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Focus on your business,
not your back-office.

Regulatory compliance services offered
by WealthForge

Managing a capital raise requires knowledge and expertise in both the administration of securities offerings and the regulatory requirements that accompany your offerings. If you are a sponsor planning to syndicate your products to broker-dealers or other institutions, a good first step is to engage a managing broker-dealer.

WealthForge is an experienced broker-dealer that has been processing alternative investments for nearly a decade. Our product expertise includes, but is not limited to, Regulation D private placements, private and public non-traded REITs, qualified opportunity zone funds, and 1031 exchange DSTs, in which we are a market leader.

 

 

As your managing broker-dealer, we will provide:

Syndicate administration through selling agreementsCheck

Offering diligence and advertising review to ensure compliance Check

Engagement strategies for acquiring new syndicate members Check

Objective investor suitability determinations Check

Subscription package review to ensure in good order statusCheck

Flow-of-funds administration and AML requirementsCheck

Timely commission payments to syndicate members Check

Creation and submission of required regulatory filingsCheck

With WealthForge as your managing broker-dealer, you benefit from:

 

AN EXPERIENCED COMPLIANCE PARTNER

Benefit from our expertise in regulatory compliance, including offering and issuer diligence, escrow account administration, and record transfer.

CENTRALIZED BACK-OFFICE ADMINISTRATION

Keep your focus on your core business while we handle subscription package review and timely commission payments to syndicate members.

A COMPETITIVE ADVANTAGE WITH TECHNOLOGY

Access Altigo, a supplementary technology solution, to provide your distribution partners with a way to digitally subscribe to your offerings.

GET IN TOUCH

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

CONTACT US

QUESTIONS?

Not sure if WealthForge has a solution to fit your needs? Take a look at our frequently asked questions to learn more.

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