Dee Anne Sjögren serves as a counselor to private fund managers with respect to fund formation, fund management and regulatory compliance issues arising under the Investment Advisers Act of 1940, the Investment Company Act of 1940 and SEC Regulation D under the Securities Act of 1933. She has significant experience creating 3(c)(1) and 3(c)(7) private investment funds, as well as 3(c)(5) private real estate funds and private REITs. Her private fund clients include private equity, private credit, venture capital and private real estate funds, hedge funds and funds of funds.
Dee Anne also serves as a counselor to open end mutual funds and their investment advisers, and she regularly serves as independent counsel to the independent trustees of fund clients. Dee Anne assists clients in organizing and registering investment companies as either standalone or multi-series trusts, as well as preparing board materials and conducting executive sessions of independent trustees. She also provides ongoing regulatory advice to fund managers and their chief compliance officers.
Dee Anne’s practice includes advising institutional investors, including corporate and government pension plans, insurance companies, family offices and foundations, in negotiating alternative investments — including private equity, private credit, venture capital and hedge funds, and other private funds. She assists clients by negotiating subscription agreements and side letter agreements with private fund managers, as well as reviewing and negotiating separate account investment management agreements with investment managers, ISDA agreements and schedules, and securities lending and repurchase agreements with banks and other counterparties.
District of Columbia
Tulane University Law School
B.A. in Communication Studies (1990)
Insights & Events
- Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts webinar
Speaker, NRS IAA Symposium, August 2022
Leadership & Community
- Compagnons du Vin Society
- Ladue Chapel, Deacon
- Financial Planning Association of Missouri/South Illinois, board member, 1997- 2010
- Best Lawyers® — Mutual Funds Law, 2009-23
- St. Louis Business Journal — 40 Under 40, 2008
- St. Louis Business Journal — Best Mutual Fund Lawyer, 2009 – Present
- St. Louis Business Journal — “Women in the Law” Top Peer-Nominated Lawyers, 2022
No aspect of these recognitions has been approved by the highest court of any state.