Aurum Asset Management LLC (“Aurum”) is not registered as an investment adviser with the U.S. Securities and Exchange Commission (SEC) or any state securities regulator. Aurum is not a broker-dealer and is not registered with the SEC or the Financial Industry Regulatory Authority (FINRA). Aurum does not solicit investors, does not negotiate the terms of any investment and does not receive commissions or any compensation based on capital raised. Any securities offering is distributed exclusively by a registered broker-dealer.
1. Scope of Services
- Offering Administration. Administrative support for securities offerings distributed by a registered broker-dealer, including offering documentation, due diligence coordination, data room administration, subscription processing and post-closing administration.
- Fund Solutions. Administration, governance and compliance support for private funds, offshore vehicles and special purpose vehicles.
- Corporate Solutions. Entity formation, corporate administration, compliance and tax filing support, coordinated with independent legal and tax advisers where required.
- Multi-Family Office. Administration, consolidated reporting, document management and governance support for families and their holding structures.
- Aurum does not provide individualized investment advice.
2. No Investment, Legal or Tax Advice
Nothing published on Aurum’s website or documents should be construed as:
- A solicitation to buy or sell securities.
- Personalized investment recommendations.
- Legal or tax advice. Clients should consult their own legal and tax advisers regarding their specific circumstances.
3. Accuracy of Information
While Aurum strives to ensure accuracy, information may be subject to change without notice. Clients should conduct independent due diligence.
4. Limitation of Liability
Aurum shall not be held liable for reliance on general information provided through its website or materials.
