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Coordination, documentation and due diligence for offerings distributed by an SEC-registered, FINRA-member broker-dealer.
Fund managers, sponsors and companies raising private capital through a registered placement agent.
Placement agent coordination
A single point of coordination between the issuer, counsel and the placement agent throughout the offering.
Offering documentation
Organization of offering materials, subscription documents and supporting schedules, coordinated with counsel.
Due diligence
Assembly of the financial, legal and operational information required for the placement agent's review.
Data room administration
Set-up, structure, access control and version management of the virtual data room.
Subscription processing
Processing of subscription documents and KYC/AML files for investors introduced by the placement agent.
Post-closing administration
Investor records, reporting and ongoing administration after the offering closes.
Each offering is distributed by an SEC-registered broker-dealer, member of FINRA and SIPC, engaged for that offering. Aurum coordinates the process on the issuer's side.
Rounded figures for the registered broker-dealer engaged for distribution, as of October 2026. They do not describe Aurum.
IMPORTANT
Aurum Asset Management LLC is not a broker-dealer and is not registered with the SEC or FINRA. Aurum does not solicit investors, does not negotiate the terms of any investment, does not make investment recommendations, and does not receive commissions or any compensation based on capital raised. Securities are offered only through the registered broker-dealer engaged for each offering.
Tell us about your fund, company or family structure and a member of our team will be in touch.
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