Phil focuses on helping clients through the SBIC licensing process so that they may realize the benefits of the program and increase the amount of investment dollars they are able to manage in their funds. While he works with funds of all sizes, Phil’s experience has been focused on specialty funds under $300 million.
Phil is recognized as a go-to lawyer for formation and licensing of SBICs, as well as post licensing and transactional regulatory advice. He uses his knowledge of the regulations and relationships with the SBA to guide clients through the process. He also has sophisticated experience representing both private and public financial institutions in corporate transactions, as well as general and complex bank regulatory issues. Phil routinely negotiates with federal and state regulators in order to problem solve significant compliance issues. Phil is experienced in Sarbanes-Oxley compliance, proxy contests, fiduciary duty issues and general SEC registration and ongoing compliance advice.
"I strive to fully understand our clients' business, as well as their short term and long term goals. It is critical to dig beyond regulations in order to deliver counsel that is both useful and impactful."