Kimberly Karcewski Vargo

Kimberly Karcewski Vargo advises registered investment companies, independent directors of registered investment companies, and investment advisers on regulatory, compliance and governance matters.

She also counsels her clients on transactional matters involving affiliated investment company reorganizations, fund adoptions involving third-parties, and changes of control involving investment advisers and distributors.

Kimberly takes a collaborative approach in helping her clients navigate the complexities of an ever-changing registered fund industry. She has significant experience advising clients on matters related to the registration and ongoing regulatory requirements of open-end funds, traditional closed-end funds, interval funds, tender offer funds, and ETFs. Her experience includes advising clients on the nuances specific to registered funds offered through insurance products and interacting with the staff of the SEC on behalf of clients regarding registration and other regulatory matters.

Especially known for advising fiduciaries of registered investment companies, Kimberly counsels boards and their independent directors on their fiduciary duties, conflicts of interest and corporate governance matters. She provides a practical perspective gained through her years of practicing in the registered fund industry representing many different types of funds and boards.