Firms should review their employment related agreements to determine if any changes are necessary. In September 2023, the SEC issued orders against each of D.E. Shaw & Co., L.P. (“D.E. Shaw”), CBRE, Inc. (“CBRE”) and Monolith Resources LLC (“Monolith”) in connection with provisions in their separation agreements and other employment-related documents that violated Rule 21F-17…
ERIC S. WAGNER
PARTNER
As chair of Kleinberg Kaplan’s Private Funds & Investment Management Practice Group, Eric Wagner provides comprehensive legal advice to both start-up and seasoned private funds and investment advisers.
Practices
About
Described by clients as “extremely knowledgeable, practical and responsive” (Chambers USA 2023), Eric is a long-time, trusted advisor to many firm clients, counseling them on a wide array of legal, regulatory and strategic issues affecting private funds and their sponsors. Eric represents all types of private funds across many different investment strategies including hedge funds, credit funds, venture funds, commodity pools and real estate funds, and has extensive experience working with multi-manager platforms and multi-family offices. He advises first-time fund sponsors, as well as pioneers in the industry, on structuring, fundraising, investment adviser registration, compensation and securities law matters.
Eric also regularly counsels both private fund sponsors and portfolio managers on employment matters and succession planning, including drafting and negotiating upper-tier management company ownership agreements, executive employment and severance agreements, and succession plans.
Eric has been widely recognized as a leading lawyer in the private funds industry. He is listed among the top hedge fund lawyers by Chambers USA, IFLR1000 – The Guide to the World’s Leading Financial Law Firms, Who’s Who and Best Lawyers.
Eric speaks frequently about the regulation of private funds at major industry conferences such as the Maples Investment Funds Forum, MFA West and the International Bar Association Conference on Private Investment Funds.
Education
New York University School of Law (J.D., 1995)
New York University Review of Law & Social Change, Staff Editor
Cornell University (B.S., 1992)
Bar Admissions
2019, Supreme Court of the United States
1997, New York
Speaking Engagements
The Global Regulatory Landscape
Maples Investment Funds Forum, February 2023
Re-invention of the Hedge Fund Space
Speaker, Maples Investment Funds Forum, February 2020
Regulation Update and Impact: What’s in Store?
Speaker, Private Investment Fund Tax and Accounting Forum, Financial Research Associates, November 2019
Diversification of Fund Manager Strategies
Speaker, IBA International Conference on Private Investment Funds, March 2019
ABA/IBA International Conference on Private Investment Funds, March 2016
Maples Investment Funds Forum, February 2011, February 2013 and February 2016
KPMG Seminar on Hedge Fund Startups, October 2014
Alpha Hedge East Conference, February 2013
J.P. Morgan Seminar on “Managing Your Hedge Fund Business in an Effective and Compliant Manner, June 2011
UBS Prime Brokerage CFO/COO Conference, September 2006, October 2007, April 2010
Goldman Sachs Prime Brokerage Conference, May 2009
Banc of America Prime Brokerage Services Sixth Annual Southwest CFO/COO Summit, May 2008
GAIM USA Hedge Fund Conference, January 2006
Foundation for Accounting Education Investment Partnership Conference, 2004 and 2005
Insights
SEC Charges Firms for Violating Whistleblower Protection Rules in Employment Agreements, Separation Agreements and Releases
October 13, 2023Client AlertsKleinberg Kaplan Attorneys Recognized by Best Lawyers®
August 17, 2023Firm NewsPremier boutique law firm Kleinberg Kaplan has been recognized by Best Lawyers®. Seven attorneys from the firm were listed in the 30th edition of The Best Lawyers in America,® and in the fourth edition of the Best Lawyers: Ones to Watch® in America. The Best Lawyers in America® 2024 Philip Gross (Tax Law) Jeffrey B. Kolodny (Trusts & Estates) James R.…
Kleinberg Kaplan’s Private Funds & Investment Management and M&A Groups Recognized in 33rd Edition of IFLR1000
July 13, 2023Firm NewsThe 33rd edition of IFLR1000 named Kleinberg Kaplan among the leading U.S. law firms providing exceptional service across 170 national jurisdictions for Hedge Funds and M&A. Ranked as a Tier 3 law firm for Investment Funds: Hedge Funds in the United States and as an Other Notable Law Firm for its M&A practice, Kleinberg Kaplan is one…