of Bespoke Financial Products
Griffin Phillips LLC was created in July 2009 to offer investment fund structuring expertise to the global financial industry, with specialties in the US, Irish (Dublin), and Canadian markets for both retail and alternative fund structures, operations, and services. Griffin Phillips provides senior advisory support on ETF and other 1940 Act product development, including operational and regulatory considerations for de novo ETF sponsors, private fund 351 exchanges, and mutual fund and closed-end fund conversions to ETFs.
Goals Discovery
A critical step at the outset of any relationship is to determine with the client what their expectations are for an anticipated fund structure. This first step is to discuss where to whom and within what limits they want the desired fund to be active. Once this is determined the next steps can be taken.
Product Advice
Depending on the strategies and underlying assets that a specific client is involved with and to whom they wish to market their product, Griffin Phillips will provide an outline of what registered or unregistered product will fit their particular strategy and target market.
Jurisdiction Identification
In some cases, the domestic market of the asset manager is not the best venue for the strategy, underlying assets or distribution goals of the product in question. Griffin Phillips’ goal is to not only to identify the best financial structure but also to find the best jurisdiction for that registration.
Third Party Partner Introductions
In order to make the entire package successful, you need to have the right team to maintain the product on a day to day basis. Over the years, Griffin Phillips has developed an extensive network of high-quality service providers that can provide all the necessary services for the product from the development stage, through the distribution phase and throughout the life of the product.
John Phillips, Principal of Griffin Phillips LLC, is a Senior Financial Product Development and Operations Executive with over 35 years’ experience shaping and delivering investment products and structures across global markets. He has deep specialist knowledge of ETFs and other 1940 Act products, with proven leadership across de novo ETF sponsor launches, private fund, mutual fund and closed-end fund 351 conversions to ETFs. He is a trusted advisor on complex operational, governance and regulatory matters, with a record of delivering across more than 15 jurisdictions and multiple regulatory environments. John Phillips brings strong strategic judgement, commercial discipline, and a collaborative approach to stakeholder engagement at board and senior leadership level.
