William H. Woolverton

Managing Director

William H. Woolverton is a Managing Director in the New York office with senior responsibilities relating to our US business and oversight of US legal for the firm.

Mr. Woolverton has extensive experience working with boards of directors and CEOs of investment management firms on governance best practices and day-to-day governance issues. He serves on boards of funds and related structures, providing guidance and independent oversight to ensure adherence to governance and compliance requirements. Mr. Woolverton also has oversight of US legal issues for the firm.

Prior to joining DMS, he was Senior Managing Director and General Counsel of the Gottex Fund Management Group where he was a member of the firm’s Executive Management Committee and where he managed fund administration and governance for all onshore and offshore funds. During his time there he served as the Chairman of the Product Development Committee with responsibility for the development of new investment products. He also served as Chairman of the Compliance Committee maintaining the global compliance infrastructure. In addition to serving as a director of a number of U.S. registered mutual funds, he has served as a director of offshore funds domiciled in Luxembourg, Ireland, the Cayman Islands, and the British Virgin Islands and is approved as a director with the Cayman Islands Monetary Authority (CIMA).

Mr. Woolverton has been a featured speaker and panellist discussing best practices in governance at many international investment industry conferences, most recently at the 2015 Annual Hedge Fund General Counsel Summit.

Mr. Woolverton is currently an Independent Trustee of the Thomas White Mutual Funds.

REPRESENTATIVE MATTERS
  • Director of multiple offshore private funds representing a wide range of investment styles.
  • Independent Trustee of a family of SEC-registered mutual funds investing primarily in an emerging markets style.
  • Established a unique Irish Unit Trust structure designed to invest in an ARP investment style for an institutional investor addressing Volcker Act compliance issues and incorporating a UK AIFM registered as a CPO.
  • Established a Dublin-domiciled UCITS investing in the China A Shares market pursuant to an RQFII quota through a joint venture with a China based investment manager.
  • Established a London-based private equity fund investing in real assets, including infrastructure financing, transportation assets, renewable energy facilities and operating businesses in Europe, South America and the United States.
  • Established numerous fund of hedge fund commingled and separate account investment vehicles in multiple offshore jurisdictions.
  • Structured and led deal team in public offerings of SEC registered closed-end funds and SEC registered open-end mutual funds investing in a liquid alternatives investment style.
  • Established a managed account platform investing in multiple hedge funds for clients seeking reduced risk in their investments in alternative investment vehicles.
  • Structured and led deal teams in multiple acquisitions of asset managers located in the United States, the UK and Switzerland, including a leading private equity funds manager.
  • Lead member of deal team in the initial public offering of an asset management firm.
  • Established multiple Luxembourg-based UCITS funds and SICAV SIF funds.
    Managed successful litigation involving distressed hedge funds on behalf of institutional investors.
  • Established compliance and internal ethics programs for multiple registered investment advisers in the United States, as well as compliance programs for UK and Swiss-based investment managers incorporating compliance with FCA and FINMA mandates.
  • Managed successful SEC examinations of multiple registered investment advisers in the United States.
  • Established multiple open-end mutual funds and closed-end funds in the United States on behalf of leading global investment management firms.
  • Member of senior management teams of multiple investment management firms participating in management of the organizations based on management best practices for financial services firms.
PREVIOUS EXPERIENCE
  • Senior Managing Director and General Counsel, Gottex Fund Management – 2006 to 2016.
  • Member of the Financial Services Group, Dechert, LLP. – 2005 to 2006.
  • Managing Director and General Counsel, Putnam Investments – 1988 to 2004.
  • Vice President and Counsel, Alliance Capital Management Corporation – 1986 to 1988.
  • Attorney, Rogers & Wells – 1982 to 1985.

 

Earlier in his career, Mr. Woolverton served as Counsel to the United States Senate Committee on the Judiciary in Washington, D.C.

PRACTICE AREAS
  • Hedge Funds
  • Private Equity / Portfolio Companies
  • Fund of Funds
  • Distressed Investment Funds
  • U.S. Registered Mutual Funds
  • UCITS funds
MEMBERSHIP & AFFILIATIONS
  • Member of the Massachusetts and New York Bar
  • Member of the Corporate Governance Committee, Business Law Section, American Bar Association
  • Member of the Corporation of The Winsor School, Boston, Massachusetts
  • Former member of the Investment Company Institute (Federal Legislation Committee and SEC Rules Committee).
  • Served as Chairman of the Executive Committee of the Alumni Council of Amherst College
EDUCATION & QUALIFICATIONS

Mr. Woolverton is a magna cum laude and Phi Beta Kappa graduate of Amherst College and he attended King’s College, Cambridge University as a Keasbey Fellow, where he was awarded a B.A. (honours) and M.A. degrees. He earned his law degree at Columbia University School of Law.