Small Business Investment Company (SBIC) Practice

LEADERSHIP: Christopher A. Rossi

Why Select Pepper?

It makes sense for you to select Pepper as your SBIC counsel for the following reasons:

  • Experience. The group is led by Christopher A. Rossi (Berwyn, PA and New York). Chris has written and spoken extensively on SBIC and private equity matters and actively participates on the Legal Committee of the Small Business Investor Alliance.

    Other members of the group include Michael A. Temple (Detroit); Janet L. Beyer and Sherri MacDonald (SBIC Project Managers - Detroit); and Julia D. Corelli, Greg Nowak, Bradley Boericke, Joseph V. Del Raso and Lisa B. Petkun (Philadelphia).

    Chris Rossi has advised numerous SBICs in connection with their formation, licensing and regulatory matters as well as with respect to their investment activities since 2008. He is also an experienced partnership, M&A and deal lawyer with more than 23 years of experience with Pepper Hamilton. Mike Temple has intensive experience in connection with the formation, licensing, regulatory and investment activities of SBICs with more than 15 years of experience with Pepper Hamilton. They are supported by Jan Beyer and Sherri MacDonald who have multiple skills, including licensing documentation, leverage draw requests and SBA forms and procedures.
  • Knowledge. Establishing an SBIC requires extensive knowledge of partnership and corporate law, securities law, taxation (foreign and domestic) and ERISA laws, as well as in-depth knowledge of the SBIC Regulations. Lisa Petkun has provided SBIC tax advice for 30 years. Joe Del Raso, formerly an SEC attorney, and Greg Nowak advise hedge and other investment funds and have extensive expertise in the Investment Company Act of 1940 and experience with the Investment Advisers Act of 1940. Brad Boericke has extensive experience in advising financial institutions about SBIC investment regulations. The firm has researched extensively the availability of Community Reinvestment Act credit for investments by financial institutions in SBICs as well as the interaction of state-sponsored economic development programs with SBIC requirements.
  • Working with Your Regular Counsel. The firm is equally happy to handle all aspects of your SBIC’s formation and licensing, or to work in conjunction with your regular counsel. Pepper has established excellent working relationships with many of the country’s other leading law firms and regularly receives referrals from them.
  • Cost-Effective. Having seen “almost all of it” before, the firm is equipped to provide informed, experienced advice to assist you in getting it right the first time.

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