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Robert J. Zutz

Practice Area Leader – Financial Services
+1.202.778.9059
Fax +1.202.778.9100
Mr. Zutz is a partner in the Washington, D.C. office of K&L Gates who has more than 30 years of experience as a securities lawyer.  His practice focuses on the representation of investment companies, their independent directors and trustees, investment advisers and broker-dealers.  Prior to joining K&L Gates in 1983, he was a member of the Securities and Exchange Commission staff for over five years, including service in the Division of Investment Management and as Legal Counsel to a Commissioner.  He currently has primary responsibility for the day-to-day representation of numerous mutual funds and/or their Boards of Directors or Trustees, and he assists in the representation of various other funds and their managers. Mr. Zutz has been recognized as being among the nation’s leading investment management attorneys by several independent sources, including the 11 most recent annual editions (2006-2016) of Chambers USA: America’s Leading Lawyers for Business

Professional Background

Mr. Zutz's professional background includes:

  • Legal Counsel to SEC Commissioner, U.S. Securities and Exchange Commission
  • Staff Attorney, U.S. Securities and Exchange Commission
  • Law Clerk, Honorable Bertram Polow, NJ Superior Court Judge

Speaking Engagements

Mr. Zutz has made presentations at numerous industry conferences including, among others, the following:
  • “SEC Focus on Mutual Fund Fees,” Panelist, Fund Directions Sponsored Webinar (New York, 2011)
  • “Putting the Janus Decision in Perspective,” Panelist, New York 1940 Act Committee (New York, 2011)
  • “Board Meeting Simulation: From Fund Inception to Termination,” IDC Panelist, 2008 Investment Company Directors Conference (Chicago, 2008)
  • “Portfolio Brokerage” and “Current Topics,” Moderator, K&L Gates Client Training Sessions (Washington, D.C. 2007)
  • “Shareholder Communications,” ICI Securities Law Developments Conference, Panelist (Washington, D.C., 2005)
  • “Current Developments in Soft Dollars,” NRS Compliance Conference Panelist (Miami, 2005)
  • “Current Regulatory Developments,” First Investors Annual Conference, Featured Speaker (Ft. Lauderdale, Florida, 2005)
  • “Compliance Programs,” Investment Adviser Best Practice Summit (Washington, D.C., 2004)
  • Glasser Legal Works, “Investment Advisers Act From A-Z” (New York City, 2003)
  • Merrill Lynch Compliance Seminars, “Current Developments in Mutual Funds Distribution” (New York City, 2003)
  • “Investment Adviser Form ADV and Contract Seminar,” Primary Speaker (New York City, 2002 and 2003)
  • “Money Manager Due Diligence” and “Adviser Marketing Issues,” NRS Compliance Conference (Miami Beach, 2002)
  • Schwab Institutional Speaker Series, Featured Speaker, “Performance Advertising by Investment Advisers” (2001)
  • “Investment Management Cross Trading Presentation,” Panelist, Annual NRS Trading Conference (Washington, D.C., 2001)
  • “SEC Investment Advisers Inspections,” Moderator, Annual Investment Adviser Compliance Summit (Washington, D.C., 2001)
  • “SEC Compliance, Inspection and Enforcement,” Panelist, Annual Mutual Funds and Investment Management Conference (Palm Desert, California, 2001)