- Counsel to registered investment companies, and their boards or investment advisers, on organization, registration, disclosure, compliance, and operational issues.
- Counsel to a variety of public and private companies on investment company status issues under the securities laws.
- Counsel to interval funds in registering their initial public offerings and ongoing regulatory and compliance matters.
- Counsel to registered 1940 Act tender offer closed-end funds on initial structuring matters and in their initial public offerings and ongoing regulatory and compliance matters.
- Counsel to master-feeder fund structures and fund structuring matters.
- Counsel to registered 1940 Act investment funds on compliance and regulatory matters.
- Represented the first-ever public, non-listed business development company (BDC) in its initial public offering.
- Counsel to non-listed BDCs registering over $15 billion in their initial public offerings and follow-on offerings.
- Represented the founders on the establishment of a new asset management business and the formation and capitalization of private equity funds, including the formation and capitalization of international co-investment funds.
- Represented public and private mortgage investment funds on fund formation and securities offering matters, as well as ongoing compliance matters.
Partner,
- Phone: +1 404 881 4932
- Email: martin.dozier@alston.com
Martin’s broad experience advising public and private investment funds on complex securities and structuring matters includes more than $30 billion in capital-raising transactions. An active participant in investment management organizations and a frequent speaker, he provides insight to fund sponsors and investment management companies seeking to structure innovative investment fund offerings.
- Represented registered 1940 Act investment funds on the application for and granting of co-investment exemptive orders by the SEC.
- Represented registered investment advisers on regulatory exams and investigations.
- Represented the investment advisers to BDCs in structuring investments in potential portfolio companies.
- Represented publicly registered and privately offering real estate funds, including mortgage real estate investment trusts.
- Counsel to a variety of broker-dealers on the retail distribution of securities, including structuring of programs through which securities are offered, particularly for BDC shares and registered fund shares.
- Organized broker-dealers and represented numerous broker-dealers in continuing membership applications with FINRA.
Martin Dozier is a partner in the Investment Funds Group. He focuses on representing closed-end registered investment companies, including interval funds, and business development companies (BDCs) regulated under the Investment Company Act of 1940. He focuses on alternative investment vehicles, including public and private investment funds and real estate investment trusts (REITs), and counsels clients in the intricate requirements governing these vehicles under the Investment Company Act of 1940 and Investment Advisers Act of 1940. Martin also advises on a wide range of fund products, including traditional private equity funds, hedge funds, real estate funds, credit funds, and customized investment vehicles.
Martin represents some of the largest BDC fund sponsors and advises on a broad range of matters, including fund formation, public securities offerings, private placements, mergers and acquisitions, securities regulation, securities law compliance, and corporate governance matters. Martin also counsels broker-dealers on compliance with applicable regulations of the Financial Industry Regulatory Authority (FINRA) in connection with the distribution of securities. Martin has experience negotiating a variety of complex business combinations, including mergers, leveraged buyouts, debt offerings, purchases of stock and assets, sales of divisions, and joint ventures.
Martin is a frequent speaker at national conferences on legal issues relevant to registered 1940 Act investment funds, BDCs, broker-dealer matters, and the investment fund industry generally.
Bar Admissions
- Georgia
Education
- University of Georgia (J.D., 2001)
- Georgia Institute of Technology (B.S., 1998)
Memberships
- CFA Institute’s Claritas® Investment Certificate