Experience

AlphaPoint

• United States
• Financial Services
• 1 - 100 Employee

• General Counsel

  • Apr 2021 - Present



Horizon Capital (sole proprietorship)

• Founder & CEO

  • Jan 2021 - Present

  • Thought leader on best practices in structuring & executing strategic alliances in renewables, fintech & impact investment, spanning market infrastructure, logistics & supply chain management • Provide capital markets & treasury management insights to corporate executives & investment managers • Thought leader on best practices in structuring & executing strategic alliances in renewables, fintech & impact investment, spanning market infrastructure, logistics & supply chain management • Provide capital markets & treasury management insights to corporate executives & investment managers



World Gold Council

• United Kingdom
• Mining
• 1 - 100 Employee

• Deputy General Counsel - US

  • Jul 2017 - Dec 2020

  • Securities attorney & promoted (July 2019) to Deputy General Counsel - US as lead counsel & corporate secretary for WGC's US sponsors of largest global gold-backed ETF (NYSE: GLD) & related fund (NYSE: GLDM), with $80B+ aggregated AUM • Liaised closely with board, management, team members, auditors, SEC/other regulators & service providers • Managed global IP portfolio, licensing & prosecution/litigation & developed IP brand management strategy • Provided thought leadership & insights for financial product innovation & industry collaboration, focusing on gold-backed digital assets/crypto currencies, defi (decentralized financial services & node operations in oracle networks), supply chain integrity & environmental, social & governance (ESG) sustainability factors



SRD Legal Group

• Legal Services
• 1 - 100 Employee

• Senior Counsel

  • Dec 2015 - Jul 2017

  Provided legal & compliance services to alternative investment fund managers covering investment funds, structured products, unsecured senior loans/syndications & underlying investment portfolios, with a focus on offering & marketing materials and related sales & marketing initiatives. Provided legal & compliance services to alternative investment fund managers covering investment funds, structured products, unsecured senior loans/syndications & underlying investment portfolios, with a focus on offering & marketing materials and related sales & marketing initiatives.



Berger Legal LLC

• United States
• Law Practice
• 1 - 100 Employee

• Senior Counsel

  • Mar 2012 - Jul 2017

  Provided legal & compliance services (FINRA Series 3, 7, 24 and 63 licenses) to alternative investment fund managers covering investment funds, structured products & underlying investment portfolios; specialize in securities law & tax law. Provided legal & compliance services (FINRA Series 3, 7, 24 and 63 licenses) to alternative investment fund managers covering investment funds, structured products & underlying investment portfolios; specialize in securities law & tax law.



Greenwich Advisors, LLC

• Investment Management
• 1 - 100 Employee

• General Counsel & Chief Compliance Officer

  • Jul 2010 - Jul 2017

  • Liaised with developers, investors, utilities, ISOs, regulators, EPCs, NGOs & equipment / service providers • Structured & negotiated PPAs, joint ventures, REITs, SPVs for institutional investment & M&A transactions • Sourced investment opportunities in utility-scale storage, renewables, distribution, grid management, carbon capture & related capital structures (yieldcos, construction financing & tax equity participation) • Designed & implemented group’s brokerage & investment advisory governance & compliance framework; and provided legal, compliance & business-related services to the broker-dealer, with a focus on energy (both traditional and renewables) and investment advisory affiliate, Greenwich Energy Investments. FINRA Series 7, 24, 63, 65, 79 and 99 licenses.



UBS

• Switzerland
• Financial Services
• 700 & Above Employee

• Alternative investments - Director & Associate General Counsel

  • Jan 2007 - Jun 2010

  • Lead counsel for Alternative Investments Group (private equity & hedge funds, real assets, commodities funds & REITS) & its distribution channels (corporate pension funds, HNW, endowments & foundations) • Responsible for banking & securities legal matters (Advisers Act, BHCA, CFTC/NFA, SEC/FINRA, 40 Act & 33/34 Acts), spanning formation, distribution & entire life cycle of managing alternative investment funds • Lead counsel for Alternative Investments Group (private equity & hedge funds, real assets, commodities funds & REITS) & its distribution channels (corporate pension funds, HNW, endowments & foundations) • Responsible for banking & securities legal matters (Advisers Act, BHCA, CFTC/NFA, SEC/FINRA, 40 Act & 33/34 Acts), spanning formation, distribution & entire life cycle of managing alternative investment funds



Horizon Capital (sole proprietorship)

• Greater New York City Area

• Founder & CEO

  • 1999 - Jul 2005

  • Thought leader on best practices in structuring & executing strategic alliances in renewables & market infrastructure, logistics • Provided capital markets to corporate executives & investment managers • Thought leader on best practices in structuring & executing strategic alliances in renewables & market infrastructure, logistics • Provided capital markets to corporate executives & investment managers



BNP Paribas

• France
• Banking
• 700 & Above Employee

• SVP & Head of Complex Financing

  • Jul 1997 - Aug 1999

  Led the cross-border complex & structured finance activities for clients with a presence in North America. Led the cross-border complex & structured finance activities for clients with a presence in North America.



Pitney Bowes

• United States
• Software Development
• 700 & Above Employee

• Senior Tax Counsel & Director, Structured Finance

  • 1994 - 1997

  Served in lead legal/tax & business role in structuring and investing in structured lease financing, structured finance transactions, venture capital investments, R&D and other portfolio investments. Deal team earned IFR Deal of the Year award for an innovative lease financing transaction. Served in lead legal/tax & business role in structuring and investing in structured lease financing, structured finance transactions, venture capital investments, R&D and other portfolio investments. Deal team earned IFR Deal of the Year award for an innovative lease financing transaction.



BNP Paribas

• France
• Banking
• 700 & Above Employee

• SVP, Structured Finance

  • 1991 - 1994

  Served as lead tax and business adviser for structured finance transactions & private equity & VC financings; created uniquely tailored cross-border financing structures to address issuers' & investors' respective financing & investment requirements throughout the capital stack, including preferred equity, the mezzanine tranche, convertible debt, and securitization and lease financing.. Served as lead tax and business adviser for structured finance transactions & private equity & VC financings; created uniquely tailored cross-border financing structures to address issuers' & investors' respective financing & investment requirements throughout the capital stack, including preferred equity, the mezzanine tranche, convertible debt, and securitization and lease financing..



Sidley Austin LLP

• United States
• Law Practice
• 700 & Above Employee

• Tax & ERISA Attorney

  • 1985 - 1991

  Provided tax & ERISA advice in connection with private equity funds, structured financing transactions, JVs & investment partnerships; clients included investment banking firms, pension fund investors, corporate issuers, commerical banks, insurance companies & private enterprises. Focus on energy and financial services sectors. Provided tax & ERISA advice in connection with private equity funds, structured financing transactions, JVs & investment partnerships; clients included investment banking firms, pension fund investors, corporate issuers, commerical banks, insurance companies & private enterprises. Focus on energy and financial services sectors.



Weil, Gotshal & Manges LLP

• United States
• Law Practice
• 700 & Above Employee

• Tax Attorney

  • 1982 - 1985

  Transitioned from Summer Associate (1982) to Tax Associate upon graduation from law school (1983); provided tax advice to clients in the investment banking industry & private investment firms. Transitioned from Summer Associate (1982) to Tax Associate upon graduation from law school (1983); provided tax advice to clients in the investment banking industry & private investment firms.



Third Circuit Federal Court of Appeals

• Greater Philadelphia Area

• Summer Clerk, The Honorable A. Leon Higginbothom

  • May 1981 - Aug 1981