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Morgan, Lewis & Bockius LLP

Roger P. Joseph

Work +1.617.951.8247
Morgan, Lewis & Bockius LLP

Work Department

Business & Finance


Roger Joseph is a partner in the investment management practice at Morgan Lewis. His practice encompasses both publicly offered and private investment funds, and includes representation of funds, sponsors and independent directors. Roger is known for advising clients on the evolving federal regulatory environment for funds and managers, including under the Dodd-Frank Act and the Volcker Rule, as well as federal securities laws. He has participated in many innovative developments in the investment management industry, including heading up the legal team that developed the master/feeder legal structure and shepherding the first funds using that structure through the US registration process. Roger led the firm’s investment management team in the legal structuring of the first principal-protected, actively managed mutual funds. For more information, view his bio at


Roger frequently presents at industry panels and is regularly quoted in industry publications and the business press.


English, French


Columbia University School of Law, J.D., 1976; Cornell University, A.B., 1973

United States: Investment fund formation and management

Mutual/registered/ exchange-traded funds

Within: Leading lawyers

Roger Joseph - Morgan, Lewis & Bockius LLP

Within: Mutual/registered/ exchange-traded funds

Morgan, Lewis & Bockius LLP has a well-established reputation in the market for advising investment managers on ETF mandates across the East Coast area. In Washington DC, John McGuire acts as counsel to ETF Securities, which recent;y included advising on the sale of its US business to Aberdeen Standard Investments. Also in Washington DC, Laura Flores advised Guggenheim Partners on the sale of its ETF fund worth $1.2bn to Invesco Powershares. In another matter, Flores and Christopher Menconi (also based in the Washington DC office) advised Exchange Traded Concepts, an ETF platform provider, on the launch of the REX BKCM ETF, which invests in cryptocurrency and blockchain technology-related companies. In Boston, Toby Serkin, Roger Joseph and Lea Anne Copenhefer advised Scotland-based manager Martin Currie on the launch of the Martin Currie EM SMASh Fund, which uses a zero-fee structure. Timothy Levin in Philadelphia, Thomas Harman and Joshua Sterling in Washington DC, and Jeremy Kantrowitz in Boston are also key names. Other clients include Domini Funds, Pioneer Funds and WisdomTree.

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