Ashley N. Rodriguez

About Ashley N. Rodriguez

Ashley provides counsel to investment advisers and other financial institutions in regulatory, corporate and compliance matters. She advises clients on formation of new advisers, changes in control, registrations, regulatory filings, compliance policies and procedures, investment advisory agreements, marketing and disclosure obligations. Clients seek Ashley’s advice regarding their eligibility to file or register with the SEC, including non-US clients. She regularly counsels advisers to private funds, advisers providing electronic investment advice, quantitative asset managers and managers specializing in non-standard and alternative asset classes such as collateralized loan obligations (CLOs) and real estate. Ashley has extensive experience representing clients in SEC examinations and experience seeking exemptive and no-action relief, including novel relief, from the SEC staff.Sought after as a thought leader in the space, Ashley speaks frequently and writes extensively on developments in investment adviser regulation, including for The Investment Lawyer, The Hedge Fund Journal, the Alternative Investment Management Association (AIMA) and Fiduciary & Investment Risk Management Association (FIRMA). She also belongs to the Investment Adviser Association.Ashley previously served as an associate in another international law firm, where she assisted with the tax aspects of corporate transactions, municipal finance and nonprofit organizations. Her prior experience also includes working as a legal intern in the fraud section of the U.S. Department of Justice, Criminal Division as well as in the asset management unit of the U.S. Securities & Exchange Commission, Division of Enforcement. Before law school, Ashley worked for more than five years in financial services for a quantitative investment adviser and held a Series 6 FINRA license to sell Mutual Funds and Variable Annuities. She also served on the board of a corporate foundation that sought to end and alleviate the effects of genocide primarily through international granting.Ashley is also committed to representing clients pro bono in financial services related matters and tax matters. She was part of a transatlantic cross-practice team that received a 2022 Dechert Samuel E. Klein pro bono award and the team was also “Commended” in the “Innovation in responsible business” category by the Financial Times for establishing a cross-border fund structure to facilitate fundraising in the U.S. and Europe for social-impact investments in India and East Africa.

Experience

1. Special Counsel

   Fried Frank

   Jul 2024 — Present · Washington, DC, US

Education

• Rice University

  Bachelor of Arts (B.A.), Economics, Policy Studies, History

  2000 — 2004

• The London School of Economics and Political Science (LSE)

  Master of Science (M.Sc.), Gender and Social Policy

  2004 — 2005

• University of California, Berkeley - School of Law

  Doctor of Law (J.D.), Law

  2011 — 2014