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Tag / Broker-dealer

The Cap Raise: Valuation

This blog series is co-authored by’s Diane Abruzzini and FreshTracks Capital’s Cairn Cross. The first blog of the series is found here. The valuation process can be murky for both entrepreneurs and investors. Private company stock is typically a “Level III” asset under ASC Topic 820 and its value “cannot be determined by using […] Greg Brown Issuer Exemption

Using the Issuer Exemption vs a Broker-Dealer: A Pragmatic View

By Greg Brown, Head of Real Estate, Originally Published by Investor Management Services I am not a lawyer.  And there are plenty of lawyers that will argue both sides of the question that issuers ask themselves when raising capital for investment real estate:  Do I need a broker-dealer (BD)? In short, you don’t NEED a […] and Mick Law Set the Bar Higher for Private Placement Due Diligence

  Boutique investment bank partners with top-tier law firm to increase quality and distribution of private placement investment offerings. New York, NY and Omaha, NE Holdings, Inc. and Mick Law P.C, LLO have entered into a partnership agreement to bring greater transparency to company and offering diligence.  In addition, Bryan Mick, President of Mick Law, […] Burlington Vermont 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 […]

Registered Investment Advisor Group Chalice Partners with

New Joint Venture Supports the Rise of Independent RIAs

Chalice Wealth Partners and partner to support growing sector of independent Registered Investment Advisors (RIAs). Burlington, VT and New York, NY: For years, independent broker-dealers were unable to offer the product range of major wirehouses to affiliated Registered Investment Advisors (RIAs), including alternative investments, but lately, that gap has been closing. Chalice and […] Finance New York Brokerage Services, LLC Attracts Seasoned Broker to Management Team

New York, NY. Brokerage Services, LLC, a FINRA-member broker-dealer, is proud to announce that Joseph (Joe) Ventresca will join the leadership team in a newly created role, Managing Director of Investment Banking.  Joe brings decades of investment banking experience advising middle market companies seeking capital, and placing investments on behalf of institutional and high […]

What Should I Look For In A Sponsor?

BY GREG BROWN, REGISTERED REPRESENTATIVE AT VENTURE.CO BROKERAGE SERVICES, LLC. The views and opinions expressed in this article are those of the authors and do not necessarily reflect the official policy or position of Private, online real estate investments are risky. Just. Like. Every. Private. Real. Estate. Investment. Ever. There are more conservative products […] Investment Fees

Why do Deal Sponsors Charge Fees?

By Greg Brown, Registered Representative at Brokerage Services, LLC. The views and opinions expressed in this article are those of the authors and do not necessarily reflect the official policy or position of Putting together a real estate deal is similar to herding cats. But only if those cats are like the ones […]