Kimberlee Levy

Kim Levy

Kimberlee Levy, Esq.

General Counsel

Kim is responsible for handling all legal matters for the organization, including management, monitoring and resolution of disputes, management of outside counsel, contract negotiation, legal research, and risk management. Additionally, Kim proactively provides solutions to organizational and constituent legal challenges, such as business succession planning and service corporation agreements.  She also guides senior management and board on various corporate and regulatory legal matters. Kim’s background in sociology, as well as devotion to the leadership management works of Patrick Lencioni, guides the firm in culture, ethics and organizational health.

Kim started her career in compliance in 1999, previously serving as a chief compliance and legal officer since 2008 with experience in financial institutions of all sizes. Her compliance and legal experience includes: alternative investments; advertising regulation for broker dealers, investment advisers (including Global Investment Performance Standards (GIPS), and investment companies; copyrights; conflicts of interest, cybersecurity; litigation management, ERISA regulations, public disclosure of reportable information; record retention; and statutory disqualifications.

Kim received her Juris Doctor from the DePaul University College of Law in Chicago, Illinois, and completed undergraduate studies at Michigan State University. She holds a Series 4, 7, 24, 63, 65 and 76 registrations. She is a member of the State Bar of Michigan and frequently speaks at industry conferences on topics such as due diligence, alternative investment suitability, conflicts of interest and regulatory issues.

In her spare time, Kim is an avid reader, and enjoys traveling, camping, boating and cheering on her three kids from the sidelines with her husband Jason.