Ellen Drought is a shareholder in the Investment Management Practice Group, where she specializes in investment management law. Ellen provides advice to mutual funds and their boards of directors, investment advisers and other financial services companies with respect to SEC compliance and reporting, governance, mergers and acquisitions, new product formation and general corporate matters. She also represents broker-dealers with respect to various legal and regulatory issues, such as FINRA examinations and compliance.
Representation of mutual funds and investment advisers in connection with SEC registration and ongoing compliance.
Advising mutual fund boards of directors regarding governance and oversight matters.
Representation of financial services companies in connection with acquisitions and sales of investment management firms, mutual funds and broker-dealers.
Representation of a national investment advisory firm in connection with the sale of its mutual fund, separate account, hedge fund and brokerage business.
Counseling clients in connection with SEC and FINRA examinations.
Representation of hedge funds, venture funds and other private investment funds.
Advising clients regarding start-up issues, such as broker-dealer and investment adviser registration and new mutual fund offerings.
Representation of a large public pension fund in connection with corporate governance matters, including testimony before the Public Company Accounting Oversight Board.
Advising family office clients regarding compliance matters.
Admitted To Practice
Wisconsin - 1998
Minnesota - 2015
American Bar Association
Milwaukee Bar Association
State Bar of Wisconsin
Ice Age Trail Alliance – Volunteer
Museum of Wisconsin Art – President, Board of Directors
Juris Doctor, University of Wisconsin Law School,1998, with honors, Order of the Coif
Master of Arts, University of Wisconsin-Madison, 1996, History
Bachelor of Arts, Williams College, 1991, cum laude, History