our clients:
REGISTERED INVESTMENT ADVISERS (RIA)
EXEMPT REPORTING ADVISERS (ERA)
FAMILY OFFICES (SEC FAMILY OFFICE EXEMPTION LETTERS)
VENTURE CAPITAL FIRMS
PRIVATE EQUITY FIRMS
INVESTMENT & WEALTH MANAGERS
LLCs, PARTNERSHIPS & CORPORATIONS:
Private Placements
Regulation D Offerings
Regulation A Offerings
Fund Formation
Private Funds
Real Estate Funds
PE & VC Funds
Hedge Funds
Representation during Securities and exchange investigations
We represent a number of clients before regulatory agencies such as the Securities and Exchange Commission and the Division of Securities in Colorado (DORA). From informal request or subpoena throughout the investigation, our attorneys will assist you throughout the resolution process.
private placement memorandums (offering memorandums or ppm)
We assist a wide range of small- to middle-market companies raise money in the capital markets through the sale of debt or equity securities. This is a well-known, but intricate regulatory process. We advise on and draft for clients: Private Placement Memorandums for Debt, Equity, or Debt, Equity, and in conjunction with Financing, Flip Book Disclaimers, Subscription Documents for Accredited and Un-Accredited Investors, LLC Operating Agreements, Partnership Agreements, Corporate Bylaws, Debt Instruments - All for the purpose of raising capital.