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K&L Gates is proud to be named the Law Firm of the Year for Securities Regulation in the 2014 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 +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
Counsel
P +1.415.882.8003
Counsel
P +1.617.261.3240
Lawyer
P +61.3.9640.4212
Partner
P +1.973.848.4010
Partner
P +61.2.9513.2333
Associate
P +1.202.778.9443
Partner
P +1.919.743.7335
Associate
P +49.(0)30.220.029.325
Administrative Partner (Fort Worth)
P +1.817.347.5277
Partner
P +971.4.427.2731
Partner
P +1.202.778.9021
Partner
P +61.3.9640.4338
Trainee Lawyer
P +44.(0)20.7360.8157
Practice Area Leader — Financial Services
P +1.617.261.3133
Partner
P +1.617.261.3118
Associate
P +1.202.778.9268
Senior Legal Consultant
P +886.2.2326.5128
Associate
P +1.617.951.9192
Administrative Partner (Taipei)
P +886.2.2326.5155
Mutual Fund Division Manager
P +886.2.2326.5196
Of Counsel
P +1.202.778.9340
Of Counsel
P +1.202.778.9432
Associate
P +1.312.807.4360
Partner
P +1.202.778.9440
Partner
P +1.202.778.9447
Associate
P +1.617.951.9083
Associate
P +1.310.552.5068
Partner
P +1.202.778.9042
Partner
P +44.(0)20.7360.8202
Partner
P +1.617.261.3156
Associate
P +1.617.951.9254
Partner
P +1.312.781.6029
Partner
P +49.(0)30.220.029.320
Associate
Partner
P +1.202.778.9475
Partner
P +1.202.661.3817
Partner
P +1.202.778.9083
Partner
P +1.617.261.3140
Associate
P +1.202.778.9226
Associate
P +1.617.951.9114
Partner
P +48.22.653.4215
Associate
P +1.415.882.8006
Partner
P +1.312.807.4295
Partner
P +1.312.807.4227
Partner
P +1.202.778.9286
Partner
P +1.617.261.3163
Partner
P +1.202.778.9498
Partner
P +61.2.9513.2403
Associate
P +1.312.807.4393
Associate
P +1.617.951.9194
Partner
P +1.206.370.7614
Associate
P +1.312.807.4209
Of Counsel
P +1.202.778.9016
Associate
P +1.202.778.9274
Associate
P +1.617.951.9053
Associate
P +1.919.743.7312
Partner
P +1.617.261.3210
Associate
P +886.2.2326.5173
Partner
P +1.202.778.9015
Partner
P +1.312.807.4299
Partner
P +1.617.261.3296
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
Associate
P +1.312.807.4212
Associate
P +1.202.778.9231
Of Counsel
P +1.202.778.9449
Associate
P +1.617.951.9209
Associate
P +1.202.778.9315
Partner
P +1.415.249.1046
Partner
Partner
P +1.617.261.3245
Associate
P +1.312.807.4418
Partner
P +1.512.482.6836
Associate
P +1.202.778.9124
Partner
P +61.2.9513.2525
Partner
P +1.617.951.9123
Practice Area Leader - Corporate & Transactional
P +1.312.807.4383
Partner
P +1.202.778.9107
Partner
P +1.202.778.9191
Global Integration Partner
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 +1.212.536.4078
Associate
P +1.202.778.9128
Partner
P +1.617.261.3246
Lawyer
P +61.3.9205.2086
Associate
P +1.312.807.4224
Of Counsel
P +1.202.778.9219
Partner
P +1.415.249.1070
Partner
P +1.202.778.9324
Partner
P +1.415.249.1010
Partner
P +1.202.778.9887
Partner
P +1.312.781.6027
Partner
P +1.202.778.9186
Of Counsel
P +1.202.778.9025
Partner
P +1.202.778.9220
Associate
P +1.617.951.9285
Partner
P +1.202.778.9464
Practice Area Leader - Litigation
P +1.312.807.4213
Of Counsel
P +1.312.807.4417
Associate
P +1.212.536.4810
Associate
P +81.3.6205.3600
Associate
Partner
P +1.202.778.9373
Partner
P +1.202.778.9305
Partner
P +1.202.778.9876
Associate
P +1.617.951.9075
Partner
P +32.(0)2.336.1918
Partner
P +1.202.778.9079
Partner
P +44.(0)20.7360.8120
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 +1.202.778.9477
Partner
P +1.973.848.4020
Associate
P +1.310.552.5083
Associate
P +1.202.778.9189
Lawyer
P +61.2.9513.2328
Partner
P +1.617.951.9074
Partner
P +1.310.552.5071
Associate
P +1.202.778.9110
Associate
P +1.202.778.9236
Senior Associate
P +61.2.9513.2581
Of Counsel
P +1.312.807.4303
Partner
P +1.617.951.9068
Partner
P +1.202.778.9023
Partner
P +1.202.778.9066
Partner
P +886.2.2326.5198
Associate
P +1.202.778.9171
Partner
P +1.650.798.6751
Partner
P +1.617.261.3231
Partner
P +1.202.778.9059