Margaret Mudd, a member of the firm’s Corporate Services Group, combines her long-standing mergers and acquisitions practice with deep regulatory experience advising investment advisers to lead investment adviser transactions. Margaret has represented investment advisers acting as buyers or sellers. She also counsels investment advisers and broker-dealers regarding federal and state securities laws, with a focus on regulatory initiatives, compliance programs and general contractual matters.

In addition to her practice focus on the investment adviser industry, Margaret further serves clients with corporate governance, mergers and acquisitions, and securities transactions across a range of other regulated industries, including industrial security.

Investment Adviser and Broker-Dealer Regulation and Compliance

Margaret advises investment advisers and broker-dealers regarding federal and state securities laws, including FINRA rules. She has completed extensive projects for investment advisers and fintech companies regarding Advisers Act Rule 206(4)-2 (the SEC Custody Rule for investment advisers), Advisers Act Rule 206(4)-1 (the recently implemented Marketing Rule) and matters related to Form ADV and Form ADV revisions, disclosure drafting and internal controls. She has also counseled clients regarding a range of Securities and Exchange Act rules and FINRA rules. She is also advising clients regarding currently pending SEC rulemaking that would expand on existing obligations.

Margaret draws from both her regulatory experience and extensive contractual drafting experience to provide both compliance and general business advice to investment advisers, broker-dealers and fintech companies with a range of sizes and business models. 


  • Washington University School of Law  (J.D., magna cum laude, 2014)
    • Top 5%
    • Order of the Coif
  • Truman State University  (B.S., summa cum laude, 2011)
    • Mathematics
    • Honors Scholar


  • Missouri
  • Texas

Professional Activities

  • The Missouri Bar


  • The Best Lawyers in America® Ones to Watch, Mergers and Acquisitions Law (2021-present); Corporate Governance and Compliance Law, Corporate Law (2022-present)


Prior to joining the firm, Margaret was an associate at an international law firm in Houston, Texas, where her practice spanned the areas of securities, mergers and acquisitions and global finance.

Contact Us
  • Worldwide
  • Boston, MA
  • Chicago, IL
  • Denver, CO
  • Dublin, Ireland
  • Edwardsville, IL
  • Jefferson City, MO
  • Kansas City, MO
  • Las Vegas, NV
  • London, England
  • Miami, FL
  • New York, NY
  • Orange County, CA
  • Philadelphia, PA
  • Princeton, NJ
  • Salt Lake City, UT
  • St. Louis, MO
  • Washington, D.C.
  • Wilmington, DE
abstract image of world map
Boston, MA
800 Boylston St.
30th Floor
Boston, MA 02199
Google Maps
Boston, Massachusetts
Chicago, IL
100 North Riverside Plaza
Suite 1500
Chicago, IL 60606-1520
Google Maps
Chicago, Illinois
Denver, CO
4643 S. Ulster St.
Suite 800
Denver, CO 80237
Google Maps
Denver, Colorado
Dublin, Ireland
Fitzwilliam Hall, Fitzwilliam Place
Dublin 2, Ireland
Google Maps
Edwardsville, IL
115 N. Second St.
Edwardsville, IL 62025
Google Maps
Edwardsville, Illinois
Jefferson City, MO
101 E. High St.
First Floor
Jefferson City, MO 65101
Google Maps
Jefferson City, Missouri
Kansas City, MO
2345 Grand Blvd.
Suite 1500
Kansas City, MO 64108
Google Maps
Kansas City, Missouri
Las Vegas, NV
7160 Rafael Rivera Way
Suite 320
Las Vegas, NV 89113
Google Maps
Las Vegas, Nevada
London, England
Royal College of Surgeons of England
38-43 Lincoln’s Inn Fields
London, WC2A 3PE
Google Maps
Miami, FL
355 Alhambra Circle
Suite 1200
Coral Gables, FL 33134
Google Maps
Photo of Miami, Florida
New York, NY
7 Times Square, 44th Floor
New York, NY 10036
Google Maps
New York City skyline
Orange County, CA
19800 MacArthur Boulevard
Suite 300
Irvine, CA 92612
Google Maps
Philadelphia, PA
2005 Market Street
29th Floor, One Commerce Square
Philadelphia, PA 19103
Google Maps
Philadelphia, Pennsylvania
Princeton, NJ
100 Overlook Center
Second Floor
Princeton, NJ 08540
Google Maps
Princeton, New Jersey
Salt Lake City, UT
222 South Main St.
Suite 1830
Salt Lake City, UT 84101
Google Maps
Salt Lake City, Utah
St. Louis, MO
7700 Forsyth Blvd.
Suite 1800
St. Louis, MO 63105
Google Maps
St. Louis, Missouri
Washington, D.C.
1717 Pennsylvania Avenue NW
Suite 400
Washington, DC 20006
Google Maps
Photo of Washington, D.C. with the Capitol in the foreground and Washington Monument in the background.
Wilmington, DE
1007 North Market Street
Wilmington, DE 19801
Google Maps
Wilmington, Delaware