Dan focuses on cost-effective and innovative solutions to his clients’ legal challenges. His primary goal is to provide value on a timely basis.
He deals with matters that involve registered open and closed-end funds, unregistered investment vehicles, their sponsors and advisers. He assists investment advisers and broker-dealers with structuring, registering and ongoing regulatory matters, including enforcement. Dan counsels public company clients concerning reporting and compliance obligations under the Securities Exchange Act, the Investment Company Act and as required by securities exchanges. He also dedicates a significant part of his practice to advising mergers and acquisitions and capital-raising participants on a variety of securities issues.
Dan regularly assists start-ups and publicly held companies in raising capital through public and private offerings. Representing businesses in a wide variety of corporate transactions, Dan is experienced in mergers and acquisitions, business formation and structuring, and general corporate matters.
Dan joined the firm as Associate in 2000 and was named Partner in 2008. He became chair of the firm’s Investment Management Group in 2010.