Registered Investment Manager for Collective Investment Fund
Sought and secured registration in multiple states for emerging fund manager specializing in advising collective investment funds.
Issuer Counsel to Health Care/Fintech Emerging Company
Negotiated multimillion-dollar Series Seed funding round for Missouri company with health care and financial technology product. Investors included leading venture capital firms from Chicago and St. Louis.
Served as Placement Agent Counsel in Multimillion-Dollar Energy Tech Company Fundraising
Represent placement agent and managing broker in placement of millions of dollars in convertible notes and warrants for U.K.-based energy startup across two different offerings.
$6.6 Million Series A Round and Strategic Licensing Relationship
Advised fintech company on completion of Series A venture capital investment round in which more than $6.6 million was raised. In addition, advised client on establishing a strategic licensing relationship to develop a customized version of the client’s proprietary investment technology platform, which the lead Series A investor will commercialize within the Hong Kong market.
Advised Emerging Fintech Company on Funding and Commercialization of Technology
Advised financial technology emerging company on its Series Seed and Series A venture capital rounds and commercialization of its technology.
Licensing and Manufacturing Agreements for Animal Health Company
Advised a company developing animal vaccines in connection with obtaining a license for technology to be used in the manufacture of its products and negotiating manufacturing and research agreements.
Managed Accelerator Program’s Onboarding and Capital Investments for Startup Company Participants
Assisted utility client with onboarding of and capital investments in startup technology companies as part of accelerator program in coordination with a local university and capital investors. Assisted with closing investments in more than a dozen program participants.
Assisted Application Developer with Capital Formation
Assisted client with capital formation efforts related to launch of software application technology related to online advertising. Representation included equity grants to key employees and negotiations with accelerator program for capital infusion.
Counsel to Meal Kit Company Preparing for Future Growth
Provided counsel to meal kit delivery service experiencing exponential growth. Addressed complex regulatory and sensitive litigation issues with innovative strategies to position the client for future growth and success.
Multimillion-Dollar Venture Capital Fundraising for Fintech Company
Advised a financial technology company providing robo-advisory services on its multimillion-dollar venture capital fundraising.
Private Placement and Research Agreements for Pharmaceuticals Company
Advised a pharmaceuticals company in connection with the financing and conduct of research regarding a rare tropical disease.
Private Placement of Securities for Immunotherapy Company
Advised a pharmaceuticals company in connection with a private placement of securities to finance its research and development of several pharmaceuticals and technologies, including immunotherapies for treating cancer.
Assisted Transportation Industry Client in Formation, Capitalization
Assisted client with formation, launch and capitalization of company distributing and licensing transportation industry products.
Multimillion-Dollar Venture Capital Investment into Gaming Technology Company
Advised an investor on a multimillion-dollar venture capital investment into a mobile sports gaming company.
Guided International Company in U.S. Expansion, Development
Guided U.K.-based international wearable device gaming and payment platform provider in connection with their commercial technology development, financing and U.S. expansion.
Multimillion-Dollar Venture Capital Investment into Predictive Analytics Company
Advised lead investor on multimillion-dollar Series A venture capital investment into cloud-based predictive analytics software company.