Legal & Compliance
Andrew M. Fishman
Associate General Counsel
Andrew joined the firm in 1997 and currently serves as an Associate General Counsel, with over thirty years of experience. He is also the Chief Compliance Officer of Kinetics Mutual Funds, Inc., a series of registered mutual funds managed by Kinetics Asset Management LLC. Previously, Andrew worked at Bankers Trust Company after starting his career with a private law firm. He holds a BA from the University of Michigan and a JD from Columbia University School of Law.
Russell W. Grimaldi
Associate General Counsel
Russ joined the firm in 2005 and currently serves as an Associate General Counsel. Russ has experience with securities regulations affecting mutual funds, hedge funds, investment advisors and broker-dealers. He also provides guidance on corporate law matters. Previously, Russ worked at a boutique lobbyist law firm in Albany, NY, and was a Legislative Intern to Connecticut State Senator John McKinney. Russ holds a BA in Legal Studies from Quinnipiac University (cum laude) and a JD from Albany Law School, where he was a member of the International Law and Patent Law Societies.
Jay H. Kesslen
Jay joined the firm in 1999 and currently serves as General Counsel and is the assistant secretary of the Board. Jay is responsible for managing all legal and compliance matters for the firm. Jay is also the firm’s Anti-Money Laundering Officer and serves as Assistant Secretary for the Kinetics Mutual Funds, Inc., a series of U.S. mutual funds managed by Kinetics Asset Management, LLC, a subsidiary of Horizon Kinetics. Jay holds a BA in Economics from the State University of New York at Plattsburgh (cum laude) and a JD from Albany Law School.
Robin Shulman, CFA®
Chief Compliance Officer
Robin joined the firm in 2010 and serves as Chief Compliance Officer. Prior to joining the firm, Robin was a Compliance Officer for Seix Investment Advisors LLC, a leading institutional investment manager. At Seix, Robin was responsible for the firm’s compliance program with respect to multiple product offerings including separately managed accounts, mutual funds, hedge funds, and structured products. Prior to this, Robin served as a Director within the Business Risk Management and Compliance Groups of Deutsche Asset Management, Americas, as well as a Compliance Manager at both Ernst & Young, LLP’s Regulatory Consulting Practice and Prudential Financial. Robin holds a BA from Lafayette College, an MBA from Rutgers University and is a CFA® charter holder.