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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

End-to-end back office management

We'll manage the process, you manage the relationships

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.

Efficient transaction processing

Leverage an entire team focused on efficiency and compliance

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 Q12018

$650M+

transacted on platform

$23M

average offering size

10K+

investments processed*

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Scale your business with registered rep oversight

Empower your sales team and maintain regulatory compliance

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.

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Answer 3 simple questions to help determine which solution could provide the most value for you.  A member of our sales team will be in touch to answer any questions you may have.

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QUESTIONS?

Contact us and a member of our sales team will be in touch to answer your questions and walk you through our solutions.

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