Thomas R. "Rhys" James

Rhys James focuses his practice on private and public capital markets, corporate finance and corporate governance issues, with particular emphasis on Regulation A offerings across multiple industries, REITs, 1031 syndications (including DST and TIC offerings), and equity and debt private placements. Rhys counsels his clients on all aspects of securities compliance including SEC reporting (Exchange Act and Regulation A), exchange listing, state registration and exemptions, and Investment Company Act compliance.

As issuer’s counsel, he has been intimately involved in public registrations, Regulation A offerings and private placements of securities of over $1 billion collectively, including common and preferred equity and debt securities in diverse industries with a focus on real estate investment.

In his corporate practice, Rhys has represented diverse clients in general corporate matters and corporate governance as well as in mergers and acquisitions. He has structured equity financings, lines of credit, and other financings for corporate clients.

Rhys has been an advocate for small and emerging business capital formation, including working with Congress and the Securities Exchange Commission with respect to the enactment of the JOBS Act, and the adoption of the rules implementing its Title IV (Reg A+), respectively, including the delivery of commentary cited multiple times in the SEC’s adopting release for Reg A+. Rhys is an active participant in the Alternative & Direct Investment Securities Association (ADISA), where he has spoken or moderated on numerous panels regarding private placements, best practices, new sponsor dos & don’ts, due diligence and Regulation A, and he is a past conference chair.

Rhys earned his Juris Doctor degree from the College of William & Mary School of Law and his Bachelor of Science degree from Washington and Lee University.