Jonathan B. Levy

Partner
Minneapolis

Jonathan Levy is the Practice Leader of the firm's Investment Management Group. Jon advises investment managers, investment companies, and institutional investors on securities and corporate law. He also regularly advises private and public companies, as well as officers, directors, and shareholders, on a wide range of matters related to corporate and securities law. He has significant experience in investment management, public-company disclosure, public mergers and acquisitions and other change-in-control and strategic transactions.

Jon's investment management work encompasses organizing, registering, and structuring money-management firms and public and private investment companies, representing buyers and sellers on M&A transactions involving investment advisors and similar businesses and providing counsel on SEC, FINRA, and other regulatory-compliance matters, including preparing clients for inspections and defending them in enforcement actions. Previously, Jon served as Senior Counsel in the Enforcement Division of the Securities Exchange Commission's South East Regional Office.

Experience 

Representative Matters

  • Securities compliance counsel to a number of registered investment advisers, investment companies, and boards
  • Represented an investment adviser in connection with forming a mutual fund
  • Represented an investment adviser in launching an exchange-traded fund

Professional Highlights

Judicial Clerkships

Judge D. Brock Hornby, U.S. District Court for the District of Maine, 1990-1991

Professional Activities

Twin Cities Institutional Registered Investment Advisers Compliance Roundtable, Member

Minnesota Bar Association, Securities Law Committee, Chair, Business Law Section, Member

CFA Society, Twin Cities Chapter, Board of Directors

Speaking Engagements

Chair, Twin Cities CFA Society’s Research Challenge, 2017-2019

Co-Presenter, "Asset Management Megatrends, Redefining the Industry," The Knowledge Group National Webinar

Presenter, "Hot Topics for Private Fund Managers," The Knowledge Group National Webinar

Presenter, "Fiduciary Duties of Broker-Dealers and Advisers," Lindquist & Vennum Securities Law Compliance Seminar

Presenter, "Securities Law Aspects of Dodd-Frank, Changes to Investment Advisers," Minnesota State Bar Association Business Law Section Executive Council Meeting

Moderated a panel on cyber-security issues facing asset managers for the Twin Cities Institutional Registered Investment Adviser Compliance Roundtable

Publications

Co-author, "Investment Management Update," Ballard Spahr newsletter, April 18, 2019

Co-author, "Investment Management Update," Ballard Spahr newsletter, February 15, 2019

Co-author, "Investment Management Update," Ballard Spahr newsletter, December 11, 2018

Credentials 

Education

University of Pennsylvania Law School (J.D. 1990)

University of Wisconsin-Madison (B.A., 1987, with distinction)
Member, Phi Beta Kappa

Admissions

Minnesota