• Share
  • Email
  • Print

Derek N. Steingarten

Partner
+1.212.536.4024
Fax +1.212.813.8829

Derek Steingarten is a business and regulatory law partner in the firm’s New York office, with an active practice representing asset managers and funds, including hedge funds, private equity funds and sponsors of other ‘alternative’ assets.

Work for Clients
Derek Steingarten brings his clients deep knowledge of the asset management industry and the regulatory environment. His work covers the spectrum of fund formation, securities, corporate and transactional issues that asset managers and fund sponsors must navigate. Mr. Steingarten’s clients include seasoned and startup institutional asset managers, private equity and hedge funds, funds-of-funds, open and closed-end SEC-registered funds, and fund boards of directors. He works regularly with the firm’s other specialty practices in tax, ERISA and litigation to provide best-in-class service to asset management firms with offices and operations in the United States and other jurisdictions.

Achievements
Mr. Steingarten has consistently been ranked among leading investment lawyers by prominent independent legal directories such as Chambers USA andThe Legal 500. In particular, Mr. Steingarten has been recognized in each of the Chambers USALeading Lawyers For Business guides published annually from 2008 through 2016.

Representative Engagements
Mr. Steingarten’s recent experience includes the representation of:

  • Multi-billion dollar asset management firms in connection with a wide range of matters focused on institutional money management, sub-adviser relationships, private equity and hedge funds, CITs and securities compliance
  • Non-U.S. fund managers required to maintain U.S. securities and regulatory licenses to operate funds and market to U.S. institutional and retail investors.
  • Boards of Directors of mutual funds and closed end funds pursuing specialized investment strategies, including ‘alternative’ mutual funds and innovative fund structures
  • Established asset managers and private equity funds in transactions to acquire RIA firms, to establish (or dissolve) joint ventures; restructure relationships and enter new lines of business
  • Pension and endowment consulting firms building their capacity to provide fully discretionary management and outsourced CIO services
  • FinTech startups (including robo-advisors) building investment advisory, trading and indexing businesses that involve regulatory issues under the Investment Advisers Act
  • Successful portfolio managers establishing and marketing their own independent hedge funds

Additional Background
Mr. Steingarten was a partner in the corporate department of a prominent national law firm based in Boston, where he worked for 15 years prior to joining K&L Gates in 2015. As a university and law student he worked for the Government of Canada, within both the Department of Foreign Affairs and the Department of Justice. 

Bar Memberships
Mr. Steingarten maintains memberships in the Massachusetts Bar Association (since 2001) and the New York Bar Association (since 2015).

Speaking Engagements
Mr. Steingarten speaks regularly about investment management and hedge fund regulatory and compliance issues, including recently as a panelist at the following industry events: “Brexit Q&A: Is Your Business Prepared” (webinar, January 2017); K&L Gates “Investment Management Conference” (Chicago, January 2017); FRA “Sub-Advised Funds Forum” (NYC, September 2016); NRS “Investment Adviser Compliance Symposium” (Chicago, July 2016); K&L Gates “New Manager Forum” (NYC, April 2016); “Compliance Reporter Breakfast Briefing” (NYC, November 2015).