Sequence Financial Specialists (“Sequence”) offers Managing Broker-Dealer services for alternative investment Sponsors looking to raise capital through Regulation D and Regulation A+ private placement offerings.

As needed, we will:

  • Streamline and simplify the entire process for the Sponsor
  • Assist in the preparation of offering materials with the Sponsor’s legal counsel and other professionals
  • Contact and solicit broker-dealers to obtain selling agreements to form a selling group
  • Provide education to selling group management and their representatives who are interested in selling the product
  • Verify that subscription documents are accounted for and escrow deposits are made
  • Close the transaction and make sure proceeds are distributed as per the private placement offering

Sequence has developed relationships with many broker-dealers throughout the US in the alternative investment channel. We perform due diligence on all broker-dealers and individuals that will be associated with selling an offering. Sequence prides itself on conducting business in a professional manner, and is guided by the regulatory policies and procedures provided by FINRA and the SEC.

Sequence also assists in back office tasks such as:

  • Establishing a virtual data room to grant access to selling group members, representatives and investors
  • Processing subscription documents
  • Maintaining a master ledger for each transaction
  • Calculating commission payments due selling group members at the closing of each transaction
  • Initiating commission payments to each selling group member
  • Assisting each member of the selling group with any forms or filings

If you are a Sponsor and desire Sequence to consider managing the sale of your transaction, please contact us.

If you are a broker-dealer with interest in joining the Sequence selling group for one of our current offerings, please contact us.