Peter H. Schwartz

Peter H. Schwartz


Peter Schwartz’s principal areas of practice include corporate finance; public and private securities offerings; merger and acquisition transactions for public and private companies; and private equity and other alternative asset fund formation, mutual funds, and investment advisers. He also counsels for-profit and non-profit clients on compliance and disclosure issues, and general corporate and governance issues.

He has been named in The Best Lawyers in America® for Mutual Funds Law since 2006, and was named Denver “Lawyer of the Year” for Mutual Funds Law by Best Lawyers in 2013 and 2016. Mr. Schwartz was also recognized by Thomson Reuters as a Colorado Super Lawyer in 2016 in the area of Securities and Corporate Finance.   He was also recognized in Law Week Colorado’s Barrister’s Best 2016 as the “People’s Choice” Lawyer for Nonprofit Law.

Mr. Schwartz is the Chairman of the Board of Directors of the Colfax Marathon, the largest race day weekend in the Denver Metro area.  He also serves as the Secretary/Treasurer and a member of the Executive Committee of the Colorado Lawyers Committee, a nonpartisan consortium of more than 65 Colorado law firms dedicated to creating and increasing opportunities for children, the poor and other disadvantaged communities through advocacy, negotiation and litigation. He is also involved in several other civic and pro bono projects, including serving as Co-Chair of the Legal Services component of Project Homeless Connect since its inception in 2005 and leading several projects that seek to expand the ability of corporate attorneys to find and undertake transaction-related pro bono opportunities.

While pursuing his legal education at Columbia University, Mr. Schwartz was a Harlan Fiske Stone Scholar from 1993 to 1996, and the recipient of the Jane Marks Murphy Prize in 1996.

Mr. Schwartz has written and co-written articles in several journals (including a bi-monthly column in Wall Street Lawyer for over 12 years), and is the co-author and contributing author of several chapters in treatises on corporate, securities, and nonprofit matters. He speaks frequently on these topics.


Columbia University, J.D., Harlan Fiske Stone Scholar, 1996
Massachusetts Institute of Technology, M.S.R.E., 1993
Massachusetts Institute of Technology, M.C.P., 1993
Princeton University, B.A., magna cum laude, 1989

Related News

SEC/SRO Update

“SEC/SRO Update: SEC Announces Recent Hacking Related Charges; SEC Personnel Changes; SEC Continues its Focus on Whistleblower Awards and Whistleblower Protections in Severance & Separation …

Colorado Compliance Roundtable: Form ADV Amendments Are Coming: Will You Be Ready?

Davis Graham & Stubbs LLP is pleased to invite you to join us for the next installment of the Colorado Compliance Roundtable Breakfast Series. The …

SEC/SRO Update

“SEC/SRO Update: SEC Proposes Universal Proxy Card; Mary Jo White to Step Down as SEC Chair; SEC Approves Plan to Create Consolidated Audit Trail (CAT); …

Nonprofit Contracts: Protecting Your Organization

“Gain a better understanding of the key nonprofit contract provisions to help identify, mitigate and eliminate risks. Perceived financial costs and related time constraints cause …

SEC/SRO Update

“SEC/SRO Update: Ernst & Young & Former Partners Charged with Violating Auditor Independence Rules; ‘Stock Trading Whiz Kid’ to Pay $1.5 Million to Settle Stock …

Colorado Compliance Roundtable: Surviving Regulatory Examinations: Tips and Hints

Davis Graham & Stubbs LLP is pleased to invite you to join us for the next installment of the Colorado Compliance Roundtable Breakfast Series. The …

56 DGS Attorneys Named Best Lawyers®

Fifty-six Davis Graham & Stubbs LLP attorneys were named Best Lawyers® by publisher Woodward/White, Inc. in its annual guide recognizing legal excellence. The 2017 edition of The Best Lawyers in America is based on a peer-review survey in which more than 43,000 attorneys comment on the legal abilities of other lawyers in their practice areas.

