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USA Guide

Investment Funds: Registered Funds — USA - Nationwide


Dechert LLP - Investment Funds: Registered Funds Department

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Band 1

第一等

Chambers Commentary (based on the Chambers research)

What the team is known for One of the market leaders for registered fund expertise, aiding the most high-profile asset managers and expansive fund complexes, alongside small to midsized entities, in fund formation, transactions, regulatory compliance and litigation. Demonstrates familiarity with a diverse array of fund structures. Noted for its considerable strength in all matters related to exchange-traded funds.

Strengths Clients observe that "Dechert is a top firm; their number of knowledgeable attorneys in the mutual fund area, as well as their depth in other important and related areas such as tax, ERISA, litigation and regulatory matters, and their ability to coordinate and work across those different areas, puts them ahead."

Sources report: "Dechert is a first-tier investment management firm; it has the depth and breadth to help with almost any situation on a global basis. The client service is outstanding."

Notable practitioners

Robert Helm is "an outstanding lawyer" and a top-tier expert in representing registered funds and their boards of directors. Clients comment that "he provides creative solutions and looks for ways to understand and solve business needs."

Jack Murphy effectively utilizes his SEC experience to advise registered funds and investment advisers on a wide array of issues. Sources "really appreciate his command of the rules and regulations" and observe that "he's good at giving business-oriented advice."

Jeffrey Puretz " has always stood out as a top ’40 Act attorney based on his extensive knowledge and experience," says a source, calling him "someone who can combine the letter of the law with practical application and excellent judgment." He has particular strength in advising insurance companies in the registered funds space.

John O'Hanlon advises investment funds and investment managers on a range of matters, with particular regulatory strength stemming from his tenure at the SEC. Clients note that "he is exceptionally knowledgeable, efficient and effective in rendering legal advice."

Christopher Christian regularly advises clients on a broad range of registered funds and UCITS matters. A client reports that "he has been outstanding; he brings a wealth of knowledge on the offshore fund and UCITS market to the table and has a lot of experience and knowledge about this space."

Christopher Harvey is experienced in advising open and closed-end funds in a diverse spread of transactional and regulatory matters. Clients "have been very impressed with his command of numerous issues" and appreciate his "excellent advice."

Geoffrey Kenyon advises investment managers and mutual fund directors and is particularly active in international concerns affecting registered funds. Clients appreciate that "he is able to provide counsel on extremely technical matters in an easy-to-understand fashion."

Clients say of Mark Perlow: "He is technically very capable, very practical, he communicates very well and is very responsive – a high-quality partner." He is particularly noted for his ’40 Act regulatory and compliance expertise.

Stuart Strauss is valued for his expertise in SEC matters and for his in-depth knowledge of ETFs, advising both sponsors and fund complexes. Sources remark that "he's a very good, very thoughtful lawyer," adding in particular that "his specialism is innovative ETF products."

Allison Fumai advises mutual funds, closed-end funds and ETFs and their investment advisers. Clients declare that "she is an excellent ’40 Act lawyer," adding that "she is thoughtful, articulate and measured; she is great at keeping her clients abreast of new regulatory and legal developments."

About the Team (content provided by Dechert LLP)

Department profile not yet provided by Dechert LLP. Please see their firm profile.

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Ropes & Gray LLP - Investment Funds: Registered Funds Department

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Band 1

第一等

Chambers Commentary (based on the Chambers research)

What the team is known for A hugely respected ’40 Act practice, fluent in all types of registered fund from ETFs to proprietary and master-feeder funds. Handles the full range of matters, including fund formation and operation, regulatory compliance and tax matters, and is additionally uniquely placed to advise on hedge funds and private equity funds.

Strengths Clients note the firm's "very strong team with a deep bench," adding: "They have technical expertise, but their ability to communicate it and apply it to your situation is what sets them apart."

Interviewees report that it is a "top-notch team that is able to service all of our needs and is very efficient in providing effective advice. They really shine with respect to client service and depth of knowledge."

Work highlights Represented the Calamos Funds in the liquidation of three funds and an additional merger of four funds.

Advised State Street Corporation and State Street Global Advisors on State Street Corporation's acquisition of GE Asset Management from GE.

Notable practitioners

John Loder is a "fantastic lawyer" handling M&A, governance and regulatory matters for a range of funds clients. Sources call him "exceptionally smart and practical; he is very good at anticipating issues and providing great advice."

Gregory Sheehan is valued for his advice to funds, independent trustees and investment advisers concerning fund mergers and regulatory compliance and enforcement matters. Sources highly praise his skills in the registered funds space, stating that "he's excellent" and "one of the stars in the industry."

Clients observe that Bryan Chegwidden "has intimate knowledge of all facets of the ’40 Act," noting that "he is also an outstanding negotiator." He has particular expertise in advising non-US sponsors in connection with US fund matters.

Paulita Pike has a broad funds practice and is known for being "very good at independent trustee representations." Her work includes regulatory filings with the SEC and fund governance matters.

Elizabeth Reza is noted for her growing practice in the regulation and governance of registered investment companies and mutual funds. Clients declare that "she's very good; she has broad practical knowledge and is extremely responsive."

About the Team (content provided by Ropes & Gray LLP)

More than 200 Ropes & Gray partners, counsel and associates focus on advising a global client base of asset management firms, including fund sponsors, investors, and investment advisers, on all aspects of their business. Our experience across the entire spectrum of private and registered fund structures and vehicles, investment strategies, asset types and industries allows us to identify significant commercial, regulatory and economic issues, understand emerging trends and craft innovative solutions that are unique to the concerns of clients throughout the industry and in jurisdictions around the world.

To learn more about our practice, please visit: https://www.ropesgray.com/practices/asset-management.aspx

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Morgan, Lewis & Bockius LLP - Investment Funds: Registered Funds Department

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Band 2

第二等

Chambers Commentary (based on the Chambers research)

What the team is known for Offers expertise across all aspects of the registered funds space, including ETFs, money market vehicles and mutual fund complexes. Advises in connection with ’40 Act matters and the full range of state and federal regulatory matters. Noted for its ability to handle the international aspects of investments, working with experts in the firm's offices globally.

