Photo of David E. Taylor

David E. Taylor



Georgetown University Law Center, LL.M. in Securities & Financial Regulation (with Distinction) - Dean’s List; CALI Award for Financial Derivatives Seminar; Securities and Exchange Commission Student Observer Program

Southern Methodist University, Dedman School of Law, J.D. (cum laude) - Southern Methodist University Law Review; The Journal of Air Law and Commerce, Editor-in-Chief (SMU Law Review publication); Phi Delta Phi; Robert F. Wagner Labor & Employment Law Moot Court Team (2 year member); SMU Board of Advocates, Master Member; SMU Representative to the American Bar Association; Extern to the Hon. Jorge A. Solis, U.S. District Court, Northern District of Texas; Research Assistant to Professor Linda S. Eads

Texas A&M University, B.B.A., Management; The Battalion (Campus Newspaper): City Desk Editor/Columnist/Reporter


Committee Member: Houston Livestock Show and Rodeo, Champion Wine Garden Committee

Board of Directors: PAWS Houston (a non-profit organization that helps sustain relationships between pet owners and their pets through a period of the owner's terminal or chronic illness both in the hospital and at home)

Bar Admissions


District of Columbia


Dave Taylor’s practice focuses on advising on federal and state securities law matters, complex commercial transactions, and general corporate matters, including domestic and offshore company formation, investment, and reorganization issues.  He has advised registered and non-registered investment advisers, domestic and offshore funds, private equity vehicles and broker-dealers on a broad range of regulatory and general corporate matters.

Before attending law school, Mr. Taylor worked as a reporter for a CBS affiliate in East Texas, where his “beats” included state and local politics and Texas A&M University.  He also spent two years living and working as a volunteer missionary in the Republic of the Philippines, where he became fluent in Filipino. 

Representative experience

  • Advising clients on the formation of business entities, including limited liability companies, limited partnerships, etc.
  • Assisting clients with investment via private placements, including Reg D, Reg S, and Rule 144A offerings.
  • Counseling clients on the establishment and operation of investment companies, hedge funds, private equity funds, real estate funds, etc., including the preparation of fund formation documents and private placement memoranda.
  • Advising clients on the formation and compliance of registered and unregistered investment advisers, drafting and reviewing investment advisory agreements and compliance manuals, and advising on state and federal registration of investment advisers.
  • Assisting broker-dealers with operations and general compliance matters, including analyzing federal and “blue sky” registration requirements and drafting registration materials, advising foreign broker-dealers operating in the U.S., and assisting with preparing for and responding to federal regulatory and SRO examinations. 

Significant Transactions

  • Advised on joint venture for development of power plant in Harris County
  • Advised on multiple acquisitions of decommissioned power plants in multiple states for demolition, remediation, and recovery of recyclable metals
  • Multiple private placements in private investment funds
  • Advised on corporate startup of Houston-based internet consulting company, with multiple subsidiaries, consultants, and Rule 701 employee/consultant equity distribution plan
  • Advised on shut down of California-based registered broker-dealer
  • Advised on real estate private equity fund investing in hotel properties
  • Advised on the acquisition of interests in Houston-based registered investment adviser
  • Advised Houston-based registered investment adviser on compliance issues
  • Advised on restructuring of Kentucky-based pipeline consulting company and conversion to Delaware limited liability company with offshore and domestic subsidiaries
  • Advised on the restructuring of Houston-based energy infrastructure company and multiple subsidiaries and affiliates
  • Advised registered investment advisers on formation and placement of private investment funds
  • Advised on private placement of profit interest in Oklahoma oil field development



Articles & Publications

  • Note, “You’ll Say Nothing and Like It – The Ninth Circuit Ignores the Supreme Court and a Sister Court of Appeals: Horizon Air Industries v. National Mediation Board,” 68 J. Air L. & Com. 179 (2003).
  • DON SMART DIRECTED RESEARCH AWARD (Best Directed Research 2002-2003): “The Sarbanes-Oxley Whistleblower Shield: Considering the Effect of New Law on the Old Problem of Journalists and Their Confidential Sources.”
  • CALI: EXCELLENCE FOR THE FUTURE AWARD (Top paper in Financial Derivatives Seminar):  “No Means No…Except When it Doesn’t: The Southern District of Texas Rules that Nothing Actually Means Something:  CFTC v. Johnson.”
  • Interviewed as financial services attorney-expert for “Houston shoppers support local shops on Small Business Saturday”, KTRK-TV (aired November 11, 2011)