Technology, Information and Media
Financial Services
Entertainment Providers
Professional Services
Holding Companies
Real Estate and Equipment Rental Services
Active

Richard D

Fractional GC/Corporate Attorney

About Me

I have practiced corporate and transactional law for over 25 years, as a "big law" associate, in-house counsel for financial services and SaaS/FinTech companies, and in my own solo practice. I am comfortable interacting with all levels of management as well as internal and external teams, and enjoy complex contract drafting and closing deals. Entrepreneurship, helping to build small companies and corporate governance are what I enjoy most. I am confident that I can assist your company or your team effectively and efficiently.

Jurisdiction

United States

Notable Employer

  • Partner at NovoJuris Legal, LLC

Experience

Seniority LevelC-Suite
Years of Experience20+ years
Current StatusActive
Of CounselStartupTechLaw, PLLC
2025 - Present

Advising startup and early-stage entrepreurs in entity formation, fundrasing, corporate governance and strategic transactions.

PartnerNotableNovoJuris Legal, LLC
2023 - Present

Founder of US office of NovoJuris Legal, ranked amongst the top 50 law firms in India. NovoJuris Legal is an innovative new-age law firm which leverages the best legal research and knowledge to provide holistic and value-adding solutions to its clients. Throughout over a decade of its presence, NovoJuris has been championed and empowered by its clientele. Its inventive and research-oriented approach has consistently earned NovoJuris the reputation of a go-to firm, especially for clients undertaking cutting edge, unique and disruptive ventures. NovoJuris specializes in providing legal advice and support on matters relating to commercial laws, mergers and acquisitions, venture capital, private equity, fund formation, cross border transactions, business structuring, legal compliance, intellectual property, real estate, accelerators and dispute resolution.

VP, General Counsel and SecretaryTransparentBusiness, Inc.
2018 - 2025

Spearheaded, built and directed a remote, multinational team of several direct reports, building a legal team from the ground up. Daily confidant and advisor to CFO and CEO on strategic initiatives; strategic, results-driven problem solver. Responsible for all legal matters impacting a public company, including board and shareholder matters. Drove $450M+ in private placements, through a series of global private offerings of debt, equity, and crypto pre-sales, via Reg. D and Reg. S., culminating in transition to a public company. Led company through strategic pivots, from SaaS to entertainment to blockchain.

VP, CounselLombard International
2012 - 2018

Oversaw portfolio team in the servicing and monetization of newly acquired, $32B portfolio servicing company, working with most major U.S. banks and investment banks. Assets under administration encompassed privately placed variable life insurance and variable annuity contracts, serving ultra-high net worth individuals, banks, and corporations. Advanced to lead the Contracts Compliance group in all reporting and regulatory requirements of the administered block of business, including AML reporting, security reviews, privacy policies, PPM distribution, broker compensation, selling agreement execution, insurance licensing and periodic SEC reporting. Negotiated new and revised investment management agreements, participation agreements, private fund subscriptions and stable value protection agreements, growing assets under management from $32B to $39B, ultimately leading to successful securitization and exit. Interacted with business executives at all levels, counsel for all interested parties and investment specialists to tailor investment platforms within the constraints of regulatory, tax, insurance, compliance and other legal requirements.

VP, General CounselCommonwealth Capital Corp.
2006 - 2012

Served as chief legal officer of the private holding company as well as its wholly owned operating subsidiary, captive broker-dealer, and 12 distinct public and private investment funds. Served as member of the senior management team, providing all legal services, including federal and state securities registrations, firm-wide risk management, training, broker-dealer compliance, litigation supervision, insurance coverage and financial reporting, and led the Contracts Administration group. Grew the platform from four public funds to seven public and five private funds. Created and launched new specialty fund concept, capturing untapped market opportunities. Prepared multiple public fund annual and quarterly reports, FINRA reports, advised on marketing, and assisted with regulatory examinations and investigations.

Corporate AssociateReed Smith, LLP
2000 - 2006

Senior corporate associate. Advised clients on securities regulation, fundraising, contractual matters, corporate governance and lending, with a focus on real estate investment trusts.

Education

Doctorate of LawUniversity of Pittsburgh School of Law
1994 - 1997
Diploma of FinanceThe American University
1990 - 1994

Skills

Core skills9
Languages2

Skills

Legal services
Technology industry experience
Fintech industry experience
Entertainment industry experience
Insurance industry experience
Alternative investments experience
Startup expertise
Corporate governance expertise
Securities expertise

Languages

English (British)
English

Services