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Stephen M. Schultz

551 Fifth Avenue
New York, New York 10176
Direct dial:
(212) 880-9840 sschultz@kkwc.com

Practice Areas

Steve Schultz focuses on counseling clients in the investment management and financial services businesses, including investment advisors (registered and unregistered), portfolio managers, securities and commodities traders, investment funds engaging in a variety of investment activities and trading strategies, broker-dealers and underwriters. Steve structures and forms private investment funds and related management companies, serves as outside general counsel to investment funds and investment advisors, represents clients in a variety of corporate, securities and finance transactions, and provides real-time advice to persons engaged in active trading of securities positions.

1975, New York

New York University School of Law (LL.M. in Taxation, 1981; J.D., 1974)
State University of New York at Stony Brook (B.S., cum laude, 1971)

New York City Bar Association (Securities Regulation Committee, 2005 -)
American Bar Association (Section on Corporation, Banking and Business Law)
New York County Lawyers' Association (Committee on Securities and Exchanges, 1978-1980)

Co-Author, "Lessons Learned from the Rajaratnam Case," Absolute Return + Alpha, May 2011

"An Update on Hedge Funds," Business Law Today, September/October 1997 at 58

"Steps for Organizing a Broker Dealer," Private Asset Management, January 27, 1997 at 11

"Handling Hedge Funds-Navigating the Regulatory Maze," Business Law Today, May/June 1996, at 54

"Watch Out for Commodities Law Compliance," Private Asset Management, December 18, 1995, at 9

"Performance-Based Fees Under the Investment Advisers Act of 1940," The Business Lawyer, February, 1984


SAC and Cuban change little for most managers
HedgeFund Intelligence, November 2013