Strengths Clients note the firm's "combination of superb service coupled with superb judgment and advice."

Sources observe that the attorneys are "excellent professionals who do an excellent job of assisting our funds in dealing with numerous existing and proposed regulations."

Work highlights Helped Brinker Capital structure and coordinate the transition of approximately $7 billion in investor assets from 26,000 accounts into ten new mutual funds.

Assisted Mondrian Investment Partners with the formation of Gallery Trust, a mutual fund series trust, and the acquisition by its initial series, Mondrian International Equity Fund, of more than $300 million in assets from the International Equity Portfolio.

Notable practitioners

Roger Joseph represents funds, sponsors and independent directors and advises clients on a full range of regulatory matters. Clients note that "he is very good and effective at identifying and resolving issues."

Timothy Levin focuses on mutual funds, including new product developments. Sources describe him as a "terrific lawyer," noting his "expertise of industry knowledge, strong communication skills, and willingness to assist with any issue."

John McGuire is "very professional and highly knowledgeable of the investment management industry," say clients. He has particular expertise in all matters related to ETFs, and sources appreciate that "he's extraordinarily technically competent."

Michael Glazer represents registered funds and their independent directors in M&A, structuring and registration. Clients attest to his "wealth of experience," calling him "very smart and knowledgeable on the investment management area."

Thomas Harman is highlighted for his representation of investment advisers and open and closed-end funds. A client appreciates that "he comes up with some creative approaches," recalling that "he achieved an outstanding resolution."

Lea Anne Copenhefer represents registered funds, their advisers and independent directors on restructurings and regulatory issues. Clients observe that "she's very experienced, very knowledgeable, technically very good and very responsive."

About the Team (content provided by Morgan, Lewis & Bockius LLP)

Morgan Lewis counsels more than 60 mutual fund, exchange-traded fund (ETF), and closed-end fund complexes, comprising well over 1,000 investment portfolios, and represents the independent directors or trustees of more than 20 fund complexes. Our fund clients range from those sponsored and advised by some of the world’s largest banks, insurance companies, and broker-dealers, to funds advised by independent investment advisers. Our fund clients collectively manage more than $1 trillion. We also represent their administrators, custodians, distributors, listing markets, subadvisers, transfer agents, and other service providers.

Working across a wide range of fund products, we advise clients on their most innovative product development projects. Our lawyers work with every asset class, including listed stocks, fixed-income securities, emerging market securities, derivative instruments, and commodities. Our advice encompasses the Investment Company Act of 1940 and extends to the full range of tax, market regulation, and distribution issues faced by the industry. We have experience in the review, development, and implementation of policies and procedures designed to ensure compliance with securities and other applicable laws.

Our focus is on problem solving; our goal is to assist our clients in accomplishing their business objectives in a cost-effective manner while avoiding legal barriers.

See International for more.

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Stradley Ronon Stevens & Young LLP - Investment Funds: Registered Funds Department

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Band 2

第二等

Chambers Commentary (based on the Chambers research)

What the team is known for Maintains an impressive client list of fund complexes, fund managers and independent trustees, who benefit from the firm's skill, industry integration and nationwide presence when developing new products or approaching other registered funds concerns. Handles a wide range of open and closed-end funds and is particularly noted for its strength in the ETF space.

Strengths Clients affirm that "they are accessible, responsive, experienced and knowledgeable," adding that "they pull out the stops to help us in whatever way they can."

Interviewees report that the firm has "a very deep bench for investment management and is on top of developments from a legal, regulatory and industry perspective."

Work highlights Represented Morningstar Investment Management with respect to the formation of its proprietary mutual fund complex, the Morningstar Funds Trust.

Obtained on behalf of Precidian an ETF exemptive order from the SEC and filed a registration statement with the SEC for 18 novel ETFs.

Notable practitioners

Bruce Leto is valued for being "encyclopedic in his knowledge" of registered funds matters. Clients remark that "he is particularly impressive in his accessibility, client dedication, breadth of knowledge and experience."

Ruth Epstein is recognized in particular for her expertise in all regulatory matters related to the Commodity Futures Trading Commission. Clients comment that "she does terrific work, is insightful and has great judgment."

Clients observe that Alison Fuller is "smart, thoughtful and experienced with complexity in the fund world," reporting that "she is incredibly committed and in tune to the latest developments." She is an experienced registered funds attorney well versed in obtaining no-action, interpretive and exemptive relief from the SEC.

Eric Purple has a broad practice advising ETFs, mutual funds, closed-end investment companies and their investment advisers, and is particularly well known for his regulatory experience. Sources note that "he has excellent judgment," adding that "his technical knowledge is very good, he's very practical and a problem solver."

Matthew DiClemente is an up-and-coming attorney with significant experience in investment funds. He works with funds and boards of directors on regulatory, restructuring and transactional matters.

About the Team (content provided by Stradley Ronon Stevens & Young LLP)

Investment Management Practice

For more than 90 years, Stradley Ronon’s investment management practice has helped shape the investment management industry by assisting with the creation of innovative investment products and services. From obtaining “industry-first” exemptive and no-action relief to assisting in the development of novel products, we have helped our clients become or remain industry leaders.

Today, Stradley Ronon’s leading investment management practice advises investment advisers, public and private funds and fund sponsors, fund boards and trustees, service providers, insurance companies, and other industry participants in matters ranging from the routine to the most sophisticated. Whether you are a large financial institution with global operations or a boutique firm seeking to remain competitive, Stradley Ronon’s team of investment management practitioners can help you achieve success.

Stradley Ronon maintains one of the largest practices in the United States representing registered investment companies, including open-end funds, closed-end funds, interval funds, exchange-traded funds (ETFs) and unit investment trusts (UITs).Our clients include more than 1,500 separate funds with combined assets under management exceeding $2 trillion, including several of the top 20 investment company complexes in the country by assets under management.






