About

David C. Mahaffey is the Managing Partner of the Washington, D.C. office, as well as the co-leader of the Investment Management group.

In his diverse and longstanding career, he advises mutual funds, exchange-traded funds, closed-end funds, and business development companies and their independent directors in connection with fund organization, public offerings, and operations. Investment advisers and broker-dealers consider him one of the go-to lawyers with respect to regulatory matters and law enforcement investigations arising under the federal securities laws. He also represents public companies concerning their status under the Investment Company Act of 1940.

Prior to joining the firm, David was Special Counsel in the Washington, D.C. office of Gibson, Dunn & Crutcher LLP. He previously served as Assistant General Counsel for Legislation and Investment Company and Adviser Regulation at the Securities and Exchange Commission and as Counsel to SEC Commissioner Aulana Peters.

Representative Client Work

  • Representing mutual funds, exchange-traded funds, closed-end funds, and business development companies and their independent directors in connection with fund organization, public offerings and operations
  • Representing investment advisers and broker-dealers with respect to regulatory matters and law enforcement investigations arising under the federal securities laws
  • Advising public companies concerning their status under the Investment Company Act of 1940

Recent Activity