Laura Ferrell, partner in the Investment Funds – Regulatory Strategy group, advises clients on a wide range of complex legal, regulatory, and compliance matters across the asset management industry. Her practice focuses on SEC regulation of investment advisers and private funds.

Laura draws on deep experience to proactively counsel investment managers and other financial institutions navigating all aspects of SEC regulation and related compliance matters.

Laura serves as lead counsel to many prominent asset managers and has successfully navigated clients through numerous complex SEC examinations and enforcement investigations as well as high-profile asset management M&A and liquidity solutions transactions.

Laura advises a broad cross-section of the asset management industry, including leading global investment advisers and financial services institutions, with respect to a variety of public and private investment vehicles:

  • Private equity funds
  • Private credit funds
  • Hedge funds
  • Business development companies (BDCs)
  • Alternative investment funds
  • Open- and closed-end mutual funds, interval funds, and tender offer funds
  • Structured products

Laura advises clients on cutting-edge legal, regulatory, and compliance matters in connection with:

  • SEC examinations and enforcement investigations
  • The formation of private investment funds and the structuring and development of new investment products
  • M&A and IPO transactions involving asset managers
  • GP-led secondaries and minority stake transactions
  • Critical firm-level issues, including succession planning, management team spin-outs, and related governance matters
  • The registration of investment advisers under the Advisers Act and related regulatory and reporting matters
  • Family office advice
  • Seeking and obtaining exemptive and no-action relief from the SEC
  • Investment adviser status analysis under the Advisers Act and related regulatory and compliance considerations
  • Investment company status issues arising under the 1940 Act and related regulatory matters
  • Capital markets, financing, and restructuring transactions involving asset managers and investment funds

Laura’s representative clients include:

  • Allianz Capital Partners and Allianz Global Investors
  • Apollo
  • Ares Management and Ares Capital Corporation
  • Blue Owl Capital
  • The Carlyle Group
  • Carousel Capital
  • Corient Capital
  • Cresset Capital
  • Energy Capital Partners
  • GCM Grosvenor
  • Global Infrastructure Partners
  • GTCR
  • Harvest Partners
  • IVP
  • J.P. Morgan
  • L Catterton
  • Lindsay Goldberg
  • Morgan Stanley Investment Management
  • Orion Infrastructure Capital
  • ParaFi Capital
  • PIMCO
  • Searchlight Capital
  • Sprott
  • StepStone
  • Tallvine Partners

Recent Thought Leadership

  • “SEC and CFTC Propose Significant Amendments to Private Fund Reporting Requirements,” Latham & Watkins Client Alert (April 2026)
  • “DOL Proposes New ERISA Safe Harbor for Alternative Investments in Retirement Plans,” Latham & Watkins Client Alert (March 2026)
  • “FinCEN Postpones New AML Rule for Investment Advisers,” Latham & Watkins Client Alert (July 2025)
  • “SEC Withdraws Proposed Rule on ESG Disclosures for Investment Advisers and Investment Companies,” Latham & Watkins Article (June 2025)
  • “SEC Staff Issues FAQs That Relax Marketing Rule Restrictions,” Latham & Watkins Client Alert (March 2025)
  • “Latham Letter Begins New Era for Private Capital Fundraising,” Latham & Watkins Client Alert (March 2025)
  • “SEC Targets Investment Advisers for Misstatements and Compliance Failures,” Latham & Watkins Article (December 2024)
  • “SEC Outlines 2025 Examination Priorities,” Latham & Watkins Article (November 2024)
  • “SEC Imposes New Cybersecurity Requirements on Broker-Dealers, Investment Companies, Registered Investment Advisers, and Transfer Agents,” Latham & Watkins Client Alert (August 2024)
  • “SEC and FinCEN’s Proposed AML Rule Could Increase Compliance Burden on Investment Advisers,” Latham & Watkins Client Alert (June 2024)
  • “ESMA Finalises Guidelines on Fund Names,” Latham & Watkins Article (May 2024)
  • “Latham’s Texas Private Funds Breakfast Series — SEC’s Updated Rules,” Latham & Watkins Article (May 2024)
  • “Key Takeaways From SEC’s First “Off-Channel Communications” Settlement With Stand-Alone Registered Investment Adviser,” Latham & Watkins Client Alert (April 2024)
  • “SEC Announces First-Ever Enforcement Actions for “AI Washing”,” Latham & Watkins Client Alert (March 2024)
  • “FCA Publishes Final Rules on Sustainability Disclosures and Investment Labelling,” Latham & Watkins Client Alert (December 2023)
  • “10 Key Focus Areas for UK-Regulated Financial Services Firms in 2024,” Latham & Watkins Article (December 2023)
  • “SEC Outlines 2024 Examination Priorities,” Latham & Watkins Article (November 2023)
  • “SEC Adopts Changes to Names Rule for Registered Funds,” Latham & Watkins Client Alert (October 2023)

Bar Qualification

  • Illinois

Education

  • JD, University of Michigan Law School, 2009
  • BA, Dartmouth College, 2004
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February 20, 2025 Recognition

Fintech Group of the Year: Latham

Firm honored by Law360 for advising startups, financial institutions, VCs, digital asset and Web3 participants, and corporations on their most innovative and complex transactions, investigations, litigation, and regulatory matters.