We handle public and private offerings of equity and debt securities of all kinds. The firm has been issuer's counsel for public and private offerings, including private (Regulation D) offerings, federal crowdfunding offerings (Regulation A and Regulation CF), and California direct public offerings (DPOs). We have negotiated venture investments on behalf of both startup companies and venture funds.

Our firm’s combination of social impact-oriented clients and sophisticated securities experience has allowed us to become leaders in the field of community investment funds. We think strategically and creatively about incorporating these features into our client’s business and legal models. We also work with our clients to find investors aligned with their goals.

In 2021, our legal work designing and launching the Little Tokyo Community Impact Fund, SPC (Los Angeles, CA) was recognized by NYU Law School’s Grunin Center for Law and Entrepreneurship for its contribution to the impact investing space.

The firm's services in this area include advising our clients with regard to:

• Private placement securities offering structuring, documentation, and compliance;
• Private fund formation (Venture, Impact, and Real Estate);
• Equity crowdfunding (federal and state) offering structuring, documentation, and compliance;
• Public company compliance with SEC filing and disclosure requirements;
• Matters of corporate governance and fiduciary duties;
• Compliance with the SEC and state Blue Sky law regulations;
• Compliance with Rule 144 under the Securities Act of 1933;
• Equity incentive plans for employee and advisor compensation;
• Investment Adviser Act and Investment Company Act matters.