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For a third straight year, K&L Gates is proud to be named the Law Firm of the Year for Securities Regulation in the 2016 U.S. News-Best Lawyers® survey. View our full rankings.

K&L Gates' core Financial Services practice area includes one of the largest and most experienced Investment Management groups in the United States and globally. More than 150 lawyers in offices in the United States, Europe, Australia, and Asia spend the majority of their time providing legal services to the investment management and professional investor communities. With an exceptional depth of knowledge and experience, the lawyers of K&L Gates are leading the way in assisting clients with investment management strategies.

Our clients represent a cross-section of the investment management industry, including both financial service providers, such as investment advisers, broker-dealers, banks, trust companies, and insurance companies, as well as investment vehicles and other institutional investors, such as open- and closed-end registered investment companies (and their independent directors), exchange-traded funds (ETFs), hedge funds (onshore and offshore), commodity pools, business developments companies, retirement plans (ERISA and governmental plans), and collective investment funds sponsored by banks and trust companies.

K&L Gates also works closely with public agencies in a variety of capacities and, as a result, we have a heightened sensitivity to the issues that concern government-related clients and others with significant fiduciary obligations that may be specified by state or local statutes. Additionally, many of our lawyers have substantial experience with complex commercial transactions and investment instruments, including insolvency of portfolio companies and the purchase of instruments that raise unusual legal or tax issues.

Our Securities Enforcement lawyers have extensive experience with SEC examinations of investment advisers, broker-dealers, and investment vehicles of all kinds, as well as administrative proceedings and litigation involving funds and other managed investment products and their principal service providers. 

Many of our U.S. lawyers have worked at the SEC or other regulators, trade groups, or in-house positions, and our lawyers have good working relationships with senior regulatory officials and key industry leaders.  We regularly serve as outside counsel to industry associations on a variety of projects, including legislative and policy matters, and are actively involved in industry developments. 

