Frequently Asked Questions

WealthForge delivers excellence in broker-dealer services to our clients. We combine our collective experience in the financial services industry with the energy, enthusiasm, and resourcefulness of a startup. At the end of the day, we are an accessible, knowledgeable, committed partner for an alternative security issuer or alternative asset manager who seeks efficiency, accuracy, and responsiveness administering product distribution and all that accompanies that regulated activity.

WealthForge’s managing broker-dealer services benefit established alternative investment sponsors with existing distribution through independent broker-dealers and RIAs seeking efficient syndicate administration. We work best with those with an in-house wholesaling and national accounts teams, and with those who seek a more rapid and accurate subscription process utilizing Altigo, WealthForge's straight-through processing platform.

While not limited to the following, we currently are engaged with sponsors of:

• 1031 exchange Delaware Statutory Trusts (DST)
• Private and non-traded real estate investment trusts (REIT)
• Qualified opportunity zone funds
• Syndicated Regulation D private placements
• Regulation A placements
• 40 Act funds

Additionally, for alternative asset managers with internal broker-dealer staff and functions, WealthForge provides outsourced BD administration, sales supervision, investor processing, investor data flow integration to CRM platforms, and syndicate administration and diligence.

We do not administer direct-to-investor offerings. WealthForge is not currently working with sponsors in the cannabis/marijuana industry; conservation easements; offerings inclusive of EB-5 investors; offerings relying Regulation CF exemptions; as well as capital formation utilizing crypto or blockchain technology.

Managing broker-dealer services include sponsor and offering diligence, investor processing, syndicate administration, and timely commission payments. We provide sponsors real time dashboard access to their distribution team’s transaction flow, from entry through resolution and approval. WealthForge offers sponsors and syndicate members efficient and attentive onboarding and diligence, comparative product attributes, technology tools, and network connections to assist market traction.

In 2012, WealthForge Securities, LLC became a member of FINRA as a first-of-its-kind broker-dealer focused on compliance services for online private placements. Since our founding, WealthForge has continued to cultivate a team of experts to support clients with their compliance needs.

No, although we do work with many lawyers and law firms that have expertise in writing offering documents and we would be happy to refer you to them.

We are regularly looking for hard working and innovative people to join our fast-growing team. Current job listings can be found on our Careers page.

No, but a third-party diligence report provides potential advisors and independent broker-dealers with a degree of comfort accepting the sponsor and offering to their platform. Independent third-party reports do not eliminate WealthForge’s diligence obligation, however it does provide syndicate members with a thorough presentation of the sponsor and offering’s attributes.

We will provide a dedicated client success associate who will lead the onboarding process and answer any questions that you have along the way. Often, the client success associate will engage other compliance, diligence and supervisory analysts and associates to ensure that you get a complete and well thought-out answer to any question.

All issuers will provide material information on their business including, but not limited to formation documentation, background and bad actor checks on officers and directors, financial information, business plans, and use of proceeds. We provide sponsors and issuers with a checklist of documents we will request and review as part of our process.

This is largely dependent on the sponsor’s preparation. WealthForge has committed sponsor and offering diligence staff to support our diligence requirements for all of our clients and market sponsors that we cover, and we are committed to maintain sufficient staff to be timely in our review and feedback. The more rapidly and comprehensively that an issuer produces the necessary documents and information, the faster we are able to conduct new client onboarding and due diligence for their offering. Offering approval is largely dependent on the speed at which clients provide the requested information to perform thorough and complete due diligence.

WealthForge’s process delivers thorough diligence and devotes significant time and resources to offering review. We will provide comments and written feedback on deficiencies.