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Who We Are

Suite 1400, 4208 Six Forks Road
Raleigh, NC, 27609
USA
t +1 919.420.1832
f +1 919.510.6150

Thomas W. Steed III

Experience Highlights

SEC registration of mutual fund for major North Carolina financial services company
Assisted a major North Carolina financial services company in organizing and registering with the SEC a new registered mutual fund. more
Representing investment manager in structuring investment vehicles
Representing and advisingĀ a $1 billionĀ investment manager in structuring privately-offered domestic and offshore investment vehicles. more
Representation of investment adviser and mutual fund family
Ongoing representation of multi-billion dollar investment manager with specialized focus on 401(k) products; and ongoing representation of related more
Litigation for investor to obtain assets from investment advisor under SEC investigation
Assisted an investor in obtaining a return of his assets and securities from an investment account at an investment advisor in receivership and under more