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Beth Smigel

Phone: 212-702-3176

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Beth Smigel


Beth Smigel is partner in the firm's Financial Services, Private Funds and Capital Markets department. Beth's practice includes forming and structuring domestic and offshore private investment funds (including hedge funds and private equity funds) and advising with respect to ongoing operational and U.S. regulatory matters for the funds. In addition, Beth advises U.S. and non-U.S. investment advisers with respect to registration (and exemptions therefrom) under the U.S. Investment Advisers Act of 1940 and compliance matters arising thereunder, including assisting in preparation of compliance manuals and code of ethics. Beth also counsels investment advisers, fund operators and investment funds with regard to various U.S. regulatory matters, including those arising under the U.S. Securities Act of 1933, the U.S. Investment Company Act of 1940, the Commodity Exchange Act as well as SEC, FINRA, NFA, CFTC and Blue Sky compliance and registration issues.

Significant Matters

  • Negotiated and structured multi-million dollar investment by state pension plan in US hedge fund
  • Structured, drafted and negotiated dedicated private equity fund for large institutional investor
  • Analyzed U.S. regulatory regime (including SEC and CFTC regulations) for complex of non-U.S. investment advisers

Beth Smigel has or will serve as a speaker, moderator, event chair or panelist for the following events:

  • Implementing Title IV of Dodd-Frank: An Overview of the SEC's Rule Making | CLE presentation | July 2011

Areas of Focus:

  • Investment Advisers Act of 1940
  • Formation of hedge funds
  • Investment adviser registration and SEC compliance


Law School:

  • Northwestern University School of Law, 2000, J.D.
  • Honors: Associates Articles Editor on the Journal of Criminal Law and Criminology


  • University of Pennsylvania , 1996, BA
  • Honors: Cum Laude

Prior Affiliations:

  • Kavanah Maloney & Osnato LLP - Winter 2004-Spring 2005
  • Proskauer Rose LLP Fall 2000-Fall 2003

Bar Admissions:

  • New York
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