SEC/SRO Update

“SEC/SRE Update: PCAOB Releases Brief Detailing the ‘Scope and Objectives’ of 2016 Inspections; SEC Proposes Rules Requiring Investment Advisers to Adopt Business Continuity and Transition …

SEC Issues Order Raising the Qualified Client Net Worth Threshold under the Investment Advisers Act

On June 14, 2016, the Securities and Exchange Commission (the “SEC”) issued an order increasing the net worth threshold for “qualified clients” as defined in Rule 205-3 under the Investment Advisers Act of 1940 (the “Advisers Act”). 

Colorado Compliance Roundtable Breakfast Series – New DOL Fiduciary Rule

New DOL Fiduciary Rule Davis Graham & Stubbs LLP is pleased to invite you to join us for the next installment of the Colorado Compliance …

SEC/SRO Update

36 DGS Attorneys Recognized As Colorado Super Lawyers and Rising Stars

Thirty-six Davis Graham & Stubbs LLP attorneys have been recognized as 2016 Colorado Super Lawyers or Rising Stars, which is published by Thomson Reuters. The listing will be featured in The Denver Post and Colorado Super Lawyers.


SEC Exam Issues for New or Private Fund Registered Advisors

New Colorado Investment Adviser/Broker Dealer Rules

Colorado-licensed investment adviser representatives (IARs) and Colorado-licensed broker-dealer sales representatives are now required to file their current business email addresses with the Colorado Securities Commissioner.

Since the rule applies only to Colorado-licensed IARs, SEC-registered advisers whose employees are exempt from the federal Advisers Act definition of an “investment adviser representative” are not required to comply with this new rule for those employees.

52 DGS Attorneys Named Best Lawyers®

Fifty-two Davis Graham & Stubbs LLP attorneys were named Best Lawyers® by publisher Woodward/White, Inc. in its annual guide recognizing legal excellence. The 2016 edition of The Best Lawyers in America is based on a peer-review survey in which more than 43,000 attorneys comment on the legal abilities of other lawyers in their practice areas. The publication only recognizes the top four percent of attorneys in the country.

SEC/SRO Update

SEC/SRO Update

Here’s How to Pay it Forward: Pro Bono In-House Style

DGS Honored by the Colorado Lawyers Committee

Three people from Davis Graham & Stubbs LLP were honored yesterday at the Colorado Lawyers Committee (CLC) 2015 Awards Luncheon. Terry Miller was recognized as …

Principles & Practices for Nonprofit Excellence in Colorado

Current Regulatory Issues

Regulatory & Hot Topics

DGS Attorneys Honored by the Colorado Lawyers Committee

DENVER – May 20, 2014 – Two Davis Graham & Stubbs LLP attorneys were honored today at the Colorado Lawyers Committee (CLC) 2014 Awards Luncheon. …

Public Benefit Corporations in Colorado: New Kid on the Block

Financial Intermediaries and & Due Diligence

SEC Approves General Solicitation and Advertising for Accredited Investor-Only Securities Offerings: Excludes

Colorado Public Benefit Corporations Start April 1, 2014: Are You Ready?

Navigating SEC Examinations of Investment Advisers

Davis Graham & Stubbs LLP and ACA Compliance Group invite you to join us for the next installment of the Colorado Compliance Roundtable Breakfast Series. The series is designed for investment adviser compliance professionals and includes content tailored for advisers who are newly registered or who have changed regulatory jurisdiction. 

Colorado Governance Principles

45 DGS Attorneys Named Best Lawyers®

Forty-five DGS attorneys were named Best Lawyers® by publisher Woodward/White, Inc. in its annual guide recognizing legal excellence. The 2013 edition of The Best Lawyers …

DGS Partners Named Lawyers of the Year by Best Lawyers®

DGS partners Zach Miller and Peter Schwartz were named 2013 Lawyers of the Year by Woodward/White, Inc., publisher of Best Lawyers®, in its annual guide …

DGS Honored as Law Firm of the Year and DGS Lawyers Recognized as Part of Team of the Year by the Colorado Lawyers Committee

Colorado Exempts Most Family Offices and Venture Capital Fund Advisers from State Investment Adviser Licensing Requirements

SEC/SRO Update

SEC Charges Investment Adviser for Defrauding Investors with Bogus Audit Report; SEC Brings Multiple Insider Trading Charges; SEC Announces Charges from Investigation of Secondary Market …