Areas of Practice

NameTitleOfficeContact
Associate
P +1.617.951.9099
Associate
P +49.(0)30.220.029.326
Partner
P +1.202.778.9068
Partner
P +1.617.261.3104
Partner
P +1.202.778.9886
Partner
P +1.202.778.9351
Special Counsel
P +44.(0)20.7360.8322
Counsel
P +1.617.261.3240
Lawyer
P +61.3.9640.4212
Partner
P +1.973.848.4010
Associate
P +1.202.778.9443
Associate
P +1.202.778.9438
Special Counsel
P +61.2.9513.2363
Associate
P +49.(0)30.220.029.325
Administrative Partner (Fort Worth)
P +1.817.347.5277
Partner
P +1.202.778.9044
Partner
P +971.4.427.2731
Partner
P +1.202.778.9021
Partner
P +49.(0)69.945.196.365
Partner
P +61.3.9640.4338
Vice Chairman for Practice Management and Practice Area Leader — Financial Services
P +1.617.261.3133
Partner
P +1.617.261.3118
Associate
P +1.617.951.9137
Lawyer
P +61.3.9205.2086
Partner
P +886.2.2326.5155
Mutual Fund Division Manager
P +886.2.2326.5196
Associate
P +852.2230.3537
Of Counsel
P +1.202.778.9340
Of Counsel
P +1.202.778.9432
Associate
P +1.202.778.9371
Of Counsel
P +1.415.882.8199
Partner
P +1.202.778.9447
Partner
P +1.212.536.4874
Associate
P +1.617.951.9083
Associate
P +1.310.552.5068
Partner
P +1.202.778.9042
Associate
P +1.817.347.5280
Associate
P +1.617.951.9102
Partner
P +44.(0)20.7360.8202
Associate
P +1.617.951.9254
Counsel
P +1.617.261.3146
Associate
P +1.202.778.9046
Associate
P +1.202.778.9329
Partner
P +49.(0)30.220.029.320
Associate
Partner
P +1.202.778.9475
Associate
P +1.617.951.9212
Partner
P +1.202.661.3817
Partner
P +44.(0)20.7360.8211
Partner
P +1.412.355.8315
Partner
P +48.22.653.4215
Associate
P +1.617.951.9103
Partner
P +1.415.882.8006
Partner
P +1.202.778.9286
Partner
P +1.617.261.3163
Of Counsel
P +1.202.778.9016
Partner
P +61.2.9513.2403
Associate
P +44.(0)20.7360.8208
Associate
P +1.617.951.9053
Associate
P +1.617.951.9088
Partner
P +1.617.261.3210
Of Counsel
P +1.617.261.3154
Partner
P +886.2.2326.5173
Partner
P +1.202.778.9015
Senior Associate
P +44.(0)20.7360.8259
Associate
P +1.202.778.9460
Partner
P +1.617.261.3296
Partner
P +1.617.261.3166
Associate
P +1.202.778.9478
Associate
P +1.202.778.9293
Partner
P +1.202.661.3814
Senior Associate
P +61.3.9640.4324
Of Counsel
P +1.202.778.9038
Associate
P +1.202.778.9403
Senior Associate
P +61.2.9513.2594
Staff Lawyer
P +1.817.347.5274
Associate
P +1.202.778.9231
Of Counsel
P +1.202.778.9449
Partner
P +1.212.536.3908
Partner
P +1.617.261.3202
Associate
P +1.617.951.9209
Partner
P +1.415.249.1046
Partner
Partner
P +1.617.261.3245
Partner
P +44.(0)(20).7360.8233
Associate
P +1.202.778.9052
Associate
P +1.412.355.8676
Partner
P +1.512.482.6836
Partner
P +1.312.807.4419
Partner
P +1.617.951.9123
Practice Area Leader - Corporate & Transactional
P +1.312.807.4383
Partner
P +1.202.778.9107
Regional Managing Partner, US
P +1.202.778.9372
Partner
P +44.(0)20.7360.8123
Partner
P +1.202.778.9298
Partner
P +1.202.778.9473
Practice Area Leader - Finance
P +1.212.536.4843
Associate
P +1.415.882.8162
Partner
P +1.202.778.9128
Partner
P +1.617.261.3246
Associate
P +1.312.807.4224
Of Counsel
P +1.202.778.9219
Partner
P +1.202.778.9324
Partner
P +1.202.778.9186
Of Counsel
P +1.202.778.9025
Associate
P +1.617.951.9147
Partner
P +1.312.807.4213
Associate
P +1.202.778.9228
Associate
P +81.3.6205.3622
Partner
P +1.202.778.9373
Partner
P +1.202.778.9305
Partner
P +1.202.778.9876
Associate
P +1.312.807.4431
Associate
P +1.202.778.9099
Partner
P +1.212.536.3988
Partner
P +1.212.536.3913
Lawyer
P +61.2.9513.2303
Partner
P +32.(0)2.336.1918
Partner
P +1.202.778.9079
Consultant
P +44.(0)20.7360.8304
Partner
P +44.(0)20.7360.8120
Counsel
P +49.(0)69.945.196.291
Partner
P +1.212.536.4024
Partner
P +1.704.331.7512
Partner
P +1.202.778.9082
Associate
P +1.617.951.9060
Partner
P +852.2230.3528
Partner
P +886.2.2326.5111
Partner
P +1.212.536.4888
Partner
P +1.973.848.4020
Partner
P +1.412.355.6513
Lawyer
P +61.2.9513.2328
Of Counsel
P +1.310.552.5071
Associate
P +1.202.778.9236
Associate
P +1.412.355.7457
Senior Associate
P +61.2.9513.2581
Partner
P +1.617.951.9068
Partner
P +1.312.807.4208
Partner
P +1.202.778.9066
Partner
P +852.2230.3529
Associate
P +852.2230.3523
Partner
P +886.2.2326.5198
Partner
P +1.202.778.9171
Partner
P +1.617.261.3231
Practice Area Leader – Financial Services
P +1.202.778.9059