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Ashley N. Rodriguez

Associate Washington, D.C. Financial Services and Investment Management

Ashley Rodriguez counsels investment advisers and other financial institutions in regulatory, corporate and compliance matters. Ms. Rodriguez advises clients on a variety of issues related to formation of new advisers, changes in control, registrations, regulatory filings, compliance policies and procedures, investment advisory agreements, marketing and disclosure obligations. She also routinely assists clients with questions related to their eligibility to file or register with the SEC, including non-US clients. Ms. Rodriguez regularly counsels advisers to private funds, advisers providing electronic investment advice, quantitative asset managers, managers specializing in alternative asset classes such as collateralized loan obligations (CLOs) and real estate and managers trading in derivatives. She also has extensive experience representing clients in SEC examinations and experience seeking exemptive and no-action relief, including novel relief, from the SEC staff.

Prior to joining Dechert, Ms. Rodriguez 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 previous 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. Prior to law school, Ms. Rodriguez 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 Rodriguez counsels investment advisers and other financial institutions in regulatory, corporate and compliance matters. Ms. Rodriguez advises clients on a variety of issues related to formation of new advisers, changes in control, registrations, regulatory filings, compliance policies and procedures, investment advisory agreements, marketing and disclosure obligations. She also routinely assists clients with questions related to their eligibility to file or register with the SEC, including non-US clients. Ms. Rodriguez regularly counsels advisers to private funds, advisers providing electronic investment advice, quantitative asset managers, managers specializing in alternative asset classes such as collateralized loan obligations (CLOs) and real estate and managers trading in derivatives. She also has extensive experience representing clients in SEC examinations and experience seeking exemptive and ...Continue Reading

    • SEC Exams: Risk Alert Regarding Electronic Investment Advice: Implications of Evolving Policies and Practices - The Investment Lawyer (July 2022)
    • Substantial Changes to the Private Fund Regulatory Regime Proposed - The Investment Lawyer (July 2022)
    • Analysis of the SEC’s Proposal to Update the Regulation of Funds’ Use of Derivatives – The Investment Lawyer (Apr 10, 2020)
    • Risk Alert OCIE publishes top five investment adviser compliance issues found during examinations – The Hedge Fund Journal (Feb 27, 2017)
    • Regulatory Roundtable Dinner — Dechert LLP, Boston, MA (October 6, 2022)
    • SEC Marketing Rule 360: When Rules Don’t Apply What the SEC’s Marketing Rule Means for Exempt Fund Managers — Alternative Investment Management Association (AIMA), Webinar (October 4, 2022)
    • Staff Bulletin: Standards of Conduct for Broker-Dealers and Investment Advisers Conflicts of Interest — Investment Adviser Association (IAA) Member Call, Webinar (September 20, 2022) 
    • Navigating the Recent SEC Private Fund Rule Proposals | Session Three: Considerations for Open-End Fund Managers — Dechert LLP, Webinar Series (July 20, 2022)
    • Navigating the Recent SEC Private Fund Rule Proposals | Session Two: Considerations for Non-U.S. Fund Managers — Dechert LLP, Webinar Series (July 13, 2022)
    • Dealing with Investment Errors — 35th Annual Fiduciary Risk Management Conference organized by Fiduciary & Investment Risk Management Association (FIRMA), Nashville, TN (May 3, 2022)
    • Form ADV Part 1: Annual Updating Amendment and More — National Regulatory Services (NRS) and the Investment Adviser Association (IAA) Certified Compliance Professional Program (IAACP), Webinar (October 7, 2021)
    • The New World of Investment Adviser Marketing – The Rule 206(4)-1 Amendments — Dechert LLP, Webinar Series (May 11 & 13, 2021) 
    • SEC Private Fund Examinations: Recent Focus Areas — Dechert LLP, Webinar (July 8, 2020)
    • Investment Adviser Association
  • ashley.rodriguez@dechert.com
  • +1 202 261 3446
  • +1 202 261 3004
  • vCard

Office

Washington, D.C.

1900 K Street, NW, Washington, DC, United States of America 20006-1110
  • +1 202 261 3446
  • +1 202 261 3333

Services

Financial Services and Investment Management
Investment Advisers
Regulatory Compliance
Private Funds

Education

  • Rice University, B.A., Economics, History and Policy Studies, 2004
  • London School of Economics and Political Science, M.Sc., Gender & Social Policy, 2005
  • University of California, Berkeley, School of Law, J.D., 2014, Berkeley International Human Rights Law Clinic; Senior Editor, Berkeley Journal of International Law

Admission

  • District of Columbia
  • California

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