Riggs Davie PLC

150 Fifth Avenue North Suite 1850
Nashville, TN 37219, United States

Contact: Alexander Davie

  • 615-690-4419

Make sure you reference any fund "gate" provisions in your side letter agreements.

Recently, the Delaware Chancery Court ruled on a dispute that heated up between a hedge fund manager and the fund's seed investor. First, a quick summary of the events leading up to the case: A seed investor provided a large…more
| Finance & Banking, Securities Law

State Investment Adviser Registration Requirements for Private Fund Managers Part 6: The Northeast

Even when a private fund manager is exempt from registration under the Investment Advisers Act of 1940, it must still make a determination whether it is also exempt under state investment adviser regulation. This article surveys…more
| Finance & Banking, Securities Law

Even in deals with "yourself," you still need proper legal documents.

Many business owners regularly engage in transactions with their companies. These can include loans, leases, and employment agreements. For the reasons discussed in this post, it is important to prepare legal documentation for…more
| Business Organizations, Commercial Law & Contracts, Finance & Banking

State Investment Adviser Registration Requirements for Private Fund Managers Part 5: The Northwest

Even when a private fund manager is exempt from registration under the Investment Advisers Act of 1940, it must still make a determination whether it is also exempt under state investment adviser regulation. This article surveys…more
| Finance & Banking, Securities Law

Should new business owners set up their business as a Wyoming LLC?

Previously, I have written about the advantages and disadvantages of incorporating in Delaware or Nevada as a small business owner. With regards to Delaware, my conclusion was that, for most small companies, the disadvantages…more
| Business Organizations

Working Effectively with Your Lawyer: Don't "Outsource" the Details of Your Deal

Having an effective relationship with your lawyer involves more than just hiring an attorney who is knowledgable and competent. You must also be able to work with your lawyer in a way that gets a deal done while protecting your…more
| Commercial Law & Contracts, Finance & Banking, Law Practice Products & Services, Mergers & Acquisitions, Securities Law

State Investment Adviser Registration Requirements for Private Fund Managers Part 4: The Southwest

Even when a private fund manager is exempt from registration under the Investment Advisers Act of 1940, it must still make a determination whether it is also exempt under state investment adviser regulation. This article surveys…more
| Finance & Banking, Securities Law

State Investment Adviser Registration Requirements for Private Fund Managers Part 3: The Midwest

Even when a private fund manager is exempt from registration under the Investment Advisers Act of 1940, it must still make a determination whether it is also exempt under state investment adviser regulation. This article surveys…more
| Finance & Banking, Securities Law

Should new business owners incorporate in Nevada?

Previously, I wrote about the pros and cons of incorporating in Delaware as a small business owner. My conclusion was that, for most small companies, the disadvantages outweigh any advantages. In this piece, I'll cover my…more
| Business Organizations

Could a proposed crowd funding securities exemption ever catch on?

Recently, I came across an online petition proposing a new "Startup Exemption" to federal securities registration requirements. You can find the petition at this website: www.startupexemption.com. Like many other similar…more
| Business Organizations, Finance & Banking, Securities Law

State Investment Adviser Registration Requirements for Private Fund Managers Part 2: The Southeast

Even when a private fund manager is exempt from registration under the Investment Advisers Act of 1940, it must still make a determination whether it is also exempt under state investment adviser regulation. This article…more
| Finance & Banking, Securities Law

Can a friends and family round include non-accredited investors? Should it?

The so-called "friends and family" round is often the first capital raise a new startup will engage in. Many entrepreneurs often go into it without any knowledge of securities laws and as a result, end up violating them,…more
| Business Organizations, Finance & Banking, Securities Law

State Investment Adviser Registration Requirements for Private Fund Managers Part 1: The Basics

Even when a private fund manager is exempt from registration under the Investment Advisers Act of 1940, it must still make a determination whether it is also exempt under state investment adviser regulation. This article…more
| Finance & Banking, Securities Law

Should new business owners incorporate in Delaware?

One question I frequently receive from people seeking to start a new business is whether they should incorporate that new business in Delaware. They frequently hear vague notions of the benefits of incorporation in Delaware but…more
| Business Organizations

Bill Introduced in Congress to Permit Private Companies to Stay Private for Longer

Representative David Schweikert (R-AZ) recently introduced a bill called the "Private Company Flexibility and Growth Act," which promises to allow private companies to remain private for a longer period of time. Currently, if…more
| Business Organizations, Elections & Politics, Securities Law
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Areas of Practice
  • Business Organizations
  • Commercial Law & Contracts
  • Finance & Banking
  • Mergers & Acquisitions
  • Real Estate
  • Securities Law
Locations
Other U.S. Locations
  • Tennessee
Other Countries
Number of Attorneys

2-10 Attorneys

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