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Willkie Farr & Gallagher LLP - Investment Funds: Registered Funds Department

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Band 2

第二等

Chambers Commentary (based on the Chambers research)

What the team is known for Counsels leading registered funds, as well as their advisers and independent directors, in connection with the full range of ’40 Act matters. Covers the whole spectrum from organization and registration to offerings. Particular strength in connection with alternative investments, closed-end funds, ETFs and business development companies (BDCs).

Strengths Clients comment that "it is an outstanding asset and wealth management firm staffed with a superior team of experienced lawyers that provide pragmatic advice involving multiple legal issues."

Others observe that Willkie Farr "is an excellent firm with great service and responsiveness, and tremendous strengths in the mutual fund area and regulatory matters."

Work highlights Represented the Credit Suisse Park View BDC in the sale of the controlling stake to CION Investment Corp and the related tender offer.

Counseled Legg Mason on the establishment of a novel ETF fund-of-funds structure for use by robo-advisers.

Notable practitioners

Barry Barbash is considered a market-leading adviser to registered funds. Clients affirm that he has "an encyclopedic knowledge of the US securities laws, a pragmatic and reliable approach to business issues and business structuring, and is very responsive to client business needs."

Clients declare that Margery Neale's "legal acumen is unsurpassable; she is able to think strategically and she understands the business." She utilizes her deep experience to advise clients on all matters related to open and closed-end investment companies, ETFs and BDCs.

Rose DiMartino advises clients on all matters related to the organization and operation of open and closed-end funds and BDCs. Sources call her "one of the foremost experts in the registered funds space; she is extremely knowledgeable, responsive and commercial in terms of advice."

About the Team (content provided by Willkie Farr & Gallagher LLP)

Willkie’s regulated fund clients include some of the largest fund complexes in the U.S. as well as smaller and specialty fund groups. We have insight into the operation and needs of different types of fund and adviser organizations, allowing us to bring a practical, efficient approach to analyzing issues and solving problems.

We:

  • Advise a broad spectrum of mutual funds, closed-end funds, ETFs, BDCs and their advisers/independent directors on all aspects of their business, ranging from regulatory compliance to governance to investments.
  • Assist sponsors in organization, registration and offering of all types of regulated funds. We represent major fund complexes in the creation of new funds, including equity funds, fixed income funds, asset allocation funds, alternative investment funds, money market funds, index/enhanced index funds, multi-manager funds, target date funds, international funds, MLP funds, registered funds of hedge funds, and managed volatility funds.
  • Represent fund complexes in interactions with the SEC/other regulators, including registration statement filings/amendments, proxy statements, reports, and applications for exemptive orders or no-action relief.
  • Represent clients in SEC examinations, inspections/enforcement actions and assist clients in addressing consequences arising from SEC proceedings.  
  • Counsel boards/independent directors, which provides insights into current market practices and concerns of both management and independent board members.

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Drinker Biddle & Reath LLP - Investment Funds: Registered Funds Department

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Band 3

第三等

Chambers Commentary (based on the Chambers research)

What the team is known for Offers solid registered funds support to clients such as mutual funds, ETFs and manager of manager funds. Areas of expertise include fund formation, restructuring and regulatory compliance and enforcement. Additional noted strength in the alternative investment space, including investments in alternative instruments by closed-end funds. Acknowledged for its experience dealing with the SEC in obtaining exemptive and no-action relief.

Strengths Clients remark that "the firm is excellent: responsive and practical. They have an advantage in that they can bring in experts to help with crossover issues which involve ERISA, tax and DOL rules."

Sources report that "it is an excellent firm to work with and has a deep bench strength."

Work highlights Advised FlexShares Trust on the organization and launch of the FlexShares Core Select Bond Fund, an actively managed ETF fund of funds.

Counseled Two Roads Shared Trust on matters relating to the restructuring of an adviser and its affiliates into a manager of managers structure.

Notable practitioners

Michael Malloy is valued for his experience advising a diverse array of open and closed-end investment companies. He also advises the independent trustees of funds on matters such as new fund launches.

About the Team (content provided by Drinker Biddle & Reath LLP)

Department profile not yet provided by Drinker Biddle & Reath LLP. Please see their firm profile.

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Eversheds Sutherland (US) LLP - Investment Funds: Registered Funds Department

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Band 3

第三等

Chambers Commentary (based on the Chambers research)

What the team is known for Noted for its offerings in the registered insurance product and BDC spaces, along with key aptitudes in structuring and maintaining ETFs, closed-end vehicles and mutual funds, both in the USA and internationally. Regularly advises on the structuring and management of investment products in the retail, high-net-worth and retirement markets.

Strengths This "strong firm with deep experience in specialized areas of the law" is made up of lawyers who are "very responsive and easy to work with."

Clients disclose that the attorneys are "impressive in their thoroughness and knowledge," appreciating that "they take the time to get to know us and understand the business."

Work highlights Assisted USCF with the launch of a new mutual fund trust, a complex structure involving commodity investments and a Cayman subsidiary.

Advised Stellus Capital Investment Corporation on its $44.6 million underwritten registered public offering.

Notable practitioners

Steven Boehm is commended for his wide-ranging expertise in all matters associated with BDCs. Sources describe him as "knowledgeable person on the ’40 Act," adding that "he is a pleasure to work with."

Stephen Roth "has extensive knowledge of securities law, particularly as it relates to ’40 Act funds and issues," say sources; "he is extremely thorough and detail-oriented." He is notable in particular for his comprehensive knowledge of registered insurance products.

About the Team (content provided by Eversheds Sutherland (US) LLP )

Department profile not yet provided by Eversheds Sutherland (US) LLP . Please see their firm profile.

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Goodwin - Investment Funds: Registered Funds Department

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Band 3

第三等

Chambers Commentary (based on the Chambers research)

What the team is known for Represents a respectable roster of traditional mutual funds, sub-advised entities and funding vehicles for insurance products, with an invaluable proficiency in tackling the securities and regulatory issues facing bank-sponsored mutual fund complexes. Handles long-term governance matters in addition to large-scale restructurings. Distinguished in its ability to handle industry-specific litigation, enforcement and investigations.

