Founding Partners: Harold B Finn III, Brett W Dixon, Michael J Herling
Number of partners: 26
Number of other lawyers: 29
Finn Dixon & Herling LLP provides a broad spectrum of business legal services to a diverse group of local, statewide, regional, national and international clients. Since its founding in 1987, the firm has been committed to providing the highest level of efficient and responsive client service and practical, solution-oriented advice to its clients grounded on a thorough understanding of each client’s business and objectives.
Main Areas of Practice:
Mergers & Acquisitions/Private Equity:
Represents buyers, sellers and investors in various transactions, including mergers and other business combinations, leveraged acquisitions and recapitalizations, growth capital investments, ‘add-on’ acquisitions, PIPEs and transactions involving public companies. The firm has made serving the needs of private equity clients a principal focus of the firm since its inception. The firm works with its clients in all aspects of leveraged acquisitions and other private equity transactions, including fund formation.
Venture Capital/Emerging Companies:
Represents venture capital firms in start-up, early-stage and growth capital investments and in the formation, organization and operation of venture capital funds. Represents growth oriented companies relating to matters including financing transactions, compensation and benefits issues, tax issues, acquisitions and other strategic transactions, governance issues and the like.
Private Investment Funds:
Represents managers of hedge funds, private equity funds, venture capital finds, commodity pools and other pooled investment vehicles as well as separately managed accounts, funds-of-one and investment platforms. The firm advises as to all aspects of manager and fund formation and structuring, compliance with federal and state securities laws, marketing practices and arrangements, seed investments, co-investments and other transactions, side letters, investment management agreements and other contracts, tax and operational matters. The firm also represents independent sponsors and fund placement agents in connection with capital raising and other activities.
Investment Advisers & Broker-Dealers:
Represents investment advisers across the US and abroad with AUM ranging from under $50 million to more than $10 billion. Represents broker-dealers that provide placement agent and investment banking services. The firm advises on all aspects of formation and related structuring matters, compliance with federal and state securities laws, investment adviser and broker-dealer licensing and registration, the development and implementation of compliance programs, regulatory examinations, marketing practices, client and service provider arrangements, personnel matters, strategic transactions, regulatory enforcement matters, and tax matters.
Represents banks, mezzanine lenders and other financial companies and institutions (including SBIC funds) in their capacities as agents, arrangers, and lenders, as well as corporate borrowers and private equity firms in lending and credit transactions. The firm has extensive experience in all aspects of commercial finance transactions, including structuring of loan transactions, intercreditor arrangements, priority issues, and perfection of security interests. The debt finance team’s experience includes asset-based and working capital financings, leveraged acquisition financings, cash flow financings and recapitalizations across all areas of the capital structure. The firm’s debt financing and bankruptcy practices work collectively to provide advice on bankruptcy loan restructurings and workouts. The firm’s representation of both lenders and borrowers allows it to understand the expectations and requirements of both sides to financing transactions and the firm prides itself on providing business friendly practical solutions to fit the specific needs of clients.
Bankruptcy & Corporate Reorganizations:
Provides counsel to clients regarding all aspects of corporate bankruptcy and business reorganizations. By virtue of a fully integrated, cross-disciplinary approach to any representation, the firm is able to offer advice and guidance in both out-of-court and in-court workouts. The firm’s lawyers have extensive experience in pre-packaged, pre-negotiated and ‘free fall’ bankruptcy scenarios, in 363 sales and in the protection of unique interests in complex workouts.
Securities & Public Companies:
Represents a wide range of companies in public and private securities offerings and securities law compliance.
Offers structuring and other tax advice to its transactional clients, as well as advice in connection with federal and state taxation of the ongoing activities of its corporate, partnership and limited liability company clients.
Assists many clients in addressing a wide variety of operational and strategic issues on a continuous basis, including consultation on choice of entity, protection and coordination of the rights of owners, commercial real estate transactions, employment matters, (including executive compensation, severance arrangements, stock options and employee benefits), financings, licensing and strategic alliance and joint venture arrangements and compliance with regulatory requirements.
Provides counsel to clients with respect to civil litigation in state and federal courts, appellate advocacy, arbitration and other forms of alternative dispute resolution and proceedings before administrative agencies.
Represents a diverse group of international clients with business interests within the United States. The firm represents both US and foreign clients in a variety of international matters including cross-border merger and acquisition transactions, foreign investment, joint ventures, international restructuring and branch operations.
Government & Internal Investigations:
Represents corporations, investment advisers, investment funds, broker-dealers, officers, directors and employees in connection with criminal and regulatory investigations conducted by United States Attorney’s Offices, the Fraud and Antitrust Divisions of the Department of Justice, the enforcement staff of the SEC and state agencies and attorneys general. The firm’s practice also includes internal investigations on behalf of corporations and their boards of directors or audit committees.
Executive Compensation, Benefits & Employment:
The executive compensation, benefits and employment practice group works closely with all of the Finn Dixon & Herling attorneys to provide creative and practical advice in the transactional context and as issues arise in clients’ ongoing operations. The group has broad experience working with the firm’s corporate and individual clients.
Finn Dixon & Herling LLP provides a broad range of legal services to family offices, drawing on practitioners from the various practice areas within the firm, including: formation and structuring, tax matters, investment and co-investment transactions, capital allocations to third party investment managers, regulatory compliance and exemptions, employee and personnel matters, real estate, multi-family arrangements, service provider arrangements and contracts.