James Linhardt
Biography
James Linhardt is a corporate counsel in Baker McKenzie's Chicago office and a member of the Firm's North America Transactional Practice Group and the Global Private Capital and Funds Practice. He has significant experience in a wide range of securities and corporate finance matters, with particular emphasis on broker-dealer regulation and alternative investment fund formation.
He is the former chair of the Institute for Portfolio Alternatives’ (IPA) Compliance and Due Diligence Committee, participates in various IPA task forces, and has spoken on multiple related topics.
Practice Focus
James’ practice is focused on assisting clients with broker-dealer and investment adviser laws, rules, and regulations including FINRA corporate finance, communications, operations, and membership rules. James has extensive experience forming, acquiring, and selling broker-dealers and state and SEC registered investment advisors and also engaging in continuing membership applications on behalf of existing broker-dealers effecting material changes to their business. James also regularly assists clients navigating the SEC and FINRA regulatory landscape, including corporate financing rules, Regulation BI, analyses of the SEC’s Bad Actor Rules, cybersecurity, and preparing written supervisory procedures and ongoing continuing education materials. James also assists issuers and broker-dealers in preparing and revising offering related sales materials and communications for compliance with FINRA rules and regularly communicates with senior FINRA personnel on various related matters.
James also assists clients with fund formation, and state blue sky compliance, including preparing and reviewing offering and operative documents. James supports clients with drafting registration statements, private placement memoranda, and related documents for publicly registered and private placement offerings including non-traded REITs, mortgage programs, preferred stock, oil and gas drilling and acquisition programs, private equity, and other alternative investment offerings. James is experienced in structuring Rules 506(b) and 506(c), Section 4(a)(2), Regulation A, Regulation Crowdfunding, and Regulation S private placement offerings.
Professional Honors
- Rising Star - Securities and Corporate Finance, SuperLawyers, 2023 - 2025
- Outstanding Service Award, IPA, 2024
- Rising Leader, IPA, 2023-2024
Professional Associations and Memberships
- Institute for Portfolio Alternatives (IPA) - Chair, Compliance and Due Diligence Committee (2023-2024)
- IPA Committee Leadership and Participation: NASAA Non-Listed REIT Guideline revisions, non-listed REIT valuation guidelines, Rule 506(c) implementation issues, captive broker-dealer due diligence, electronic signatures in alternative investments, compliance issues associated with long- term remote work.
Admissions
- New York~United States
- Oklahoma~United States
Education
- University of Oklahoma (JD)
- Oklahoma State University (BS Economics)
Languages
- English