Reports on First Half of 2018

From our CEO

Our growth through the first half of 2018 brought several new opportunities for our network to access offerings, increase compliance efficiency, and manage investments with technology.

We have significantly increased our team size, including introducing new roles in compliance, investment banking, technology, and marketing.  Because of our dedicated team members, the offerings on our platform continue to increase with regularity. In the first two quarters of 2018, we have already seen 150% growth of the total funds raised on the platform over the aggregated two years prior.

We are excited about our growth and ability to continue to bring vetted offerings through quality technology out to our network.  Whether you’re a broker-dealer, registered rep, advisor, or investor – we strive to source suitable products and to develop the most streamlined process and technology for evaluating and subscribing to private placements.

Commitment to People and Place

As we look back on these past six months, and plot the months ahead, we remind ourselves that our growth and success are due to many factors, both internal and external. People are at the core of everything we do.

As a Vermont-based technology company and investment bank, we are subjected to a competitive labor pool. Yet we are committed to the state of Vermont, Burlington’s growing tech economy, and allowing our employees and their families a quality of life for which Vermont has recently been ranked #1 in the US.  We are proud to build our foundation right here, and it’s an unbeatable place to welcome our clients and partners.

We have opened our second office in Midtown Manhattan, which places us in the heart of the financial economy. We have representatives in New Jersey, and are looking outward towards a West Coast presence as well.

This year, we have welcomed a number of very important clients and partners into our firm.

We have completed our largest white label integration of our TXACT software with Chalice Wealth Partners, an independent RIA and broker-dealer. This project gives their independent reps access to private placements, while increasing distribution for issuers and brokers. has also developed a strategic partnership with Investor Management Services (IMS), a  provider of post-close investor technology solutions such as automated waterfall distributions, specifically for real estate issuers. This partnership helps and IMS issuers and sponsors streamline the investor management process, from pre- to post-close.

Learning is a Lifelong Endeavor

Our company sprang to life after changing regulations enabled a portion of the capital raising process to move online. As we entered this uncharted territory, we have had to adjust and adapt to natural feedback, and continue to grow as a company. We strive to incorporate new features when appropriate, as well as to specialize in areas that our clients help direct us to. Our heightened focus on commercial real estate, as well as private equity investments in the life sciences and technology sectors, are prime examples of this.

We want to thank you for being part of our professional network, we look forward to hearing from you as we strive to develop the ecosystem to seamlessly and securely show, find, and complete private placement investments.


Aaron Pollak

Top Trends

The industry stand-out this year is commercial real estate (CRE). CRE offerings have only made up 8% of our offerings and 2% of total capital raised thus far. However, our newly minted Head of Real Estate, Greg Brown, as well as our partnership with NAI Dileo Bram have positioned CRE as the fastest growing industry on the platform.

Private Offerings sold through by Industry, by number of offerings. All offerings have been sold by Brokerage Services, LLC.

Top Trends of 2018:

  1. Growing number of commercial real estate offerings
  2. RIA partnerships have expanded our distribution network
  3. Enhanced electronic signature capabilitiesEsigheader

“The newly enhanced eSignature feature solves the pain point of having to email multiple parties (often many times each) to sign, scan, upload and re-send these documents. Our solution prioritizes security for all parties, and enables issuers to countersign and appropriately store documents”.                                                Christa Ferrari, Chief of Solutions

Growing Team

GregGreyBackgroundHeadshotsGreg Brown has taken the lead in’s Real Estate sector. Through Greg’sexperience, we have been able to onboard a number of new CRE offerings. His weathered perspective has contributed valuable informational resources to the blog, helping issuers and investors understand the many nuances around CRE investments. 


Joe Ventresca has more than 20 years of experience in investment banking and financial services. A previous partner to in his role as founding partner at Asgard, Joe will now be working with our team directly as Managing Director of Investment Banking.


Diane Abruzzini has worked as an entrepreneur, consultant, and analyst with food and agriculture businesses as well as nonprofits. Since joining the team, she has been building out the firm’s marketing and communications programs. News Stories 

  1. RIA Biz Profiles Chalice’s Growing Success with Partnership
  2. Press Release Announcing Chalice and Partnership
  3. Press Release Announcing IMS and Partnership

New Private Placements on the Platform


Cambrian Rise
Opportunity to invest in one phase of a sustainable, mixed-use, multifamily community on the Burlington, Vermont waterfront.


BioEclipse Therapeutics, Inc.
(“BioEclipse” or “OpCo”) is a biotech company pursuing powerful, highly targeted immunotherapy strategies to attack and potentially cure certain types of cancer.


5003 Industrial Road, Wall, NJ
From our partners at NAI Dileo Bram, this industrial commercial property in Wall, New Jersey has housed a single tenant for more than 30 years.

Best Read Blogs

  1. Why do Deal Sponsors Charge Fees? by Greg Brown, Head of Real Estate
  2. Pitfalls of the Issuer Exemption, by Andy Szabo, Chief Compliance Officer
  3. How to Exceed Investor Expectations, BLOG SWAP by IMS
Forward-Looking Statements
This content may contain certain forward-looking statements regarding our prospective performance and strategies within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchange Act of 1934, as amended. We intend such forward-looking statements to be covered by the safe harbor provisions for forward-looking statements contained in the Private Securities Litigation Reform Act of 1995, and we are including this statement for purposes of said safe harbor provisions. Forward-looking statements, which are based on certain assumptions and describe future plans, strategies, and expectations of the Company, are generally identified by use of words “anticipate,” “believe,” “estimate,” “expect,” “intend,” “plan,” “project,” “seek,” “strive,” “try,” or future or conditional verbs such as “could,” “may,” “should,” “will,” “would,” or similar expressions. Our ability to predict results or the actual effects of our plans or strategies is inherently uncertain. Accordingly, actual results may differ materially from anticipated results. Readers are cautioned not to place undue reliance on these forward-looking statements, which speak only as of the date of this release. Except as required by applicable law or regulation, undertakes no obligation to update these forward-looking statements to reflect events or circumstances that occur after the date on which such statements were made.
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