The investment management world is complex and highly regulated, and David W. Freese works closely with mutual funds, exchange-traded funds (ETFs), closed-end funds, private funds, and their investment advisers to navigate the shifting terrain. He brings particular experience in launching new fund complexes, from identifying legal issues that arise from proposed fund strategies, through initial US Securities and Exchange Commission (SEC) registration, organizational board of directors meetings, and fund seedings.
David advises clients on a range of legal, regulatory, and transactional matters, including fund formation, ongoing compliance, and corporate governance. He also counsels clients on the creation and continuing operation of liquid alternative funds. In addition to drafting fund documents such as registration statements, proxy materials, information statements, and exemptive applications, David has experience in closing fund reorganizations and mergers, including drafting reorganization agreements, proxy statements and prospectuses, and related closing documents.
American University Washington College of Law, 2007, J.D., Cum Laude
Ursinus College, 2002, B.A., Cum Laude, With Distinguished Honors
Awards and Affiliations
Member, ETF Law Firm of the Year, ETF.com (2019)
Member, Best ETF Legal & Compliance Firm, ETFexpress (2019)
Member, Practice Group of the Year, Asset Management, Law360 (2017)