Representative Client Work

  • Representing mutual funds, exchange-traded funds, closed-end funds, and business development companies and their independent directors in connection with fund organization, public offerings and operations
  • Representing investment advisers and broker-dealers with respect to regulatory matters and law enforcement investigations arising under the federal securities laws
  • Advising public companies concerning their status under the Investment Company Act of 1940

Bar & Court Admissions

  • District of Columbia
  • U.S. District Court, District of Columbia
  • U.S. Court of Appeals for the District of Columbia Circuit

Education

  • J.D., Harvard Law School
  • B.A., cum laude, Princeton University

Community Engagement

  • Princeton University, Medieval Studies Advisory Council

Awards & Honors

  • Chambers Global, 2021
  • Chambers USA, Recognized Practitioner in Investment Funds (Nationwide) (2015-2021)
  • Washington, D.C. Super Lawyers, Securities/Corporate Finance (2014-2017)
  • The Legal 500 U.S. (2012-2021)
  • Best Lawyers in America® (2009-2021)
  • Martindale-Hubbell featured AV® Peer Review Rated

Seminars & Presentations

  • Advancing Fund Governance (September 2012)
  • Mutual Fund Directors Forum, Second Annual Directors' Institute (January 2008)
  • Suffolk University Law School, The Global Challenge in Investment Management (April 2002)
  • Institute for International Research, Directed Brokerage & Soft Dollars Forum (July 2001, February 2001, July 1999, January 1999)
  • Investment Company Institute, Investment Company Directors Conferences (November 1999 and October 1997, October 1996, and October 1995)
  • Institute for International Research, Investment Adviser Compliance Forum (July 1997)
  • Investment Company Institute, Annual Mutual Funds and Investments Conference (March 1996)
  • Glasser LegalWorks, Conference on the Private Securities Litigation Reform Act (January 1996)
  • The ABA's Committee on Federal Regulation of Securities, Fall Meeting (November 1995)
  • Investment Company Institute, Securities Law Procedures Conference (December 1994)
  • American Society of Corporate Secretaries, Mid-Atlantic Chapter, Fall Meeting (October 1993)
  • Investment Company Institute, Investment Advisers Conference (July 1993)
  • IBC USA Conferences Inc., Tax Exempt Derivatives (November 1992)
  • Deloitte & Touche, Program on the SEC Staff Study of the Investment Company Act (July 1992)

Practices

Industries

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