Eric Myers

Eric helps registered investment advisory firms and other financial sector clients with compliance testing, code of ethics reviews, and marketing reviews. He has experience drafting compliance manuals, firm disclosures, and training programs.

In addition, Eric has significant experience with a variety of compliance testing processes, such as email reviews, account documentation, fee testing, and suitability testing. He has reviewed ADV Part 2As and compliance manuals.

Prior to joining Calfee in 2023, Eric served as a Compliance Officer with Key Bridge Compliance. He also served as a legal extern for Calfee in 2020 and for the University of Cincinnati Athletics Compliance Office in 2019.

Education

J.D., University of Cincinnati College of Law, 2021

B.A., Political Science and National Security & Intelligence, 2017

Eric Myers is not licensed to practice law.

Experience

• Calfee provides legal counsel on securities regulations affecting a large investment advisory firm with $8+ billion in client assets providing customized financial planning and wealth management services to a broad array of high net worth and other clients, and serves as the firm’s Chief Compliance Officer (CCO). The CCO is responsible for directing and implementing the firm’s compliance program for all supervised persons of the adviser, ensuring effective compliance with Rule 206(4)-7 of the Investment Advisers Act of 1940 (the “Compliance Rule”).
• Calfee provides legal counsel on securities regulations affecting an SEC-registered investment adviser client with $25+ billion in AUM that provides asset management for institutional investors and wealth management services for high-net-worth and ultra-high-net-worth individuals. Calfee provides back-office support and expert counsel for the CCO and assists him in directing and implementing the firm’s compliance program for all supervised persons of the adviser, ensuring effective compliance with Rule 206(4)-7 of the Investment Advisers Act of 1940 (the “Compliance Rule”). As part of its ongoing services over the last two years, Calfee successfully guided the client through an examination by the SEC’s Division of Examinations ultimately concluding with a “no further action” letter with zero deficiencies noted.
• Calfee provides legal counsel on securities regulations affecting an SEC-registered investment adviser with $700+ million in AUM focused on managing private funds. Calfee provides complete back-office support for the CCO and is responsible for directing and implementing the firm’s compliance program for all supervised persons of the adviser, ensuring effective compliance with Rule 206(4)-7 of the Investment Advisers Act of 1940 (the “Compliance Rule”).
• Calfee was selected to provide legal counsel on securities regulations affecting an SEC-registered investment adviser with $675+ in AUM providing advisory services to high-net-worth individuals and small institutions and to serve as the firm’s Chief Compliance Officer (CCO). The CCO is responsible for directing and implementing the firm’s compliance program for all supervised persons of the adviser, ensuring effective compliance with Rule 206(4)-7 of the Investment Advisers Act of 1940 (the “Compliance Rule”).
• Calfee provides legal counsel on securities regulations affecting all aspects of our client, a family of SEC-registered investment advisers with $650+ million in AUM. Calfee provides comprehensive back-office support and expert counsel for the CCO and assists in directing and implementing the firms’ compliance programs for all supervised persons, ensuring effective compliance with Rule 206(4)-7 of the Investment Advisers Act of 1940 (the “Compliance Rule”).