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Private Equity Fundraising & Compliance


Our attorneys have extensive experience counseling clients in capital raising transactions and representing brokers and investment advisers in connection with compliance with federal and state securities laws.

Private Offerings

Kalberer LLP provides counsel in all aspects of the private placement of securities, representing issuers, equity funds, angel investors, institutional investors, and venture capital firms in every type of private financing transaction, including seed financing, angel investments, venture capital financing, later stage equity or mezzanine financing. Our attorneys are well versed in the Securities Act of 1933 and the Securities Exchange Act of 1934, including limited offerings under Regulation D, small offerings under Regulation A and the resale of control and restricted securities under Rules 144 and 144A. From properly structuring the private offering to meet the goals of your business plan, to preparing your private offering memoranda, to putting together the appropriate disclosure documents, our attorneys will provide creative and expedient services to help you achieve your goals.

Registered Investment Adviser Compliance

Our team represents investment advisers in connection with their compliance with state and federal securities law and SEC regulations. We counsel investment adviser firms with Form ADV filing requirements, compliance with SEC and state rules for operation of investment advisers, and assistance with responding to SEC and state examination issues. In addition, we help managers of U.S. private investment funds meet the requirements for exemption from registration as investment advisers under SEC and state rules.

Broker-Dealer Compliance

Our attorneys counsel broker-dealers with respect to ongoing SEC and FINRA compliance, audits and investigations, preparation of federal and state securities filings, including changes in business, ownership or management, provide advice on and defending clients in SEC enforcement matters and representing broker-dealers and registered representatives before the FINRA. We also represent unregistered affiliates of registered broker-dealers that wish to engage in securities-related activities.

Private Equity Fundraising & Compliance

Fund Formation
Private Offering Documents
Broker and Finder Compensation
Digital Currency & Blockchain Technology

FINRA Regulatory & Expungement Proceedings

CRD Expungements
U4 & U5 Reporting
Enforcement & Disciplinary Actions
Broker Transitions

Securities Litigation

Securities Fraud
Class Actions
Shareholder Derivative Actions
Whistleblower Claims

FINRA Arbitration

Employment Disputes
Customer Complaints
Industry Disputes

Other Practice Areas

International Business Litigation & Dispute Resolution

Real Estate & Land Use

Acquisition & Disposition
Commercial Leasing
Private Equity & Joint Venture
Hotel & Hospitality
Real Estate Finance
Land Use & Development

Senior Investor Protection

Securities Litigation
FINRA Arbitration
Pro Bono Legal Services

Securities Probate Disputes

Senior Financial Exploitation
Frozen Brokerage Accounts
Power of Attorney Abuse