The process of raising capital is highly regulated and maintaining compliance can consume valuable resources. Back office management takes time and money away from other important aspects of running your business and attracting investors.
We provide the diligence needed to complete a private securities transaction including issuer, offering and investor due diligence. This includes everything from bad actor checks to investor suitability, KYC, AML, FinCEN, OFAC and more.
We also offer managing broker-dealer services, which includes partnering with other broker-dealers to form selling group syndicates.
Raising capital doesn’t have to be a manual process anymore. Our innovative transaction processing technology creates efficiency for our team of regulatory experts allowing them to gather the right information to support a rigorous compliance review—in less time.
We also manage subscriber payments through an escrow account ensuring all deposits are handled correctly. Plus, we handle books and records for tracking purposes in the event any information needs to be reviewed after an investment is completed.
*Platform stats as of January 2019
transacted on platform
We offer oversight of representatives registered through our broker dealer, including supervision of digital communications, outside trading accounts and business activity. Additional services include advertising review, electronic storage of books and records, and continuing education.
Registering your representatives through our registered broker-dealer allows you to sell private offerings to investors in all 50 states and 3 districts.