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Corporate Finance Advisory
Service Technologies™

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"Through our Corporate Finance Advisory Service Technologies, we prepare early and later-stage companies to become broker-dealer ready to access unlimited capital in the U.S. Private as well as Public capital markets, on your terms.


"Because quality deal flow to Wall Street now means operating efficiencies beyond the norm, all companies must now use end-to-end proprietary technologies specifically required and designed for securities offerings, continued securities compliance, corporate governance, and capital stewardship."

The top 10 company categories in America that often seek substantial amounts of private market capital include  Technology, Biotechnology and Pharmaceuticals, Healthcare, E-commerce and Retail, Clean Energy and Green Technology, FinTech, Real Estate and Proptech,  Transportation and Mobility, Food and Beverage, and Entertainment and Media.

In nearly every case, these companies do not realize they can access unlimited amounts of capital on their own terms in the U. S. private as well as public capital markets.


Many think they need to sell their common voting equity and lose control to access it. The reality is contrary to that position. One can sell hybrid equity or debt securities, such as non-convertible preferred stock, notes or bonds.  However, one must become “broker dealer ready” to accomplish this task.

As former Wall Street investment bankers (broker-dealers) and experts in accounting, audit, corporate governance, deal structuring, securities offering document production, regulatory compliance, and information technology, we are intimately familiar with the criteria employed by institutional sources of capital looking to fund “quality deal flow.”


Large Wall Street investment banks have an insatiable appetite for quality companies to capitalize, either privately or publicly. However, the vast majority of private middle-market firms are not broker-dealer ready. Through our Corporate Finance Advisory Service Technologies, we provide your company with the Finance Department technologies that make your company broker-dealer ready.

We serve both sides of the capital equation table; middle-market companies seeking to expand but are in dire need of substantial amounts of capital to do so and Wall Street investment banks/broker-dealers seeking clients who qualify for their capitalization services or “quality deal flow.”

Given the increasing economic, geopolitical, and banking challenges, harnessing the securities industry to access unlimited amounts of capital from the private, or public, capital markets is one of the most difficult things your company will ever do, due the complicated and regulated nature of the securities industry.

In addition, the proper financial modeling, company valuation, deal structuring, securities creation, due diligence, legal, accounting, and audit up-front fees can run anywhere from $2,000,000 to $3,000,000, depending on many factors regarding the company seeking capital.  In addition, broker-dealers will charge sales commissions as success fees, and garner warrants to purchase the securities being sold, as a mandate to engage a client firm for capitalization. 


It appears to be a very difficult and costly process, in terms of both time and money, primarily in the earliest of the beginning stages.


This is why many companies do not attempt to use U. S. private, as well as public securities markets as a primary source of capital.


However, like launching a rocket into space, it takes an incredible amount of effort (time and money) from the engineering stage to reach the stratosphere after launch.  Once there, you can move with power and ease, while lowering the overall cost of capital over time.


Providing your company with a solid launch pad and a precise flight plan is our expertise.


You will have access to unlimited amounts of capital, assuming you are proficient in proper capital stewardship and operational or asset management.   


At the end of the day, this is not only the “Next Level” for most private middle-market companies, but also the “Last Level.”

If you are ready to take this incredible ride, please contact us further below.

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Why does this matter?

1. Because only your management team or an SEC Registered, FINRA Member Broker-dealer, can legally solicit and sell your company’s securities to raise capital. 


2. If your company becomes “Broker-Dealer Ready”,  it means it has reached the highest deal quality level for investment possible.  When your company is “Broker-Dealer Ready” it’s ready for any investor, individual or institutional.  

3. If your company becomes “Broker-Dealer Ready”, and your company secures an underwriting agreement with a broker-dealer, your company will have access to unlimited amounts of equity or debt capital.

4.  If your company secures an underwriting agreement with a broker-dealer, the probability of full capital attainment becomes 90+%.

5. If your company secures an underwriting agreement with a broker-dealer, your company will deflect the vast majority of securities compliance burden—a very important element.

Each company that enters our program for services, either through the Corporate Engineering Conservatory™ on the EPEC Platform™ (startup, early-stage), or by engaging us directly for Corporate Finance Advisory Service Technologies™ (later-stage, approaching liquidity), must undergo a full business diagnostics analysis to determine investment readiness against the criteria of being broker-dealer ready. 

