Mr David Mahaffey > Sullivan & Worcester LLP > Washington DC, United States > Lawyer Profile
Sullivan & Worcester LLP Offices
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1666 K STREET, NW
WASHINGTON, DC 20006
DISTRICT OF COLUMBIA
United States
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Mr David Mahaffey
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Work Department
Investment Management
Position
David is the managing partner of the Washington, D.C. office. Prior to joining Sullivan & Worcester, David was Special Counsel in the Washington, D.C. office of Gibson, Dunn & Crutcher. He previously served as Assistant General Counsel for Legislation and Investment Company and Adviser Regulation at the Securities and Exchange Commission and as Counsel to SEC Commissioner Aulana Peters.
David’s client work includes:
- Representing mutual funds, exchange-traded funds, closed-end funds, and business development companies and their independent trustees in connection with fund organization, public offerings and operations
- Representing investment advisers and investment company boards in mergers and acquisitions
- Representing investment advisers and broker-dealers with respect to regulatory matters and law enforcement investigations arising under the federal securities laws
- Advising public companies concerning their status under the Investment Company Act of 1940
Career
- District of Columbia
- U.S. District Court, District of Columbia
- U.S. Court of Appeals for the District of Columbia Circuit
Education
- Harvard Law School (J.D.)
- Princeton University (B.A., cum laude)
Lawyer Rankings
United States > M&A/corporate and commercial > Corporate governance
A mix of public companies, private companies, trusts and not-for-profit organizations turn to the team at Sullivan & Worcester LLP for its ability to offer advice on a host of matters, including ongoing legal counsel to investment funds and general ongoing board counselling. Nicole Crum focuses on the representation of boards and board committees, regularly advising them on all aspects of governance and compliance, while Boston’s Howard E Berkenblit handles ongoing corporate governance and disclosure matters, stock exchange listing standards and Sarbanes-Oxley Act and Dodd-Frank Act compliance. Both David M Leahy and David Mahaffey are frequently engaged by independent directors, mutual funds, exchange-traded funds and closed-end funds. Practitioners are based in Washington DC unless otherwise stated.
United States > Investment fund formation and management > Mutual/registered/exchange-traded funds
Sullivan & Worcester LLP has extensive experience advising independent directors and trustees of investment management firms, with the establishment and registering of new funds, including but not limited to exchange traded funds, variable retail and insurance open- and closed ended funds. The investment management team are also frequently engaged as fund counsel in relation to compliance and shareholder matters and board advice. David Leahy and David Mahaffey jointly lead the practice from the firm’s Washington DC location, with the former advising clients on the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933 and the Securities Exchange Act of 1934, while the latter specializes on federal securities law, for a whole host of registered funds clients. Nicole Crum is another key name in Washington DC and works with boards and board committees on staying compliant with SEC regulations and through government and internal investigations, while John Chilton is well versed in registered fund transactions, and Domenick Pugliese counsels independent directors of mutual funds, ETFs and variable annuity trusts. Rachael Schwartz was promoted to partner in January 2023.
Lawyer Rankings
- Corporate governance United States > M&A/corporate and commercial
- Mutual/registered/exchange-traded funds United States > Investment fund formation and management
Top Tier Firm Rankings
Firm Rankings
- Real estate > Real estate investment trusts (REITs)
- M&A/corporate and commercial > Corporate governance
- Finance > Fintech
- Environment > Environment: transactional
- Tax > International tax
- M&A/corporate and commercial > M&A: middle-market (sub-$500m)
- Investment fund formation and management > Mutual/registered/exchange-traded funds
- Real estate > Real estate
- Tax > US taxes: non-contentious
- Labor and employment > Employee benefits, executive compensation and retirement plans: design
- Dispute resolution > General commercial disputes
- Tax > US taxes: contentious
- M&A/corporate and commercial > Venture capital and emerging companies
- Investment fund formation and management > Private equity funds (including venture capital)