Tom is a partner in the asset management group and his practice focuses on the investment management industry. He represents investment advisers in a range of investment products, including mutual funds, ETFs, hedge funds, commodity pools and separate accounts. Tom also provides ongoing advice to mutual funds and their independent trustees/directors. He has extensive experience with the following types of matters, among others: the organization of mutual funds, hedge funds and investment advisers; director duties with regard to advisory agreements and Rule 12b-1 plans; investment adviser registration issues; general conflicts and fiduciary duty issues; closed-end fund activist issues; fund reorganizations; fund-of-fund and master/feeder issues; affiliated transactions; and regulatory and compliance issues of all kinds affecting investment management industry clients.
Experience
- Represents Grantham, Mayo, Van Otterloo & Co., LLC and the GMO Trust mutual fund complex on a wide range of matters as primary outside counsel. Recent representative matters include the organization of three new funds, including one that operates as part of a master/feeder structure.
- Represents the Independent Trustees of the DWS Funds.
- Represents the Sterling Capital Funds and their independent trustees as primary outside counsel.
- Represents a leading hedge fund firm on a wide range of regulatory and compliance matters as primary outside counsel.