Who is BlueLake Partners?

BLP’s Sell


Warning:  this blog is about BLP’s services, and is part sell.

The majority of our blogs are filled with content aimed to be useful to you.  Occasionally, we enter the sell mode.  When we do so, we will tell you up front, so that if you’re not interested you can skip to your next email.


Source:  Microsoft Media
Source: Microsoft Media

You’ve been receiving our blog/newsletter, but do you know what BlueLake Partners does?

We are actually two inter-related firms, one of which is a broker dealer, the other conducts non-broker dealer business.   What are our dreams, goals and ambitions?

BLP is at the intersection of finance, strategy, technology and commerce.  Our raison d’être is to be of service to emerging growth and technology companies:  To further entrepreneurs and their companies along in their goal to change the world, in some manner.  Which each of us do every day, when we double-click on the path not taken.  [For those who are unaware, Robert Frost’s farm is located in Derry, which is the next town over.]

Back in the day, BLP was founded to be a mergers & acquisitions and private placements firm.  To that end, we, and our professionals, are licensed by FINRA.  What many are unaware of, except certain lawyers, and scofflaw[1] venture capitalists, is that in order to accept a commission on a financial transaction involving stock, one must be licensed by FINRA.   Which are private placements and merger and acquisition (“M&A”) transactions

Our current vision of BLP is of a small, high quality, network of professionals in emerging growth locations around the country, that conduct investment banking business.  Our professionals are savvy investment banking professionals, who have worked for full service firms, principally based in New York City and San Francisco.  Having worked in the large firm, these individuals want to be independent, but also want to operate within the industry rules and regulations.

BLP wants to align with these individuals, and has put in place the necessary operating and regulatory infrastructure.  Our people operate their own advisory firms, but use BLP for any transactions that require a FINRA license.

If you know of an experienced emerging growth investment banker who is currently freelancing and wants to operate under FINRA’s regulatory umbrella, we are very interested in talking with that individual.  Our services extend to and are tailored for these bankers.

It is no longer possible for a solo practitioner to operate a broker dealer (“BD”) FINRA no longer issues broker dealer licenses to one person; BLP is grandfathered in that respect.  The increase in the regulatory environment, especially The Patriot Act and anti-money laundering regulations, make it impossible for a person to both run a broker dealer and conduct investment banking business.

BLP will also be adding ancillary businesses, focused on the growth equity market.  You will see new accredited investor certification services being introduced, that are related to the JOBS Act, and specific online courses to assist the entrepreneur in conducting their own M&A and private placement transactions.  Furthermore, we have been contacted by intriguing, new crowd funding portals, who are interested in developing alliances with BLP.  We are planning to roll out some of these products over the next year.

How Can You Help?

We are very interested in adding more professionals to BLP to expand our network.  The professionals should be independent producers, and have worked for several years in corporate finance at an investment bank focused on the emerging growth sector.  This includes Technology, Medical, Software and Retail.

We’re always interested in hearing about your new business activities, whether they are your own, or related to BLP.  In fact, the accredited investor verification service idea was spawned by our attorney, who is a creative, savvy individual.

This newsletter is currently being proofed by Dave Henshaw, who volunteered his proofing services, when he is available. Dave is my USMS swimming lane mate, and Granite State Penguin team-mate.  He is retired from MIT, where he used to produce and proof their annual financial report.  Exactly what we need.  Dave’s only remuneration is an occasional cup of coffee and post-swim breakfast.  Thank you, Dave.


Margaret Johns

Founder & Managing Director

[1] The term scofflaw is used, as certain venture capitalists have been known to refuse to pay a success fee citing legal issues.   The stated reason is that legally, they aren’t allowed to pay the fee, because the agent is unlicensed.  While true, these venture capitalists were fully aware of this “detail” when the agent was hired.

Contact us at mjohns@bluelakepartners.com