Chuck Miller is a partner in the asset management and investment fund practice group and is resident in the firm’s Washington, D.C. office. His practice focuses on the federal securities laws, principally in the area of investment company and investment adviser representation. He has practiced for over 25 years in the asset management industry and regularly handles a wide variety of regulatory, transactional, and counseling matters. He has extensive experience concerning the registration, distribution, and operation of open-end and closed-end funds and the regulation of investment advisers and broker-dealers.
He represents some of the world’s largest financial services companies in addressing complex issues involving fiduciary obligations, innovative share classes, revenue sharing, trading restrictions, and affiliation. In addition, he works regularly with investment managers and intermediaries in structuring and offering new investment products. In the course of his work, he frequently interacts with the SEC, FINRA, the MSRB, and other regulatory agencies.
In addition to his general expertise in asset management, he has particular experience in working with investment advisers in establishing and operating separately managed accounts (SMA’s), wrap accounts, and other investment advisory programs. He is also known nationally for his work with retirement plans and college savings plans (529 Plans), and regularly represents investment advisers, broker-dealers, and program administrators in setting up and maintaining new retirement plan platforms and 529 Plans.
On the basis of feedback from clients, industry professionals, and peers, he has consistently been recognized in such rankings as The Best Lawyers in America, D.C. SuperLawyers, and similar publications. He is a member of the American Law Institute.
