ALFI Global Distribution Conference

Thoreau Bartmann is Chief Counsel of the Securities and Exchange Commission’s Division of Investment Management. In this role, he oversees the Division’s legal guidance regarding investment companies and advisers.

Mr. Bartmann spent more than a decade developing rulemaking policy for the Commission in a variety of capacities. Notably, he was the team lead for the adoption of the adviser marketing rule, the mutual fund liquidity rule, and the fund fair valuation rule, among many others.  In 2021, he took on a new position, serving as Assistant Director in the Chief Counsel’s office. As Assistant Director he oversaw the Division’s work on digital asset and international matters and provided all types of legal guidance to advisers and funds. Prior to joining the SEC, Mr. Bartmann worked as an associate at the law firm Fried, Frank, Harris, Shriver, and Jacobson. Mr. Bartmann received his J.D. from the University of North Carolina Chapel Hill and his B.A. from the University of Alabama, Birmingham.