Broker-Dealer Services

We specialize in private placement offerings and other exempt offering types, including Regulation D (Reg. D) exemptions under Rules 506(b) and 506(c) and Regulation A (also called Reg. A+ and Reg. A Tier II). Our work includes navigating regulations, offer structuring, and distribution.

We have investment banking and M&A expertise and registered representatives (reps) who specialize in this business area. We also offer a rep program for experienced investment banking and M&A reps seeking regulatory registration services.

We provide Rule 15a-6 compliant chaperone service to foreign broker-dealers (BDs) who work with United States (US) institutional investors. Rule 15a-6 is a conditional exemption that allows foreign BDs to solicit and effect transactions with US institutional investors through a chaperoning BD (the chaperone BD must satisfy Rule 15a-6 requirements). 

We have numerous capital sources, including institutions, private equity, public and private funds, hedge funds, and industry partners (like broker-dealers and RIAs). Our capital sources invest through various means, such as debt financing, equity, mezzanine financing, and bridge loans. Contact us to find out more. Many of our sources and partners focus on real estate capital. 

Attracting the right investors is a common struggle for companies raising capital. We have proven capabilities and offer our distribution services via passionate, high-performing, credentialed, and licensed wholesalers. 

We offer support services to independent wholesalers and third-party marketers who solicit broker-dealers, registered investment advisor (RIA) firms, family offices, and institutional investors.

We offer EB-5 private placement services to  Issuers of EB-5-qualified offerings. The EB-5 program allows non-US citizens to obtain a Green Card (permanent US residence status) by making EB-5-qualified investments. 

We provide independent reps support to execute their business model and conduct securities transactions. Our BD support includes oversight, compliance, administrative services, documentation, and technology support. We are looking for reps with Series 7, 79, or 82 licenses. For qualified individuals, we can help you through the FINRA registration process. We may also selectively sponsor groups that must register their capital markets employees.

Managing Broker-Dealer (MBD) services (also called dealer-manager and syndicate manager services) keeps companies offering investments in the United States compliant with state and federal regulations. Our MBD services include guidance, regulatory compliance, selling group management, and investor management.