The primary mission of Financial Poise™ is to provide reliable plain English business, financial, and legal education to individual investors, entrepreneurs, business owners, and executives, and to help trusted advisors do the same.
Nicole represents securities and commodities professionals in a variety of regulatory, compliance and corporate matters. She has extensive experience with respect to hedge funds, commodity pools, private equity funds, cryptocurrency funds, venture capital funds, real estate funds, fund of funds, and socially responsible investment vehicles. Nicole provides legal and compliance guidance to registered and exempt investment advisers, commodity pool operators (CPOs), commodity trading advisors (CTAs), introducing brokers (IBs), forex (FX) firms, proprietary trading firms, futures commission merchants (FCMs) and broker-dealers (BDs). Nicole provides legal and compliance guidance concerning the launch of securities token offerings (STOs)(i.e., compliant initial coin offerings (ICOs)). She also serves as counsel to boards, mutual funds and exchange-traded funds (ETFs).
Nicole drafts and develops offering documents, compliance manuals, policies and procedures, corporate materials, business contracts, investment agreements and advertising materials. She also provides legal and structuring guidance concerning master-feeder structures, domestic and foreign funds, international offerings, separately managed accounts and robo-adviser platforms.
Nicole is a Founder of the Investment Network (https://theinvestmentnetwork.net/) and the Digital Assets Working Group. She serves as the Washington DC Compliance Roundtable Director of the Chicago Region (https://www.wdccrt.org/). Nicole was selected as a Super Lawyers Rising Star in 2016, 2017 and 2018.