Small Business Investment Company (SBIC)

Our Services

Fund Formation: We assist in structuring funds, raising private capital, and navigating regulatory compliance, including securities laws and ERISA. Our experienced team helps prospective SBICs with fund formation, management, and tax structuring.

Licensing: We help clients obtain SBIC licenses and represent numerous management teams in fundraising or obtaining a license. Our clients include limited partnerships, corporations, and LLCs with diverse investors.

Regulatory Advice: Licensed SBICs rely on us for comprehensive SBA regulatory compliance advice.

Fund Investment Activities: Our clients invest at all stages of development across various industry sectors, including e-commerce, biotechnology, health, telecommunications, IT, manufacturing, distribution, outsourcing, publishing, and retail.

Counsel to Portfolio Companies: We help companies grow from initial incorporation to large multinational businesses, advising on strategic alliances, technology licenses, incentive compensation plans, IP protection, personnel matters, securities compliance, supplier and customer relationships, banking, and creditor rights. We also handle public offerings on behalf of issuers and underwriters.

Transactions: We structure, negotiate, and document transactions to execute a fund’s investment strategies, including control acquisitions, minority equity investments, senior debt financings, mezzanine debt financings, and “debtquity” investments. We also assist with secondary sales of portfolios and structuring lines of credit with outside lenders.

Distressed Transactions, Workouts, and Dispute Resolution: Our team includes skilled lawyers from our financial restructuring and insolvency and litigation groups, helping SBIC funds find creative solutions to distressed situations, including acquisitions, dispositions, restructurings, workouts, and disputes.

Limited Partner Investments: We represent investors in limited partner investments in SBIC funds, providing insights into SBIC-specific terms and market trends to facilitate efficient investment closures.