Investment Banking & Capital Placement

du Pasquier provides a variety of investment banking and capital placement services to corporations and entities covered by Regulation D, including Private Investments in Public Equity’s (“PIPES”) and Alternative Investments.

Our Advisory capabilities include:

  • Financial Restructuring & Corporate Consulting
  • Mergers & Acquisitions
  • Fairness and Solvency Opinions
  • Minority Sales and Block Trades
  • Buy & Sell Side Services

Our team has experience executing PIPE transactions for small and micro-cap companies in the following sectors:

  • Energy
  • Consumer Products
  • Technology
  • Mining
  • Healthcare

PIPES transactions have included:

  • Registered Directs
  • Common Stock
  • Preferred/Convertible Preferred
  • Debt/Convertible Debt
  • Warrant Offerings

Our Alternative Investments team has broad-based global experience with:

  • Institutional, family office, and high net worth investors throughout the U.S., Europe (with concentrated relationships in Switzerland, Luxembourg, and France) and East Asia.
  • A broad network of independent marketers.
  • The ability to assist in the development and enhancement of marketing materials for hedge fund managers.

Dedicated Specialists

John Gallagher
Managing Director

Mr. Gallagher concentrates within the Global Alternative Investments and Capital Placement arena at du Pasquier.  He began his career with Kidder Peabody in Geneva, and then joined Morgan Stanley’s Convertible Sales Department in London before leaving for Shearson Lehman Hutton in London.  He subsequently established Butcher & Singer’s London office.  Mr. Gallagher returned to Morgan Stanley before transferring to Singapore to oversee the MS Institutional Equity Sales desk and co-managed the MS Sales Trading in Hong Kong.  He later joined Instinet (Hong Kong), before moving to New York, where he was in the Global Strategic Business Group.  Mr. Gallagher became involved in the Global Marketing of Alternative Investment for Dominick & Dominick and then with First Worldwide Financial Partners.  Mr. Gallagher received his B.A. cum laude from Notre Dame and his MBA from Imede, Université de Lausanne (Suisse).

phone:  212-624-1222
email:  john.gallagher[at]dupasco.com