Capital Markets

Davis|Kuelthau’s Capital Markets and Securities team has extensive experience advising clients in capital formation and securities law matters. Our lawyers are familiar with the ever changing federal and state laws and regulations that govern private placement transactions and reporting requirements, particularly under Regulation D and Regulation A. Our team provides innovative approaches to help our clients navigate these issues. We are also familiar with federal and state laws and regulations governing registered investment advisors and broker-dealers and their reporting requirements. We routinely assist clients in the capital formation process, locating potential sources of capital and organizing, negotiating and closing the deal once debt or equity has been located.

We regularly advise and represent a wide variety of issuers, sponsors, investors, majority stockholders and holding companies with respect to:

• Private placements of debt, equity and convertible securities for clients ranging from mid-sized, closely-held companies to publicly-traded companies
• Private placements of debt and equity securities for real estate developers and investors
• Venture capital and angel investments for start-up and emerging companies
• Private equity and mezzanine financing
• Private Equity Fund and Real Estate Fund formation
• Taxable and tax-exempt bond issuances
• Management-led and other leveraged buy-outs
• Corporate restructurings and recapitalizations
• Compliance with state securities regulatory disclosure and reporting requirements
• Management and operations of registered investment advisors and broker-dealers
• SEC and FINRA reporting, obligations and disclosures
• Organization, licensing and regulatory compliance, and administration