Partner davis@thsh.com 212-508-6705 LinkedIn
Practice Areas
Areas of Focus
- Financial Services, Hedge Funds and Capital Markets:
- Fund formation and counseling
- Fund-linked structured products
- Fund-related financing transactions
- Creditors Rights and Business Reorganizations:
- Corporate restructurings
- Creditor representations
- Distressed asset/debt acquisitions and sales
Wayne H. Davis
Partner davis@thsh.com 212-508-6705 LinkedIn
Practice Areas
Areas of Focus
- Financial Services, Hedge Funds and Capital Markets:
- Fund formation and counseling
- Fund-linked structured products
- Fund-related financing transactions
- Creditors Rights and Business Reorganizations:
- Corporate restructurings
- Creditor representations
- Distressed asset/debt acquisitions and sales
Biography
Wayne H. Davis is Chair of Tannenbaum Helpern's Investment Management Practice, Co-chair of Business and Finance and a member of the Firm's Management Committee. Wayne’s practice focuses on advising clients with respect to the formation and ongoing operation of a broad range of private investment vehicles, minority and majority asset manager acquisitions and dispositions, and “upper tier” management arrangements. Wayne provides practical and business-oriented advice to U.S. and non-U.S domiciled venture capital, private equity and hedge funds, advisory firms and family offices on all aspects of their business, including structuring, governing regulation, seed capital and financing transactions, as well as the implementation of select investment strategies.
Wayne frequently provides counsel to various nonprofit organizations on general operation, governance and investment-related matters.
He regularly speaks and writes on developments in the investment management industry, including the implementation and regulation of Environmental, Social and Governance (ESG)-based investment programs as well as specific investment strategies such as real estate, credit and cannabis.
College:
- Queens College, City University of New York, 1980, B.A., Economics and Accounting
- Honors: Cum Laude
Law School:
- Fordham University School of Law, 1984, J.D.
- Honors: Cum Laude
- Sonnenschein Nath & Rosenthal (Counsel)
- Dewey Ballantine LLP(Associate)
Professional:
- International Bar Association
- American Bar Association, Business Bankruptcy Section
- New York State Bar Association
- Managed Funds Association
- INSOL International
- American Bankruptcy Institute
- New York State
- Southern and Eastern Districts of New York
- Super Lawyers: New York Metro Area - Securities & Corporate Finance, Business & Corporate, Nonprofit Organizations (2020-2023)
- Martindale Hubbell: AV Pre-eminent Rating
Case Studies
- Venture Capital Fund Bid for Assets of Smart Technology Chapter 11 Debtors
- Streamlining of Multi-Faceted Investment Platform’s Ownership Structure
- Hedge Fund Sells Controlling Interest to an Insurance Company
- Negotiation of Wealth Management Group’s Relationship with Large Investment Bank
- Acquisition of a Medical Cannabis Company
Publications
- SEC Charges Five RIAs with Violations of Custody Rule
- SEC Adopts Final Rules on Private Fund Adviser Reforms
- ESRS vs. ISSB Standards - a Comparative Approach
- SEC Charges RIA with Violations of Amended Marketing Rule
- Second Risk Alert on Marketing Rule Compliance
- New Form N-PX Reporting - A Practical Guide for Form 13F Filing Managers
- SEC Proposes Rule on Use of Predictive Data Analytics by Investment Advisers
- Tannenbaum Helpern ESG Advisor: New ISSB Global Sustainability Standards – A Q&A Guide to Private Fund Advisers
- SEC Adopts Amendments to Form PF
- The Corporate Transparency Act: A Guide to Beneficial Ownership Disclosure
- How the SEC’s Proposed New Safeguarding Rule May Impact Private Fund Advisers
- SEC Releases Examination Priorities for 2023
- SEC Risk Alert on New Marketing Rule
- Podcast: Preparing for the SEC's New Marketing Rule
- Recent SEC ESG-Related Actions Impacting Investment Advisers and Investment Funds
- What are the SEC Examination Priorities for 2022?
