MAURICE COLLADA III

PARTNER

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Maurice Collada is deputy chair of Kleinberg Kaplan’s Private Funds & Investment Management Practice Group. Maurice is a trusted advisor to private fund investment managers, guiding them through every stage of their business—from launch and growth to strategic expansion and ongoing compliance. Known for his deep market knowledge and practical, solution-oriented advice, Maurice is committed to helping clients build, grow and protect a successful, compliant and sustainable private fund and investment management business.

Practices

About

With a focus on closed-end and hybrid private fund formation and structuring, Maurice represents a diverse range of clients, including emerging managers and established firms overseeing billions in assets across all strategies. He has significant experience in forming all private investment vehicle structures, including vehicles of high degrees of customization. Beyond formation and structuring, Maurice advises private fund investment managers in all aspects of their business, including structuring management companies, navigating intricate commercial or regulatory issues, designing tailored compliance frameworks, and negotiating strategic investor, seed capital and/or joint venture arrangements. His long-term approach allows him to anticipate the downstream impact of early operational decisions, making him an invaluable partner for managers aiming for lasting success.

Maurice also has significant experience with insurance dedicated funds, including launching these specialized investment products, creating related compliance policies and procedures and negotiating with the platform providers and insurance carriers integrally involved in these vehicles.

Education

Fordham University School of Law (J.D., magna cum laude, 2010)

Fordham Law Review

University of Miami (B.S., 2006)

Bar Admissions

2011, New York

Accolades

Order of the Coif

Speaking Engagements

Legal Landscape 

Co-Presenter, SALI Fund Services Fall Private Placement Conference, November 2024

Key Regulatory Considerations for Emerging Managers Before SEC Registration

Presenter, EMex Americas: The Emerging Manager Exchange, October 2024

A Thought on New Private Fund Rule & IDF Trends

Presenter, SALI Fund Services Fall Private Placement Conference, November 2023

Some Key Compliance Matters in Light of Recent Regulatory Changes Before SEC Registration

Presenter, EMex Americas: The Emerging Manager Exchange, October 2023

IDF Panel Discussion

Co-Presenter, SALI Fund Services Fall Private Placement Conference, November 2022

Drafting Joint Venture Agreements, including Keys to Structuring Real Estate and Construction Deals

Co-Presenter, American Law Institute Continuing Legal Education, January 2021

IDF Panel Discussion

Co-Presenter, SALI Fund Services Fall Private Placement Conference, November 2019

Publications

Practical Considerations of Insurance Dedicated Funds

Wells Fargo Prime Services Business Consulting Quarterly Report, March 2019

Insights

Regulation S-P Amendments Compliance Date Approaching: Prompt Action Required

 November 26, 2025

On May 16, 2024, the SEC adopted amendments to Regulation S-P (the “Amendments”) and significantly overhauled customer data protection by enhancing protections for sensitive data of customers of certain financial institutions, including registered investment advisers. Registered investment advisers with $1.5 billion or more in assets under management (“Larger RIAs”) are required to comply with the Amendments by December…

General Solicitation at a Lower Cost: SEC No-Action Letter Eases Accredited Investor Verification for Rule 506(c)

 March 25, 2025

On March 12, 2025, the Division of Corporation Finance of the U.S. Securities and Exchange Commission (“SEC”) issued a no-action letter (the “No-Action Letter”) which clarifies that issuers may generally rely on certain minimum investment levels — principally $200,000 for natural persons and $1 million for legal entities — and related investor representations to verify…

17 Kleinberg Kaplan Attorneys Named as 2023 Super Lawyers or Rising Stars

 September 27, 2023

We are pleased to announce that 17 of the firm’s attorneys were selected for inclusion in the 2023 edition of Super Lawyers®, a national legal ranking. Attorneys were nominated by their peers and recognized for their outstanding professional achievement in several legal practice areas, including business litigation, estate & probate, mergers & acquisitions, real estate, securities…

Kleinberg Kaplan Recognized in Latest Edition of The Legal 500: United States

 June 14, 2023

Premier boutique law firm Kleinberg Kaplan was recognized in the latest edition of The Legal 500: United States for its Hedge Funds and Investor Activism practices. The Hedge Funds practice was praised for its “thorough and practical advice, efficiency in getting projects done, and competitive rates.” As one client stated, “KKWC has been demonstrating an outstanding ability to…

