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Abigail Bertumen Joins Investment Management Team as CounselPress ReleaseFebruary 27, 2023
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Client AlertMay 26, 2022
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Client AlertFebruary 25, 2022
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FinOps ReportSeptember 7, 2021
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Client AlertDecember 14, 2020
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Press ReleaseDecember 9, 2020
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Client AlertDecember 3, 2020
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Board IQNovember 17, 2020
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Client AlertAugust 21, 2020
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Fund DirectionsAugust 20, 2020
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IgnitesAugust 3, 2020
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IgnitesJuly 2, 2020
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Private Equity Law ReportMay 19, 2020
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April 16, 2020
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Fund DirectionsApril 14, 2020
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BoardIQApril 7, 2020
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Fund DirectionsMarch 27, 2020
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Fund DirectionsMarch 26, 2020
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Board IQFebruary 25, 2020
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IgnitesJanuary 29, 2020
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Fund DirectionsJanuary 9, 2020
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Client AlertJanuary 3, 2020
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Client AlertDecember 6, 2019
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Client AlertNovember 15, 2019
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Client AlertOctober 8, 2019
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Sullivan Press ReleaseOctober 1, 2019
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BoardIQJuly 2, 2019
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FinOps Report
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October 17, 2022
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January 21, 2022
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January 22, 2021
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December 8, 2020
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October 20, 2020
Sullivan partners have represented investment advisers regulated under federal and/or state law, CFTC-regulated commodity trading advisors, bank-affiliated advisers, and investment advisers affiliated with insurance companies. Our investment advisory clients have included advisers sponsoring registered investment funds, unregistered investment funds and offshore funds, and advisers providing advice only through separately managed accounts. They have included managers offering quantitative investment strategies, automated investment solutions (robo advisers), Environmental, Social, and Governance (ESG)-focused products, as well as Smart Beta-ETF strategies. They also have included non-U.S. investment managers offering U.S. and non-U.S. investment funds to U.S. investors, and managers delegating investment advisory services.
Our work for our clients includes assistance on regulatory matters, compliance matters, SEC and CFTC/NFA examinations, enforcement matters, preparation and negotiation of investment advisory and sub-advisory agreements, cybersecurity, and client privacy matters, as well as trading and settlement.
We also have represented family offices on regulatory matters, and institutional investors (including private pension plans) making investments in alternative investment funds.
Representative Client Work
- Advising an Australian investment manager on offering non-U.S. funds to U.S. investors
- Advising a real estate investment manager on compliance with the U.S. Investment Advisers Act
- Advising a U.S. hedge fund/private equity fund manager merging with another investment adviser
- Advising a large multinational investment management firm in a comprehensive reorganization of its business
- Redrafting and harmonizing forms of investment management agreements for a U.S. investment manager to cover multiple product lines
- Providing advice under the U.S. Investment Advisers Act relating to a sponsor of a website providing portfolio stress testing to retail investors' portfolios
- Assisting a U.S. investment manager create a cash management program investing in insured deposit accounts
- Drafting compliance policies and procedures for mid-sized real estate investment manager
- Advising a multi-billion dollar family office on its investments in hedge funds and private equity funds
- Representing a European bank in Madoff-related litigation
Key Contacts
Related Practices
- Broker-Dealer Regulation
- ERISA Fiduciary
- Financial Derivatives
- Government Investigations & White Collar Defense
- International Tax
- Opportunity Zones
- Real Estate Finance
- Real Estate, Alternative & Offshore Investment Funds
- Registered Funds & Independent Trustees
- REITs
- Securities Litigation
- Tax
- Trade & Export Finance