Strengths Sources comment that "Goodwin's investment management practice offers well-experienced senior partners who deliver first-class legal services."

Clients report that "Goodwin provides outstanding service, stellar attorneys, timely and sound advice and a depth of knowledge across their legal teams."

Work highlights Advised Wells Fargo Funds on organizing, structuring and registering for sale several new funds, including a new suite of Intuitive Investor Funds.

Assisted Columbia Funds on the implementation of new product launches and the preparation and filing of proxy materials related to fund reorganizations.

Notable practitioners

Marco Adelfio works with investment funds and their trustees, and is particularly known for his regulatory practice. Clients comment that "he provides extremely helpful, practical legal advice that incorporates his deep knowledge and experience in all aspects of asset management law."

Philip Newman is praised for his skill in advising open and closed-end funds, independent directors and investment advisers. Described as "a very experienced and very good ’40 Act practitioner," clients note that "he is extremely professional and excellent to work with."

"A fantastic attorney," Christopher Palmer is acknowledged for his considerable expertise in regulatory and governance matters. Clients observe that "his depth of expertise, sharp instincts and amazing ability to problem-solve is impressive."

Sources report that the "impressive" Robert Kurucza's "broad knowledge of all things banking and investments has been invaluable." He is experienced in mutual fund and financial services matters, including regulatory compliance and launching new products.

About the Team (content provided by Goodwin)

Department profile not yet provided by Goodwin. Please see their firm profile.

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K&L Gates - Investment Funds: Registered Funds Department

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Band 3

第三等

Chambers Commentary (based on the Chambers research)

What the team is known for Highly accomplished in the domain of ETFs, and adept in its appraisal of complex regulatory and compliance matters, due to the contingent of SEC alumni in the ranks of its investment management team. Acknowledged for its deep-seated expertise in open and closed-end fund matters. Capable of deploying well-integrated global support, and providing funds with a wealth of ancillary materials and training programs.

Strengths Sources observe that "the ’40 Act practice area is a particular strength of the firm."

Clients comment that they "benefit from the breadth of the firm's practice, which enables its advice to us to be informed by the best practices being adopted by many other firms in our industry."

Work highlights Represented John Hancock in two retail fund mergers, four variable insurance fund mergers and the launch of four new ESG Funds.

Served as deal counsel to Eaton Vance Management in its acquisition of Calvert Investment Management.

Notable practitioners

Robert Zutz receives praise for his expertise in governance, compliance and transactional issues. Clients remark that "he is a real problem solver, very easy to work with and extremely responsive."

About the Team (content provided by K&L Gates)

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Paul Hastings LLP - Investment Funds: Registered Funds Department

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Band 3

第三等

Chambers Commentary (based on the Chambers research)

What the team is known for Notable for its registered funds prowess, especially within the niche area of unit investment trusts. Draws upon corporate and capital markets resources relevant to fund transactions such as M&A and spinouts. Serves an impressive stable of clients, ranging from investment advisers to fund administrators. Strengths include mutual funds, closed-end funds and ETFs.

Strengths Clients report that the firm "excels in ’40 Act guidance," noting that it has "a very, very deep bench; with any question or problem the advice is arrived at very quickly."

Others comment on "the caliber of their lawyers, their responsiveness and work ethic."

Work highlights Organized and launched a new mutual fund group for TCW Group, the TCW Alternative Funds.

Represented Gabelli affiliate Teton Advisers in its acquisition of Keeley Advisers.

Notable practitioners

Michael Rosella is "an exceptional lawyer," say clients, "not only for his technical abilities as a lawyer but also for his business acumen and communication skills." His client base includes mutual funds, closed-end funds, unit investment trusts and ETFs.

David Hearth is particularly esteemed for his mutual fund expertise. Clients remark that "his work and client service is excellent," adding that "he is extremely knowledgeable, gives practical advice and is very responsive."

About the Team (content provided by Paul Hastings LLP)

Department profile not yet provided by Paul Hastings LLP. Please see their firm profile.

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Proskauer Rose LLP - Investment Funds: Registered Funds Department

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Band 3

第三等

Chambers Commentary (based on the Chambers research)

What the team is known for Noted for its representation of registered funds and their independent board members in connection with a range of regulatory matters, including investigations and enforcement actions. Recognized strength in the BDC space. Commended for its expert knowledge of open and closed-end funds.

Strengths Clients observe that "they are extremely experienced ’40 Act lawyers and have a strong commercial sense," adding that "they provide outstanding advice."

Others note that the Proskauer Rose team "provides a superb service," commenting: "They are very business oriented, provide very practical advice and are efficient," adding that "their responsiveness is impressive."

Work highlights Advised Central Park Group in connection with the structuring, development and registration of CPG Vintage Access Fund, a newly-formed registered private equity and debt fund.

Represented the Lazard Funds in the development, registration and launch of three new mutual funds.

Notable practitioners

The "outstanding" Stuart Coleman is praised for his advice to registered funds, independent board members and investment advisers. Clients say: "He has broad and deep knowledge of the law, many years of experience and superior judgment."

David Stephens is experienced in the structuring of open and closed-end funds, ETFs and manager of managers funds. Clients comment that "he's an expert in his field; extremely knowledgeable, diligent and professional."

Up-and-comer Nicole Runyan is, say sources, an "expert attorney in the registered funds field who is patient, thorough and extremely responsive." She is noted for her experience in closed-end funds, BDCs and registered alternative products.

About the Team (content provided by Proskauer Rose LLP)

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Sidley Austin LLP - Investment Funds: Registered Funds Department

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Band 4

第四等

Chambers Commentary (based on the Chambers research)

What the team is known for Continues to play an important role in the market, offering expertise in connection with the development and governance of a broad range of fund structures including fixed income funds, alternative investment funds and money market funds. Often acts as underwriters' counsel, drawing on the firm's recognized strength in the capital markets space. Particular strength in matters related to closed-end funds and ETFs.

