Dan focuses on cost-effective and innovative solutions to his clients' legal challenges. His primary goal is to provide value on a timely basis.
He deals with matters that involve registered open and closed-end funds, unregistered investment vehicles, their sponsors and advisers. He assists investment advisers and broker-dealers with structuring, registering and ongoing regulatory matters, including enforcement. Dan counsels public company clients concerning reporting and compliance obligations under the Securities Exchange Act, the Investment Company Act and as required by securities exchanges. He also dedicates a significant part of his practice to advising mergers and acquisitions and capital-raising participants on a variety of securities issues.
Dan regularly assists start-ups and publicly held companies in raising capital through public and private offerings. Representing businesses in a wide variety of corporate transactions, Dan is experienced in mergers and acquisitions, business formation and structuring, and general corporate matters.
Dan joined the firm as Associate in 2000 and was named Partner in 2008. He became chair of the firm's Investment Management Group in 2010.
Professional Associations & Memberships
· American Bar Association, Business Law Section, State Regulation of Securities Committee
· The Bar Association of Metropolitan St. Louis
· The Missouri Bar, Business Law Committee
Civic Involvement
· Coro Kansas City Alumni Group
· Downtown St. Louis Rotary Club
Experience
Investment Management
· Structured and prepared offering documents for numerous private funds and funds of funds with varying strategies
· Represented a publicly held financial services provider in the divestiture of multiple registered subsidiaries
· Worked with the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) to structure and register a special purpose broker-dealer
· Represented a large investment adviser to open-end funds in its sale and restructuring
· Represented several closed-end funds in follow-on offerings
· Represented an open-end fund it its sale to another registered fund complex
· Represented an investment adviser to a fund complex in its multistage restructuring
· Assisted numerous advisory and brokerage firms with structuring and registration
· Assisted an issuer in its initial public offering to avoid the status of an inadvertent investment company
· Represented numerous advisers and funds with state and SEC examinations and inquiries
General Corporate & Securities
· Represented several energy companies with ongoing Exchange Act reporting and capital raising
· Represented a family business in its acquisition of a construction service provider
· Assisted a large textile manufacturer with multiple properties, including offshore, with a significant acquisition and subsequent sale of the entire business
· Assisted an energy company in multiple rounds of capital raising
· Assisted an entertainment company in multiple rounds of capital raising and exploration of a potential sale of the business
News & Publications
News
1.4.08, Blackwell Sanders Elects 12 New Partners
Publications
2.19.12, With Administrative Actions Increasing, It's Time to Review Compliance Programs, Investment News
5.23.11, SEC Proposes to Increase Thresholds to Charge Performance Fees
3.1.11, Changes Imposed on Missouri Asset Managers by Dodd-Frank, St. Louis Bar Journal
1.18.11, Implementing Dodd-Frank: SEC Proposes Rules for "the Switch"
9.21.10, SEC Adopts Final Rules on Shareholder Proxy Access
7.28.10, Amendments to Form ADV Adopted
2.16.10, Sentencing Commission Signals Change in Effective Compliance Program Requirements
1.27.10, SEC Expands Disclosure Requirements for Fund Proxy and Registration Statements
1.15.10, SEC Adopts Amendments to Rules Under the Advisers Act
3.23.09, Amendment Proposed to NYSE Rule 452
2.19.09, Hedge Fund Regulation Bills Introduced
1.29.09, Activist Shareholders' Stealth Tools: Empty Voting and Total Return Swaps
1.12.09, What's New for the 2009 Proxy and Annual Report Season
1.1.05, General Corporate Actions and Operations, Missouri Bar Association
1.1.04, Chapter on Kansas provisions, State-by-State Guide to Commercial Real Estate Leases
2.1.02, Addressing the Underwater Option Problem, The Nebraska Lawyer
12.1.01, The Missouri Close Corporation Statutes: Are They the Business Vehicle They Were Intended to Be? Missouri Lawyers Weekly
The Missouri Securities Act of 2003: What is New and Different in Definitions, Exemptions and Enforcement, St. Louis Bar Journal
Events
9.15.10, Financial Reform Impact on Registered and Unregistered Asset Managers
Kansas City, MO, Omaha, NE and St. Louis, MO
Seminar