David Baum

Practice Areas

David focuses his practice on regulatory, transactional, and operational matters involving registered investment companies and their investment advisers. In particular, David focuses on mutual funds, ETFs, interval funds, and closed-end funds, serving as fund counsel, counsel to the independent trustees of such funds, or adviser counsel. David helps clients navigate the requirements of the Investment Company Act of 1940 and Investment Advisers Act of 1940, assisting them with developing, structuring, and organizing new funds, as well as with ongoing compliance and regulatory matters, mergers, liquidations, and restructuring of funds. David also regularly advises investment advisers on all aspects of their business and has extensive experience with regulatory matters raised in merger and acquisition transactions involving asset management firms.

Education