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Tom’s practice focuses on the investment management industry. He represents investment advisers to a range of investment products, including mutual funds, hedge funds, commodity pools and separate accounts. Tom also provides ongoing advice to mutual funds and their independent trustees/directors. He has extensive experience with the following types of matters, among others: the organization of mutual funds, hedge funds and investment advisers; director duties with regard to advisory agreements and Rule 12b-1 plans; investment adviser registration issues; general conflicts and fiduciary duty issues; closed-end fund activist issues; fund reorganizations; fund-of-fund and master/feeder issues; affiliated transactions; and regulatory and compliance issues of all kinds affecting investment management industry clients.
- Represents Grantham, Mayo, Van Otterloo & Co., LLC and the GMO Trust mutual fund complex on a wide range of matters as primary outside counsel. Recent representative matters include the organization of three new funds, including one that operates as part of a master/feeder structure.
- Represents the Independent Trustees of the DWS Funds and numerous funds in the DWS Funds mutual fund complex. Recent representative matters include advice regarding the implications of recent court decisions for the board’s 15c contract renewal process, advice regarding a series of fund merger proposals, and advice in connection with several actual and threatened proxy contests instituted by "activist" investors who purchased positions in certain DWS closed-end funds.
- Represents Bracebridge Capital, LLC and the various private funds sponsored by Bracebridge on a wide range of regulatory and compliance matters as primary outside counsel.
- Provides ongoing advice to the Independent Trustees of the Sun Capital Advisers Trust mutual fund complex as their independent legal counsel.
Honors & Awards
- Chambers USA: America's Leading Lawyers for Business (2007-2011)
- PLC Which Lawyer (2010-2011)
©1996-2012 Ropes & Gray LLP. All rights reserved.
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Education
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JD, cum laude, University of Pennsylvania Law School, 1994; University of Pennsylvania Law Review
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BA, magna cum laude, Colgate University, 1991; Phi Beta Kappa
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