Regulatory Updates Panel

2012 DGS Public Company Update

Alphabet Soup for Asset Managers: New and Revised SEC Forms 13H, ADV, and PF

Flipping “The Switch” By January 31, 2012

SEC Adopts Revised Net Worth Standard for Accredited Investors

SEC/SRO Update

Davis Graham & Stubbs Attorneys Named Best Lawyers®

SEC Raises “Qualified Client” Bar

Apocalypse Later: SEC Adopts Rules Extending Compliance Deadline for Investment Adviser Registration

Liability and Risk Management for Nonprofit Organizations

SEC Proposes Raising Performance Fee Eligibility Thresholds to $1 Million in Assets-Under-Management or $2 Million in Net Worth

SEC/SRO Update

SEC Issues Proposed Rules to Implement the Whistleblower Provisions of Dodd-Frank; FASB Extends Effective Date for Proposed Enhanced Disclosure of Loss Contingencies; SEC Adopts New …

SEC/SRO Update

Moody’s Avoids Lawsuit, but SEC Warns of Increased Scrutiny of Credit-Rating Firms; Dissidents Win Election to FINRA Governing Board: SEC Adopts Temporary Rule Requiring Municipal …

First ‘Best Law Firms’ Analysis Slots DGS as a National Leader

Davis Graham & Stubbs Attorneys Top “Best Lawyers” List in Colorado

Private Offerings Under Regulation D – New Definition of

SEC/SRO Update

SEC & CFTC Jointly Address Emerging Regulatory Issues; SEC Charges Two Florida Residents for Unlawful Short Selling; SEC Proposes New Rules Designed to Minimize Market …

SEC/SRO Update

SEC Amends E-Proxy Rules; SEC Reaffirms Support for Global Accounting Standards; SEC Sets New Short Sale Price Test (Amendment of Regulation SHO); SEC Adopts Money …

SEC Update

New Enforcement Initiatives Expected to Improve Timeliness and Quality of Information; SEC Proposes to Allow WKSIs to Name Reps to Contact Investors; SEC Revises Custody …

Doing Business in the United States: Colorado

Nonprofit Corporate Governance: Colorado

SEC Update: Whistleblower Complaints, CCO Outreach BD Seminars, and Shareholder Proxy Access

Reminder: Mandatory Electronic Filing of Form D Notices Starting March 16, 2009

Doing business in United States: Colorado

SEC Update

SEC Adopts Interim Final Rule Requiring Institutional Managers to Report Certain Short Positions on Form SH

Davis Graham & Stubbs tops “Best Lawyer” list in Colorado

SEC Extends Form SH Requirement Through Oct. 17, 2008; Indicates Interim Rule Would Extend Requirement Indefinitely

SEC Issues Emergency Short Sales & Stock Repurchase Orders

SEC Issues Emergency Order: Section 13F Filers Must Make Weekly Disclosure of Short Sales

Delaware Supreme Court Rules in Shareholder Proposal Case Certified by the SEC; Emergency Order Issued to Curtail Naked Shorts; Credit Rating Agencies Receive Mixed Report Card

Progress Toward Mutual Recognition and IFRS; The Small Business Agenda—Amendments Expand the Definition of “Eligible Portfolio Company”

Expanded Mutual Recognition Efforts; FAQs Arise from Bear Stearns Meltdown; Casey Addresses Corporate Governance and US Market Competitiveness

Fourth Circuit Holds Proper Venue Established Through EDGAR Server

January 1 Deadline Approaching for Direct Registration System Compliance – You May Need to Amend Your Bylaws

Davis Graham & Stubbs Tops “Best Lawyers” List in Colorado

A Guide for Colorado Nonprofit Organizations

SEC and SRO Update

Changes to Notification and Filing Procedures for Delaware Domestic Corporation Annual Franchise Tax Reports

New Form 8-K Executive Compensation Disclosure; Chairman Cox Comments on Web-Based Disclosure via Sun Chief’s Blog; Nasdaq Releases New FAQs Regarding Appeal of Delisting Following Filing Delinquency

New Form 8-K Executive Compensation Disclosures

Staff Accounting Bulletin 108; Director Nominations by Shareholders; NASD Fines Morgan Stanley; Corporation Finance Director Addresses Section 404 Compliance

