Tokens of Wisdom

Do you love investing? Ever thought about turning that passion into a business? Listen up to learn to navigate the legal loopholes in forming, launching, and running a private investment fund, including considerations unique to digital asset/crypto funds. Dave Rothschild is a partner at Cole-Frieman & Mallon, one of the country's premier boutique investment management law firms with deep experience in traditional assets, as well as esoteric asset classes like digital assets. For questions or comments, email tow@colefrieman.com. Visit our website: https://colefrieman.com

Tokens of Wisdom is a business podcast hosted by Dave Rothschild, with 88 episodes on record and a Required Pod Score of 80.

Dave Rothschild hosts Tokens of Wisdom, a business show with 88 episodes published.

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  Episode #88

  Episode 88: Does California's DFAL Apply to Digital Asset Funds and Managers?

  Sep 16, 202615 min

  Episode 88: Does California's DFAL Apply to Digital Asset Funds and Managers? California's Digital Financial Assets Law ("DFAL") creates a fun new registration regime for certain businesses in the digital asset ecosystem. Specifically, it requires registration for any person engaging in, or holding itself out as engaging in, any digital financial asset business activity with or on behalf of a California resident with several specific exemptions. Key Points From This Episode: Defining some important terms. What does registration entail? So, does this apply to digital asset funds? What about fund managers? The three categories of managers that might be relevant. A plea to consult your own legal advisors. Disclaimer: This show is for informational purposes only. Nothing presented here constitutes legal, investment or tax advice. The guests that join us share their considerable fund-related wisdom, but everything they share here is their personal opinion and for educational purposes only. On this show, they are speaking for themselves, and not for their employer or any affiliated entity. Tokens of Wisdom is produced by Dave Rothschild, partner at Cole-Frieman & Mallon LLP headquartered in San Francisco, California. For more information, visit https://colefrieman.com/ Tired of not Seeing my Face? Check out today’s episode on YouTube: https://youtu.be/b_0x7liMtuA Links Mentioned in Today’s Episode: Dave Rothschild - https://www.linkedin.com/in/davidcrothschild/ Cole-Frieman & Mallon LLP - https://colefrieman.com/ Music by Joe Ginsberg - https://www.instagram.com/thejoeginsberg For any questions or comments, email: tow@colefrieman.com

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  Episode #87

  Episode 87: A Brave New World with Frank Napolitani, Cartesian

  Sep 2, 202638 min

  Episode 87: A Brave New World with Frank Napolitani, Cartesian Frank Napolitani, Managing Partner of Cartesian, joins the Tokens of Wisdom Studio to shed some light on the fascinating times afoot for investment professionals and the firms that service them. Frank shares insights on the ongoing tokenization of securities, unique considerations when trading on prediction markets, and the quickly approaching 23-hour trading day and rolling market close. Key Points From This Episode: DTC's ongoing efforts in tokenization of securities, and what it means for fund managers' back offices. Why prediction markets? 23-hour trading day is coming. What does that mean for managers and their back offices? Disclaimer: This show is for informational purposes only. Nothing presented here constitutes legal, investment or tax advice. The guests that join us share their considerable fund-related wisdom, but everything they share here is their personal opinion and for educational purposes only. On this show, they are speaking for themselves, and not for their employer or any affiliated entity. Tokens of Wisdom is produced by Dave Rothschild, partner at Cole-Frieman & Mallon LLP headquartered in San Francisco, California. For more information, visit https://colefrieman.com/ Links Mentioned in Today’s Episode: Dave Rothschild - https://www.linkedin.com/in/davidcrothschild/ Frank Napolitani - https://www.linkedin.com/in/frank-napolitani-249a0510/ Cole-Frieman & Mallon LLP - https://colefrieman.com/ Cartesian - https://o-cfo.com/ Music by Joe Ginsberg - https://www.instagram.com/thejoeginsberg For any questions or comments, email: tow@colefrieman.com

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  Episode #86

  Episode 86: The Annual Review with Annie Kong, IQ-EQ

  Jul 9, 202637 min

  Episode 86: The Annual Review with Annie Kong, IQ-EQ Annie Kong, Regional Lead (West) of Regulatory & Compliance, U.S. at IQ-EQ joins the Tokens of Wisdom Studio to explain what’s actually involved in an investment adviser’s annual review. Annie shares insights on the importance of ongoing compliance reviews, how to approach annual reviews proactively, and the ever-evolving regulatory landscape. Key Points From This Episode: Ongoing compliance review vs. check-the-box approach Breaking down the annual review into quarterly testing Tailoring reviews to specific manager strategies and risks SEC's focus on substantive review over documentation Incorporating AI and cybersecurity into compliance programs Disclaimer: This show is for informational purposes only. Nothing presented here constitutes legal, investment or tax advice. The guests that join us share their considerable fund-related wisdom, but everything they share here is their personal opinion and for educational purposes only. On this show, they are speaking for themselves, and not for their employer or any affiliated entity. Tokens of Wisdom is produced by Dave Rothschild, partner at Cole-Frieman & Mallon LLP headquartered in San Francisco, California. For more information, visit https://colefrieman.com/ Links Mentioned in Today’s Episode: Dave Rothschild - https://www.linkedin.com/in/davidcrothschild/ Annie Kong - https://www.linkedin.com/in/annie-kong-3bb24a30/ Cole-Frieman & Mallon LLP - https://colefrieman.com/ IQ-EQ - https://iqeq.com/us/ Music by Joe Ginsberg - https://www.instagram.com/thejoeginsberg For any questions or comments, email: tow@colefrieman.com Watch Tokens of Wisdom on YouTube: https://www.youtube.com/@Tokens_DCR

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  Episode #85

  Episode 85: Qualified Client Thresholds Are Going Up

  Jun 1, 202610 minS0

  <p><b>Episode 85: Qualified Client Thresholds Are Going Up</b></p><p> </p><p>Quick housekeeping episode today. The SEC just increased the qualified client thresholds, effective June 29, 2026 – mere weeks away. If you charge a performance allocation — or if you invest in a fund that does — this affects you. It's not complicated, but the deadline is real, and the numbers moved more than they usually do. Thanks, inflation.</p><p> </p><p><b>Key Points From This Episode:</b></p><p> </p>What Is a Qualified Client?Why Does It Matter?What are the New Thresholds?Brief explanation of the Grandfath...

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  Episode #84

  Episode 84: Crypto Prime Brokerage with Matt Boyd, Coinbase

  Apr 29, 202642 minS0

  <p><b>Episode 84: Crypto Prime Brokerage with Matt Boyd, Coinbase</b></p><p> </p><p>Matt Boyd, Head of Prime Finance at Coinbase joins the Tokens of Wisdom Studio to explain all things crypto prime brokerage and how to navigate the transition from managing your own money to managing a fund. </p><p> </p><p><b>Key Points From This Episode:</b></p><p> </p>Crypto custody and the importance of qualified custodians.How Coinbase Prime connects custody, execution, financing, and operations.Best execution in fragmented crypto markets.Leverage and risk management in crypto trading.Staking assets and collateralization in cryp...

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