Fielding a large team with experienced practitioners who dedicated to registered funds, Morgan, Lewis & Bockius LLP is particularly adept in the launch of exchange traded funds, often first-of-their-kind and is strong in the novel investment products. The wider group is also strong on the regulatory side due to its strong relationships with Securities and Exchange Commission staff and other regulators, as well as strong knowledge of the US 1940 Act when it comes to the formation of exchange traded funds. The group’s clients include large asset managers investment portfolios. John McGuire leads the team out of Washington DC alongside Jack O’Brien in Philadelphia. McGuire has regulatory expertise in investments, is well-versed in the establishing and representation of exchange traded funds. O’Brien is strong on the transactional side, and is key for exchange-traded funds transactions. Laura Flores, based in the same location, is a go-to team member for providing regulatory assistance to private investment companies. Mark F. Parise in Hartford, who joined from Perkins Coie LLP in March 2024 adds to this regulatory expertise with strong securities regulation expertise. Thomas Harman in Washington DC, Timothy Levin in Philadelphia and Roger Joseph in Boston are well reputed in the registered funds space, particularly in assisting clients with 1940 Act exemption matters and other regulatory matters affecting fund managers.
Legal 500 Editorial commentary

Key clients

  • State Street Global Investors
  • SEI Investments / Advisors’ Inner Circle Funds / Symmetry Panoramic Trust
  • Guggenheim Investments
  • CBRE Global Real Estate Fund
  • WisdomTree Trust / WisdomTree Asset Management, Inc./ WisdomTree Digital Trust / WisdomTree Digital Management
  • Wilshire Private Assets Fund
  • Venerable Variable Insurance Trust
  • Amundi Asset Management US, Inc.
  • BNY Mellon ETF Trust
  • Morgan Stanley Pathway Funds

Work highlights

Assisted State Street Global Investors with the drafting and filing of multiple new ETFs.
Assisted, SEI Investments and Brown Advisory with launch of Brown Advisory’s first ETF, using the AIC Fund Platform.
Assisted investment adviser, Guggenheim Investments with the sale and reorganization of 21 of its mutual and variable insurance funds to New Age Alpha.

Lawyers

Hall of fame

The lawyers at the very top of the profession, widely known and respected by peers and clients for their longstanding involvement in market-leading work.

Thomas Harman
Roger P. Joseph
Timothy W. Levin

Leading partners

The strongest partners in their field, leading on market-leading deals and endorsed by peers and clients alike.

John Mcguire

Next generation partners

Junior partners with significant recognition from clients and peers in the market and key roles on multiple matters.

Laura Flores

Practice head

John McGuire; Jack O’Brien

Other key lawyers

Timothy Levin; Todd Zerega; Mark F. Parise; Roger Joseph; Laura Flores