Elliot J. Gluck

Partner

New York
Willkie Farr & Gallagher LLP
787 Seventh Avenue
New York, NY 10019-6099
T 212 728 8138
F 212 728 9138
egluckwillkie.com

Elliot J. Gluck is a partner in the Asset Management Group of Willkie Farr & Gallagher LLP.  Elliot’s practice focuses on representing mutual funds, closed-end funds, exchange-traded funds (ETFs), private funds and their investment advisers.  He has extensive experience in counseling on the organization and operation of registered investment companies, corporate governance and regulatory compliance.  Elliot serves as fund counsel to some of the largest fund complexes in the mutual fund industry, as well as mid-size and smaller fund groups.  He has also assisted a number of fund sponsors with entry into the registered fund industry.  Elliot regularly advises closed-end funds in capital markets transactions, including initial and secondary public offerings of common and preferred stock.

Elliot advises investment advisers in a broad array of matters, including new product development, investment advisory/wrap fee programs and regulatory compliance.  He also provides counsel to investment advisers and their parent companies in connection with mergers and acquisitions of their asset management businesses.

In 2016, Elliot was selected as a Rising Star of Mutual Funds at the highly coveted Mutual Fund Industry Awards.

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Elliot J. Gluck is a partner in the Asset Management Group of Willkie Farr & Gallagher LLP.  Elliot’s practice focuses on representing mutual funds, closed-end funds, exchange-traded funds (ETFs), private funds and their investment advisers.  He has extensive experience in counseling on the organization and operation of registered investment companies, corporate governance and regulatory compliance.  Elliot serves as fund counsel to some of the largest fund complexes in the mutual fund industry, as well as mid-size and smaller fund groups.  He has also assisted a number of fund sponsors with entry into the registered fund industry.  Elliot regularly advises closed-end funds in capital markets transactions, including initial and secondary public offerings of common and preferred stock.

Selected Significant Matters

  • Represented Aberdeen Asset Management PLC in its acquisitions of Arden Asset Management, LLC, Artio Global Investors Inc. and the Bank of Hawaii fund business
  • Representing closed-end fund and its independent directors in actions to address discounts and responding to activist shareholder
  • Represented various fund managers in the organization and offering of several unique “alternative” mutual funds
  • Represented Aberdeen Asia-Pacific Income Fund, Inc. in the refinancing of its leverage facility, including the structuring and private placement of rated preferred stock
  • Represented Credit Suisse-advised and Aberdeen-advised closed-end funds in rights, secondary and at-the-market offerings
  • Counseled Aquiline Capital Partners and Genstar Capital in their acquisition of AssetMark and Altegris from Genworth Financial, and AssetMark in its subsequent sale to Huatai Securities
  • Advised two private equity sponsors in their sale of Interactive Data Corporation to Intercontinental Exchange
  • Counseled Genstar Capital and Aquiline Capital Partners in their acquisition of Ascensus from J.C. Flowers
  • Advised Genstar Capital in its acquisition of Mercer Advisors
  • Represented Credit Suisse and Credit Suisse Funds on the sale of Credit Suisse’s traditional asset management business to Aberdeen 

Selected Publications and Lectures

  • Co-Author, “Regulation of Investment Advisers Under the Investment Advisers Act,” Bloomberg BNA (2014)