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Morgan, Lewis & Bockius LLP

Thomas S. Harman

Work +1.202.373.6725
Morgan, Lewis & Bockius LLP

Work Department

Business & Finance


Tom Harman is a partner in the investment management practice at Morgan Lewis. He represents investment advisers (both publicly and privately held), mutual funds, closed-end funds, business development companies, and private investment funds in a variety of legal and compliance issues. Tom represents the board of directors of several fund families. He also advises issuers with respect to the availability of exemption from the Investment Company Act of 1940. For more information, view his bio at


Tom previously served as chief counsel and then associate director (chief counsel) of the Securities and Exchange Commission’s (SEC) Division of Investment Management. A frequent speaker on investment management issues and the author of numerous articles on industry issues, he taught in the securities law program at the Georgetown University Law Center for more than a decade. Tom serves as co-planning chair of the Annual ALI-CLE Course on Investment Company Regulation and Compliance, and is on the Advisory Board of the ALI-CLE.


English, French


Georgetown University Law Center, LL.M., 1988; University of Virginia School of Law, J.D., 1982; Duke University, B.A., 1979

United States: Investment fund formation and management

Mutual/registered/ exchange-traded funds

Within: Leading lawyers

Thomas Harman - 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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