BUSINESS CONTINUITY PLAN

Growth Capital Services has developed a Business Continuity Plan (BCP) as part of our ongoing contingency planning efforts to mitigate the impacts of business interruptions. Since disasters and disruptions are unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.

We plan to quickly recover and resume business operations after a Significant Business Disruption and respond by safeguarding employees’ lives and firm property, protecting the firm’s books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.

Our business continuity plan addresses:

  • data back up and recovery;
  • mission critical systems;
  • financial and operational assessments;
  • alternative communications with customers, employees, and regulators;
  • alternate physical location of employees;
  • critical supplier, contractor, bank and counter-party impact;
  • regulatory reporting.

Significant business disruptions can vary in their scope. For example, an SBD could affect only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe.

In any situation, we plan to continue in business, and notify you through our web site or our main customer number regarding how to contact us. This plan is reviewed periodically and subject to modification without notice. A written copy of the summary of this plan is provided to customers at account opening, posted on the firm’s website, and provided to customers upon request. If you have questions about our business continuity planning, please contact us at your convenience.

What We Value

  • Entrepreneurs who maintain their own office and brand identity, source, and execute their own deals
  • Collaboration with others on our platform to expand distribution efforts as appropriate
  • Long term relationships - win-win partnerships that keep our best producers loyal to our platform
  • Culture of professional cooperation with a focus on investor protection

How We Work

  • Platform built by practitioners for practitioners
  • Independent contractor model allows latitude regarding investment mandates
  • Proprietary software supports many private placement deal types
  • Accessible and experienced Compliance team equipped to supervise most private investments
  • Chaperone service enables foreign placement agents to show mandates to U.S. institutional investors

What We've Done

  • Over $2 billion in U.S. dollar transaction value
  • Over $500 million equivalent in foreign currency transaction value
  • Over 2,000 transactions
  • Over $50 million commissions generated by reps
  • Over 1,000 investors served​

Who We Are

  • Providing consistent service since 2003
  • Supervised thousands of successful private placements in a large variety of industry sectors
  • Specializing in capital raises, M&A opportunities, and secondary sales of private stock
  • Registered in all 52 U.S. states and territories
  • Headquartered in San Francisco, with registered representatives located throughout the U.S.