The JOBS Act of 2012 dramatically opened the market for small and medium size companies raising private capital. The advent of Regulation D 506(c), Regulation CF, and the enhancements to Regulation A were nothing short of revolutionary. These programs dramatically enhanced issuer capabilities to raise capital successfully by allowing general solicitation of the public. In terms of accessing the capital markets – broker dealers have always been a viable option for raising funding. Modern broker dealers tend to operate on two verticals: – “Retail” broker dealers fulfill the traditional role of a broker dealer in terms of selling securities and raising capital. These broker dealers operate by selling to either the retail base of investors they have developed and/or selling into the general public. – “Administrative” broker dealers are firms that have developed a niche in terms of services provided – namely serving as the compliance broker dealer of record for private offerings. These broker dealers serve as the broker dealer of record in Regulation A offerings and intermediary broker dealer in Regulation CF offerings. They serve to manage securities sales compliance, coordinate escrow draws, and coordinate with the transfer agent on ensuring compliant sales. With over 24 years in operation – our firm has developed a deep eco-system of both retail and administrative broker dealers that our clients have access to for raising funding. Interested in raising capital for your company or project? Call us today to discuss!  (720) 586-8610