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  • Education
    • J.D., University of Missouri-Kansas City School of Law, 2000
    • M.A., University of Missouri-Kansas City, 2000
    • B.A., University of Missouri-Kansas City, 1996

Polsinelli’s asset management and fund sponsor clients frequently turn to Dan Peterson for innovative and practical solutions to the complex problems they often face in a complex industry. His experience, combined with his business-focused approach, helps clients reach their goals while adhering to the limitations they face.

Dan is experienced in dealing with matters that involve unregistered investment vehicles, their sponsors and advisers, as well as registered open- and closed-end funds, and BDCs. He regularly assists investment advisers and broker-dealers with structuring, registering advisory and broker-dealer firms, and assisting them with their ongoing regulatory matters, including enforcement. He counsels public company clients on reporting and other obligations under the Exchange Act, the Securities Act, the Investment Company Act, and as required by securities exchanges. He also advises mergers and acquisitions and capital-raising participants on a variety of securities issues. In addition, Dan regularly assists start-ups and publicly-held companies in raising capital through public and private offerings.

Dan’s industry engagements include:

  • Private fund structures to accommodate a wide variety of taxable, tax-exempt and offshore investors.
  • Structuring unique private fund complex to avoid the impact of the Investment Company Act.
  • Favorable results in multiple SEC and state securities enforcement cases.
  • Working with the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) to structure and register a special purpose broker-dealer.
  • Assisting an issuer in its initial public offering (IPO) to avoid the status of an inadvertent investment company.
  • Representing an open-end fund in its sale to another registered fund complex.

Representing businesses in a wide variety of corporate transactions, Dan is experienced in mergers and acquisitions, business formation and structuring, and general corporate matters.

Investment Management
  • Structured and prepared offering documents for numerous private funds and funds of funds with varying strategies.
  • Structured and prepared offering documents for numerous real estate funds (and fund complexes) and counseled their sponsors on their unique regulatory matters.
  • Represented an asset management and financial planning firm as it sought to complete the sale of a wholly-owned subsidiary.
  • Represented a publicly held financial services provider in the divestiture of multiple registered subsidiaries.
  • Worked with FINRA and the SEC to structure and register a special purpose broker-dealer.
  • Represented a large investment advisor to open-end funds in its sale and restructuring.
  • Represented several closed-end funds in follow-on offerings.
  • Counseled an open-end fund in its sale to another registered fund complex.
  • Represented an investment advisor to a fund complex in its multistage restructuring.
  • Assisted numerous advisory and brokerage firms with structuring and registration.
  • Assisted an issuer in its IPO to avoid the status of an inadvertent investment company.
  • Assisted numerous advisers and funds achieve successful outcomes following state and SEC examinations and enforcement matters.

Securities and Corporate Governance
  • Represented several energy companies with ongoing Exchange Act reporting and capital-raising.
  • Represented a family business in its acquisition of a construction service provider.
  • Assisted a large textile manufacturer with multiple properties, including offshore, with a significant acquisition and subsequent sale of the entire business.
  • Assisted an energy company in multiple rounds of capital-raising.
  • Assisted an entertainment company in multiple rounds of capital-raising and exploration of a potential sale of the business.
eAlerts Updates
January 26, 2021
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With Administrative Actions Increasing, It's Time to Review Compliance Programs
Investment News
February 2012
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Changes Imposed on Missouri Asset Managers by Dodd-Frank
St. Louis Bar Journal
March 2011
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Implementing Dodd-Frank: SEC Proposes Rules for "The Switch"
white paper
January 2011
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General Corporate Actions and Operations
Missouri Corporate Organization and Operation; MoBar
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