Keith S. Marlowe
Keith Marlowe is the principal and founder of Marlowe Legal Advisors, LLC.
Keith brings 15 years of unique legal and business experience to his clients. Drawing from his vast and varied experience as large law firm veteran, and as general counsel, chief compliance officer, and chief operating officer of a private investment fund, Keith is able to clearly communicate legal issues and resolutions to his clients using a practical business approach while effectively managing their legal risks.
While highly regarded as one of the most experienced attorneys in alternative public financing transactions (PIPEs, registered directs and equity lines), Keith has broad practice expertise gained from both his in-house and law firm experience that allows him to advise clients on a wide range of legal issues (please see the Practice Areas page for a complete description of Keith's areas of expertise). Keith is able to apply his legal expertise to nearly any business across all industries. Keith can quickly understand a client's business due to his own business experience as a chief operating officer of a private investment fund, his years analyzing hundreds of public companies in connection with alternative public financings, and his experience as a board member of a private mobile gaming company.
Prior to forming Marlowe Legal Advisors, Keith was General Counsel, Chief Operating Officer and Chief Compliance Office of Rock Hill Investment Management, L.P., an investment manager of a hedge fund dedicated to convertible arbitrage and PIPE transactions. At Rock Hill, Keith was responsible for all of the firm's (and associated funds') legal and compliance matters including: development and enforcement of all of the firm's compliance policies and procedures; oversight of all securities law issues, trading compliance, and SEC reporting; advising the funds and the investment manager on fund offering and portfolio valuation issues; serving as the primary legal advisor to the funds' directors (Cayman Island fund); and the structuring and formation of hedge funds and managed account vehicles. Keith also oversaw the legal aspects and documentation of all of the firm's PIPE and convertible arbitrage investment transactions. Additionally, Keith assisted with oversight of the firm's PIPE portfolio including deal sourcing and structuring, analysis, and portfolio monitoring. As Chief Operating Officer, Keith headed the firm's back and middle office operations.
Prior to joining Rock Hill at inception (2002), Keith was Vice President at Rose Glen Capital Group, Inc., a hedge fund dedicated to PIPE transactions, where he structured, negotiated and managed PIPE transactions and venture capital investments and advised on securities compliance.
Before moving to Rose Glen in 1999, Keith practiced law in the Business and Finance Department of Morgan Lewis & Bockius, LLP, one of the world's largest law firms, where he represented hedge, private equity and venture capital funds in various transactions including PIPE, venture capital and private equity investments, represented public and private companies in equity offerings, M&A transactions and other business transactions, and advised clients on securities and general corporate issues.
Prior to joining Morgan Lewis, Keith initially practiced law in the Business and Finance Department of a national Am Law 100 law firm, Ballard Spahr Andrews & Ingersoll, LLP, where he focused on securities, M&A and general corporate work.
A Philadelphia native, Keith received his J.D., magna cum laude, in 1995 from The Dickinson School of Law where he was Comments Editor of The Dickinson Law Review. Keith received his B.B.A. in Economics, magna cum laude, in 1990 from Temple University.
When Keith is not practicing law and spending time with his wife and two children, Keith is the lead singer, songwriter and guitarist for the alt country band, The Miners, whose debut CD, Miners' Rebellion, has received crital acclaim from alt country/Americana focused media outlets such as No Depression and has received airplay on radio stations as well as nationally syndicated podcasts.
Keith is admitted to practice in Pennsylvania and New Jersey.