Thomas S. Harman represents investment advisers (both publicly and privately held), mutual funds, closed-end funds, business development companies, and private investment funds. In so doing, he advises them on a variety of legal and compliance issues. Tom represents the board of directors of several fund families. He also advises issuers with respect to the availability of exemption from the Investment Company Act of 1940.
Tom previously served as chief counsel and then associate director (chief counsel) of the Securities and Exchange Commission’s (SEC) Division of Investment Management.
A frequent speaker on investment management issues and the author of numerous articles on industry issues, Tom taught in the securities law program at the Georgetown University Law Center for more than a decade. He serves as co-planning chair of the Annual ALI-CLE Course on Investment Company Regulation and Compliance, and is on the Advisory Board of the ALI-CLE.
Based on feedback from clients, peers, and other industry professionals, Chambers USA has named Tom a leading US lawyer for investment management for the past eight years. Chambers noted that Tom is “a strong player” and that he is respected for “innovative and thoughtful work, coupled with encyclopedic knowledge.”
Duke University, 1979, Bachelor of Arts
Georgetown University Law Center, 1988, Master of Laws
University of Virginia School of Law, 1982, Juris Doctor
District of Columbia
Awards and Affiliations
Member, Practice Group of the Year, Asset Management, Law360 (2017)
Leading Lawyer, Investment fund formation and management: Mutual/registered/exchange-traded funds, The Legal 500 US (2019)
Leading Lawyer, Investment fund formation and management - Mutual/registered funds, The Legal 500 US (2009–2012, 2014–2016, 2018)
Recognized, Litigation – Securities, Washington, DC, The Best Lawyers in America (2008–2020)
Recognized, Mutual Funds Law, Washington, DC, The Best Lawyers in America (2008–2020)
Recognized, Securities/Capital Markets Law, Washington, DC, The Best Lawyers in America (2008–2020)
Recognized, Securities Regulation, Washington, DC, The Best Lawyers in America (2008–2020)
Ranked, Investment Funds: Registered Funds, USA, Chambers Global (2020)
Ranked, Investment Funds: Registered Funds, Nationwide, Chambers USA (2004–2019)
Recognized, TheLegal 500 Hall of Fame (2017)
Recognized, Who’s Who Legal (2016)
Recognized, Washington, DC Super Lawyers (2008–2011, 2013–2014)
Listed, PLC Which Lawyer? Yearbook, Recommended, Investment Funds (2008)
“Guide to the World’s Leading Investment Funds Lawyers” — International Financial Law Review/Expert Guides (2008)