Best Lawyers in America Recognizes 26 Davis Graham & Stubbs Attorneys

SEC Adopts New Rules Governing Executive and Director Compensation Disclosure and Other Matters

New Potential for Corporate Liability in Colorado:

SEC Update: More 404 Rules, Soft Dollars Safe Harbor, and Investment Fraud Against Seniors

Sarbanes-Oxley Implementation; Mutual Fund Disclosure; NASD Focus Areas

SEC Update: A Study of Regulatory Disparities, a Report on Smaller Public Companies, and Mutual Fund Redemption Fees

Executive Compensation Disclosure, “Best Price” Tender Offer Rules, and Financial Penalties

On January 17, 2006, the SEC voted to publish for comment proposed rules that would, if adopted, amend the disclosure requirements for executive and director …

Executive Compensation and Court Actions

Transition Guidance for Securities Offering Reform, New Accelerated Filer Definition, and Delayed Compliance Deadlines

The End of Broker

Shell Companies and Shareholder Proposals

Compliance With FASB Statement No. 123R and With IFRS, and Prevailing Guidelines for Arbitrators

Redemption Fees, Point of Sale Disclosures, and Other Regulatory Developments

The Proxy Process and the Shareholder Meeting

Regulation M, SRO Regulation, and Delayed Filing Deadlines

Staff Legal Bulletin 14B: The Latest on Shareholder Proposals

On September 15, 2004, the Division of Corporation Finance of the Securities and Exchange Commission released Staff Legal Bulletin 14B: Shareholder Proposals. Read More…

When is a Third Party Proxy Voting Firm Independent?

Proposed New Rules for Shell Companies

Mandatory Electronic Filing of Form ID

Corporate Governance: Comparison of NYSE, AMEX and NASDAQ Standards (Part 2 of 2)

Corporate Governance: SEC Standards and Requirements (Part 1 of 2)

Corporate Governance: SEC and SRO Standards Requirements

Nonprofit Entity Liability Exposures and Risk Management

The Sarbanes-Oxley Act of 2002 and its Impact on Officers and Directors

Forms 10-K and 10-KSB Update: New Disclosure Obligations and Other Changes

Recent Changes Affecting Proxy Statements, Form 8-K, and Public Company Websites

SEC Adopts Changes to Section 16(a) Reporting Requirements

CEO/CFO Certifications Sarbanes-Oxley and Other SEC Requirements

Changes to Section 16 Reporting Requirements: Section 403 of the Sarbanes-Oxley Act

Prohibition on Loans to Directors and Executive Officers: Section 402 of the Sarbanes-Oxley Act

Developing Trading Plans to Mitigate Insider Trading Liability

SEC Proposes New Corporate Disclosure Rules

A Subpenny Saved?

Draining the Pool: FASB to Dramatically Revise Standards for Business Combinations

The Financial Accounting Standards Board (FASB) has recently announced that they plan to dramatically revise the accounting standards governing business combinations (such as mergers and …

SEC Clarifies New Rules Requiring Audit-Related Disclosures In Proxy and Information Statements

Summary of Rule 155 and Related Amendments

SEC Adopts New Rules Promoting

The Internet and the Online Investor: SEC Educational Efforts and Enforcement Activities

Free Stock, Shareholder Web Sites, and the Third Internet Fraud Sweep

Caught in the ‘Net: SEC Educational Efforts and Enforcement Actions in Cyberspace

Commission Obtains Indictment Alleging Use of Internet to Disseminate Fraudulent Statements in Connection with

SEC Issues

Company May Omit Shareholder Proposal Seeking Web Posting of Non-EDGAR Filings

Release on Use of Websites to Offer Securities, Solicit Securities Transactions or Advertise Investment Activities Software

Shareholder Proxy Proposals About the Internet and Other Electronic Commerce Issues

Electronic Road Shows Allowed on The Bloomberg Service

On December 1, the Division of Corporation Finance made public its granting of a no action request to Bloomberg, L.P., in which the company asserted …

Protecting the Online Investor and the Markets: SEC and SRO Activities

SEC Approves Roadshows on the Internet

The Securities and Exchange Commission (“SEC” or “Commission”) recently issued a no-action letter to Net Roadshow, Inc., allowing the Atlanta-based startup to offer previously recorded …