David W. Blass

David W. Blass is a partner and a leading regulatory attorney in the asset management and investment funds industry. He advises asset managers, registered funds, and broker-dealers on complex regulatory, compliance, and enforcement matters, drawing on deep experience with federal securities laws and evolving regulatory expectations.

David earned his Juris Doctor from Columbia Law School and holds a Bachelor of Arts from the University of Alabama. His legal education provides a strong foundation for advising clients on sophisticated regulatory frameworks governing investment advisers, registered funds, and financial market participants.

David has significant experience advising on innovative registered fund products and matters involving asset management transactions. His work includes regulatory aspects of mergers and acquisitions, fund reorganizations, and strategic initiatives that require careful alignment with federal securities regulations and disclosure requirements.

A substantial portion of David’s career was spent in senior leadership roles within the regulatory community. He previously served as General Counsel of the Investment Company Institute. He held multiple senior positions at the U.S. Securities and Exchange Commission, including Chief Counsel and Associate Director in the Division of Trading and Markets.

In these roles, David oversaw broker-dealer regulation, advised on implementing the Dodd-Frank Act, and led regulatory oversight of registered investment advisers, including advisers to private funds. This background enables him to provide clients with practical insight into regulatory priorities and enforcement perspectives.

Throughout his career, David W. Blass has helped clients anticipate regulatory developments, respond effectively to examinations and investigations, and structure compliant business strategies. His approach emphasizes clear guidance, strategic foresight, and risk management, allowing clients to operate confidently within a highly regulated financial services environment.

Law Office Affiliations

• Partner, Simpson Thacher & Bartlett LLP
• Member, District of Columbia Bar Association
• Member, New York State Bar Association
• Member, American Bar Association

Licensed State

• District of Columbia
• New York
• Massachusetts (pending)

Education

• Columbia Law School
  Juris Doctor (JD)
• University of Alabama
  Bachelor of Arts (BA)

Awards & Badges