Strengths Clients note the team's "broad industry experience in the area of asset management," adding that the lawyers are "efficient in providing a high-quality work product."

Observers say: "They provide a superior client experience; they have judgment and class in the way they interact. They have a level of refinement that is appreciated."

Work highlights Represented Nuveen Investments and the Nuveen closed-end municipal funds in connection with the funds' offerings of variable rate preferred shares.

Represented the Sentinel Group Funds in their acquisition by funds advised by the Western & Southern insurance holding company.

Notable practitioners

Frank Bruno is acknowledged for his experience in a variety of ’40 Act matters. Clients testify to his "incredible industry knowledge," adding that "he combines his expertise and many years of industry experience with sound judgment."

John MacKinnon advises investments funds, their independent directors and investment advisers on an array of transactional and regulatory issues. One client states that "he's the whole package. He has a range and depth of experience and he is exceedingly responsive."

About the Team (content provided by Sidley Austin LLP)

For more information on the practice, please visit the practice's page at: https://www.sidley.com/en/us/services/investment-funds-advisers-and-derivatives

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Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates - Investment Funds: Registered Funds Department

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Band 4

第四等

Chambers Commentary (based on the Chambers research)

What the team is known for Acts for a broad cross-section of parties in the registered fund arena in relation to product structuring. Provides crucial regulatory guidance concerning international stock markets and authorities such as FINRA and the SEC. Particular strength in the BDC and closed-end fund spaces. Assists with a range of governance and transactional matters.

Strengths Clients report that the team "delivers high-quality legal work," adding that "Skadden is deeply knowledgeable in SEC matters, effective at getting the deal done and a trusted counselor."

Others comment on the team's "depth of knowledge," noting that "they're extraordinarily flexible, supportive and responsive."

Work highlights Represented Yahoo! in connection with the sale of its operating business to Verizon Communications for $4.5 billion.

Represented Liberty Interactive Corporation with the tax and 1940 Act aspects of its acquisition and split-off of General Communication.

Notable practitioners

Clients observe that Michael Hoffman "has tremendous knowledge of and experience in ’40 Act issues and is incredibly responsive." He handles regulatory and transactional matters for investment funds, BDCs and investment advisers.

Richard Prins advises investment company complexes on regulatory matters, including the development and launch of new products. Sources declare that "he is brilliant; a great intellectual thinker."

About the Team (content provided by Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates)

The Investment Management Group at Skadden represents sponsor and investor clients in a wide range of investment management activities in the United States, Europe and other key global markets. We provide integrated advice, drawing on all relevant practice groups across the firm’s global offices to offer our clients comprehensive guidance and innovative solutions on local, cross-border and global matters.

We advise sponsors and underwriters on the structuring, offering, operation, ongoing financing and regulation of registered investment companies and business development companies, for whose boards of directors we also provide corporate and regulatory advice. We have played a major role in key developments and innovations in the investment management arena, including advice with respect to target term trusts, “no-load” offering structures and rights offerings for closed-end funds, preferred stock and other leveraging strategies for closed-end funds and registered private equity funds, and other types of privately offered registered investment companies. We have a market-leading practice representing registered closed-end funds, including extensive experience addressing issues raised by market discounts and dissident investors seeking short-term profits for themselves at the expense of funds and their other shareholders.

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Sullivan & Cromwell LLP - Investment Funds: Registered Funds Department

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Band 4

第四等

Chambers Commentary (based on the Chambers research)

What the team is known for Counsels registered funds, advisers and independent directors on issues ranging from money market reform to commodity pool creation. Draws upon familiarity with the financial services sector to provide invaluable guidance on regulatory enforcement and compliance. Advises clients in the open and closed-end funds space, including BDCs.

Strengths Clients comment that the department is "very client service driven," adding that the "legal advice and guidance is top-notch; the team has a good depth and breadth of experience."

Sources call Sullivan & Cromwell "an outstanding firm that provides very high-quality work."

Work highlights Assisted TCG BDC in completing its IPO and the first ever private-to-private BDC merger.

Advised Oaktree Capital Management with respect to its first application for exemptive relief for BDCs regulated under the Investment Company Act of 1940.

Notable practitioners

John Baumgardner is experienced in representing issuers, independent trustees and advisers of open and closed-end funds on transactional and regulatory matters. Clients praise him for his "deep insight into the fund industry; he is very intelligent, thoughtful, accessible and personable."

About the Team (content provided by Sullivan & Cromwell LLP)

To learn about our practice, please visit www.sullcrom.com/practices-and-capabilities.

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Vedder Price - Investment Funds: Registered Funds Department

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Band 4

第四等

Chambers Commentary (based on the Chambers research)

What the team is known for Represents open and closed-end funds across an array of regulatory, transactional and compliance issues. Typically advises on matters relating to derivatives and structured products, CFTC procedures and tax and ERISA affairs. Notable for its strength in the area of mutual funds and ETFs.

Strengths Clients report that "the level of service is excellent, response time is prompt, and the business acumen and industry knowledge are exemplary."

Others observe that the lawyers "are very creative and are able to quickly offer up viable solutions," adding that they are "very easy to work with, flexible and client focused."

Work highlights Advised the independent trustees of PowerShares ETFs on new products including the first bank loan ETF, a unique liquid alternative ETF and various commodity ETFs.

Represented Henderson Global Funds and Henderson Global Investors (North America) in a reorganization.

Notable practitioners

"An extraordinary attorney," clients affirm that Cathy Gonzales O'Kelly "has both a detailed and broad knowledge of the industry." She is valued for her advice to mutual funds, their boards of directors and investment advisers on regulatory and transactional matters.

David Sturms has deep experience in connection with ’40 Act matters. Clients value that "he is extremely detail-oriented while maintaining his perspective on big-picture issues."

About the Team (content provided by Vedder Price)

Department profile not yet provided by Vedder Price. Please see their firm profile.

