Joel Goldberg is one of eight corporate partners and counsel with principal responsibility for our ongoing representation of nearly 850 mutual funds, closed-end funds, ETFs and business development companies (or their independent board members), as well as investment advisers and other industry service providers. Our clients represent over $1.4 trillion in assets under management (over 7.5% of U.S. investment company assets) that reside in approximately 30 different fund complexes, many of which are household names (e.g., Dreyfus, iShares, Lazard, Legg Mason) or managed by industry leaders within their asset classes or investment strategies (e.g., Apollo, BlackRock, Harding Loevner, Macquarie, Third Avenue, UBS A&Q).
He has over 30 years' experience advising mutual funds, as well as mutual fund management teams and independent directors. Mr. Goldberg has particular experience in the areas of mutual fund regulation and investment adviser regulation. He regularly advises clients on complex questions relating to distribution, including issues arising under Rule 12b-1.
He has lectured frequently and participated in many panels on these and related subjects.
Before joining Stroock, Mr. Goldberg was a partner at Willkie Farr & Gallagher LLP and Shearman & Sterling LLP. He also has 13 years' experience in various government positions, including his tenure as Director of the Securities and Exchange Commission’s Division of Investment Management.