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Brian S. Vargo

Partner
+1.412.355.6513
Fax +1.412.355.6501
+1.212.536.4075
Fax +1.212.536.3901
Brian Vargo is a partner in the firm’s Pittsburgh office where he is member of the investment management practice group. He works with investment management firms and related enterprises, private and registered funds, and investors on a wide range of matters and issues relating to organization, governance, finance, operations, and compliance with securities and commodities laws and regulations.

Mr. Vargo has also advised and represented clients in numerous complex securities financial, and business transactions, including the organization and offering of domestic and offshore hedge funds, registered funds, collateralized bond and debt funds, and other structured finance products; mergers, acquisitions, and reorganizations of funds and investment management businesses; private placement investments; and liquidity and leveraging lines of credit.

Professional Background

Prior to joining the firm, Mr. Vargo was a partner at an international law firm based in Philadelphia.

Professional/Civic Activities

  • Founding member, officer, and former chairman, Mid-Atlantic Hedge Fund Association (2002 - present)
  • Co-chair, Investment Companies Committee, Section of Business Law of the Philadelphia Bar Association (2000 - 2008)
  • Member, Executive Committee, Business Law Section of the Philadelphia Bar Association (2003 - 2005)
  • Adjunct Faculty Member, Villanova University School of Law, Law of Investment Management (1999 - 2015)
  • Associate Editor, Villanova Journal of Law and Investment Management (1999 - 2003)
  • Chairman (2008 - 2009) and Vice Chairman (2007 - 2008), Mens’ Fellowship Steering Committee, St. David’s Episcopal Church, Radnor, Pennsylvania

Speaking Engagements

  • Introduction to UCITS, AIMSE 2015 Fall Conference - Global Distribution: Asset Management in 2020, October 15, 2015, New York, NY
  • ’40 Act Funds Breakfast Seminar, SEI Investments, December 10, 2013
  • Alternatives 201: Practical Applications, Women in Investing Network of Philadelphia, October 29, 2013
  • The Battle for Alternative Exposure: Can Mutual Funds Replace Hedge Funds?, CFA Society of Philadelphia, May 2, 2012
  • Can 1940 Act Funds Provide Hedge Fund Exposures? At What Cost?, CFA Society of Philadelphia and Mid-Atlantic Hedge Fund Association present: Hedge Fund Association Conference - Investing in Hedge Funds in a Time of Uncertainty, October 6, 2011
  • A Review of SEC Enforcement Actions Stemming from Pricing Irregularities, FRA’s Compliance & Operational Best Practices for Hard-to-Value Securities & Portfolios Conference, March 17, 2008, New York, NY
  • Ethical Issues for Investment Management Lawyers, Pennsylvania Bar Institute, February 21, 2008, Philadelphia, PA
  • Adviser Advertising and Annual Compliance Reviews, Investment Advisers Association, November 8, 2007, New York, NY
  • Introduction to Hedge Fun Valuations, Pension Governance LLC, October 31, 2007, Philadelphia, PA
  • Offshore Funds - Marketing/Distribution Compensation & Forms of the Arrangements, Financial Research Associates and Legal Education Association, “Offshore Funds: Structure, Compliance & Operations, June 25, 2007, New York, NY
  • Securities Lending, 2007 Investment Companies’ & Advisers’ Compliance Program, Pennsylvania Bar Institute, April 18, 2007, Philadelphia, PA
  • Offshore Funds - Marketing/Distribution Compensation & Forms of the Arrangements, 2006 Offshore Funds Structures, Compliance, & Operations Summit, May 12, 2006, New York NY
  • The SEC’s Rules Requiring Compliance Programs and Strategies for Risk Assessment, The 2006 Mutual Fund and Investment Adviser Compliance Program, Pennsylvania Bar Institute, April 21, 2006, Philadelphia, PA
  • “Adviser Advertising” and “Adviser Risk Assessment, Monitoring and Testing”, 2005 IAA Compliance Workshops, October 27, 2005, Boston, MA
  • Today’s Regulatory Environment, Investment Management Consultants Association - Alternative Investments Program, June 13, 2005, Philadelphia, PA
  • Managing Legal and Regulatory Issues for Hedge Funds, CFA Institute Annual Conference, May 7, 2005, Philadelphia, PA
  • Mutual Funds and Investment Adviser Compliance Programs, Pennsylvania Bar Institute and Philadelphia Roundtable, April 28, 2005, Philadelphia, PA
  • Fund Governance Issues, Mutual Funds and Investment Advisers in Crisis - The SEC Response, Pennsylvania Bar Institute, April 8, 2004, Philadelphia, PA
  • Form N-CSR, Certifications and Disclosure Controls and Procedures, Mutual Fund Compliance & Regulatory Summit, January 26, 2004, Boston, MA
  • Registered Fund of Funds: IRS Guidance on Insurance Products, Developing Structured Products for the U.S. Market at the InfoVest 21 Conference, October 21, 2003, New York, NY
  • Hedge Fund Asset Allocation & Risk Management, Wharton Financial Institution Center, May 29, 2003. Philadelphia, PA
  • Anti-Money Laundering Risk Control for Hedge Funds, Advisers, and Others, National Regulatory Services 18th Annual Spring Compliance Conference, April 21, 2003, Tucson, AZ
  • Outlook for the Hedge Fund Industry in 2003, Mid-Atlantic Hedge Fund Association, March 27, 2003, Philadelphia, PA
  • Introduction to Hedge Funds, 2002 National Society of Compliance Professional National Membership Meeting, October 2, 2002, Washington, D.C.
  • Religiously Affiliated Institutions as Investors, Religion and Investing Symposium sponsored by Villanova University School of Law, April 6, 2002, Villanova, PA
  • Leveraging Technology for Knowledge Management, Institute for the International Research Conference: Outsourcing Technology for Private Equity Firms, October 16, 2001, New York, NY
  • Mutual Fund Basics, Fundamentals of International Legal Business Practice, International Bar Association, July 16, 1999, Nassau, Bahamas
  • Qualified Purchaser Pools - §3(c)(7) of the Investment Company Act of 1940, ABA Section of Taxation - Committee on Regulated Investment Companies, May 1997, Washington, D.C.