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Richard D. Smith

Partner

280 Park Avenue
15th Floor West
New York, NY 10017
richard.smith@nelsonmullins.com

Richard Smith is the Managing Partner of the New York office of Nelson Mullins Riley & Scarborough LLP where he practices with the Mergers and Acquisitions Group. His practice focuses on corporate transactions, mergers and acquisitions, private equity, and capital markets.

He has represented clients in M&A and strategic transactions involving banking, sponsor finance, healthcare, technology,...

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Richard Smith is the Managing Partner of the New York office of Nelson Mullins Riley & Scarborough LLP where he practices with the Mergers and Acquisitions Group. His practice focuses on corporate transactions, mergers and acquisitions, private equity, and capital markets.

He has represented clients in M&A and strategic transactions involving banking, sponsor finance, healthcare, technology, telecom, mortgage, broker-dealer, mining, insurance, trade processing, investment advisory, asset management, real estate, energy, entertainment, shipping, market maker, servicing, and commodities businesses. His M&A experience also includes counseling financial institutions with regard to fairness opinions and advisory engagements. He has also advised several clients on M&A related disputes and arbitrations.

Mr. Smith is a member of the Board of Advisors of the Institute for Law and Economics at the University of Pennsylvania. He is also a member of the Duke Law School Global Financial Markets Center Advisory Board.

 

telecom, mortgage, broker-dealer, mining, insurance, trade processing, investment advisory, asset management, real estate, energy, entertainment, shipping, market maker, servicing, and commodities businesses. His M&A experience also includes counseling financial institutions with regard to fairness opinions and advisory engagements. He has also advised several clients on M&A related disputes and arbitrations.

Mr. Smith is a member of the Board of Advisors of the Institute for Law and Economics at the University of Pennsylvania. He is also a member of the Duke Law School Global Financial Markets Center Advisory Board.

 

Richard Smith is the Managing Partner of the New York office of Nelson Mullins Riley & Scarborough LLP where he practices with the Mergers and Acquisitions Group. His practice focuses on corporate transactions, mergers and acquisitions, private equity, and capital markets.

He has represented clients in M&A and strategic transactions involving banking, sponsor finance, healthcare, technology,... telecom, mortgage, broker-dealer, mining, insurance, trade processing, investment advisory, asset management, real estate, energy, entertainment, shipping, market maker, servicing, and commodities businesses. His M&A experience also includes counseling financial institutions with regard to fairness opinions and advisory engagements. He has also advised several clients on M&A related disputes and arbitrations.

Mr. Smith is a member of the Board of Advisors of the Institute for Law and Economics at the University of Pennsylvania. He is also a member of the Duke Law School Global Financial Markets Center Advisory Board.

 

Experience

Following is a selected sampling of matters and is provided for informational purposes only. Past success does not indicate the likelihood of success in any future matter.

