David E. Mainzer

Los Angeles

David Mainzer is a corporate lawyer with more than 25 years of experience advising investment management firms and funds, both in-house and in private practice. He frequently serves as outside general counsel for his clients, handling an array of domestic and offshore corporate, transactional, and regulatory compliance matters. David leads the firm's Investment Management Group.

David provides sophisticated legal advice to investment management organizations, including investment managers, wealth managers, broker-dealers, commodity pool operators, and other firms in the investment management industry. An authority on federal and state laws that regulate the investment management industry and the sale and purchase of securities, he advises on a wide variety of domestic and offshore private funds and other pooled investment vehicles, assists fund managers with portfolio investments, and provides counsel on M&A and other transactions, securities, tax, and employment matters.


Representative Matters

  • Provide ongoing investment management and general business-related representation to:
  • a $62 billion AUM asset management group
  • one of the largest dually registered investment adviser/broker-dealers in the western United States
  • a $3.5 billion AUM wealth management firm
  • a $3.6 billion AUM institutional asset management firm
  • Provide ongoing broker-dealer and general business-related representation to one of the leading investment banking firms focused on the wealth and investment management industries
  • Represented a $3.7 billion AUM institutional asset management firm in its sale of a 33 percent interest to a private equity fund

Professional Highlights

Pro Bono Experience

Volunteer attorney for the Los Angeles County Bar Association in the LACBA’s Counsel for Justice AIDS Legal Services Project

Professional Activities

American Bar Association, Business Law Section

State Bar of California

California Lawyers Association, Business Law Section

Speaking Engagements

ECHELON Partners Deals and Deal Makers Summits

Dimensional Succession Planning Conference

Charles Schwab Institutional Forum



University of New South Wales (LLB)

University of New South Wales (BCom)

Columbia Business School (MBA)