Kaplan & Associates LLC is a boutique securities, corporate, and business law firm headquartered in Denver, Colorado, offering specialized legal counsel to clients navigating complex financial and commercial matters. The firm distinguishes itself through its focused expertise in securities regulation, corporate structuring, and transactional law, serving a diverse clientele that includes investment advisers, private funds, and business entities.
The firm’s attorneys are admitted to practice in multiple jurisdictions, including Colorado and New York, as well as before several federal courts, enhancing their ability to handle cross-state and high-stakes legal issues. Kaplan & Associates emphasizes a client-centered approach, providing strategic guidance on compliance, entity formation, mergers, and intellectual property matters, and offers a free initial consultation to assess client needs.
Services Offered
- Securities Law (private securities offerings, PPMs, Reg D, Reg A, Real Estate Funds, Investment Management Structures, SEC and DORA RIA audit and investigation)
- Registered Investment Adviser (RIA) & Investment Adviser Representative (IAR) Law (compliance, hedge funds, private funds, venture funds, partial sales, acquisitions, monetization/sales multiple transactions)
- Corporate, Partnership, LLC and Business Law (entity formation, bylaws, LP agreements, LLC operating agreements)
- Mergers and Acquisitions Law (negotiating, structuring, due diligence)
- Intellectual Property Law (trademarks)
- General Practice Attorney Services
- Legal Services (comprehensive business and corporate advisory)
The firm is admitted to practice before The Supreme Court of the United States, United States Tax Court, United States District Court for the Second Circuit, United States District Court for the District of Colorado, and United States Court of Appeals for the Tenth Circuit, underscoring its litigation and appellate capabilities in federal matters.
