Diversity & Inclusion
Thomas A. DeCapo represents financial services firms on a broad range of investment management industry matters. Mr. DeCapo’s practice includes developing new investment products, mergers and acquisitions, U.S. and international public and private financings, regulatory and compliance matters, and a variety of general securities and corporate matters in the investment management industry.
Mr. DeCapo has represented clients such as BlackRock Funds, John Hancock, Oppenheimer Funds, U.S. Trust Corporation, Massachusetts Mutual Life Insurance Company, the Van Kampen Funds and Raymond James & Co. Representative transactions include serving as issuer’s or underwriter’s counsel for several innovative registered alternatives strategies (“Liquid Alts”) fund of funds for BlackRock and others, and for public “venture capital” funds for Salomon Smith Barney, U.S. Trust and others; serving as collateral manager or deal counsel for CBOs and CLOs for Oppenheimer Funds, Massachusetts Mutual Life Insurance Company and others; serving as buyer’s or seller’s counsel in connection with the purchase or sale of investment management businesses; and counseling a variety of technology incubators and Internet-based financial services firms in connection with investment company, investment adviser and broker-dealer matters. Mr. DeCapo also has extensive experience in fund corporate governance matters, including shareholders activist challenges.
Mr. DeCapo also has counseled on a wide variety of investment company, investment advisory and broker-dealer matters for clients such as Putnam Investments, U.S. Life, Robert W. Baird & Co. and Barings Asset Management.
Recent Speaking Engagements
Moderator, “‘Traditional’ Closed-End Funds Versus ‘New’ Closed-End Fund Structures: Competition or Complement?” 2014 ICI Closed-End Fund Conference, New York, November 4, 2014
Discussion Leader, “Exploring the Convergence of Retail and Alternative Products,” 8th Annual Hedge Fund General Counsel and Compliance Officer Summit, New York, October 1-2, 2014
J.D., University of Illinois College of Law, 1987 (magna cum laude, Law Review)
B.S., University of Illinois, 1984