Frequently Asked Questions

Click here for answers to some of the most commonly asked questions, or download the FAQ.


OLIVIA organizes your business workflow with the various tasks and documents that underlie our compliance program.

OLIVIA combines a workflow function with a template form-builder function to create a largely automated interface for independent registered reps.

This provides you with a 24/7 portal to your records with us and facilitates a continuous dialogue between you and our compliance team.

Compliance BulletinsDevelopments in the regulatory world that affect your business.

Our monthly compliance bulletins keep our clients abreast of new rules and guidance from the regulatory authorities.  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. See below for some recent issues.

Customer Identification & Verification
Electronic Communications
Perils of Pre-Marketing
how can we help you?

Drop us an email through this link, or give us a ring at (415) 692-0050.  We'd be happy to hear from you!

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.