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Zachary D. Furnald

Counsel

New Jersey
T: +1 862.926.2791 F: +1 973.597.2400 zfurnald@lowenstein.com
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  • EXPERIENCE
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Zachary Furnald focuses his practice on corporate law and securities law, with an emphasis on investment adviser regulation, fund formation, and transactional representation. Applying his knowledge of the Investment Advisers Act of 1940 and other federal and state securities laws, he works side-by-side with clients’ executives and other legal, compliance, operations, and business personnel to support successful business initiatives and mitigate regulatory risk.

Zach’s experience includes the representation of emerging and established investment advisers across the investment management industry, including private fund managers, wealth managers, financial planners, and fintech platforms. In addition to investment advisers, he has also represented family offices, broker-dealers, commodity pool operators, commodity trading advisors, and other financial industry service providers.

In investment adviser regulatory matters, Zach helps investment managers navigate SEC and state registration requirements and exemptions and associated compliance requirements. He prepares (and helps implement) written policies and procedures, and guides investment managers undergoing examinations and enforcement investigations. He drafts a range of disclosure documents and regulatory filings, including Form ADV, Form CRS, Form PF, Form U4, Form U5, Schedule 13D, Schedule 13G, Form 13F, Form 13H, and Treasury International Capital (TIC) and Bureau of Economic Analysis (BEA) filings. He also reviews investment adviser advertisements, including actual and hypothetical performance presentations.

In fund formation matters, Zach advises private fund managers, sponsors, and platforms in the structuring, marketing, formation, and governance of onshore and offshore funds, such as venture capital funds, private equity funds, and hedge funds. His work in this area includes initial and ongoing advice related to the private offering of such vehicles in accordance with exemptions from securities registration under the Securities Act of 1933 and state blue sky laws, as well as exemptions from investment company registration under the Investment Company Act of 1940.

In transactional matters, Zach conducts regulatory due diligence of investment managers being acquired by national wealth management firms, aggregators, and other investors, whom he also counsels on associated regulatory and corporate matters. His work in this area also includes drafting and negotiating private fund and managed account investment management and sub-advisory agreements, placement agent agreements and other solicitation agreements, and vendor agreements, among other commercial contracts.

Prior to joining Lowenstein Sandler, Zach managed investment adviser compliance programs as an outsourced chief compliance officer and compliance consultant. He also served an associate at a boutique securities law firm focused on the independent wealth management industry.

 

  • Represented Cerity Partners in merger with AJ Wealth Strategies LLC, a New York-based investment and wealth management firm.
  • Represented Cerity Partners in merger with Gamble Jones Investment Counsel, a California-based investment and wealth management firm managing roughly $1.8B in client assets.
  • Represented Cerity Partners in merger with Ashfield Capital Partners, LLC, a San Francisco-based investment and wealth management firm that manages approximately $1.9B in assets.
  • Represented Cerity Partners in merger with ARGI Financial Group LLC, a Kentucky-based investment and wealth management firm that oversees $4.8B in assets.
  • Represented Cerity Partners in merger with Maryland Capital Management, LLC, an investment and wealth management firm.
  • Represented Cerity Partners in merger with Covington Capital Management, an investment and wealth management firm that manages approximately $1.9B in assets.
  • Represented Cerity Partners in merger with Round Table Services LLC, a California-based investment and wealth management firm.

Education

  • Washington & Lee University School of Law (J.D. 2015)

    Franklin & Marshall College (B.A. 2010)

Admissions

  • New York
  • New Jersey

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