Call for Advice: Setting-Up an M&A Shop as a Foreigner

Hello everyone!

Your input would be highly appreciated and could truly be life changing.

I have been contacted multiple times to take charge of US-based Small-Cap transactions; these are typically well experienced seniors in the Healthcare industry who are looking to raise equity for their own venture. Very small Capp - count 1 to 10 $M.

So, the idea to start my own M&A shop naturally came to me. 

So, in short, I am seeking advice regarding my ability to act as an M&A Advisor in a US-based transaction, and the responses I obtain searching the web truly are misleading, and I would like to avoid consulting a lawyer for the moment.

Here come the questions:

  1. Do I have the legal right to execute this transaction as an individual M&A Advisor, acting on my own moral capacity?
  2. If not, would it be necessary or advisable for me to form a US-based entity to properly conduct the transaction?
  3. Are there any specific licenses or permits required under US law for someone to provide M&A advisory services.

Note: I am a foreigner (not US-citizen, that usually makes thing tough) and based in Mexico City.

Any insights, experiences, or references to legal resources would be appreciated.

Thanks in advance!

1 Comments
 

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