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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 is a partner in the Firm’s General Practice Group. His practice focuses on complex and challenging investment and securities matters. His clients include those who provide investment-related services as a business (such as broker-dealers, investment advisers, and other investment managers and funds) as well as a significant number of private individuals and family offices.

Joseph’s practice covers:
  • Financings, M&A, seeding arrangements and other transactions
  • Clients’ most important internal matters, including compensation, governance, succession, executive transitions and partnership economics
  • Investments in securities and other asset classes, including issuer and underwriter representations and selected private fund formations
  • Matters under the U.S. securities laws, including broker-dealer and investment adviser regulation; investor disclosure requirements; insider trading and related considerations; private placements; and resales of restricted securities
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.


Family Offices and Individual Clients
  • Over 40 distinct family offices, whose aggregate assets under management total more than $100 billion, in connection with a variety of investment, trading, regulatory and other matters, including a wide range of profit allocation and incentive compensation frameworks
  • Several individuals with past or present service on public company boards, including with respect to 10b5-1 plans, other trading and estate-planning considerations and director independence guidelines
  • Two individual principals in making a seed investment in a healthcare private equity manager
  • Departing partners in several complex and high-value separations from large private fund managers
  • A principal of an oil and gas operator in making a large minority investment in a working interest fund and several associated companies
Alternative Investment Management

Selected Transactions
  • Breakthrough Properties in raising investment capital for the development of the Harvard Enterprise Research Campus
  • J. Safra Sarasin Group in several significant private equity co-investment transactions
  • Galaxy Digital in its organization, launch and initial public offering
  • Wells Fargo in its acquisition of Analytic Investors
  • Assembled Brands in Oaktree Capital Management’s investments in its lending businesses
  • A startup merchant bank in its organization and financings
  • Millstein & Co. in an equity investment by Third Avenue Management and other matters
  • Genworth Financial in the sale of its asset management businesses to a private equity consortium
  • RBC Capital Markets in its acquisition of the Carlin Financial Group broker-dealer
Other Matters in the Alternatives Space

Joseph has represented clients on both the management and investment sides in a wide range of transactional, regulatory, compensation and other matters in the alternative investment management space, including:
  • AXA
  • Bank of America
  • BMW Financial Services
  • Bozano Investimentos
  • Breakthrough Properties
  • D. E. Shaw & Co.
  • Fiera Capital Corporation
  • Fortress Investment Group
  • 40 North Management
  • Galaxy Digital
  • GE Capital
  • GMP Capital
  • Goldman Sachs
  • H/2 Capital Partners
  • Jadian Capital
  • J. Safra Sarasin Group
  • JPMorgan Chase
  • McCourt Global
  • Millstein & Co.
  • Muzinich & Co.
  • National Australia Bank
  • Renaissance Technologies
  • SALT Lending
  • Temasek Holdings
  • Tishman Speyer
  • Tudor Investment Corporation
  • UBS
  • York Capital Management
Other Notable Matters
  • GE Capital in connection with many aspects of its U.S. financial regulation after the global financial crisis
  • 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 novel super-capitalization transaction to create a platform to acquire distressed banks after the global financial crisis
  • 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