Image: Arthur L Zwickel

Arthur L Zwickel

Partner, Corporate Department
Los Angeles
515 South Flower Street
Twenty-Fifth Floor
Los Angeles, CA
90071
United States

Fax: 1(213) 996-3161

Overview

Arthur Zwickel, a partner in the firm's Corporate Department, practices in the area of securities, corporate and investment management law. Mr. Zwickel's practice focuses on structuring and organizing both registered and private investment funds, including mutual funds, closed-end funds, hedge funds, private equity funds, hybrid funds and fund-of-funds. He also counsels investment advisers and broker-dealers on federal and state regulatory issues, including SEC, CFTC, FINRA and NFA rules, and advises them on all aspects of their ongoing operations. Mr. Zwickel frequently assists spinout and startup asset management firms in all facets of their organization, including investment adviser registration, preparing and negotiating agreements among the owners, and seed capital transactions. Mr. Zwickel also advises a variety of institutional investors in connection with their investments into alternative investment funds.

Mr. Zwickel also has experience representing privately held, emerging growth, and publicly traded companies in a variety of transactions, including mergers and acquisitions, private placements, and public offerings.

Before attending law school, Mr. Zwickel worked for the accounting firm of Spicer & Oppenheim as an accountant concentrating in the audits of investment funds and commodities and securities brokers and dealers. Between February 2000 and September 2003, Mr. Zwickel served as Chief Financial Officer and General Counsel for two venture-backed companies in Silicon Valley.

Education

  • Loyola Law School, J.D., 1993 (Note & Comment Editor, Loyola of Los Angeles Law Review )

  • Loyola Marymount University, B.S., 1986

Speaking Engagements

Mr. Zwickel speaks several times each year at industry conferences and seminars on topics involving investment funds and regulatory compliance. His speaking engagements include the following:

  • LegalTech West Coast Summit: Fund Marketing Applications that Provide Global Guidance in Accordance with the Changing Regulatory Landscape (2014)

  • AlphaMetrix Live (Webcast): The ABCs of AIFMD (2013)

  • IA Best Practices Summit: Mastering Compliance Issues for the Private Equity Fund Adviser (2013)

  • Alternative Asset Summit 2013: Starting a Registered Fund or other Liquid Alternative Product (2013)

  • Citco Fund Services Seminar: A Briefing on AIFMD and FATCA (2013)

  • Deutsche Bank West Coast Managers Forum: Understanding How Global Regulatory Developments May Reshape the Capital Raising Environment (2013)

  • Orange County CFA Society: Starting and Maintaining Funds, RIAs, B/Ds, and Everything in Between (2013)

  • CHFA Industry Roundtable: Benefits of Offering a Registered Hedge Fund (2012)

  • Phoenix CFA Society: Alternative Investments for Wealth Managers (2012)

  • JD Clark & Company Client Conference: Legal and Audit Developments Affecting Alternative Fund Managers (2010, 2011 and 2012)

  • ALPS Client Forum: Legal and Regulatory Developments (2012)

  • Ernst & Young Global Hedge Fund Symposium: Governance - Evolving Demands for Hedge Fund Managers (2012)

  • LA County Bar Association 44th Annual Securities Regulation Seminar: What Every Business Lawyer Needs To Know About the New Investment Advisor Regulations (2011)

  • Paul Hastings Client Educational Seminar: Negotiating Hedge Fund and Private Equity Fund Investments (2011)

  • RiskONE/Concept Capital Symposium: Form PF - Challenges that Lie Ahead for Private Fund Advisors (2011)

  • Paul Hastings/Rothstein Kass Forum: Calling All Unregistered Fund Sponsors, Advisers and Managers: The Impact of the Dodd-Frank Act (2011)

  • National Society of Compliance Professionals West Coast Regional Meeting: Investment Adviser Code of Ethics (2011)

  • Paul Hastings Webinar: Investment Adviser Registration Considerations and Consequences for Managers of Private Investment Funds (2010)

  • SkyBridge SALT Conference: A New Era in Hedge Fund Regulation (May 2009)

  • Adviser Compliance Associates Spring 2008 Compliance Conference: Regulatory Updates: What's on the Horizon (2008)

  • Bank of America Securities CFO/COO Summit: Legal & Regulatory Update (2007)

  • KPMG Emerging Managers Forum: Hedge Fund Basics - Legal, Tax and Accounting (2015)

  • LA County Bar Association 47th Annual Securities Regulation Seminar: Investment Advisor Developments (2014)

  • Ascendant Compliance Conference: Effective Compliance Testing (2014)

Involvement

  • Board Member, California Hedge Fund Association

  • Certified Public Accountant in the state of California (inactive)

Practice Areas

Investment Management
Mergers and Acquisitions
Corporate
Private Investment Funds
Impact and Sustainability
ESG Risk, Strategy, and Compliance
Impact Investing

Languages

英語
Spanish

Admissions

California Bar

Education

Loyola Law School, Los Angeles, J.D. 1993
Loyola Marymount University, B.S. 1986

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