Matters
Investment Management
Securities and Corporate Governance
- Structured and prepared offering documents for numerous private funds and funds of funds with varying strategies.
- Structured and prepared offering documents for numerous real estate funds (and fund complexes) and counseled their sponsors on their unique regulatory matters.
- Represented an asset management and financial planning firm as it sought to complete the sale of a wholly-owned subsidiary.
- Represented a publicly held financial services provider in the divestiture of multiple registered subsidiaries.
- Worked with FINRA and the SEC to structure and register a special purpose broker-dealer.
- Represented a large investment advisor to open-end funds in its sale and restructuring.
- Represented several closed-end funds in follow-on offerings.
- Counseled an open-end fund in its sale to another registered fund complex.
- Represented an investment advisor to a fund complex in its multistage restructuring.
- Assisted numerous advisory and brokerage firms with structuring and registration.
- Assisted an issuer in its IPO to avoid the status of an inadvertent investment company.
- Assisted numerous advisers and funds achieve successful outcomes following state and SEC examinations and enforcement matters.
Securities and Corporate Governance
- Represented several energy companies with ongoing Exchange Act reporting and capital-raising.
- Represented a family business in its acquisition of a construction service provider.
- Assisted a large textile manufacturer with multiple properties, including offshore, with a significant acquisition and subsequent sale of the entire business.
- Assisted an energy company in multiple rounds of capital-raising.
- Assisted an entertainment company in multiple rounds of capital-raising and exploration of a potential sale of the business.
