Former SEC Division Co-Chief Counsel Joins K&L Gates, Elevating Asset Management and Investment Funds Practice

Washington, DC – Global law firm K&L Gates LLP welcomes Thoreau Bartmann as a partner in its Washington, DC office. He joins the firm’s Asset Management and Investment Funds (AMIF) practice from the US Securities and Exchange Commission (SEC), where he formerly served as Co-Chief Counsel of the Division of Investment Management (IM). He has also held a variety of other positions at the Commission, including as Senior Policy Adviser to the head of the Asset Management Unit of the Division of Enforcement and as a Branch Chief for the Rulemaking Office.

With more than 20 years of experience at the SEC, Bartmann brings deep experience across regulatory, enforcement, and compliance matters including the Investment Advisers Act, Investment Company Act, and securities enforcement. At the SEC, he led the team that adopted the Adviser Marketing rule, supervised IM’s enforcement and examination work, and served as a liaison to the Commission’s Crypto Task Force.  He brings knowledge of rulemaking, cross-border regulatory engagement, digital assets, and fund governance. 

“We are thrilled to welcome Thoreau to the firm,” said Clair Pagnano, a leader of the firm’s AMIF practice. “He brings valuable insight into the regulatory policy and enforcement considerations driving the modern regulatory landscape for asset managers, registered funds, private funds, and fintech innovators. Thoreau’s ability to translate complex regulatory considerations into clear, actionable guidance will further enhance the solutions we provide to clients.”

Thoreau’s arrival follows the addition of other AMIF partners over the past year including Huberta Chow in Hong Kong, Marianna Tothova in London, Eusapia Simone in Milan, and Robert Leonard and Derek Lacarrubba in New York. His arrival reflects the firm’s continued investment in Washington, DC following recent hires including nuclear law partner Tison Campbell, healthcare and FDA partner Mark Ogunsusi, public policy and law lawyers Marne Marotta, David Skillman, Varun Jain, and Tara Ganapathy, energy partner Thomas Allen, and the firm’s first national security advisor Marissa Cloutier.

David Wochner, managing partner of K&L Gates’ Washington, DC office, commented: “Washington is where policy, enforcement, and market innovation intersect, and that is exactly where Thoreau has spent his career. With decades of experience at the SEC, he brings the valuable combination of rulemaking perspective and enforcement pragmatism our clients need to navigate new rules, exams, and investigations with confidence.”

K&L Gates’ AMIF practice has more than 50 years of experience in the financial services industry and comprises nearly 150 lawyers throughout Asia, Australia, Europe, the Middle East, and North America. These lawyers provide advice to investment companies and advisers, broker-dealers, emerging managers, and institutional investors across a range of areas, including on investment, hedge, private equity, and real estate funds, regulated funds and exchange-traded products, capital markets and derivatives, ERISA, ESG, and global regulation and distribution, among others.