David Mainzer is a Shareholder in the Firm’s Los Angeles office and a member of the Corporate practice group focused on the investment management industry. Mr. Mainzer is a corporate lawyer with more than 25 years of experience advising investment management firms and funds, both in-house and in private practice. He frequently serves as outside general counsel for his clients, handling an array of domestic and offshore corporate, transactional, and regulatory compliance matters.

Mr. Mainzer provides sophisticated legal advice to investment management organizations, including investment managers, wealth managers, broker-dealers, commodity pool operators, and other firms in the investment management industry. An authority on federal and state laws that regulate the investment management industry and the sale and purchase of securities, he advises on a wide variety of domestic and offshore private funds and other pooled investment vehicles, assists fund managers with portfolio investments, and provides counsel on M&A and other transactions, securities, tax, and employment matters.

Earlier in his career, Mr. Mainzer served as General Counsel and Chief Operating Officer of Amerindo Investment Advisors, Inc., an investment management firm with offices in New York, San Francisco, and London, and $8 billion in assets under management (AUM). There, he was responsible for managing all of the firm’s legal affairs, including risk management, regulatory compliance, outside counsel, and the structuring and legal management of the firm’s hedge funds, mutual funds, and separately managed accounts.  He is a veteran of the U.S. Army.

Professional Involvement

• Member, American Bar Association, Business Law Section
• Member, California Lawyers Association, Business Law Section

Bar Admissions

• California

Significant Accomplishments
<ul><li>Provide ongoing investment management and general business-related representation to a wide variety of participants in the investment management industry, including:<ul><li>a $77 billion AUM institutional asset management group</li><li>one of the largest dually registered investment adviser/broker-dealers in the western United States</li><li>a $12 billion AUM wealth management firm</li></ul></li><li>Provide ongoing broker-dealer and general business-related representation to one of the leading investment banking firms focused on the wealth and investment management industries</li><li>Represented Aristotle Capital Management in its acquisition of Pacific Asset Management, a $20bn AUM institutional asset management firm, from Pacific Life Insurance Company</li><li>Represented Signature Estate & Investment Advisors, a $16bn AUM wealth management platform, in connection with an equity investment from Reverence Capital Partners, a leading private equity firm focused on the financial services industry</li><li>Represented a $3.7 billion AUM institutional asset management firm in its sale of a 33 percent interest to a private equity fund</li><li>Represented the principal adviser in the lift-out of a $376 million AUM wealth management business from Moss Adams</li><li>Represented three wealth managers in their acquisition by Wealth Enhancement Group</li><li>Represented five wealth managers in their acquisition by Focus Financial Partners</li><li>Represented a wealth manager in its acquisition by Aspiriant</li><li>Represented two wealth managers in their acquisition by Mariner</li><li>Represented two wealth managers in their acquisition by HighTower Advisors</li><li>Represented two wealth managers in their acquisition by Edelman Financial Engines</li><li>Represented a wealth manager in its acquisition by Carson Wealth</li><li>Represented a $120 million AUM wealth manager in an MBO transaction</li><li>Represented the acquirer in its lift-out of an institutional asset management team from Deutsche Investment Management Americas</li><li>Represented the acquirer of a $2.4 billion AUM institutional asset management firm from Raymond James</li><li>Represented the seller of a $4 billion AUM institutional asset management firm its acquisition by Tortoise Credit Strategies</li><li>Represented the seller of a $1.5 billion AUM institutional asset management firm in its acquisition by Rothschild North America</li><li>Represented the acquirer of a $13.7 billion AUM institutional asset management firm from City National Bank</li><li>Acted as counsel to the Special Committee of the Board of a NASDAQ-listed global credit fund in connection with that fund’s merger into a larger fund complex</li><li>Represented an investment manager focused on the primary and secondary acquisition of venture capital investments in the formation and launch of three onshore/offshore master/feeder funds</li><li>Represented a diversified fund management company in the formation and launch of eight real estate funds, three venture capital funds, and two private equity funds</li><li>Represented a diversified fund management company in the formation and launch of four private equity funds focused on the health care industry</li><li>Represented two cryptocurrency managers in the formation and launch of domestic cryptocurrency funds</li><li>Represented a multinational cryptocurrency manager in the reorganization of its offshore cryptocurrency fund and the formation of a domestic cryptocurrency fund</li><li>Represented a distressed debt manager in the creation of a $90 million synthetic CLO warehouse facility with Scotiabank</li><li>Represented a CLO sponsor in the formation of a CLO manager under the EU risk retention rules</li><li>Represented a diversified financial management firm in the formation a hedge fund joint venture with TCW</li></ul>