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Our technology platform automates the subscription process, delivers regulatory compliance and helps make marketplace connections between sponsors and advisors.

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TECHNOLOGY

Provides investors with a frictionless experience while giving issuers and sponsors the transparency they need.

check-signSubscription Automation
check-signInvestor Verification
check-signRegistered Rep Order Entry

Learn More About Our Technology Solutions »

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COMPLIANCE

Handles regulatory requirements across the capital raising process with the help of a dedicated compliance team.

check-signRegulatory Due Diligence
check-signRegistered Rep Oversight
check-signManaging BD Services

Learn More About Our Compliance Services »

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MARKETPLACE

Facilitates marketplace connections between issuers and advisors via an online showcase of pre-vetted offerings. 

check-signProduct Discovery
check-signAdvisor/Sponsor Introductions
check-signWholesale Distribution

Learn More About the WealthForge Network »

Automate the investment process

Delight investors with a frictionless experience

Standard paper subscription processing is time-consuming and error-prone. The future of investment processing is subscription automation:

» Subscriptions can be completed in as little as 5 minutes.

» Reduces NIGO errors by up to 93%.*

» Docusign agreements, pre-populated with investors' information, sent directly to investors' inboxes.

 

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*Estimated internal research figure. Past results not a guarantee of future performance.

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AML, OFAC, FinCEN and Bad Actor checksCheck

Suitability and KYC approval Check

Investor accreditation Check

Escrow administration Check

SEC Form D and State Blue Sky filingsCheck

Books and records management Check

Work with a broker-dealer

Raise capital the compliant way

An issuer cannot sell a security the same way it sells its products or services. Securities sales are heavily regulated—and one misstep can cost you. Working with a broker-dealer helps ensure:

» Offerings are in compliance with the SEC, FINRA, and state regulators.

» Investors are verified and checked for suitability.

» Build your own dedicated securities distribution team.

 

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Source and execute alternative investments

The easier way to incorporate alternatives

Use of technology and inclusion of alternatives are two factors that can help differentiate advisors from competition. Wealthforge enables advisors to:

» Browse a marketplace of pre-vetted alternative investments.

» Save time with auto-filled client account information and online signatures for signatory document execution.

» Opportunity to diversify investors' portfolios.*

 

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*Private security and Regulation A transactions involve a high degree of risk and are not suitable for all investors. They are illiquid, may have a long hold period, and may result in the loss of invested principal. Diversification does not protect against loss or guarantee profits.

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*Testimonials may not be representative of the experience of all clients. Testimonials are not a guarantee of future performance or success.

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