Experience

Fund Formation Counsel to Energy and Technology Fund

Served as fund formation counsel to energy and technology fund, providing organization of investment fund and representation of fund management company.

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.

Assisted Institutional Investor with Private Fund Investments

Counseled two public companies’ investment arms in connection with separate million-dollar investments in startup venture funds.

$30 Million Private Equity Financing and Formation of Specialty Brokerage

Advised a national independent enterprise risk management agency on completion of $30 million in private equity financing. In connection with the financing, advised client on formation and capitalization of a specialty brokerage and investment banking platform offering insurance solutions to public and private companies and private equity sponsors.

$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.

Sale of Majority Stake of Manufacturing Company

Served as seller’s counsel in connection with sale of majority stake in advanced manufacturing company to private equity firm.

Multimillion-Dollar Venture Capital Investment into Biotech Company

Advised lead investor on multimillion-dollar Series A venture capital investment into biotech company developing and commercializing cutting-edge technologies for gene editing, gene expression and bioprocessing.

Counsel to Private Equity Fund in $20 Million Equity Acquisition

Acted as counsel to a private equity fund in its $20 million equity acquisition of a company serving various large industrial and aerospace customers. The transaction involved a complicated pre-closing tax-free reorganization, donation of a minority interest in the target company to a donor-advised fund, international distribution issues, and a representations and warranties insurance policy. Helped client achieve its goal of closing and deploying allocated capital at year-end on an expedited basis.

$95 Million Sale of Health Care Financing Company

Counsel to seller for the sale of health care financing company with an enterprise value of approximately $95 million. Sale was to a private-equity backed purchaser and involved a post-closing transition period for state licensing issues.

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.

East Coast Family Office Representation

Represented an East Coast family office operation in numerous investment-related matters, including investment in a nationwide consumer products enterprise; co-investment in a casual dining operation with locations throughout the Southwest; and and development of family office ownership and management structure.

Equity Incentive Program for Client

Assisted a private equity firm with the design and implementation of equity incentive programs for key employees.  

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.

Multiple Acquisitions for Private Equity Company

Represented private equity company in numerous acquisitions of veterinary clinics throughout the United States. These acquisitions involved complex structures designed to address regulatory, tax and financing matters.

Representation of Private Equity Group in Purchase of Golf Courses

Represented a private equity group in the purchase of golf courses through bankruptcy sales. 

Assisted Private Fund Client with Launch, Registration

Assisted private fund client with launch of fund and registration of fund manager. Representation included licensure in Colorado, which does not offer traditional fund adviser registration exemption.

Multimillion-Dollar Venture Capital Fundraising for Fintech Company

Advised a financial technology company providing robo-advisory services on its multimillion-dollar venture capital fundraising.

Advised Private Equity Group in Multimillion-Dollar Investment

Advised private equity group with multimillion-dollar investment and mezzanine debt transaction in building products manufacturing company.

Chemical Company Sold to Private Equity Group

Managed the sale of a closely held international chemical company to a private equity group.

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.

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.

$300 Million Divestiture of Financial Services Company

Represented a private equity fund in a nearly $300 million divestiture of a financial services company specializing in the health care industry. This transaction involved lengthy negotiations with an NYSE-listed buyer expanding in the market, and allowed the fund to exceed is required rate of return on its investment.

Acquisitions in Health Care Field for Private Equity Fund

Represented a private equity fund in nine acquisitions of health care accounts receivables management and Medicaid eligibility companies with locations nationwide. These acquisitions involved related credit facility negotiations. As a result of these acquisitions, the private equity fund was able to achieve its roll-up strategy in the industry.

Contact Us
  • Worldwide
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  • Denver, CO
  • Edwardsville, IL
  • Jefferson City, MO
  • Kansas City, MO
  • Las Vegas, NV
  • New York, NY
  • Philadelphia, PA
  • Princeton, NJ
  • Salt Lake City, UT
  • St. Louis, MO
Worldwide
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Boston, MA
225 Franklin Street
26th Floor
Boston, MA 02110
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Boston, Massachusetts
Denver, CO
4643 S. Ulster St.
Suite 800
Denver, CO 80237
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Denver, Colorado
Edwardsville, IL
115 N. Second St.
Edwardsville, IL 62025
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Edwardsville, Illinois
Jefferson City, MO
3405 W. Truman Boulevard
Suite 210
Jefferson City, MO 65109
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Jefferson City, Missouri
Kansas City, MO
2345 Grand Blvd.
Suite 1500
Kansas City, MO 64108
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Kansas City, Missouri
Las Vegas, NV
3770 Howard Hughes Parkway
Suite 200
Las Vegas, NV 89169
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Las Vegas, Nevada
New York, NY
919 Third Ave., 37th Floor
New York, NY 10022
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New York City
Philadelphia, PA
2005 Market Street
29th Floor, One Commerce Square
Philadelphia, PA 19103
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Philadelphia, Pennsylvania
Princeton, NJ
100 Overlook Center
Second Floor
Princeton, NJ 08540
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Princeton, New Jersey
Salt Lake City, UT
257 East 200 South
Suite 350
Salt Lake City, UT 84111
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Salt Lake City, Utah
St. Louis, MO
7700 Forsyth Blvd.
Suite 1800
St. Louis, MO 63105
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St. Louis, Missouri