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Senior Statesperson

Perkins Coie LLP

From the Chambers USA guide

Carl Frischling of Perkins Coie LLP is rated for his longstanding expertise in registered funds matters and is viewed by sources as "one of the deans of the Bar."

^ See whole ranking table

Band 1

Willkie Farr & Gallagher LLP

From the Chambers USA guide

Barry Barbash is considered a market-leading adviser to registered funds. Clients affirm that he has "an encyclopedic knowledge of the US securities laws, a pragmatic and reliable approach to business issues and business structuring, and is very responsive to client business needs." 

^ See whole ranking table

Band 1

John E Baumgardner

Sullivan & Cromwell LLP

From the Chambers USA guide

John Baumgardner is experienced in representing issuers, independent trustees and advisers of open and closed-end funds on transactional and regulatory matters. Clients praise him for his "deep insight into the fund industry; he is very intelligent, thoughtful, accessible and personable."

^ See whole ranking table

Band 1

Proskauer Rose LLP

From the Chambers USA guide

The "outstanding" Stuart Coleman is praised for his advice to registered funds, independent board members and investment advisers. Clients say: "He has broad and deep knowledge of the law, many years of experience and superior judgment."

^ See whole ranking table

Band 1

Dechert LLP

From the Chambers USA guide

Robert Helm is "an outstanding lawyer" and a top-tier expert in representing registered funds and their boards of directors. Clients comment that "he provides creative solutions and looks for ways to understand and solve business needs."

^ See whole ranking table

Band 1

Stradley Ronon Stevens & Young LLP

From the Chambers USA guide

Bruce  Leto is valued for being "encyclopedic in his knowledge" of registered funds matters. Clients remark that "he is particularly impressive in his accessibility, client dedication, breadth of knowledge and experience."

^ See whole ranking table

Band 1

Ropes & Gray LLP

From the Chambers USA guide

John Loder is a "fantastic lawyer" handling M&A, governance and regulatory matters for a range of funds clients. Sources call him "exceptionally smart and practical; he is very good at anticipating issues and providing great advice."

^ See whole ranking table

Band 1

Dechert LLP

From the Chambers USA guide

Jack Murphy effectively utilizes his SEC experience to advise registered funds and investment advisers on a wide array of issues. Sources "really appreciate his command of the rules and regulations" and observe that "he's good at giving business-oriented advice."

^ See whole ranking table

Band 1

Willkie Farr & Gallagher LLP

From the Chambers USA guide

Clients declare that Margery Neale's "legal acumen is unsurpassable; she is able to think strategically and she understands the business." She utilizes her deep experience to advise clients on all matters related to open and closed-end investment companies, ETFs and BDCs.

^ See whole ranking table

Band 2

Goodwin

From the Chambers USA guide

Marco Adelfio works with investment funds and their trustees, and is particularly known for his regulatory practice. Clients comment that "he provides extremely helpful, practical legal advice that incorporates his deep knowledge and experience in all aspects of asset management law."

^ See whole ranking table

Band 2

Shearman & Sterling LLP

From the Chambers USA guide

Jay Baris of Shearman & Sterling LLP handles regulatory matters for mutual funds, closed-end funds, ETFs and BDCs. Clients report that "he is extremely impressive," adding that "he has an unbelievably encyclopedic knowledge of ’40 Act law." 

^ See whole ranking table

Band 2

Debevoise & Plimpton LLP

From the Chambers USA guide

Kenneth Berman of Debevoise & Plimpton LLP is recognized as "an excellent lawyer," advising independent directors, investment advisers and mutual fund sponsors. Sources praise his regulatory strength: "He is great for ’40 Act work; he is a strong, keen legal mind."

^ See whole ranking table

Band 2

Eversheds Sutherland (US) LLP

From the Chambers USA guide

Steven Boehm is commended for his wide-ranging expertise in all matters associated with BDCs. Sources describe him as "knowledgeable person on the ’40 Act," adding that "he is a pleasure to work with."

^ See whole ranking table

Band 2

Willkie Farr & Gallagher LLP

From the Chambers USA guide

Rose DiMartino advises clients on all matters related to the organization and operation of open and closed-end funds and BDCs. Sources call her "one of the foremost experts in the registered funds space; she is extremely knowledgeable, responsive and commercial in terms of advice."

^ See whole ranking table

Band 2

Cathy Gonzales O'Kelly

Vedder Price

From the Chambers USA guide

"An extraordinary attorney," clients affirm that Cathy Gonzales O'Kelly "has both a detailed and broad knowledge of the industry." She is valued for her advice to mutual funds, their boards of directors and investment advisers on regulatory and transactional matters.

^ See whole ranking table

Band 2

Morgan, Lewis & Bockius LLP

From the Chambers USA guide

Roger Joseph represents funds, sponsors and independent directors and advises clients on a full range of regulatory matters. Clients note that "he is very good and effective at identifying and resolving issues."  

^ See whole ranking table

Band 2

Morgan, Lewis & Bockius LLP

From the Chambers USA guide

Timothy Levin focuses on mutual funds, including new product developments. Sources describe him as a "terrific lawyer," noting his "expertise of industry knowledge, strong communication skills, and willingness to assist with any issue."

^ See whole ranking table

Band 2

Morgan, Lewis & Bockius LLP

From the Chambers USA guide

John McGuire is "very professional and highly knowledgeable of the investment management industry," say clients. He has particular expertise in all matters related to ETFs, and sources appreciate that "he's extraordinarily technically competent."

^ See whole ranking table

Band 2

Goodwin

From the Chambers USA guide

Philip Newman is praised for his skill in advising open and closed-end funds, independent directors and investment advisers. Described as "a very experienced and very good ’40 Act practitioner," clients note that "he is extremely professional and excellent to work with."

^ See whole ranking table

Band 2

Christopher E Palmer

Goodwin

From the Chambers USA guide

"A fantastic attorney," Christopher Palmer is acknowledged for his considerable expertise in regulatory and governance matters. Clients observe that "his depth of expertise, sharp instincts and amazing ability to problem-solve is impressive."

