Managing Broker-Dealer Services
Sequence Financial Specialists (“Sequence”) offers Managing Broker-Dealer services for alternative investment Sponsors looking to raise capital through 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
US and Alternative Investment Relationships
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 in compliance with all Regulatory standards.
Sequence also assists in back office tasks such as:
- Establishing a data room to grant access to selling groups 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.