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Our Services

Private issuers and financial services platforms are often faced with complex challenges and complicated processes when seeking to access or offer liquidity - primary or secondary.  

Our strategic advisory services, drawing upon years of experience gained working within leading financial services companies, help you identify  the most efficient way to achieve your liquidity needs. 

We specialize in -

  • transaction structuring

  • digital asset issues

  • regulatory issues

  • investment diligence

  • public market listing strategies

  • compliance processes

  • fundraising

Capital Raising:

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Liquid Advisors has the expertise to help you manage the fundraising process from start to finish.

  • What private placement exemption should you rely on?

  • What intermediary/platforms are available to facilitate your offering?

  • How should blockchain impact your decision - should you issue a digital or traditional structure?

  • How do you provide secondary liquidity?

  • How do your internal teams gear up to be publicly traded company?

Funds:

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Our Fund clients benefit from our expertise in fundraising, establishing compliance processes, and ensuring that your policies and procedures are being satisfied.

Broker Dealer Platforms:

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Developing your business model for primary offerings through secondary liquidity can be daunting. Liquid Advisors can simplify onboarding processes and procedures, accreditation verification, and AML training. We are experienced in managing  transaction documentation review and can assist with FINRA and SEC exams. We can also assist with your analysis on digital or traditional structure for offerings on your platform and the associated regulatory considerations.

Law Firms:

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Liquid Advisors can act as a project manager resource for your clients, managing the day to day processes around capital raising transactions and exchange listings, allowing you to focus on the legal aspects of the transactions.

We help law firms identify and manage the best tools available for optimum efficiency and maximize non-administrative optionality, and to leverage their data to maximize efficiency across practice areas.

Board and Advisory Board Services:

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As executives at highly regulated financial services firms, we have a depth of experience with broker dealer and alternative trading systems platforms in the primary and secondary traditional and digital asset liquidity space. This, coupled with our years working for regulators such as the SEC and FINRA, allow us to add unique insight and valuable perspectives as members of your board of directors or advisory board.

Current board membership includes the following:

  • The Board of Directors of the Association of Securities and Exchange Commission Alumni, as well as the Chair of its Membership Committee. (https://www.secalumni.org/)

  • The Advisory Committee of Astrella, a business division of AST, which provides real-time, cloud-based, self-service management of private company shareholder and employee stock plan data through a blockchain-enabled platform. (https://astrella.com/)

  • The Advisory Board of Pontoro, Inc., an innovative start up focused on the infrastructure financing asset space through a tokenized offering platform. (https://www.pontoro.com/)

  • The Advisory Board of Hack Fund, a publicly traded venture fund focused on global frontier tech. (https://hack.hf.cx/)