A Boutique Investment Bank Specializing in Private Securities and Alternative Investments
DEBT & EQUITY PRIVATE PLACEMENTS
PRIVATE CAPITAL RAISING
BACK OFFICE COMPLIANCE SERVICES
We have Extensive Experience in the Capital Raising industry to Support a Wide Range of Transactions
MERGERS & ACQUISITIONS
SELL/BUY SIDE TRANSACTIONS
RESTRUCTURE AND REORGANIZATION
EVALUATION OF POTENTIAL PRIVATE ASSET ACQUISITIONS
FINANCIAL ADVISORY SERVICES
James R. Richards, CFA will lead the financial advisory services. He has spent many years sourcing and valuing acquisition candidates for a NYSE investment company, as a middle-market investment banker and as a business development affiliate for several private equity investment firms. He is a Chartered Financial Analyst and a Senior Lecturer for business valuations at the University of Texas at Dallas.
COMPREHENSIVE DUE DILIGENCE ON SUBJECT COMPANY
DETAILED EVALUATION OF INDUSTRY AND ECONOMIC ENVIRONMENT
VALUATION OF PRIVATE SECURITIES
We have substantial principal investor and senior management experience in the financial services industry, including broker/dealers and investment advisors, commercial finance and life insurance companies.
REGULATORY COMPLIANCE CONSULTING & SERVICES
MANAGING BROKER-DEALER SERVICES
BRANCH MANAGEMENT & FRANCHISING
OFFERING DUE DILIGENCE
Ilonka Nobles leads all aspects of the firm's compliance and supervision activities. Having managed multiple branch offices and servicing compliance needs for numerous private equity firms, she brings a wealth of diverse experience to lower risk and costs to our clients.
To provide Regulatory Guidance & Support To Select Companies Issuing Private Securities
Ilonka and Jim have been working together since 2007. After running two other independent firms they joined forces to form Nobles & Richards. Both Ilonka and Jim have extensive experience serving a variety of clients in the securities industry. Through their partnership have been able to serve the industry in a more comprehensive way.
They are also partners in their affiliated company, Nobles & Richards Advisors, LLC, a Texas Registered Investment Advisory firm.
Chief Compliance Officer
Ilonka Nobles has been in the securities industry since 1996 with leadership roles since 1998. She is presently a co-founder and owner of Nobles & Richards where she serves as President, Chief Executive Officer and Chief Compliance Officer.
This firm was initially formed in 2007 and registered with the SEC and FINRA in 2008 to provide branch office opportunities for issuers of direct participation programs and has sponsored five branch offices since inception. Under her supervision, the firm has offered over $150 million across 35 projects.
Ms. Nobles is also the sole owner of Telemarketing Law Compliance, LLC which specializes in blue sky securities filings and other compliance consulting services.
Besides serving as CCO of other firms, Ms. Nobles previously launched two other Broker/Dealers where she served as President and Chief Executive Officer during the critical formation and initial growth phase, then recruited permanent CEO’s to take her place while she went on to the next challenging project.
Ms. Nobles currently holds the Series 7, 22, 39, 99 and 63 licenses.
JAMES R. RICHARDS, CFA
Chief Financial Officer & FinOp
James R. Richards, CFA, is the Founder of Texas Business Capital, Inc., a Private Equity Investment Firm and a Co-Founder of Nobles & Richards, Inc.
He previously served as CEO of a mid-sized industrial distribution company, as Vice President-Corporate Planning for Gulf United Corporation (NYSE:GHC), an investment company with operating subsidiaries in insurance, financial services, radio and television broadcasting and real estate and as a Certified Public Accountant with Deloitte & Touche.
Mr. Richards is also serves as a member of the Board of Directors of several companies and was previously an elected member of the City Council of Dallas, Texas and appointed member of several City and County Boards of Trustees.
He holds an MA Degree from the University of Texas at Dallas where he is a Senior Lecturer in Finance and Business Valuation. He holds FINRA Licenses Series 7, 24, 27, 53, 63 and 65.
NOBLES & RICHARDS, INC.
801 East Plano Parkway - Suite 220 - Plano, TX 75074
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