^ See whole ranking table

Band 2

Dechert LLP

From the Chambers USA guide

Jeffrey Puretz "has always stood out as a top ’40 Act attorney based on his extensive knowledge and experience," says a source, calling him "someone who can combine the letter of the law with practical application and excellent judgment." He has particular strength in advising insurance companies in the registered funds space.

^ See whole ranking table

Band 2

Michael R Rosella

Paul Hastings LLP

From the Chambers USA guide

Michael Rosella is "an exceptional lawyer," say clients, "not only for his technical abilities as a lawyer but also for his business acumen and communication skills." His client base includes mutual funds, closed-end funds, unit investment trusts and ETFs.

^ See whole ranking table

Band 2

Gregory D Sheehan

Ropes & Gray LLP

From the Chambers USA guide

Gregory Sheehan is valued for his advice to funds, independent trustees and investment advisers concerning fund mergers and regulatory compliance and enforcement matters. Sources highly praise his skills in the registered funds space, stating that "he's excellent" and "one of the stars in the industry."

^ See whole ranking table

Band 2

K&L Gates

From the Chambers USA guide

Robert Zutz receives praise for his expertise in governance, compliance and transactional issues. Clients remark that "he is a real problem solver, very easy to work with and extremely responsive."

^ See whole ranking table

Band 3

Sidley Austin LLP

From the Chambers USA guide

Frank Bruno is acknowledged for his experience in a variety of ’40 Act matters. Clients testify to his "incredible industry knowledge," adding that "he combines his expertise and many years of industry experience with sound judgment."

^ See whole ranking table

Band 3

Ropes & Gray LLP

From the Chambers USA guide

Clients observe that Bryan Chegwidden "has intimate knowledge of all facets of the ’40 Act," noting that "he is also an outstanding negotiator." He has particular expertise in advising non-US sponsors in connection with US fund matters.

^ See whole ranking table

Band 3

Simpson Thacher & Bartlett LLP

From the Chambers USA guide

"An excellent lawyer," Sarah Cogan of Simpson Thacher & Bartlett LLP advises closed-end investment companies and underwriters. Sources say: "Her experience in closed-end fund regulatory matters is top rate."

^ See whole ranking table

Band 3

Stradley Ronon Stevens & Young LLP

From the Chambers USA guide

Ruth Epstein is recognized in particular for her expertise in all regulatory matters related to the Commodity Futures Trading Commission. Clients comment that "she does terrific work, is insightful and has great judgment."

^ See whole ranking table

Band 3

Stradley Ronon Stevens & Young LLP

From the Chambers USA guide

Clients observe that Alison Fuller is "smart, thoughtful and experienced with complexity in the fund world," reporting that "she is incredibly committed and in tune to the latest developments." She is an experienced registered funds attorney well versed in obtaining no-action, interpretive and exemptive relief from the SEC.

^ See whole ranking table

Band 3

Morgan, Lewis & Bockius LLP

From the Chambers USA guide

Michael Glazer represents registered funds and their independent directors in M&A, structuring and registration. Clients attest to his "wealth of experience," calling him "very smart and knowledgeable on the investment management area."

^ See whole ranking table

Band 3

Shearman & Sterling LLP

From the Chambers USA guide

Nathan Greene of Shearman & Sterling LLP is particularly adept at advising clients in the registered alternative funds space. Clients comment that "he knows the regulations inside out," adding that "he is adept at taking complex concepts and being able to communicate them; he's creative in finding solutions."

^ See whole ranking table

Band 3

Morgan, Lewis & Bockius LLP

From the Chambers USA guide

Thomas Harman is highlighted for his representation of investment advisers and open and closed-end funds. A client appreciates that "he comes up with some creative approaches," recalling that "he achieved an outstanding resolution."

^ See whole ranking table

Band 3

Paul Hastings LLP

From the Chambers USA guide

David Hearth is particularly esteemed for his mutual fund expertise. Clients remark that "his work and client service is excellent," adding that "he is extremely knowledgeable, gives practical advice and is very responsive."

^ See whole ranking table

Band 3

Michael K Hoffman

Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates

From the Chambers USA guide

Clients observe that Michael Hoffman "has tremendous knowledge of and experience in ’40 Act issues and is incredibly responsive." He handles regulatory and transactional matters for investment funds, BDCs and investment advisers.  

^ See whole ranking table

Band 3

Sidley Austin LLP

From the Chambers USA guide

John MacKinnon advises investments funds, their independent directors and investment advisers on an array of transactional and regulatory issues. One client states that "he's the whole package. He has a range and depth of experience and he is exceedingly responsive."

^ See whole ranking table

Band 3

Drinker Biddle & Reath LLP

From the Chambers USA guide

Michael Malloy is valued for his experience advising a diverse array of open and closed-end investment companies. He also advises the independent trustees of funds on matters such as new fund launches.

^ See whole ranking table

Band 3

Dechert LLP

From the Chambers USA guide

John O'Hanlon advises investment funds and investment managers on a range of matters, with particular regulatory strength stemming from his tenure at the SEC. Clients note that "he is exceptionally knowledgeable, efficient and effective in rendering legal advice."

^ See whole ranking table

Band 3

Ropes & Gray LLP

From the Chambers USA guide

Paulita Pike has a broad funds practice and is known for being "very good at independent trustee representations." Her work includes regulatory filings with the SEC and fund governance matters.

^ See whole ranking table

Band 3

Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates

From the Chambers USA guide

Richard Prins advises investment company complexes on regulatory matters, including the development and launch of new products. Sources declare that "he is brilliant; a great intellectual thinker."

^ See whole ranking table

Band 3

Eversheds Sutherland (US) LLP

From the Chambers USA guide

Stephen Roth "has extensive knowledge of securities law, particularly as it relates to ’40 Act funds and issues," say sources; "he is extremely thorough and detail-oriented." He is notable in particular for his comprehensive knowledge of registered insurance products.

