Provides investors and their advisors with a frictionless experience while giving issuers and sponsors the transparency they need.
Subscription AutomationInvestor VerificationRegistered Rep Order Entry
Handles offering syndication and regulatory requirements with the help of a team of dedicated compliance professionals.
Regulatory Due DiligenceRegistered Rep AffiliationManaging BD Services
Facilitates marketplace connections between issuers and advisors via an online showcase of vetted offerings.
Product DiscoveryAdvisor/Sponsor IntroductionsWholesale Distribution
Standard paper subscription processing is time-consuming and error-prone. The future of investment processing is subscription automation technology:
» 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.
*Estimated internal research figure. Past results not a guarantee of future performance.
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AML, OFAC, FinCEN and Bad Actor checks
Suitability and KYC approval
Investor accreditation
Escrow administration
SEC Form D and State Blue Sky filings
Books and records management
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.
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.*
*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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