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Ranking tables

USA USA - Nationwide Registered Funds

This section covers a broad range of registered funds, including mutual funds. It encompasses fund formation and transactional work, as well as regulatory compliance issues under the 1940 Act. Work for open and closed-ended and exchange traded funds (ETFs) is also covered.

1
Band 1
  1. Dechert LLP
    1
    Dechert LLP
    Registered Funds
    2023 | Band 1 |
    Dechert is one of the market leaders for registered fund expertise, aiding the most high-profile asset managers and expansive fund complexes, alongside small to mid-sized entities, in fund formation, transactions, regulatory compliance and litigation. Demonstrates familiarity with a diverse array of fund structures. Noted for its considerable strength in all matters related to exchange-traded funds.
  2. Ropes & Gray LLP
    1
    Ropes & Gray LLP
    Registered Funds
    2023 | Band 1 |
    Ropes & Gray boasts a hugely respected ’40 Act practice, fluent in all types of registered fund from ETFs to proprietary and master-feeder funds. Handles the full range of matters, including fund formation and operation, regulatory compliance and tax matters, and is additionally uniquely placed to advise on hedge funds and private equity funds.
  3. Stradley Ronon Stevens & Young LLP
    1
    Stradley Ronon Stevens & Young LLP
    Registered Funds
    2023 | Band 1 |
    Stradley Ronon maintains an impressive client list of fund complexes, fund managers and independent trustees, who benefit from the firm's skill, industry integration and nationwide presence when developing new products or approaching other registered funds concerns. Handles a wide range of open and closed-end funds and is particularly noted for its strength in the ETF space.
2
Band 2
  1. K&L Gates
    2
    K&L Gates
    Registered Funds
    2023 | Band 2 |
    The K&L Gates team is highly accomplished in the domain of ETFs, and adept in its appraisal of complex regulatory and compliance matters, due to the contingent of SEC alumni in the ranks of its investment management team. Acknowledged for its deep-seated expertise in open and closed-end fund matters. Capable of deploying well-integrated global support, and providing funds with a wealth of ancillary materials and training programs.
  2. Morgan, Lewis & Bockius LLP
    2
    Morgan, Lewis & Bockius LLP
    Registered Funds
    2023 | Band 2 |
    Morgan, Lewis & Bockius offers expertise across all aspects of the registered funds space, including ETFs, money market vehicles and mutual fund complexes. Advises in connection with ’40 Act matters and the full range of state and federal regulatory matters. Noted for its ability to handle the international aspects of investments, working with experts in the firm's offices globally.
  3. Willkie Farr & Gallagher LLP
    2
    Willkie Farr & Gallagher LLP
    Registered Funds
    2023 | Band 2 |
    Willkie Farr & Gallagher counsels leading registered funds, as well as their advisers and independent directors, in connection with the full range of ’40 Act matters. Covers the whole spectrum from organization and registration to offerings. Particular strength in connection with alternative investments, closed-end funds, ETFs and BDCs.
3
Band 3
  1. Eversheds Sutherland (US) LLP
    3
    Eversheds Sutherland (US) LLP
    Registered Funds
    2023 | Band 3 |
    Eversheds Sutherland's registered funds practice is noted for its offerings in the registered insurance product and BDC spaces, along with key aptitudes in structuring and maintaining ETFs, closed-end vehicles and mutual funds, both in the USA and internationally. Regularly advises on the structuring and management of investment products in the retail, high net worth and retirement markets.
  2. Faegre Drinker
    3
    Faegre Drinker
    Registered Funds
    2023 | Band 3 |
    Faegre Drinker offers solid registered funds support to clients. Boasts strength in handling issues related to mutual funds and ETFs. Areas of expertise include fund formation, restructuring and regulatory compliance and enforcement. Additional noted strength in the alternative investment space, including investments in alternative instruments by closed-end funds. Acknowledged for its experience dealing with the SEC in obtaining exemptive and no-action relief.
  3. Goodwin
    3
    Goodwin
    Registered Funds
    2023 | Band 3 |
    Goodwin represents a respectable roster of traditional mutual funds, sub-advised entities and funding vehicles for insurance products, with an invaluable proficiency in tackling the securities and regulatory issues facing bank-sponsored mutual fund complexes. Handles long-term governance matters in addition to large-scale restructuring. Distinguished in its ability to handle industry-specific litigation, enforcement and investigations.
