Growth Capital Services is a registered private placement and M&A securities firm that provides back office services to experienced private securities professionals. Our proprietary technology platform has been custom-built to serve independent contractors who have proven dealmaking capabilities and a successful track record.
• Registered with FINRA since 2003
• Over 1,000 transactions and $1 billion total deal value
• Specialists in capital raise, M&A, secondaries, 15a-6 chaperone arrangements
• Registered in all 50 states and supporting professionals in US and UK
Our team and our technology provide customized support for your business without the burdensome bureaucracy of a large investment bank.
The Member Services team will guide you through the initial registration process, deal documentation and investor follow-up. Your transaction-related questions will be handled by a dedicated Supervisor with support from the full Compliance team. OLIVIA, our virtual platform for supervisory procedures, illuminates a clear path for getting business done. We take care of compliance so you can focus on closing deals.
Sponsorship and Support
GCS offers a platform for registering and supervising experienced private securities professionals with the following FINRA Registrations:
If you are an investment professional working from outside the United States and interested in showing your investment mandates to US institutional investors, you may be able to operate under a “chaperone” arrangement as described in Rule 15a-6 of the Securities Exchange Act of 1934.
Foreign firms can discuss securities with US investors without registering themselves as a US broker-dealer if they work through a “chaperone” FINRA member firm, as long as:
- foreign firm engages in 15a – 6 arrangement with FINRA member firm in good standing
- conversations are exclusively with institutional investors (at least $50 MM under management)
- certain meetings on US soil require the FINRA member firm to be present
- FINRA member firm supervises communications with investors
- complete investor information is provided to FINRA member firm for identification and suitability analysis
As the chaperoning broker-dealer, GCS will:
- approve all personnel of the non-U.S. broker-dealer who contact U.S. investors
- conduct appropriate due diligence on the investment opportunity
- perform suitability and customer identification analysis on investors
- maintain books and records to the standards required by US regulation, which tend to be more onerous than non-US regulation
Informed, Timely Support to Keep Your Business Moving
Proprietary Software Portal
OLIVIA is our secure proprietary compliance portal. You’ll have a personalized dashboard that tracks tasks at hand, keeps your documentation well organized, and provides a visual status of each of your deals and their progress. You’ll have access to OLIVIA 24/7, allowing you to do business when you wish, from any time zone.
You will have a dedicated Member Services coordinator to guide you through the registration process and serve as your primary point of contact for your account and benefits.
Your dedicated Compliance Supervisor will advise you on the reporting you need to stay compliant with FINRA. Your Supervisor will work with you on each of your deals, and is responsible for reviewing and approving deal documentation for compliance. You will have direct access to your Supervisor who will know and understand your business and will provide efficient turn-around of your submissions.
Collaboration and Networking
As a Member of GCS, you join a large network of like-minded investment professionals, with whom you may choose to share deals, contacts and ideas. We encourage collaboration amongst our Members through social events, virtual meetings, and collaborative functions in OLIVIA.
Errors & Omissions Insurance
We maintain an E&O insurance policy to protect our Members against inadvertent misstatements made to investors. E&O insurance is extremely difficult to obtain sole practitioner, and can be cost prohibitive.
IT Package and Technical Support
We provide access to email, website hosting, and archiving capabilities that have been set up according to FINRA requirements. This includes smart phone setup and phone-based technical support.
Virtual Data Room
Our virtual data rooms provide a secure location to store deal documents online, and invite your clients to view them according to the permission levels that you determine. In addition, the log feature allows you to keep tabs on which of your clients have viewed the documents, enabling you to spend more of your time on the most likely prospects.
Our Library contains a variety of legal contracts that can be adapted for your use. These include engagement letters, NDAs, subscription/stock purchase agreements and other forms applicable to this business, available for download and customization. Your Supervisors are available to help you work through the specifics, including modifications specific to your business.
Our Library includes access to newsletters and compliance bulletins that focus on developments in the regulatory world that affect your business. The bulletins are designed with the active practitioner in mind, providing a clear idea of immediate actions to be taken and providing original source material for further research.
We determine the appropriate exams for your business model, cover the cost of the initial exams, and assist you with scheduling. We have also arranged for a discount on materials from a leading provider of training programs.
You will be able to take home the vast majority of the fees you generate. The technology-enabled business model allows for much higher payouts than are possible in a traditional brick-and-mortar setting.
Customizable Membership Plans
Your needs are as unique as your deals. Contact us to discuss your situation