Overview

Richard Smith is a New York business attorney who focuses on corporate transactions, mergers and acquisitions (M&A), private equity and capital markets.

Mr. Smith represents clients in M&A and strategic transactions involving banking, mortgage, sponsor finance, healthcare, technology, telecommunications, broker-dealer, mining, insurance, investment advisory, asset management, real estate, energy, infrastructure, entertainment, shipping, financial services, transportation management, market maker, servicing and commodities businesses. His M&A experience also includes counseling financial institutions with regard to fairness opinions and advisory engagements. Mr. Smith's capital markets work encompasses a broad range of global and domestic securities offerings and financings, liability management, regulatory advice and covered bonds. He also has advised several clients on M&A-related disputes and arbitrations.

Prior to joining Holland & Knight, Mr. Smith was a corporate attorney for a national law firm and was the managing partner of its New York office.

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

  • Advised a venture capital firm on the sale of a portfolio of equity investments to an investment firm 
  • Advised a large global financial services company on its equity investment in a communications infrastructure company
  • Represented a large global financial services company on the acquisition of intellectual property assets
  • Advised a Korean client on its equity investment in an Israeli healthcare technology company
  • Represented a large private equity firm and its transportation management system portfolio company on the acquisition of a transportation claims management software company
  • Advised a large global financial services company on the sale of its equity investment in an agricultural company
  • Represented a large global financial services company on the sale of its equity investment in a data center solutions company
  • Represented a large financial institution on the sale of its equity investment in a healthcare technology company
  • Advised a software company on the acquisition of a management system software company
  • Represented a commercial bank on its initial public offering (IPO)
  • Advised a federal savings bank on cybersecurity matters, corporate governance and various lending transactions
  • Represented a large private equity firm on the sale of a transportation management system portfolio company to another large private equity firm
  • Represented a large financial institution on the sale of its equity investment in a healthcare company
  • 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
  • Represented a large trust and clearing corporation on its acquisition of a trade processing company
  • 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 U.S. investment adviser on the regulatory and compliance issues for business expansion and the acquisition of additional asset management businesses 
  • Represented a bidder on the sale by auction of a financial services company's broker-dealer subsidiary, ultimately acquired by a financial group
  • 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
  • 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 information technology (IT) assets out of bankruptcy
  • Advised a global financial institution on its acquisition of a commodities analytics company
  • Advised a global financial institution on its acquisition of two New York Stock Exchange (NYSE)-designated market makers
  • Advised a global financial institution on the sale of its mortgage servicing company
  • Advised a global financial institution on the sale of a portfolio of commercial real estate assets

  • Represented the initial purchaser and placement agent in the 144A private offering of convertible preferred stock of a mortgage servicing company
  • Represented a Canadian sports company regarding certain U.S. matters relating to two financing transactions
  • Advised an investment bank on several advisory engagements
  • 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
  • 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 collateralized loan obligation (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 a stake comprised of common stock and warrants
  • Represented a government-owned investment and development organization on its minority investments in a private technology company and a private life sciences company
  • 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
  • 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 registration of a covered bond program with the U.S. Securities and Exchange Commission (SEC)
  • 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
  • Advised a global financial institution on its structured financing transaction with famous American musician
  • 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 large professional services company on commercial and advisory agreements
  • Advised a financial technology (FinTech) company on its patent application
  • Advised the insurance subsidiary of a global business corporation regarding cybersecurity regulatory matters
  • Represented a large private equity firm on confidentiality agreements
  • Advised a global information services company on matters relating to certain litigation proceedings
  • Advised a global investment management firm regarding certain regulatory matters
  • Advised two Asian clients regarding potential investment transactions in the U.S.
  • Advised a global investment management company regarding certain matters related to a real estate investment
  • 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 startup
  • 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 contract research organization (CRO) in connection with a potential strategic transaction
  • 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 global services company in an arbitration arising from a post-closing mergers and acquisitions (M&A) dispute
  • Advised a provider of "smart" gas, electricity and water meters, on the tender offer for all of its shares by a buyout company
  • Advised several financial institutions on the establishment of fairness opinion committees and related policies and procedures, and on the establishment of M&A platforms 
  • Advised a global financial institution on various energy-related private equity transactions

Credentials

Education
  • Duke University School of Law, J.D., with honors
  • Haverford College, B.A., Economics
Bar Admissions/Licenses
  • New York
Court Admissions
  • U.S. District Court for the Southern District of New York
  • U.S. District Court for the Eastern District of New York
Memberships
  • Institute for Law and Economics, University of Pennsylvania, Board of Advisors, 2012-Present
  • Duke University School of Law, Global Financial Markets Center, Advisory Board, 2017-Present
  • Practising Law Institute, Faculty Member, 2010-2013
  • Association of the Bar of the City of New York Securities Regulation Committee, Annual Conferences Panelist, 2006-2008
  • Phi Beta Kappa

Publications

Speaking Engagements

News