Private Fund Managers Must Prepare For Greater Scrutiny and Transparency Regarding Affiliated Service Provider Arrangements

 June 13, 2023

Proposed SEC Rule and Examination Priorities Target “Problematic Compensation Schemes” and “Opaque Reporting Practices” Private fund managers – especially managers of real estate, private equity, and private credit funds – have increasingly used affiliated service providers to perform various tasks for their funds or portfolio companies. Such tasks include asset-level due diligence, loan servicing, property…

Action Items for Advisers prior to Marketing Rule Going Live

 October 12, 2022

The Securities and Exchange Commission (“SEC”) adopted sweeping amendments to the rules that govern advertising by investment advisers and payments to solicitors under the Investment Advisers Act of 1940, as amended (“Advisers Act”). These amendments combined the prior rules governing advertising and paid solicitation into a single revised Rule 206(4)-1 (the “Marketing Rule”).1 All investment advisers registered,…

18 Kleinberg Kaplan Attorneys Named as 2022 Super Lawyers or Rising Stars

 September 29, 2022

We are pleased to announce that 18 of the firm’s attorneys were selected for inclusion in the 2022 edition of Super Lawyers®, a national legal ranking. Attorneys were nominated by their peers and recognized for their outstanding professional achievement in several legal practice areas, including business litigation, estate & probate, mergers & acquisitions, real estate,…

Asset Managers Who Prepare for Increased Transparency on DEI May See Big Returns

 September 29, 2022

Getting out ahead of mandatory standards could bring organizational improvements and boost assets under management Within an asset management firm’s website may be a page that signals its commitment to diversity, equity, and inclusion (“DEI”) in ownership, leadership, employment and even investing practices. The commitments and aspirations are both admirable and responsive to the increased…

Historic Regulatory Shake-up for the Private Funds Industry

 April 7, 2022

In recent months, the U.S. Securities and Exchange Commission (the “SEC”) has introduced a wave of proposals amounting to approximately 1,100 pages of new and amended rules that will significantly impact the private funds industry, likely subjecting it to an unprecedented degree of regulation. Many of these proposed rules would apply to all private fund…

15 Kleinberg Kaplan Attorneys Named as 2020 Super Lawyers or Rising Stars

 November 17, 2020

We are pleased to announce that 15 of the firm’s attorneys were selected for inclusion in the 2020 edition of Super Lawyers®, a national legal ranking. Attorneys were nominated by their peers and recognized for their outstanding professional achievement in several legal practice areas including business/corporate, business litigation, estate & probate, mergers & acquisitions, real estate,…

SEC Expands the Definition of Accredited Investors: Action Required

 November 9, 2020

On August 26, 2020, the Securities and Exchange Commission (the “SEC”) adopted previously proposed amendments (the “Amendments”) that expand the definition of “accredited investor” (or “AI”) applicable to private placements under Regulation D, and the definition of “qualified institutional buyer” (or “QIB”) under Rule 144A, each under the Securities Act of 1933, as amended (the…

Kleinberg Kaplan Praised as ‘Wall Street’s best-kept secret’ in Latest Edition of The Legal 500: United States

 June 23, 2020,

Premier boutique law firm Kleinberg Kaplan was recognized in the latest edition of The Legal 500: United States for its Investment Funds practice. The firm’s work on behalf of the world’s leading hedge funds and alternative investment funds was praised as “Wall Street’s best-kept secret.” Client testimonials lauded the “impressive” capabilities of the group’s lawyers and…

SEC OCIE Issues Guidance on Investment Advisers’ Recordkeeping Requirements for Electronic Messaging

 January 15, 2019,

On December 14, 2018, the Office of Compliance Inspections and Examinations (“OCIE“) of the Securities and Exchange Commission (the “SEC“) issued a risk alert (the “Risk Alert“)[1] to remind SEC-registered investment advisers (“RIAs“) of their obligations when their personnel use electronic messaging, such as text messages, instant messaging, personal email or messaging apps, and to…