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Joseph A. Hearn


Joseph A. Hearn

New York +1-212-558-4000+1-212-558-4000 +1-212-558-3588+1-212-558-3588
[email protected]
Joseph Hearn is a partner in the Firm’s General Practice Group. He advises a broad range of investment-focused clients, including broker-dealers, investment advisers, investors, family offices, FinTech startups and other companies and individuals. 
For these clients, Joseph’s practice covers:
  • financings, M&A, seeding arrangements, spin-offs and other corporate transactions;
  • these clients’ most important internal matters, including compensation, governance, succession, executive transitions and partnership economics;
  • the evaluation, negotiation and structuring of investments in a wide variety of asset classes, including selected fund formations; and
  • the law and regulation of transacting in securities, whether as issuer, purchaser, broker, dealer, adviser or otherwise, including the considerations associated with building, disclosing and managing stakes in U.S. public companies.
Joseph is a co-coordinator of the Firm’s Broker-Dealer Group and has served on the Steering Committee of the Managed Funds Association Outside Counsel Forum. He was named a “Next Generation Lawyer” by Legal500 US.


  • Several alternative investment managers and private family investment offices in connection with a wide range of compensation, governance, partnership, regulatory and other matters, including 40 North Management, D. E. Shaw & Co., Fortress Investment Group, Galaxy Digital, Goldman Sachs, Jadian Capital, Millstein & Co., Renaissance Technologies, Tudor Investment Corporation, York Capital Management and others.
  • Clients on both the management and investment sides in connection with a wide range of investment, co-investment, fund formation, fund-related and other matters, including 40 North Management, AXA, Bozano Investimentos, China Investment Corporation, H/2 Capital Partners, J. Safra Sarasin Group, Muzinich & Co., SALT Lending, Tudor Investment Corporation and others.
  • Numerous private clients in the setup or restructuring of family investment offices, including a wide range of profit allocation and incentive compensation frameworks
  • Both management companies and departing partners in several complex and high-value separations from large private fund managers
  • Galaxy Digital in its organization, launch and initial public offering
  • Two individual principals in making a seed investment in a healthcare private equity manager
  • Assembled Brands in Oaktree Capital Management’s investments in its lending businesses
  • A startup merchant bank in its organization and financings
  • Wells Fargo in its acquisition of Analytic Investors
  • A principal of an oil and gas operator in making a large minority investment in a working interest fund and several associated companies
  • Genworth Financial in the sale of its asset management businesses to a private equity consortium
  • Millstein & Co. in an equity investment by Third Avenue Management and other matters
  • AIG in connection with several forms of government assistance provided during and after the financial crisis, including the 2011 series of recapitalization transactions valued at $59 billion
  • First Southern Bancorp in a super-capitalization transaction to create a platform to acquire distressed banks
  • RBC Capital Markets in its acquisition of the Carlin Financial Group broker-dealer
  • Bank of America, BMW Financial Services, Fiera Capital Corporation, GE Capital, Goldman Sachs, JPMorgan Chase, KeyCorp, MUFG, National Australia Bank, UBS and others in connection with the Volcker Rule and other financial regulatory matters.
  • GE Capital in connection with many aspects of its U.S. financial regulation after the Dodd-Frank Act
  • New York Bankers Association in its successful constitutional challenge to the New York City Responsible Banking Act, a municipal law held by the U.S. District Court for the Southern District of New York to be pre-empted by federal and state laws.