Investment Transactions

Company-Side Representations

In representing a number of startups, development / project entities, and high growth companies, we advise our clients on the limitations, best practices, and market conditions for raising capital.  While we recognize the potential that prudently selected capital sources can provide we also approach each transaction with skepticism to make sure our clients truly are getting the value being offered--without "giving up the farm."  As part of our company-side representations, we also offer securities law compliance assistance, primarily in the form of traditional Regulation D guidance and, beginning in 2016, also under new crowdfunding rules for certain small businesses.

Investor-Side Representations

We represent several smaller investment funds (each typically has less than $25 million under management) in their investment transactions.  We also work with angel investors in a broad range of transactions (ranging from around $50,000 to $1 million) across several industries.  We guide our clients from the initial due diligence stages through closing.

Investment Advisors and Investment Companies

We have specific experience guiding investment advisors and investment companies under the Investment Advisors Act of 1940 and the Investment Company Act of 1940, each as amended.  If you are an investment advisor and would like to explore alternate compensation structures or create an investment company for use with your clients, please contact one of our attorneys for more information.

Sample Transactions:

  • Advised founders of clean tech startup on initial capital raise with angel investor and related securities law disclosure and compliance requirements ($2 million)
  • Formation of "tax equity" investment fund for participation in solar and wind energy generation projects (and to capture various tax attributes)
  • Formation of small private equity fund for investment in construction and project development companies throughout the U.S.
  • Counseled investment advisors creating private investment funds on limitations under state and federal laws as to compensation, disclosure requirements, and potential conflicts