Gloria Liu counsels investment advisers, investment companies and their boards of directors on matters arising under the federal securities laws, particularly the Investment Company Act of 1940. Gloria has experience advising clients on a variety of investment management and securities law matters, including fund formation and the ongoing operations and compliance of investment companies; preparation of various securities filings for open- and closed-end funds; initial public offerings and secondary offerings for listed closed-end funds; the negotiation of fund agreements, service provider contracts and platform agreements; SEC exemptive relief; and other matters such as fund mergers and acquisitions, closed-end fund tender offers and preparing proxy statements. Gloria has extensive experience in the closed-end fund space.

Prior to law school, Gloria was a corporate accountant at a Pennsylvania-based registered investment adviser.

Personal Interests

Gloria enjoys exploring new restaurants, traveling and working out.


Bar Admissions



Duke University School of Law
J.D. Duke Journal of Gender Law and Policy (2018)

Drexel University
B.S. summa cum laude (2014)

Insights & Events

Leadership & Community

Civic Activities

  • Duke University School of Law - Philadelphia Alumni Chapter – Board Member


  • Faegre Drinker — Pro Bono Honor Roll, 2023
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