Nathan Briggs is a partner in the asset management group. Nathan’s practice focuses on advising registered investment companies, their independent directors, and investment advisers. Nathan works on a variety of matters regarding the establishment, registration, reorganization, and operation of retail and institutional investment products, including providing advice with respect to governance, regulatory and compliance issues of all kinds affecting investment management industry clients.
Prior to working at the firm, Nathan interned at the Investment Adviser Association in Washington, DC where he assisted and worked with its members in a variety of lobbying and industry-related issues. Nathan holds a masters degree in international economic relations and has passed Level I of the Chartered Financial Analyst examination.
- Represents PIMCO and its closed-end funds, interval funds and wrap account products in a variety of ongoing corporate, regulatory and compliance matters, including with respect to, among other things, proxy contests, preferred share tender offers and new product offerings.
- Acts regularly as issuer counsel in respect of establishing and registering closed-end investment companies and closed-end fund initial public offerings, including, among others, as counsel to PIMCO Energy & Tactical Credit Opportunities Fund, PIMCO Dynamic Income Fund, PIMCO Dynamic Credit Income Fund, DoubleLine Opportunistic Credit Fund, DoubleLine Income Solutions Fund, AllianzGI Diversified Income & Convertible Fund, and Stone Harbor Emerging Markets Income Fund.
- Acts regularly as issuer counsel in respect of establishing, registering and ongoing advice regarding closed-end interval funds and tender offer funds, including, among others, as counsel to PIMCO Flexible Credit Income Fund and PIMCO Flexible Municipal Income Fund.
- Advises clients on issues relating to complex investment transactions in registered investment companies, including, among others, relating to alternative lending platforms, loan originations, investing in CLOs and other structured products and insurance-linked investments.
- Currently representing a global investment management firm with over $97 billion in assets under management and their board of directors on a full range of mutual fund matters, including the establishment, registration, and operation of new funds, and fund mergers and consolidations.
- Serves as counsel to RE Advisers and Homestead Funds, Inc.
- Quoted, “Coronavirus may delay Regulation BI retail investing rules -experts,” Thompson Reuters’ Regulatory Intelligence (March 18, 2020)
- Quoted, “ICI CEO to retire, with successor facing challenge of representing an industry in transition,” Fund Intelligence (January 28, 2020)
- Quoted, “SEC to Funds: Make Your Risk Disclosures More Investor-Friendly,” Ignites (September 16, 2019)
- Quoted, “SEC Proposal Pushes Managers to Disclose More Information,” Reuters (April 17, 2019)
- Co-author, “Board Oversight of Closed-End Funds: Leverage, Discounts and Insurgents,” Fund Directions (January 2014)
- Panelist, “Ch-Ch-Ch-Ch-Changes: Current Closed-End Fund Regulatory Developments,” Investment Company Institute’s 2019 Closed-End Fund Conference (November 7, 2019)
- Moderator and Panelist, “Commentary on the SEC's Rule Proposal Regarding Offering Reform for Closed-End Funds and BDCs,” D.C. Bar (May 23, 2019)
- Speaker, “Board Oversight of Closed-End Funds: Leverage, Discounts, Insurgents and Other Topics,” Mutual Fund Directors Forum Webinar (April 18, 2019)
- Speaker, “Proposed Fund of Funds Rule (Rule 12d1-4): Overview and Key Considerations,” Mutual Fund Directors Forum Webinar (February 26, 2019)
- Panelist, “In the Interest of Full Disclosure: The SEC’s Evolving Views on Delivery, Content, and Review,” Investment Company Institute’s 2018 Securities Law Developments Conference (October 25, 2018)
- JD, magna cum laude, American University Washington College of Law, 2009; Order of the Coif; Note & Comment Editor, American University Law Review
- MA (International Economic Relations), American University, 2009
- BA (Philosophy), summa cum laude, Towson University, 2006
Admissions / Qualifications
- District of Columbia, 2011
- New York, 2010
- Rising Stars of Mutual Funds, Fund Directions’ Mutual Fund Industry Awards (2019)