David is the managing partner of the Washington, D.C. office, as well as the co-leader of the Investment Management Group. Prior to joining Sullivan, David was Special Counsel in the Washington, D.C. office of Gibson, Dunn & Crutcher LLP. He previously served as Assistant General Counsel for Legislation and Investment Company and Adviser Regulation at the Securities and Exchange Commission and as Counsel to SEC Commissioner Aulana Peters.

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 USA, Recognized Practitioner in Investment Funds (Nationwide) (2015-2019)
  • Washington, D.C. Super Lawyers, Securities/Corporate Finance (2014-2017)
  • The Legal 500 U.S. (2012-2019)
  • Best Lawyers in America (2009-2020)
  • 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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