Adam M. Schlichtmann
Adam focuses on representing registered investment companies, both open- and closed-end funds, and investment advisers in regulatory, transactional and compliance matters. On a regular basis he provides advice regarding the creation, registration and operation of new and existing investment products designed for institutional or retail investors. He also works with clients to respond to new SEC rules affecting the investment management industry.
Prior to attending law school, Adam pursued graduate studies in the Chemistry Department at MIT where he focused on biological chemistry. His research focused on cancer-related mechanisms of DNA damage and repair and platinum-based anti-tumor therapeutics.
Adam was also a consultant for a global professional services firm where he assisted with the merger of two major U.S. pharmaceutical companies.
- Launch of new open- and closed-end registered investment companies.
- Launching alternative investment strategies in registered funds, such as managed futures strategies and other commodity-related strategies, total return strategies, fund-of-hedge-fund strategies and multi-manager strategies.
- Private fund formations and offerings.
- Drafting and advising on SEC filings for registered funds and investment advisers, including registration statements, proxy statement/prospectuses, proxy statements and Form ADV/brochures.
- Creating and implementing antitakeover strategies for closed-end funds and responding to shareholder activists.
- Fund mergers, including the merger of closed-end funds into open-end funds and other specialized merger structures involving registered funds.
- Advising with respect to compliance programs and related matters under Rules 38a-1 and 206(4)-7.
- Requests for no action letters and exemptive relief.
- Tender offers by closed-end funds.
- Blackstone Alternative Asset Management
- Cohen & Steers Capital Management
- Deutsche Asset Management
- State Street Bank and Trust Company
- Quoted, “SEC Proposal Would Solve Funds’ Loan Rule Problems,” BoardIQ (May 22, 2018)
- Author, “Financial Choice Act’s Impact on Directors,” BoardIQ (November 21, 2017)
- Panelist, “Considerations for Directors in Light of Northstar Financial,” Mutual Fund Directors Forum webinar (July 30, 2015)