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General

Nick&nbsp;Portillo is a member of&nbsp;the firm’s&nbsp;Investment Services group.

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He represents clients in the investment management industry, including mutual funds, exchange-traded funds (ETFs), closed-end funds, fund independent directors, and investment advisers. Nicholas advises fund boards on governance, oversight responsibilities, and fiduciary duties, and supports funds and advisers with board meeting preparation, regulatory compliance, SEC filings, and operational matters. 

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He also&nbsp;counsels&nbsp;clients on fund formation and structuring, corporate organization, and transactional matters such as mergers, reorganizations, and liquidations. Nicholas’s practice emphasizes practical&nbsp;solutions that help clients manage risk, ensure compliance, and achieve strategic&nbsp;objectives&nbsp;in fund operations and governance.&nbsp;

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Advised fund and board clients on a variety of strategic transactions, including fund adoptions, and mergers.&nbsp;

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Counseled fund sponsors and boards in launching new products in the registered fund space, including unique&nbsp;actively-managed&nbsp;and index-based strategies as well as innovative product types such as interval funds.&nbsp;

Guided clients through significant regulatory changes&nbsp;impacting&nbsp;funds.&nbsp;

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Chicago

Investment Services Regulatory Update February 2023

PCAOB Issues New HFCA Act Determination Report for Chinese and Hong Kong Auditors

Investment Services Regulatory Update April 2023

SEC Orders Affiliated Investment Advisers to Repay Clients for Alleged Breaches of Fiduciary Duties

Investment Services Regulatory Update May 2023

SEC Staff Issues Risk Alert on LIBOR-Transition Preparedness

Investment Services Regulatory Update July 2023

SEC Allows Expiration of MiFID II No-Action Relief

Investment Services Regulatory Update February 2024

SEC Approves Exchange Listings for Spot Bitcoin ETPs

SEC Settles Charges Against Adviser/Broker-Dealer for Alleged Whistleblower Protection Rule Violations

Investment Services Regulatory Update May 2024

SEC Settles Enforcement Proceedings Against Adviser for Improperly Splitting Legal Fees with Mutual Fund Client

Investment Services Regulatory Update June 2024

SEC Settles Charges Against Dually-Registered Broker-Dealer and Adviser for Alleged Failure to Address Conflicts of Interest

Investment Services Regulatory Update July 2024

SEC Approves Exchange Listings for Spot Ether ETPs

Investment Services Regulatory Update August 2024

Treasury Department and IRS Issue Final Regulations Exempting Regulated Investment Companies and REITs from Filing Stock Repurchase Excise Tax Returns

District Court Issues Injunction Against Missouri ESG Rules

Investment Services Regulatory Update November 2024

SEC Settles Enforcement Proceedings Against Adviser and Broker-Dealer for Alleged Regulation Best Interest Violations

SEC Staff Issues Guidance on Common Tailored Shareholder Reporting Issues

President Trump Issues “Regulatory Freeze” Memorandum

Investment Services Regulatory Update March 2025

President Trump Issues Executive Actions Regarding Federal Agencies

Paul S. Atkins Sworn in as SEC Chairman

President Trump Issues Executive Action Directing the Repeal of Unlawful Regulations

SEC Settles Charges Against Fund Advisers and Portfolio Managers for Alleged Misrepresentations of Risk and Breaches of Fiduciary Duty

Nicholas A. Portillo

Nicholas A. Portillo

Credentials

Education

Bar Admissions

Insights & Events

Investment Services Regulatory Update April 2026

SEC’s Division of Enforcement Announces Updates to Enforcement Manual

President Trump Issues Executive Order Regarding Proxy Advisors

Investment Services Regulatory Update January 2026

Investment Services Regulatory Update November 2025

SEC Approves Generic Listing Standards for Commodity-Based ETPs

SEC Approves In-Kind Transactions for Crypto Asset ETPs

SEC Settles Charges Against Fund Advisers and Portfolio Managers for Alleged Misrepresentations of Risk and Breaches of Fiduciary Duty

Nicholas A. Portillo

Credentials

Education

Bar Admissions

Insights & Events

Investment Services Regulatory Update April 2026

SEC’s Division of Enforcement Announces Updates to Enforcement Manual

President Trump Issues Executive Order Regarding Proxy Advisors

Investment Services Regulatory Update January 2026

Investment Services Regulatory Update November 2025

SEC Approves Generic Listing Standards for Commodity-Based ETPs

SEC Approves In-Kind Transactions for Crypto Asset ETPs

SEC Settles Charges Against Fund Advisers and Portfolio Managers for Alleged Misrepresentations of Risk and Breaches of Fiduciary Duty

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