Securities Broker-Dealer FINRA Compliance Services

Integrity & Surety Via Real-Time Forensic Robo-Auditing 24/7

FINRA Rule 2310 and FINRA Regulatory Notice 10-22 make it pretty doggone clear that broker-dealers and investment advisors have a clear duty regarding due diligence investigations.  On Direct Participation Program (DPP) private placement offerings of securities owing to commercial real estate property operating businesses, the compliance burden gets to be quite onerous and yet the risk exposure for FINRA complaints only seems to be getting worse.  In today’s litigious securities environment, it pays to have a systemic approach to FINRA compliance that goes beyond just having something that hopefully lets you off the hook – you want something to transform this potential nightmare into a profit opportunity.

Best-In-Class Investment Loss Prevention & Mitigation

The INVIZEN suite of broker-dealer due diligence services represents a quantum leap forward and a technological advancement that has the potential to completely change the CRE finance vertical from end to end.  This is likely because INVIZEN offers the first and only complete end-to-end solution that is designed to transform loss risk exposure to the entirety of the investment fraud issue in a way that creates profit-taking opportunities for both buy-side and sell-side broker-dealer, RIA and asset management services.

Proactive Credit Risk Mitigation Before & After Funding

The INVIZEN program is designed to create the opportunity for the broker-dealer to realize the following potential benefits:

Full Underwriting Support to Demonstrate Risk Controls

Dramatic reduction of investment fraud claim risk exposure for CRE transactions of $2.5 million or more; and

Pricing Your Deal to Maximize Investment Inducement Potential

Real-time investment performance assurance monitoring that virtually eliminates the risk of a bankruptcy petition or foreclosure being the result of an unforeseen liquidity crisis over the entire term of the investment (thus going a long, long way towards eliminating future claims because the losses aren’t there that would cause the claims to be made); and

Advance Warning of Up to 24 Months on Your Business’ Market Prospects

Creation of a systemic opportunity to control an asset on a perpetual basis so that the buy-side opportunity for recapitalization, sale and/or redevelopment capital raises is preserved for the benefit of the broker-dealer; and

An End to Fraud You Cannot Do Without

A compliance suite of services designed to please those finicky FINRA people and satisfy the letter and spirit of compliance monitoring on an ongoing basis.

INVIZEN offers the only end-to-end solution specifically-designed to help end loan and investment losses in CRE securities private placement offerings by addressing the totality of the underwriting and due diligence issues in a real-time, proactive environment that only gets started with pre-closing due diligence.  The INVIZEN program is designed to help prevent the key risks from becoming future asset impairment problems while also proactively managing and/or deterring investment fraud, management performance and foreclosure default event exposure.

Asset Monitoring for Performance Assurance You Can Afford

INVIZEN was purposely built to provide underwriting and due diligence reviews with one singular goal in mind: preventing future loss on capital investment made today.

To understand the INVIZEN value proposition is to understand the basic processes that attend the underwriting goal of using independent information to determine the value of an income-producing business asset.  INVIZEN automates these processes so the cost of underwriting drops dramatically and the speed of processing increases dramatically as well.  The underwriting happens in real-time and that means we can give CRE NNN property investors the luxury of future investment performance assurance by re-underwriting the transaction each and every month of the investment holding period to give you up to 24 months of advance notice of changes in the market, the asset or operations that may have an impact on the future income-generating capacity of the market, property and site.  These notices can be both good and bad.  INVIZEN has artificial intelligence at its core and computers don’t care if you have trash, it will still be another man’s treasure.

Due Diligence You Can Use

CRE Developers & Sponsors 

Developers and sponsors seeking capital financing have the advantage of a systemic solution that provides the support needed to increase the odds of a successful capital financing outcome.

Investors, Family Offices & Lenders

Investors and lenders seeking to participate in commercial real estate securities private placement offerings and other credit instruments have the advantage of a systemic solution that provides the highest practical investment performance assurance we can contrive.

Broker-Dealers & Registered Investment Advisors 

Securities broker-dealers and registered investment advisors on both the buy-side and sell-side of the transaction have the advantage of a reporting system that provides FINRA compliance support, protection from future investment fraud claims, increased transaction velocity and the opportunity to increase their operating margins – all in one package.

The INVIZEN Platform Concept

Rainmaker Analytics operates the INVIZEN Platform.  The INVIZEN Platform is a collection of unique intellectual property programs that interact in a proprietary manner to create a systemic solution to investment risk. 

Rainmaker Analytics operates the INVIZEN Platform.  The INVIZEN Platform is a collection of unique intellectual property programs that interact in a proprietary manner to create a systemic solution to investment risk.  The issue is confidence; confidence that the decision to deploy capital is going to be made in light of the knowledge that risks that were heretofore thought to be “baked into the deal” (i.e.: unavoidable risks that are a condition predicate to investing) are now manageable for the benefit of all of the financial stakeholders in the transaction.  To accomplish this outcome, the INVIZEN Platform was developed over the past 14 years to provide the only true end-to-end solution that includes a seamless services program that provides both pre-funding due diligence services as well as post-funding monitoring programs and systems that are designed to prevent investment risks that conventional wisdom suggests cannot be avoided, therefore; any given investment is extremely risky and requires a higher risk premium be paid at the expense of all parties.  The resulting platform provides near real-time services and reporting that previously required 6 to 9 weeks to undertake and in form and depth that conventional systems cannot hope to offer.  The end-result of the deployment of the INVIZEN Platform created the benefits of best-in-class content, best-in-class pricing and best-in-class delivery that make INVIZEN the stand-out in the financial services and commercial real estate industries.  These benefits directly reduce the costs of obtaining capital by developers, promoters, and sponsors, while also providing proactive risk controls and risk elimination opportunities for commercial lenders, registered investment advisors, securities broker-dealers, institutional investment entities and regulators, alike.  Rainmaker Analytics is listed in the FINRA Compliance Vendor Directory.

The INVIZEN Platform of Services

The INVIZEN Platform of services is designed to make the processes of accessing capital investment and deployment capital investment more efficient.  Decisions can be made with confidence and in a much timelier manner.  The issues of not being able to make an investment decisions due to a lack of independently supported due diligence documentation or future execution risk controls are taken off of the table.  INVIZEN reduces the decision to the simple issue of the risk premium and eliminating the greed reflex in the process because every transaction is assessed against the totality of risk issues it demonstrates and provides a direct comparison of the transaction’s value to the investors being solicited for capital to the value the capital markets as a whole would place on that exact transaction in the public markets.  This is possible because the INVIZEN Platform provides an integrated transaction opportunity valuation in advance of underwriting, together with the component feasibility studies, underwriting reports, business due diligence documentation and securities offering documentation to provide all of the necessary elements to allow for expeditious investment decisions to deploy capital.  Once capital is deployed, the process continues with a completely new underwriting review every month of the asset holding period together with the world’s only fraud and embezzlement elimination system that comes at a net zero cost to the user.  These services make the value proposition of INVIZEN as unique as each client transaction.

There is so much more going on at INVIZEN and we welcome the opportunity to share even more with you.  Please feel free to contact us today to learn more about what our underwriting, asset monitoring and default protection program services can do for your prospects to gain capital funding.  Call us at 832.663.9634. for more information.