Practices
Kevin Neubauer is a partner in the Investment Management Group at Seward & Kissel LLP. Kevin has extensive experience representing sponsors and managers of private investment funds, particularly private equity funds, private credit funds, venture capital funds and hedge funds, on the formation, structuring and offering of interests of such funds. He also has significant experience structuring domestic and offshore partnerships and other types of investment vehicles, including special purpose vehicles, co-investment vehicles, separately managed accounts and funds-of-one. Kevin frequently counsels investment advisers on fund restructurings, capital raising, and fund regulation and compliance, including Hart-Scott-Rodino compliance. He joined the Firm in 2009 and in 2012 went on to serve as in-house counsel in the legal department of a large private equity firm before returning to Seward & Kissel.
In 2020, Kevin was named to Private Debt Investor’s (PDI) 2020 Rising Stars list. The list recognizes industry figures who PDI believes have the potential to shape the future of the private debt asset class. Kevin was also recently named a “Rising Star” in the Private Equity Fund practice area by the International Financial Law Review. This category recognizes young partners who work on complex private equity deals and are highly recommended by their clients and peers.
Mr. Neubauer received a B.A. from Fairfield University and a J.D. from Boston College Law School.
Publications
- Co-authored, “SEC Proposes Improvements to EDGAR Filer Access and Account Management,” Seward & Kissel (October 3, 2023)
- Co-authored, “SEC Sweep into Marketing Rule Violations Results in Charges Against Nine Investment Advisers,” Seward & Kissel (October 3, 2023)
- Co-authored, “Seward & Kissel Releases Second Edition of SPV Snapshot Report,” Seward & Kissel (September 20, 2023)
- Co-authored, “FTC and DOJ Propose Sweeping Changes to HSR Requirements,” Seward & Kissel (September 20, 2023)
- Co-authored, “Compliance Dates for Final Rules Regarding the Regulation of Private Fund Advisers,” Seward & Kissel (September 18, 2023)
- Co-authored, “SEC Charges FinTech Investment Adviser with First Violation of the Marketing Rule and Additional Compliance Violations,” Seward & Kissel (September 11, 2023)
- Co-authored, “Seward & Kissel Releases Third Edition of SMA Snapshot Report,” Seward & Kissel (September 6, 2023)
- Co-authored, “The SEC Adopts Final Rules Regarding the Regulation of Private Fund Advisers,” Seward & Kissel (August 25, 2023)
- Co-authored, “SEC Enforcement of Off-Channel Communications Continues – New Series of Firms Charged with Penalties Totaling $289 Million,” Seward & Kissel (August 16, 2023)
- Co-authored, “The Modern De-SPAC and a Way Forward,” Seward & Kissel (July 27, 2023)
- Co-authored, “Expiration of SEC Staff’s No Action Letters Providing Relief to Broker-Dealers Providing MiFID II Requirements Research,” Seward & Kissel (July 17, 2023)
- Co-authored, “Seward & Kissel’s Established Manager Hedge Fund Study,” Seward & Kissel (June 20, 2023)
- Co-authored, “2022 Seed Transactions Deal Points Study,” Seward & Kissel (June 7, 2023)
- Co-authored, “Seward & Kissel’s 2022 New Manager Hedge Fund Study,” Seward & Kissel (May 17, 2023)
- Co-authored, “Building a Scalable Hedge Fund Business,” Seward & Kissel (April 19, 2023)
- Co-authored, “Off-Channel Communications: Action Items for Advisers,” Seward & Kissel (March 16, 2023)
- Co-authored, “SEC Division of Examinations Announces 2023 Priorities,” Seward & Kissel (February 22, 2023)
- Co-authored, “New HSR Filing Thresholds and Fee Schedule,” Seward & Kissel (January 26, 2023)
- Co-authored, “Seward & Kissel’s Investment Management 2022 Year in Review,” Seward & Kissel (January 13, 2023)
- Co-authored, “SEC Updates FAQ Regarding Marketing Rule Compliance – Displays of Gross and Net Performance,” Seward & Kissel (January 12, 2023)
- Co-authored, “Memo to Clients 2023 – Annual Reminders,” Seward & Kissel (January 4, 2023)
- Co-authored, “Merger of TIC Form S into Revised TIC Form SLT,” Seward & Kissel (December 12, 2022)
- Co-authored, “SEC Proposes New Oversight Requirements for Certain Services Outsourced by Investment Advisers,” Seward & Kissel (November 30, 2022)
- Co-authored, “Seward & Kissel Releases 2021/2022 Hedge Fund Side Letter Study,” Seward & Kissel (October 25, 2022)
- Co-authored, “New York City Implements Pass-Through Entity Tax for 2022,” Seward & Kissel (October 19, 2022)
- Co-authored, “Introducing the SPV Snapshot Report,” Seward & Kissel (October 12, 2022)
- Co-authored, “New Marketing Rule: One Month Away from the Compliance Date,” Seward & Kissel (October 4, 2022)
- Co-authored, “Wealth Management Firm Charged with S-P Violations for Failing to Properly Dispose of its Hard Drives,” Seward & Kissel (October 4, 2022)