Daniel Allen Perry

Daniel A. Perry, Esq. has practiced law for 10 years. He is a graduate of Holy Cross College (A.A., 2003), Purdue University (B.A., 2006) and the University of Dayton (J.D., 2010). At the University of Dayton, Daniel focused on estate planning, taxation, securities law, and transactional law.

Daniel is licensed to practice in Ohio, Kentucky and Tennessee. Daniel works with individual and families in the areas of estate planning, estate settlement, probate administration and elder law to help families protect their assets and preserve those assets for the next generation. In addition, Daniel has a very expansive and robust business and corporate law practice. Daniel works with businesses ranging from small to large corporation regarding a variety of their business law legal needs including:

• General Business, Legal, and Compliance Realted Questions and Issues
• Corporate Governance Matters
• Executive Issues and Compensations
• Software, Technology, and Licensing Agreements
• Non-Compete, Trade Secret, Non-Disclousre, and Non-Solicitation Agreements
• Employment Agreement, Employment Contracts, and Work-For-Hire Agreements
• Financing Agreements
• Vendor Contracts and Service Contracts
• Leases and Commercial Contracts
• Mergers & Acquisitions
• Privacy and Data Security
• Risk Management
• Regulatory and Government Invesitgations

In addition to a robust corporate and buisness practice, Daniel also represents retirement plan fiduciaries, investment advisers, and private equity fund managers regarding a variety of transactions including:

• Department of Labor (DOL) Fiduciary/Conflict of Interest Rule Compliance
• Prohibited Transaction Exemptions & Best Interest Contracts
• ERISA Compliance
• Plan Design and Governing Securities
• DOL Investigations and IRS Audits Related to Retirement Plan Management Regarding Fiduciaries
• FINRA, SEC, DOL & IRS Regulatory Counsel
• Private Equity Fund Formation and Compliance
• Investment Adviser Registration and Compliance
• Rule 8210 Requests
• Enforcement Actions
• Letter of Acceptance, Waive and Consent
• Registration and Licensing Matters
• Investigations, Complaints, and Other Disciplinary Matters
• Registered Investment Adviser (RIA) Registration and Compliance
• Mediation and Arbitration of Investment Adviser Related Matters
• Form ADV Part 1 and Part 2A/2B Filings
• Form U-4 and U-5 Filings
• Form PF Filings
• Schedules 13d, 13g, 13h, and Section 16 Forms 3, 4, and 5 Filings
• Form D and State Blue Sky Law Filings
• ERISA and FINRA Rules and Regulation Exemption Filings and Treasury Filings
• DOL Form LM-10 Filings
• Exemption from Registration Issues with SEC and State Securities Divisions (Blue Sky Laws)
• Initial Public Offerings (IPO)

Daniel finds great passion in advising his clients, protecting their assets and business, and most importantly, keeping them out of court.

Daniel previously worked as an attorney in Nashville, Tennessee for four years prior to moving back to Ohio in 2018. Daniel resides in Hebron, Kentucky with his wife, Catherine, and their three children, William, Landon and Emerson. In his spare time, Daniel enjoys running, creative writing and reading, and American Civil War History.