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Fund Formation & Structuring

  • Hedge Fund Formation (3(c)(1) / 3(c)(7))
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Regulatory & Compliance

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  • Form D + Blue Sky Notices (Fund raises)

Private Placements

  • Regulation D 506(b) Raise Package
  • Regulation D 506(c) Raise Package
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Offshore / Cross Border

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Mini Public Offerings

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Compliance & Filings

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Entity Formation & Structuring

  • Entity Formation + Governance Basics
  • Corporate Governance Framework

Commercial Agreements

  • Core Commercial Agreements Suite

M&A Transactions

  • Buy-Side / Sell-Side M&A
  • Due Diligence Package

Regulatory Approvals

  • Antitrust / CFIUS / Securities Compliance

Founder & Investor Support

  • Equity Incentive Plan + Grants

Family Offices

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LPs & Angels

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Registration

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  • Form ADV Drafting & Updates

Compliance Program

  • RIA Compliance Program Build-Out
  • Annual Review & Ongoing Compliance

Marketing & Advertising

  • Marketing Rule Review

OTC Issuer Health Check

  • 100-Point Scorecard
  • 14-Day Action Plan
  • 90-Day Roadmap

Quotation Readiness

  • Tier Strategy & Upgrade Plan
  • OTCIQ Disclosure Package
  • 15c2-11 Public Information Dossier

Corporate Actions

  • Reverse / Forward Split
  • Name / Symbol Change
  • Authorized Share Increase

Disclosure & Compliance

  • OTCIQ Maintenance
  • Reg FD Compliance
  • 10b-5 Risk Review
  • Investor Deck / PR Legal Review

Capital Markets

  • Reg D Financing
  • Microcap Convertible Notes
  • Warrant / Unit Financing
  • Rule 144 Opinion

Cap Table Cleanup

  • Cap Table Reconciliation
  • Securities Issuance Forensics
  • Derivative Inventory
  • Legend Removal

Special Situations

  • Shell Exit Planning
  • DTC Chill / Freeze Remediation
  • Trading Halt Support
  • Crisis Governance
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Practice area

  • Venture Capital Fund Formation
  • Real Estate Fund / Syndication Formation
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  • Preferred Equity Financing
  • Corporate Governance Framework
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        • Hedge Fund Formation (3(c)(1) / 3(c)(7))
        • Venture Capital Fund Formation
        • Real Estate Fund / Syndication Formation
        • PPM / Offering Memorandum
        • Subscription Package + Investor Onboarding
        • Side Letters (LP negotiations)
        • Investment Company Act / Advisers Act Analysis
        • Annual Compliance Program Support (Fund/Manager)
        • Form D + Blue Sky Notices (Fund raises)
        • Regulation D 506(b) Raise Package
        • Regulation D 506(c) Raise Package
        • SAFE / Convertible Note Round
        • Preferred Equity Financing
        • Regulation S Offering
        • Regulation A+
        • Form D + Blue Sky Notices
        • Entity Formation + Governance Basics
        • Corporate Governance Framework
        • Core Commercial Agreements Suite
        • Buy-Side / Sell-Side M&A
        • Due Diligence Package
        • Antitrust / CFIUS / Securities Compliance
        • Equity Incentive Plan + Grants
        • Family Office Governance + Investment Counsel
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        • Form ADV Drafting & Updates
        • RIA Compliance Program Build-Out
        • Annual Review & Ongoing Compliance
        • Marketing Rule Review
        • 100-Point Scorecard
        • 14-Day Action Plan
        • 90-Day Roadmap
        • Tier Strategy & Upgrade Plan
        • OTCIQ Disclosure Package
        • 15c2-11 Public Information Dossier
        • Reverse / Forward Split
        • Name / Symbol Change
        • Authorized Share Increase
        • OTCIQ Maintenance
        • Reg FD Compliance
        • 10b-5 Risk Review
        • Investor Deck / PR Legal Review
        • Reg D Financing
        • Microcap Convertible Notes
        • Warrant / Unit Financing
        • Rule 144 Opinion
        • Cap Table Reconciliation
        • Securities Issuance Forensics
        • Derivative Inventory
        • Legend Removal
        • Shell Exit Planning
        • DTC Chill / Freeze Remediation
        • Trading Halt Support
        • Crisis Governance
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    • Genius Act: A Turning Point For U.S. Stablecoin Regulation
    • A Deep Dive Into Regulation D and Its Strategic Use For Startups
    • Liquid Staking and U.S. Securities Law: What the August 2025 SEC Guidance Means
    • What Every Company Should Know About Unregistered Offerings
    • Term Sheets Explained: The Deal Before the Deal
    • What Companies Need to Know About Listings, Governance, and Capital Access before Going Public in the U.S.?
    • The Legal Impact of Drag-Along Agreements on Founders, Investors, and Minority Shareholders
    • Equity Vesting in Employment and Corporate Agreements
    • Liquidation Preferences: The Investor’s Legal Recipe for Getting Paid First
    • Clarifying the Legal Definition of a Security
    • Withholding Tax Requirements and Exceptions for Non-US Investors in Venture Capital Fund Transfers
    • The Supreme Court’s Reaffirmation of the Seventh Amendment in SEC v. Jarkesy
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    • New York Attorney General Sues Crypto Companies for Pyramid Scheme Frauds Impacting Over 11,000 Investors
    • SEC Enforcement Actions Against Mass Ave’s Compliance Failures
    • Press Release: Ishimbayev Law Firm Secures $4,885,982 Victory for Plaintiff in Breach of Contract Case
    • CFTC Penalizes Falcon Labs for Unregistered Digital Asset Trading
    • Proposed SEC and FinCEN Rules to Introduce Strict Customer Identification Programs for Investment Advisers
    • Audit Firm and its Owner Charged with Major Fraud in Over 1,500 Financial Reports
    • Supreme Court Ruling Sets Precedent for Securities Lawsuits Against Public Companies
    • The SEC Cracks Down on $300 Million Crypto Ponzi Scheme
    • The SEC Enhances Order Execution Disclosure Rules for Greater Market Transparency
    • SEC Implements New Rules for Clear Climate Change Disclosures to Investors
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    • OTCQX, OTCQB and OTCID – Which Market Fits Your Company?
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