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Dee Anne Sjögren

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  • Overview
  • Affiliations
  • Civic Involvement
  • Clients
  • Honors
  • Publications
  • Speeches

Dee Anne focuses her practice on representing registered investment companies in public offerings, including preparation of SEC registration statements and advice with respect to regulatory, compliance and enforcement issues. She has substantial experience in creating 3(c)(1) and 3(c)(7) private investment funds and funds of hedge funds.

She also represents pension plans, retirement systems and foundations in negotiating institutional investments in private hedge funds and other private funds that invest in derivatives, real estate, venture capital, leveraged buy-outs and distressed debt. Her practice also includes representing financial planners, investment advisers and broker-dealers regarding SEC, FINRA and state registration, regulatory, compliance and enforcement matters.

American Bar Association
The Missouri Bar Association
The District of Columbia Bar Association
Financial Planning Association of Missouri/S. Illinois
Board Member (April 1997-Present)
Compagnons du Vin Society
Acropolis Concentrated Risk, L.P.
Baylor Health Care
Builders Fixed Income Fund, Inc.
Capital Directions Investment Advisors, LLC
The Cleveland Clinic Foundation
Harcourt Capital, L.P.
Kennedy Capital Management, Inc.
Missouri State Employers’ Retirement System
Moneta Group Investment Advisors, Inc.
Plancorp, Inc.
Plaza Financial Advisors, Inc.
Public School Retirement System
Unified Series Trust (Family of 34 mutual funds)
Yield Quest Family of Funds
Listed in The Best Lawyers in America® 2009-2012 (Copyright 2011 by Woodward/White, Inc., of Aiken, S.C.)
2008 St. Louis Business Journal "40 Under 40" Award Winner
Author, “Limits on Mutual Funds’ Use of Hedging Strategies and Derivatives” The Investment Lawyer (December 2005)
Author, “10 Practical Tips for Representing Mutual Fund Trustees” The Investment Lawyer (July 2005)
Author, “Securities Law Aspects of Corporate Reorganizations” Missouri Bar CLE Handbook, Summer 1997 (updated, Summer 2001)
Author, “An Ounce of Prevention: Conducting a Regulatory Compliance Audit” The Investment Lawyer, Vol. 3, No. 8, pp.6-11 (November 1996)
Author, “CyberFinancing: Prophesy of the Future or Pie in the Sky?” Kirkpatrick & Lockhart LLP Business Law Update, pp.1-4 (Summer 1996)
Author, “State Law Issues: Investment Adviser and Broker-Dealer State Registration” presented at The Boston Company Investment Management Compliance Seminar in Boston, MA (June 10, 1996)
Author, “Dealing with State Securities Regulators” Securities & Commodities Regulation, Vol. 28, No. 20, pp. 203-214 (November 22, 1995)
"Regulatory Reform & Capitol Hill Update" CFA Society (May 2010)
"Regulatory Reform, Code of Ethics and Pay to Play Proposal", Investment Adviser Association Compliance Workshop/Dallas, TX (November 19, 2009)
"Gain Control Over Your Practice: Rainmaking Techniques for Women", presented at BAMSL/Women in the Legal Profession Section (February 24, 2009)
“The New SEC: Rules, Regulations and Enforcement in a Post-Enron/WorldCom World” presented at the Missouri Bar Annual Meeting in Kansas City, MO (September 13, 2002)
Dee Anne Sjögren
Tulane Law School
J.D., magna cum laude (1993)
Order of the Coif
Moot Court Board
Vanderbilt University
B.A., magna cum laude (1990)
Phi Beta Kappa
Thompson Coburn LLP
Partner (2002-Present)
Associate (1997-2001)
Peper, Martin, Jensen, Maichel and Hetlage (St. Louis, MO)
Associate (1996-1997)
Kirkpatrick & Lockhart LLP (Washington, D.C.)
Associate (1993-1996)
Missouri (1997)
District of Columbia (1994)