Due diligence is a huge burden and potential liability nightmare for broker-dealers and investment advisors in light of the requirements of Regulation D, FINRA Rule 2310 and FINRA Regulatory Notice 10-22 that make it clear the buck stops with you. Time is of the essence and the longer it takes to conduct the required due diligence, the longer it takes to get the offering into the market. Rainmaker Analytics is listed in the FINRA Compliance Vendor Directory. We take this market very seriously and offer solutions for your market vertical.
The longer it takes to get into the market, the more likely it is that other soliciting dealers or advisors will sell out the issue, thus limiting the economic opportunity for the broker-dealer, but not necessarily limiting their liability for what happens after the funding when things don’t quite work out as planned for Direct Placement Programs focused on commercial real estate capital finance transactions.
INVIZEN IT offers a suite of services designed to help you quickly, efficiently and cost-effectively comply with the letter and spirit of the law by providing you with our exclusive real-time due diligence, underwriting review and post-funding support programs that are designed to transform the broker-dealer FINRA due diligence burden and risk into future profit-taking opportunities by which all of the parties at-interest are supported and exposure is reduced or eliminated. If you don’t have INVIZEN, then shame on you when the regulators come to ask those tough questions.
INVIZEN IT offers the only end-to-end solution available today that is designed to help broker-dealers aggressively negotiate placement agent agreements and sell more subscriptions resulting from soliciting dealer agreements pertaining to DPPs that are comprised of commercial real estate income-producing property businesses, while also transforming the due diligence liability burden into an asset that can help you differentiate your firm from your competitors in a way not previously thought possible.
The INVIZEN IT program is comprised of a universe of proprietary intellectual programs and processes that are laser-focused on the CRE finance vertical’s most crushing issue – investment fraud liability due to the unacceptably high loss severity risk associated with this industry. The INVIZEN IT program is an end-to-end solution that was intentionally designed to help reduce and/or eliminate loss severity risk on CRE property businesses for the full term of their investment holding period. By dramatically reducing or potentially eliminating commercial real estate investment loss severity risk, allegations of investment fraud also take a hit.
There are two (2) general categories of discussion that you really need to be aware of that are covered in this section of our website:
- Buy-Side Program. Our end-to-end underwriting analysis solution that is designed to help broker-dealers aggressively negotiate new placement agent agreements on DPP securities issues with confidence; and
- Sell-Side Program. Broker-dealers and investment advisors who participate in marketing private placement memoranda and seek to outperform the competition by getting into the market faster, while also enjoying the opportunity to reduce their liability exposure.
INVIZEN IT offers a proactive, real-time program solution that cuts the underwriting due diligence cycle owing to capacity, collateral, credit and default risk underwriting reviews from weeks (or months) to 2-3 days, while still producing a standard of documentation, depth of research and analysis that is fully consistent with the requirements of FINRA, Dodd-Frank, SEC and the goals and requirements of the several states. Find out more about what we can do together by contacting our offices today and speaking to an INVIZEN representative at 832.663.9634