Mr. Gort specializes in providing regulatory and compliance-related services to registered investment advisers (“RIAs”). At Parker MacIntyre, Mr. Gort manages the day to day task of keeping track of regulatory deadlines for all of the firm’s RIA clients and oversees the work of other Parker MacIntyre associates. In this role, Mr. Gort routinely drafts Investment Advisory Agreements for RIAs, disclosure documents (including Form ADV Parts 1 and 2, Form U4 and point of sale disclosures), compliance manual procedures and other ancillary documents for RIAs.
Mr. Gort has accumulated experience since 2013 in creating legal solutions for problems registered investment advisers face. Throughout his time at Parker MacIntyre, Mr. Gort has helped RIAs prepare for SEC and state regulatory examinations, provided compliance guidance for RIA and broker-dealer clients, and researched many recent developments in securities rules and regulations (including cybersecurity, advertising and custody). Mr. Gort also regularly consults with clients and prospective clients regarding the most efficient options for RIA registration with various regulatory authorities. Mr. Gort has also been involved with and helped negotiate mergers, acquisitions and successions of RIA businesses. Mr. Gort has helped registered investment advisers of all sizes comply with SEC and state regulations and respond to regulatory deficiency letters.
Mr. Gort, a native of Atlanta, is a graduate of the Walter F. George School of Law at Mercer University. He completed his undergraduate studies at the University of Kentucky, earning a B.A. in Political Science and History, Cum Laude, in May 2010. During his collegiate career, Mr. Gort was a nationally competitive policy debater, earning both individual and team awards at tournaments around the country.