- What investment firms can expect from regulators in 2022
- SEC Proposes Significant Changes to Regulation of Private Fund Advisers
- Form SHC (U.S. Ownership of Foreign Securities): Friday, March 4th filing deadline
- SEC increases monetary thresholds for “qualified clients”
- Alternatives Watch releases Finding the ‘S’ in ESG report
- Paycheck Protection Program: Considerations for Investment Advisors
- Coronavirus Update – SEC Provides Relief From Certain Schedule 13F and 13G Filing Requirements
- Coronavirus Update - SEC Issues Limited Form ADV and Form PF Filing Relief to Private Fund Managers
- Coronavirus Update: SEC Releases Form ADV and Custody Rule FAQs in Response to “Work from Home” Arrangements
- Coronavirus Update – SEC Issues Limited Form ADV and Form PF Filing Relief to Investment Advisers
- SEC Approves Regulation Best Interest
- Top Six Advisory Fee and Expense Deficiencies Identified by OCIE
- SEC Announces 2018 Examination Priorities
- So You Want to Manage a Cryptocurrency Fund? U.S. Regulatory Rules to Consider First
- General Data Protection Regulation Affects Investment Advisors with EU Clientele
- “Who Is Who?” and “Who Owns Whom?”- Are You Ready for LEIs?
- SEC Amendments to Form ADV Effective on October 1, 2017
- Second Circuit Extends Safe Harbor Protection to Creditors’ State Law Claims
- How UCITS Funds Can Expand Their Investor Base into the US
- SEC’s Office of Compliance Inspections and Examinations Releases its 2016 Examination Priorities
News
- Wayne H. Davis Quoted in AlternativesWatch Article, "SEC adopts private fund reporting changes" • 05.05.2023
- How the SEC’s Recent ESG Proposals May Impact Private Funds | Hedge Fund Law Report • 09.29.2022
- Survey finds 66% of respondents are in the early stages of expanding their allocation to diverse investment managers • 07.15.2021
- 35 Tannenbaum Helpern attorneys recognized in Super Lawyers 2020 • 10.29.2020
- Tannenbaum Helpern to Hold Fifth Annual Alternative Investments Outlook • 11.12.2019
- Tannenbaum Helpern is named “Best Boutique Law Firm” by HFMWeek • 09.24.2018
- Tannenbaum Helpern Recognized As Top Ranked US Law Firm • 04.13.2015
Events
- Finding the S in ESG, a perspective from investors • 09.23.2021
- ESG 2021: Investing smarter • 10.22.2020
- The New Normal for Emerging Managers | Webinar | Prager • 05.19.2020
- Current State of the Seeding Market Structures & Trends • 03.18.2020
- Alternative Investments 2020 • 11.19.2019
- ESG and Impact Investing Mid-Year Outlook • 07.16.2019
- Private Fund Structuring & Marketing Best Practices • 06.18.2019
- Webinar: Acquisition of Distressed Businesses and Assets • 02.28.2017
- How to Avoid Financial Distress When Your Client Faces Bankruptcy or Insolvency • 04.07.2016
Wayne H. Davis is Chair of Tannenbaum Helpern's Investment Management Practice, Co-chair of Business and Finance and a member of the Firm's Management Committee. Wayne’s practice focuses on advising clients with respect to the formation and ongoing operation of a broad range of private investment vehicles, minority and majority asset manager acquisitions and dispositions, and “upper tier” management arrangements. Wayne provides practical and business-oriented advice to U.S. and non-U.S domiciled venture capital, private equity and hedge funds, advisory firms and family offices on all aspects of their business, including structuring, governing regulation, seed capital and financing transactions, as well as the implementation of select investment strategies.
Wayne frequently provides counsel to various nonprofit organizations on general operation, governance and investment-related matters.
He regularly speaks and writes on developments in the investment management industry, including the implementation and regulation of Environmental, Social and Governance (ESG)-based investment programs as well as specific investment strategies such as real estate, credit and cannabis.
College:
- Queens College, City University of New York, 1980, B.A., Economics and Accounting
- Honors: Cum Laude
Law School:
- Fordham University School of Law, 1984, J.D.
