D. Forest Wolfe

About D. Forest Wolfe

As a highly motivated and experienced General Counsel and Compliance Executive, I lead legal strategy and training to ensure compliance with all ethical, legal, and regulatory obligations by complex investment management companies.> I advise key stakeholders on complex legal, regulatory, and reputational matters and manage legal and compliance professionals, as well as relationships with outside counsel.> I direct compliance reporting, training, trade tracking, and surveillance and serve on key management committees.> My experience has been gained in corporate legal departments, a major private law firm, and through serving on the Board of Directors of public and private entities.> Areas of Expertise:Executive Leadership | Business Experience | Team Leadership | Strategic Planning & Execution | Global Operations | Managing Budgets | Process Improvement | Risk Assessment and Management | Negotiations | Outside Counsel Management | Contract Structuring | Litigation Management | Compliance Supervision and Training

Experience

1. General Counsel

   ARK Investment Management LLC

   Jan 2021 — Present · Tampa, FL, US

   Lead the legal and compliance function at ARK Investment Management, an SEC registered Investment Adviser whose investment objective is long-term growth through a thematic focus on disruptive innovation. Through its open research process, ARK seeks to identify companies that are leading and benefiting from cross-sector innovations such as artificial intelligence, robotics, energy storage, DNA sequencing, and blockchain technology.

Education

• Emory University

  B.A., International Studies

  1990 — 1994

• Emory University School of Law

  JD, Law

  1997 — 2000