Carrington Legal, LLC
Principal Attorney/Compliance Consultant
January 2008 — Present
• Advises entrepreneurs and startups in the areas of capital raising (debt and equity financing) and business combinations (mergers and acquisitions, asset purchases and joint ventures)
• Drafts incorporation documents, by-laws, operating agreements, service provider contracts and other corporate documents.
• Drafts limited partnership agreements for hedge funds, private equity and venture fund formations.
• Represents issuers in private placements of securities under Regulation D to accredited, institutional and other investors.
• Drafts S-1 registration statements and
• Establishes small issues of securities under Regulation A.
• Negotiates various employment contracts, vendor contracts, purchase agreements and assist with board governance issues.
• Drafts and negotiate software licensing agreements and file copyright and trademark applications.
• Counsels newly formed investment advisers regarding organizational structure.
• Initiates, develops, maintains and revises policies and procedures for various confidential investment advisers' compliance programs under Rule 206(4)-7 of the Investment Advisers Act of 1940.
• Monitors the performance of compliance programs.
• Reviews and evaluates compliance issues and concerns and ensure that they are investigated and resolved.