Asset Management
Ron  Levine
Partner
(303) 892-7514
E-mail

Jennings J. Newcom
Partner
(303) 892-7318
E-mail

Peter H. Schwartz
Partner
(303) 892-7381
E-mail

Lee  Terry
Partner
(303) 892-7484
E-mail

Lester R. Woodward
Senior Of Counsel
(303) 892-7392
E-mail

DGS has one of the region's most substantial asset management practices, representing clients with billions of dollars under management.  We have extensive fund formation experience with mutual funds, venture capital funds, hedge funds, and other unique investment vehicles.  We advise our clients on appropriate management structures, prepare governing documents incorporating the control and tax concerns of managers and their investors, and review marketing materials and other business activities for compliance with applicable laws.  We provide advice on the registration or qualification under the federal and state securities laws of securities offered and sold by these pooled vehicles.

Our asset management attorneys also work with registered and unregistered investment advisers on issues arising under securities, corporate, tax and employee benefits laws.   We counsel on operational aspects of funds, including trading arrangements, compliance with reporting obligations, investor-related obligations, and where appropriate, fund replication or liquidation.

We also have had extensive experience in serving as counsel to independent directors of mutual funds, representing disinterested directors in fulfilling their oversight responsibilities, reviewing and negotiating advisory fees, discharging their committee responsibilities, dealing with sensitive compliance issues, and reviewing fund disclosure documents.

 

 

Related Expertise

Corporate Governance
Public Companies & Securities
Securities Litigation


Read a Case Study

Mutual Fund Management
Hedge Fund Formation