest
George T. Lee is a highly respected corporate and securities attorney with decades of experience advising small businesses, private equity funds, hedge funds, registered investment advisers, and family offices. Known for his deep legal knowledge and practical, business-minded counsel, George has served as both inside and outside general counsel to his clients, giving him a unique perspective on what truly matters to investment managers.
Throughout his career, George has worked with firms of all sizes—from emerging fund managers to well-established financial institutions—helping them navigate complex ownership structures, regulatory landscapes, fund formations, investment management agreements, prime brokerage relationships, and mergers and acquisitions. He has extensive experience with SEC, CFTC, and Texas Securities Board registrations and examinations and is a recognized authority on the family office exception to investment adviser regulation.
Connect with George on LinkedIn: https://www.linkedin.com/in/georgelegal
Takeaways
-George T Lee is a third-generation attorney specializing in investment management.
- Family offices have become more institutionalized in recent years.
- The SEC faces challenges in enforcement due to limited staff.
- Regulations are designed to protect investors from past financial crises.
- The U.S. has the most efficient and respected markets globally.
- Investment advisors have a fiduciary duty to their clients.
- Qualified clients are required to invest in private equity.
- The investment landscape is complex and often likened to the Wild West.
- Future regulations may impact how finders operate in the investment space.
- Understanding the role of family offices is crucial in wealth management.
Titles
Navigating the Complex World of Family Offices
The Evolution of Investment Management
Chapters
00:00 Introduction to George T Lee and His Practice
02:36 George's Background and Career Path
05:11 Understanding Family Offices
07:43 The Role of Family Offices in Wealth Management
10:32 Investment Advisor Regulations and Family Offices
13:20 Navigating the Wild West of Private Securities
15:49 The Importance of SEC Regulations
18:28 Democratization of Capital and Investor Protection
21:15 The Role of Investment Advisors
23:46 Personal Insights and Interests of George T Lee
26:27 Future Regulations and the Finder Rule
Sponsored by:
Real Advisers, Austin, Texas
Video and Podcast Production by:
Red Sun Creative, Austin, Texas: https://redsuncreative.studio
For more information: AltInvestingMadeEasy.com
Please contact us: info@AltIvestingMadeEasy.com
Roland Wiederanders: rolandw@fbfk.law
Sarah Florer: sflorer@fbfk.law
Disclaimers:
“This production is for educational purposes only and is not intended as investment or legal advice.”
“The hosts of this podcast practice law with the law firm, Ferguson Braswell Fraser Kubasta PC; however, the views expressed on this podcast are solely those of the hosts and their guests, and not those of Ferguson Braswell Fraser Kubasta PC.”
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