Mission

Pellegrino, LLC (the “Firm”) is a boutique law practice focused on serving the investment management industry: investment advisers; money managers; investment companies; independent directors and trustees; and financial industry service providers. The Firm seeks to provide sound, practical solutions to help you further the success of your organization. The Firm is practical, reliable and responsive.

Experienced & Practical

Mr. Pellegrino has both major law firm experience and strong industry experience. With major law firm experience (Morgan, Lewis and Bockius and Drinker, Biddle and Reath), Mr. Pellegrino has the know-how to effectively handle complex legal issues, and with extensive industry experience (Delaware Investments, PFPC/ADVISORport), the ability to distinguish legal theory from legal necessity. Mr. Pellegrino draws on his industry experience to provide practical advice to enable his clients to make solid business decisions.

Breadth of Clientele

Mr. Pellegrino has provided legal advice to investment advisers, money managers, investment companies, their boards of directors/trustees, and financial industry service providers. He has supported a wide range of investment products, including separate accounts, unified managed accounts, mutual funds, closed-end funds, mutual fund wrap products, and cash portals.

Contract Drafting & Negotiations

Mr. Pellegrino has extensive negotiating experience with industry leaders in the mutual fund, banking and brokerage industries. Agreements drafted and negotiated include: advisory, sub-advisory, transfer agency, fund accounting, sub-accounting, regulatory administration, custody, technology, blue sky, product participation, recordkeeping, and on-line services agreements.

Regulatory Services

The Firm will provide advice with respect to Form ADV disclosure, registration statements, proxy statements and tender offer materials. The Firm will also provide guidance with respect to SEC examinations.

Compliance Services

The Firm will perform Rule 38(a)-1 and Rule 206(4)-7 compliance program reviews, as well as advertising and marketing material reviews.

Cost-Effective

The Firm strives to provide cost effective legal services. Mr. Pellegrino’s practical business experience and efficiency should allow you to obtain critical legal advice on issues that arise out of your day-to-day operations, yet still remain within your legal budget.