Partner
Washington DC, D.C.
Steve is a nationally-known Investment Company Act lawyer who has practiced in the financial services industry for more than 30 years. His breadth of experience covers all aspects of the mutual fund industry including the formation and regulation of open-end and closed-end registered investment companies, multi-class funds and master-feeder funds, exchange traded funds and investment advisers. Steve currently serves as Fund counsel to mutual fund companies as well as representing independent boards of directors and trustees of both open-end and closed-end fund companies. He has assisted with complex mergers and acquisitions of both common and collective mutual funds, provided comprehensive compliance counseling and ongoing supervision of compliance programs for both mutual funds and investment advisers.
The Grinch (with Jim Carey)
Any beach town close to a golf course
Anything with meat
If I weren’t a lawyer, I would be a Computer Analyst, not enjoying it, would prefer Chef, or professional golfer, also not good enough at.
Steve is a nationally-known Investment Company Act lawyer who has practiced in the financial services industry for more than 30 years. His breadth of experience covers all aspects of the mutual fund industry including the formation and regulation of open-end and closed-end registered investment companies, multi-class funds and master-feeder funds, exchange traded funds and investment advisers. Steve currently serves as Fund counsel to mutual fund companies as well as representing independent boards of directors and trustees of both open-end and closed-end fund companies. He has assisted with complex mergers and acquisitions of both common and collective mutual funds, provided comprehensive compliance counseling and ongoing supervision of compliance programs for both mutual funds and investment advisers.
Steve started out as an Associate at Dechert LLP, and served as General Counsel for Pro Funds/Pro Shares. He rose to the ranks of Partner at both Reed Smith and Morrison & Foerster, where he gained valuable experience representing mutual funds, exchange traded funds and advisors as well as independent trustees and directors on open-end and closed-end funds.
He has extensive experience in fund formation, fund mergers and proxy solicitations, preparation and implementation of both investment company and investment advisor compliance programs.
Steve’s areas of experience includes:
Investment Management, Investment Advisors, Fund Formation, Fund Mergers, contracts, mutual funds, open-end and closed-end registered investment companies, ETFs, compliance, Independent Board Counsel
Represented several mutual fund companies, including their formation and ongoing regulatory requirements.
Represent independent board members on significant matters including, mergers, proxies, shareholder activists, form conversion, open-end to closed-end.
At Practus, we handle complex and challenging legal matters. I look forward to talking to you about how we can best meet your goals.
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