David Mathews
David Mathews is the Chief Legal Officer of Altegris Investments, an award-winning asset manager that provides access to alternative sources of income and growth. In his role, David oversees the firm’s regulatory compliance programs, manages legal resources and activities, and advises on legal aspects of investment product design and structure. He has more than 30 years of legal, regulatory and business experience in the financial services industry, including experience in legal and regulatory matters specifically relating to alternative investments. David's background also includes experience as an in-house attorney for the insurance affiliate of the Investment Company Institute, the trade association for the mutual fund industry, and experience early in his career practicing corporate and securities law with law firms in Dallas, Texas.
David Mathews Professional Experience / Academic History
Professional Experience
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Chief Legal Officer, Chief Compliance Officer
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General Counsel, Chief Operating Officer
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Senior Counsel
Academic History
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Juris Doctor, Law
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Bachelor of Science, Finance
David was Altegris’ General Counsel and COO from 2005 to 2017, where he provided and developed regulatory and supervisory compliance support.
Prior to Altegris, he served as a General Counsel for a California-based hedge fund of funds manager.
His engagements included serving as Chief Legal Officer for an exempt reporting adviser to private funds pursuing digital assets investment strategies.
He was an Attorney with the SEC in both the Division of Enforcement and the Division of Investment Management.
At SEC, his experience includes working on the proposal, adoption and interpretation of regulations affecting alternative investment products.
He practiced law with Shearman & Sterling, where he was involved in the representation of public and private investment funds.
He received a BS in Finance from Oklahoma State University and a Juris Doctor degree from Pepperdine university Caruso School of Law.
David Mathews' Licenses & Certifications
Member, D.C. Bar
VC University Online
FINRA Series 7, 24, 66, & 87 Licenses
National Futures Association Series 3 License
Registered In-House Counsel, State Bar of California