^ See whole ranking table

Band 4

Simpson Thacher & Bartlett LLP

From the Chambers USA guide

Rajib Chanda of Simpson Thacher & Bartlett LLP advises clients on a broad array of registered funds matters. Clients report that "he is exceptional," adding that "he is responsive, commercial, and has the ability to be creative and think outside the box."

^ See whole ranking table

Band 4

Christopher Christian

Dechert LLP

From the Chambers USA guide

Christopher Christian regularly advises clients on a broad range of registered funds and UCITS matters. A client reports that "he has been outstanding; he brings a wealth of knowledge on the offshore fund and UCITS market to the table and has a lot of experience and knowledge about this space."

^ See whole ranking table

Band 4

Lea Anne Copenhefer

Morgan, Lewis & Bockius LLP

From the Chambers USA guide

Lea Anne Copenhefer represents registered funds, their advisers and independent directors on restructurings and regulatory issues. Clients observe that "she's very experienced, very knowledgeable, technically very good and very responsive."

^ See whole ranking table

Band 4

Christopher P Harvey

Dechert LLP

From the Chambers USA guide

Christopher Harvey is experienced in advising open and closed-end funds in a diverse spread of transactional and regulatory matters. Clients "have been very impressed with his command of numerous issues" and appreciate his "excellent advice."

^ See whole ranking table

Band 4

Davis Polk & Wardwell LLP

From the Chambers USA guide

Nora Jordan of Davis Polk & Wardwell LLP handles regulatory matters for mutual funds, closed-end funds and ETFs, with additional expertise in hedge funds. Clients comment that "she's terrific," adding that "she has very broad and deep experience in both investment management and financial services."

^ See whole ranking table

Band 4

Dechert LLP

From the Chambers USA guide

Geoffrey Kenyon advises investment managers and mutual fund directors and is particularly active in international concerns affecting registered funds. Clients appreciate that "he is able to provide counsel on extremely technical matters in an easy-to-understand fashion."

^ See whole ranking table

Band 4

Goodwin

From the Chambers USA guide

Sources report that the "impressive" Robert Kurucza's "broad knowledge of all things banking and investments has been invaluable." He is experienced in mutual fund and financial services matters, including regulatory compliance and launching new products.

^ See whole ranking table

Band 4

Mayer Brown LLP

From the Chambers USA guide

Stephanie Monaco of Mayer Brown LLP has a "good name in the industry" for her knowledge of regulatory compliance issues and product development. Sources recommend her, with clients valuing her as a point of contact: "She quarterbacks all our requests and gets the right folks involved immediately." 

^ See whole ranking table

Band 4

Dechert LLP

From the Chambers USA guide

Clients say of Mark Perlow: "He is technically very capable, very practical, he communicates very well and is very responsive – a high-quality partner." He is particularly noted for his ’40 Act regulatory and compliance expertise.

^ See whole ranking table

Band 4

Domenick Pugliese

Schiff Hardin LLP

From the Chambers USA guide

Domenick Pugliese of Schiff Hardin LLP is acknowledged for his adept representation of registered investment companies and their independent trustees. A client comments: "I am always impressed by the depth of his legal knowledge, thorough review of all matters, analysis of issues and attention to detail."

^ See whole ranking table

Band 4

Stradley Ronon Stevens & Young LLP

From the Chambers USA guide

Eric Purple has a broad practice advising ETFs, mutual funds, closed-end investment companies and their investment advisers, and is particularly well known for his regulatory experience. Sources note that "he has excellent judgment," adding that "his technical knowledge is very good, he's very practical and a problem solver."

^ See whole ranking table

Band 4

Proskauer Rose LLP

From the Chambers USA guide

David Stephens is experienced in the structuring of open and closed-end funds, ETFs and manager of managers funds. Clients comment that "he's an expert in his field; extremely knowledgeable, diligent and professional."

^ See whole ranking table

Band 4

Dechert LLP

From the Chambers USA guide

Stuart Strauss is valued for his expertise in SEC matters and for his in-depth knowledge of ETFs, advising both sponsors and fund complexes. Sources remark that "he's a very good, very thoughtful lawyer," adding in particular that "his specialism is innovative ETF products."

^ See whole ranking table

Band 4

Vedder Price

From the Chambers USA guide

David Sturms has deep experience in connection with ’40 Act matters. Clients value that "he is extremely detail-oriented while maintaining his perspective on big-picture issues."

^ See whole ranking table

Up and Coming

Matthew R DiClemente

Stradley Ronon Stevens & Young LLP

From the Chambers USA guide

Matthew DiClemente is an up-and-coming attorney with significant experience in investment funds. He works with funds and boards of directors on regulatory, restructuring and transactional matters.

^ See whole ranking table

Up and Coming

Dechert LLP

From the Chambers USA guide

Allison Fumai advises mutual funds, closed-end funds and ETFs and their investment advisers. Clients declare that "she is an excellent ’40 Act lawyer," adding that "she is thoughtful, articulate and measured; she is great at keeping her clients abreast of new regulatory and legal developments."

^ See whole ranking table

Up and Coming

Elizabeth J. Reza

Ropes & Gray LLP

From the Chambers USA guide

Elizabeth Reza is noted for her growing practice in the regulation and governance of registered investment companies and mutual funds. Clients declare that "she's very good; she has broad practical knowledge and is extremely responsive."

^ See whole ranking table

Up and Coming

Davis Polk & Wardwell LLP

From the Chambers USA guide

Clients report that Gregory Rowland of Davis Polk & Wardwell LLP is "extremely knowledgeable and very creative," noting that "he can cut through very complicated issues and can get solutions very quickly." He has experience advising mutual funds, closed-end funds and investment advisers.

^ See whole ranking table

Up and Coming

Proskauer Rose LLP

From the Chambers USA guide

Up-and-comer Nicole Runyan is, say sources, an "expert attorney in the registered funds field who is patient, thorough and extremely responsive." She is noted for her experience in closed-end funds, BDCs and registered alternative products.

^ See whole ranking table