  4. Paul Hastings LLP
    3
    Paul Hastings LLP
    Registered Funds
    2023 | Band 3 |
    Paul Hastings is notable for its registered funds prowess, especially within the niche area of unit investment trusts. Draws upon corporate and capital markets resources relevant to fund transactions such as M&A and spinouts. Serves an impressive stable of clients, ranging from investment advisers to fund administrators. Strengths include mutual funds, closed-end funds and ETFs.
  5. Proskauer Rose LLP
    3
    Proskauer Rose LLP
    Registered Funds
    2023 | Band 3 |
    Proskauer Rose is noted for its representation of registered funds and their independent board members in connection with a range of regulatory matters, including investigations and enforcement actions. Recognized strength in the BDC space. Commended for its expert knowledge of open and closed-end funds.
  6. Sidley Austin LLP
    3
    Sidley Austin LLP
    Registered Funds
    2023 | Band 3 |
    Sidley Austin continues to play an important role in the market, offering expertise in connection with the development and governance of a broad range of fund structures including fixed income funds, alternative investment funds and money market funds. Often acts as underwriters' counsel, drawing on the firm's recognized strength in the capital markets space. Particular strength in matters related to closed-end funds and ETFs.
  7. Simpson Thacher & Bartlett LLP
    3
    Simpson Thacher & Bartlett LLP
    Registered Funds
    2023 | Band 3 |
    Simpson Thacher is a well-known investment funds law firm that assists clients with significant ETF, BDC, and open and closed-end fund matters. Valued for its knowledge of M&A matters involving registered funds.
  8. Vedder Price PC
    3
    Vedder Price PC
    Registered Funds
    2023 | Band 3 |
    Vedder Price represents open and closed-end funds across an array of regulatory, transactional and compliance issues. Typically advises on matters relating to derivatives and structured products, CFTC procedures and tax and ERISA affairs. Notable for its strength in the area of mutual funds and ETFs.
4
Band 4
  1. Davis Polk & Wardwell LLP
    4
    Davis Polk & Wardwell LLP
    Registered Funds
    2023 | Band 4 |
    Davis Polk & Wardwell has a respected team which assists clients across the registered funds space, including handling regulatory concerns. Noted for its particular strength in ETFs and mutual funds. Boasts substantial experience of handling significant transactions, such as structuring transactions.
  2. Perkins Coie LLP
    4
    Perkins Coie LLP
    Registered Funds
    2023 | Band 4 |
    Perkins Coie is able to advise clients on the full range of registered funds issues. The team is respected in the market for its ability to provide counsel on a range of matters related to open-end and closed-end funds. The group is called upon to offer guidance on both regulatory and transactional issues.
  3. Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates
    4
    Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates
    Registered Funds
    2023 | Band 4 |
    Skadden acts for a broad cross-section of parties in the registered fund arena in relation to product structuring. Provides crucial regulatory guidance concerning international stock markets and authorities. Particular strength in the BDC and closed-end fund spaces. Assists with a range of governance and transactional matters.
  4. Sullivan & Cromwell LLP
    4
    Sullivan & Cromwell LLP
    Registered Funds
    2023 | Band 4 |
    Sullivan & Cromwell counsels registered funds, advisers and independent directors on a wide range of concerns. Draws upon familiarity with the financial services sector to provide invaluable guidance on regulatory enforcement and compliance. Advises clients in the open and closed-end funds space, including BDCs.
  5. Sullivan & Worcester
    4
    Sullivan & Worcester
    Registered Funds
    2023 | Band 4 |
    Sullivan & Worcester served as independent legal counsel to the Independent Directors of the Legg Mason Closed-End Funds. This involved advising on their responsibilities under the federal securities law and state law, among other issues.
  6. Thompson Hine LLP
    4
    Thompson Hine LLP
    Registered Funds
    2023 | Band 4 |
    Thompson Hine is noted for its significant registered funds practice. The team is well known for its handling of matters related to actively managed ETFs, corporate and board governance, mutual funds and 1940 Act compliance. The group regularly represents fund and asset managers as well as retirement plans.