- Honors: Cum Laude
- Sonnenschein Nath & Rosenthal (Counsel)
- Dewey Ballantine LLP(Associate)
Professional:
- International Bar Association
- American Bar Association, Business Bankruptcy Section
- New York State Bar Association
- Managed Funds Association
- INSOL International
- American Bankruptcy Institute
- New York State
- Southern and Eastern Districts of New York
- Super Lawyers: New York Metro Area - Securities & Corporate Finance, Business & Corporate, Nonprofit Organizations (2020-2023)
- Martindale Hubbell: AV Pre-eminent Rating
- Venture Capital Fund Bid for Assets of Smart Technology Chapter 11 Debtors
- Streamlining of Multi-Faceted Investment Platform’s Ownership Structure
- Hedge Fund Sells Controlling Interest to an Insurance Company
- Negotiation of Wealth Management Group’s Relationship with Large Investment Bank
- Acquisition of a Medical Cannabis Company
- SEC Charges Five RIAs with Violations of Custody Rule
- SEC Adopts Final Rules on Private Fund Adviser Reforms
- ESRS vs. ISSB Standards - a Comparative Approach
- SEC Charges RIA with Violations of Amended Marketing Rule
- Second Risk Alert on Marketing Rule Compliance
- New Form N-PX Reporting - A Practical Guide for Form 13F Filing Managers
- SEC Proposes Rule on Use of Predictive Data Analytics by Investment Advisers
- Tannenbaum Helpern ESG Advisor: New ISSB Global Sustainability Standards – A Q&A Guide to Private Fund Advisers
- SEC Adopts Amendments to Form PF
- The Corporate Transparency Act: A Guide to Beneficial Ownership Disclosure
- How the SEC’s Proposed New Safeguarding Rule May Impact Private Fund Advisers
- SEC Releases Examination Priorities for 2023
- SEC Risk Alert on New Marketing Rule
- Podcast: Preparing for the SEC's New Marketing Rule
- Recent SEC ESG-Related Actions Impacting Investment Advisers and Investment Funds
- What are the SEC Examination Priorities for 2022?
- What investment firms can expect from regulators in 2022
- SEC Proposes Significant Changes to Regulation of Private Fund Advisers
- Form SHC (U.S. Ownership of Foreign Securities): Friday, March 4th filing deadline
- SEC increases monetary thresholds for “qualified clients”
- Alternatives Watch releases Finding the ‘S’ in ESG report
- Paycheck Protection Program: Considerations for Investment Advisors
- Coronavirus Update – SEC Provides Relief From Certain Schedule 13F and 13G Filing Requirements
- Coronavirus Update - SEC Issues Limited Form ADV and Form PF Filing Relief to Private Fund Managers
- Coronavirus Update: SEC Releases Form ADV and Custody Rule FAQs in Response to “Work from Home” Arrangements
- Coronavirus Update – SEC Issues Limited Form ADV and Form PF Filing Relief to Investment Advisers
- SEC Approves Regulation Best Interest
- Top Six Advisory Fee and Expense Deficiencies Identified by OCIE
- SEC Announces 2018 Examination Priorities
- So You Want to Manage a Cryptocurrency Fund? U.S. Regulatory Rules to Consider First
- General Data Protection Regulation Affects Investment Advisors with EU Clientele
- “Who Is Who?” and “Who Owns Whom?”- Are You Ready for LEIs?
- SEC Amendments to Form ADV Effective on October 1, 2017
- Second Circuit Extends Safe Harbor Protection to Creditors’ State Law Claims
- How UCITS Funds Can Expand Their Investor Base into the US
- SEC’s Office of Compliance Inspections and Examinations Releases its 2016 Examination Priorities
- Wayne H. Davis Quoted in AlternativesWatch Article, "SEC adopts private fund reporting changes" • 05.05.2023
- How the SEC’s Recent ESG Proposals May Impact Private Funds | Hedge Fund Law Report • 09.29.2022
- Survey finds 66% of respondents are in the early stages of expanding their allocation to diverse investment managers • 07.15.2021
- 35 Tannenbaum Helpern attorneys recognized in Super Lawyers 2020 • 10.29.2020
- Tannenbaum Helpern to Hold Fifth Annual Alternative Investments Outlook • 11.12.2019
- Tannenbaum Helpern is named “Best Boutique Law Firm” by HFMWeek • 09.24.2018
- Tannenbaum Helpern Recognized As Top Ranked US Law Firm • 04.13.2015
- Finding the S in ESG, a perspective from investors • 09.23.2021
- ESG 2021: Investing smarter • 10.22.2020
- The New Normal for Emerging Managers | Webinar | Prager • 05.19.2020
- Current State of the Seeding Market Structures & Trends • 03.18.2020
- Alternative Investments 2020 • 11.19.2019
- ESG and Impact Investing Mid-Year Outlook • 07.16.2019
- Private Fund Structuring & Marketing Best Practices • 06.18.2019
- Webinar: Acquisition of Distressed Businesses and Assets • 02.28.2017
- How to Avoid Financial Distress When Your Client Faces Bankruptcy or Insolvency • 04.07.2016