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Extensive legal and transactional experience with over 15 years in the financial services sector. My background blends experiences as both an attorney and business development giving me a unique perspective in evaluating the risk/reward premium in investment opportunities. Specialties: M&A advisory services, compliance evaluation and implementation, investment analysis, investor relations, and structuring and executing financial transactions.
General Corporate Legal Services, specializing in Securities, Investment Management (primarily hedge funds, private equity funds and compliance matters for registered investment advisors) and Mergers & Acquisitions.
Advisory and compliance services to money managers, hedge funds and private equity groups to comply with state and federal regulations, develop and manage internal compliance risk management systems, enhance marketing, and raise additional capital.
Develop and Maintain relationships with investors . Horizon Asset Management, Inc. is registered investment advisory firm which, along with related companies, manages over $18 billion in assets and provides a full array of asset management services including: Separately Managed Accounts; Mutual Funds; and Other privately managed investment vehicles Horizon applies contrarian analysisbased on internal proprietary research provided by Horizon Research Division (one of the largest independent research companies providing financial analysis to the institutional investment community)to purchase debt and equity securities that we believe are selling at discounts to their intrinsic value and/or inherent worth. Horizons value oriented, investment approach has consistently provided above average returns to its investors.
As the Director, Private Capital I managed the investor relations services for Triton Pacific Capital Partners. Transformed the capital base from one in which transactions were done on a club (deal by deal) basis to raising two successful funds and launching a third. Increased assets under management by 4X. Built back office administrative support for investor relations including reporting software and systems. As General Counsel I provided in-house legal counsel with regards to all fund raising activities for Triton Pacific and acted as the Chief Compliance Officer for the firms captured broker dealer Triton Pacific Securities. Prepared offering materials for Reg D private placements in compliance with the 1933 Securities Act and the 1940 Investment Company Act. Developed novel parallel fund and co-investment structures to maximize investor base.
Performed research, analysis, due diligence and marketing in association with private equity transactions. Worked with managing partner in effort to incubate mySweetpea (wrote business plan, assembled management team, prepared technical specs for this novel high tech in-house venture) and seek secondary financing.
Prepared offering circulars, closing documents and government filings for global public and private debt and equity financings, World Bank/EBRD project financings and mergers & acquisitions. Prepared and filed SEC required reporting documents (10K, 10Q, 8K, 20F) for public companies.