Our BDR Rating™ (Broker-Dealer Readiness Rating™) service is free and provides your company with a realistic and accurate rating of the state of readiness for substantial investment of private capital funding.  We, and our Co-Investors, only invest in companies that are “Broker-Dealer Ready”. 

Achieving the level of broker-dealer-ready by any business means reaching the highest deal quality level for investment in private capital markets in America. 

Please explore our BDR Rating System™ to find out more. 

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Private Capital Market Tiers

Below are typical classifications of Private Capital Market Tiers of capital funding. This classification is being provided for informational purposes only.

Commonwealth Capital Corporate Finance Advisory Service Technologies may engage clients that fall within Tier 1, 2, or 3 at our discretion. Still, only when such an engagement requires a minimum of $20 Million  of capital sought by Operating Companies and $100 Million for Funds or REITs, and the company meets a B (minimum) BDR Rating™. 

Capital Tiers

Tier 1 

Broker-Dealers: ($1B+) 

       (access public capital markets)

Corporate Investors/Acquirers: ($1B+)

Private Equity: ($100M+)

Venture Capital: ($100M+)

Family Offices: ($100M+)

Tier 2 

Broker-Dealers: ($100M+)

       (access public capital markets)

Corporate Investors/Acquirers: ($100M+)

Private Equity: ($25-100M+)

Venture Capital: ($25-100M+)

Family Offices: ($25-100M+)

Tier 3

Broker-Dealers: ($5-25M+)

Corporate Investors/Acquirers: ($5-25M+)

Private Equity: ($5-25M+)

Venture Capital: ($1-25M+)

Family Offices: ($1-25M+)

Tier 3 Other

Affinity Groups: ($5-25M+)

HNW/UHNW Individuals: ($5-25M+)

Angel Investor Groups: ($500K-25M+)

Friends & Family: ($50K-5M+)

Qualifying Standards

Qualifying Standards



Capital sought must fall within Tier 1 or Tier 2, or at $20M minimum in Tier 3, and an A (minimum) BDR Rating™ (note: BB-rated companies may be considered, depending on its qualifications).



No criminal or significant civil legal proceedings against the officers, directors or the company currently or within the last year.



No administrative actions from any regulatory body currently or within the last year.

Institutional Standard Processes

There are five professional functions of a securities offering, which include:

  1. The Senior Management Team who produces the business plan along with other SEC-required disclosures; 

  2. The Investment Banker who places a valuation on the company, pre- and post-capital, then structures the securities to meet current market demand;

  3. The Accountant who produces the pro forma financial projections and historical financial records;

  4. The Attorney who produces the legal disclaimers, securities offering document(s) and the legal opinion letter; and

  5. The Stockbroker who sells the securities to individual, as well as institutional investors.

The Investment Banker and Stockbroker are regulated under an SEC-registered, FINRA Member broker-dealer and cannot be simply “hired”, as one can hire an Accountant or an Attorney, for instance. You must be engaged with the broker-dealer to receive said services.


We guide your Senior Management Team in preparing your company for a broker-dealer engagement.  However, we will produce what is necessary so that you do not need a broker-dealer to access the U. S. Private Securities Markets if you choose not to engage one at that stage.


You will need a broker-dealer for a public exchange listing to access the U. S. Public Securities Markets, which is standard, but of course at your direction.


Book a Discussion

Let's Discuss.

Corporate Finance Advisory Service Technologies

Our Corporate Finance Advisory Service Technologies™  are exclusively provided on a select basis based on a company's BDR Rating™ and meeting our Qualifying Standards.


If you would like to discuss our exclusive services regarding your company’s capitalization needs, please fill in a request with your information and someone from our Client Services Team will respond as soon as possible

Thank you. 

Important Disclosure

Commonwealth Capital, LLC and its affiliates do not provide tax, legal, accounting, or investment advice. Commonwealth Capital, LLC is not a licensed Broker-Dealer nor a FINRA-licensed Registered Investment Advisor. This website and the material on this website have been prepared for informational purposes only, and are not intended to provide, and should not be relied on for, tax, legal, accounting, or investment advice. You should consult your own tax, legal, accounting, and registered investment advisors before engaging in any transaction.

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