Experience

  • Represented a large financial institution on the sale of its equity investment in a healthcare company
  • Advised an investment bank on several advisory engagements
  • Advised a large financial institution on its investment in warrants issued by a biotech company
  • Advised a large financial institution on its investment in warrants issued by a technology start-up
  • Represented a public company on its acquisition of a private communications company
  • Advised a large financial services corporation on the sale of several portfolios of equity investments
  • Advised a large financial services corporation on the equity portion of the sale of its healthcare financial services business to a financial institution
  • Represented a large financial services corporation on the equity portion of the sale of its sponsor finance business to a pension plan investment organization
  • Advised a large financial services corporation on transactions involving its equity platform and investments
  • Represented a large global financial services company on its equity investment in an energy project
  • Advised a renewable energy company on an equity investment by an energy trading company
  • Represented various musicians and athletes on corporate and licensing matters
  • Advised a CRO in connection with a potential strategic transaction
  • Assisted two clients with a joint winning bid to purchase a portfolio of shipping loans with a value of more than $600 million from a financial institution
  • Advised a large financial services corporation on its assignment of CLO management contracts held by its affiliates to a NASDAQ-listed asset manager in exchange for cash consideration and a minority equity interest consisting of common stock and certain warrants
  • Advised a large financial services corporation on its sale of CIFC common stock and warrants
  • Represented a large trust and clearing corporation on its acquisition of a trade processing company
  • Advised a global producer of natural gas-based fertilizers and industrial chemicals on its public takeover offer for a related construction entity and $1 billion in equity commitments from several asset management companies
  • Represented a broker-dealer group on its acquisition by an investor-services firm in the amount of more than $1 billion
  • Represented a private investment firm on its acquisition of a gold mine and mill; on its proposed acquisition of a gold mining company from another mining company; and on its proposed hostile acquisition of a precious metals company
  • Advised a global bank on the sale of its international private banking business
  • Represented a government-owned investment and development organization on its minority investments in a private technology company and a private life sciences company
  • Represented a U.S. investment adviser on the regulatory and compliance issues for business expansion and the acquisition of additional asset management businesses
  • Represented a global services company in an arbitration arising from a post-closing M&A dispute
  • Represented a bidder on the sale by auction of a financial services company's broker-dealer subsidiary, ultimately acquired by a financial group
  • Advised an international financial institution and a multinational investment fund on their investment of $200 million to acquire a stake in a company held by a Colombian insurance company
  • Advised a global securities group on a number of debt and equity securities offerings and financings
  • Advised a provider of "smart" gas, electricity, and water meters, on the tender offer for all of its shares by a buy-out company
  • Represented a global investment management firm on the restructuring of the financing of a casino involving the issuance of warrants
  • Represented the agent on the restructuring of a bulk shipping company's revolving loan facility
  • Advised a financial institution, as dealer, on the first ever registration of a covered bond program with the SEC
  • Represented a financial services client on its proposed acquisition of an international bank's global asset management business
  • Represented a financial services client on its proposed acquisition of a Brazilian bank
  • Advised several financial institutions on the establishment of fairness opinion committees and related policies and procedures, and on the establishment of M&A platforms
  • Represented various international funds in connection with a series of loan transactions and equity investments in Africa and China
  • Represented Central American clients on the proposed acquisition of common stock representing certain power assets in Central America
  • Advised several consortia of banks on joint ventures
  • Represented the agent on the distressed sale of a medical device company
  • Advised a global financial institution on its acquisition of the North American assets of another financial institution
  • Advised a global financial institution on its acquisition of a mortgage servicing company
  • Advised a global financial institution on its acquisition of a mortgage origination company
  • Advised a global financial institution on its acquisition of certain mortgage IT assets out of bankruptcy
  • Advised a global financial institution on its structured financing transaction with famous American musician
  • Advised a global financial institution on its acquisition of a commodities analytics company
  • Advised a global financial institution on its acquisition of two NYSE designated market makers
  • Advised a global financial institution on the sale of its mortgage servicing company
  • Advised a global financial institution on its investment in a fuel-hedging company
  • Advised a global financial institution on its investment in an online platform for collateral management
  • Advised a global financial institution on the sale of a portfolio of commercial real estate assets
  • Advised a global financial institution on various energy-related private equity transactions

Previous Professional Experience

  • Previous experience at international law firms (Reed Smith, Allen & Overy, Sullivan & Cromwell), most recently Partner at Reed Smith
  • Head of M&A and Investment Banking Legal (Americas) at Barclays
  • Associate General Counsel, Goldman Sachs
  • Assistant Economist, Federal Reserve Bank of New York

Certifications

  • FINRA Series 7 General Securities Representative

Education

  • Duke University School of Law, JD, with honors (1993)
  • Haverford College, BA, Economics (1988)
    • Phi Beta Kappa

Admissions

  • New York
  • District of Columbia
  • U.S. District Court for the Southern District of New York
  • U.S. District Court for the Eastern District of New York

Practice Areas

Industries

  • Board of Advisors, Institute for Law and Economics, University of Pennsylvania
  • Faculty member, Practicing Law Institute
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