Dan provides counsel to registered open and closed-end funds, unregistered investment vehicles, their sponsors and advisers. He assists investment advisers with structuring, registering and ongoing regulatory compliance matters; and broker-dealers with ongoing regulatory compliance matters. Dan also counsels his public company clients concerning reporting and compliance obligations under the Securities Exchange Act, the Investment Company Act and as required by securities exchanges. He has assisted start-up companies and publicly held companies in raising capital through the sale of securities in private and public 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 the chair of the firm’s Investment Management Group in 2010.