Page 22 - To Register or Not to Register: A Definitive Guide to Understanding the Broker Registration Requirement

FULL SERVICE DILIGENCE INCLUDING:
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
Focus on your business, not your back o ice
As a registered firm, our team of compliance experts specializing in Reg D 506(b) and 506(c) o erings are here to take care of the time-consuming back o ice activities involved with raising private capital. This allows you to focus on the people and relationships that are important to advancing your business.
» Optimized workflows developed by a managing broker- dealer to help speed up the overall process.
» Expertise in 506(c) o erings giving you the ability to more widely promote your deal.
» A dedicated point of contact for investor questions about the process.
“
WealthForge takes care of
the regulatory and compliance matters associated with my o erings, allowing me to focus on origination.”
- Jay Greenberg, LexShares
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