Alfred Tierney

During his decade long career at the SEC, Alfred led high-stakes investigations, litigated actions, and enforcement sweeps involving the nation’s largest investment advisers and broker-dealers affiliated with hedge funds, private equity funds, investment companies, mutual funds, public REITs, BDCs, and separately managed accounts.  In addition to his work in the asset management industry, Alfred has led significant investigations concerning public companies, their executives, and public accounting firms, resulting in settled and litigated actions involving billions in improper financial reporting, as well as matters concerning insider trading, FCPA, market manipulation, and offering fraud.  In conducting these investigations, Alfred collaborated closely with other criminal and civil regulatory agencies, including the DOJ, FBI, FTC, PCAOB, DEA, USSS, and FINRA.  During his time in the Division of Investment Management, Alfred advised on critical policy issues facing the asset management industry, including interpretation of significant rules and guidance related to their application to asset managers and funds.

More recently, Alfred was the General Counsel of a fintech investment platform through which over $8 billion in real estate-related assets have been acquired since inception.  In this executive role, Alfred directed all legal, regulatory, and compliance operations, including matters related to the platform’s registered investment adviser, broker-dealer, exempt reporting adviser, numerous private funds and related structuring, REITs, joint ventures, and alternative asset transactions. Alfred also managed the company’s litigation portfolio and corporate governance, and directed a team of internal and external attorneys, operational and compliance personnel, consultants, and several Chief Compliance Officers.