Unlocking Capital Potential for Funds/REITs

Empowering Funds/REITs to achieve significant market presence through public exchange listings

Our Fund/REIT service delineates a structured approach for transitioning an organization from the U.S. private capital markets to the public capital markets. We excel in architecting companies and preparing them for institutional capitalization and broker-dealer readiness, employing a cost-effective fixed fee and minor equity model.

We specialize in structured finance, providing the necessary expertise to prepare Funds and REITs for public market capitalization. Our services transcend traditional venture capital fund activities by removing the risk of investor capital through technology, opening the door for substantial capitalization.

Our comprehensive service includes developing essential technology infrastructure, detailed financial modeling, and preparing securities offering documents following regulatory requirements. We also produce professional presentation materials and video content to support the offering.

Our process ensures full compliance with all broker-dealer standards, facilitating the simultaneous capitalization of the fund management entity and the Fund or REIT. This integrated approach is designed to optimize efficiency and reduce costs.

For more information, please explore our Blue Chip Program™ below.

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Fund/REIT Categories

We accept a select number of qualified clients each year who seek significant amounts of capital from private or public markets. Our diverse client base includes Real Estate Investment Trusts (REITs) and Funds in sectors such as Oil and Gas, Clean Energy, Green Technology, Automotive, and Transportation. We also consider emerging categories that meet our qualification criteria, ensuring our clients are part of a dynamic and inclusive community.

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Capital Market Tiers

While we strive to address the unique needs of each firm, our core expertise in FUNDS/REITs lies in facilitating their transition into the U.S. public markets, enabling access to substantial capital swiftly and efficiently.

Our primary objective with every FUND/REIT engagement is the strategic re-engineering of your organizational structures. This approach is designed to mitigate fiduciary duty liabilities, establish, capitalize, and manage multiple Funds and REITs using customized technological applications, and design and implement your next REIT for Direct Placement and Broker-Dealer acceptance.

By focusing on these critical areas, we ensure that your firm is well-positioned to navigate the complexities of public market entry and capitalize on available opportunities. Our comprehensive methodology and expertise in structured finance provide a solid foundation for sustained growth and success.

Become familiar with these tiers to better understand how to leverage our expertise and transform your firm's potential.

Tier 1

Broker-Dealers: ($1B+, public capital markets)
Corporate Investors/Acquirers: ($1B+)
Private Equity: ($100M+)
Venture Capital: ($100M+)
Family Offices: ($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 2

Broker-Dealers: ($100M+, public capital markets)
Corporate Investors/Acquirers: ($100M+)
Private Equity: ($25-100M+)
Venture Capital: ($25-100M+)
Family Offices: ($25-100M+)

Tier 3 Other

Affinity Groups: ($5-25M+)
HNW/UHNW Individuals: ($5-25M+)
Angel Investor Groups: ($500K-25M+)
Friends & Family: ($50K-5M+)

Empower your Fund/REIT for a successful public exchange listing.

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Qualifying Standards

Operating Companies pursuing private or public market capitalization must first undergo a comprehensive diagnostic analysis via our Broker-Dealer Readiness Rating System™. This process evaluates their rating and readiness for broker-dealer engagement. To be eligible for consideration by our Investment Policy Committee and qualify for our Blue Chip Program™, businesses must meet our stringent criteria and the following three minimum Qualifying Standards.

Minimums

Capital requisites must align with the minimum thresholds established for Tier 1 or Tier 2. Additionally, companies must achieve a minimum BB grade on the BDR Rating™, which is derived from our Broker-Dealer Readiness Rating System™ diagnostic analysis. Notably, companies with lower ratings may still be considered, subject to other compensatory qualifications.

Proceedings

It is requisite that the company, its officers, nor its directors be involved in any criminal or major civil legal proceedings at present or within the preceding year. This critical requirement ensures the integrity and full regulatory compliance of potential partners, strictly aligning with our stringent corporate governance and ethical standards.

Regulatory

No administrative actions have been imposed by any regulatory body against the company currently or within the last year. This stipulation is crucial to maintaining compliance and upholding our high standards of corporate conduct, ensuring that all potential partners meet the rigorous regulatory expectations set forth by governing authorities.

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Navigating the Path to Capitalization

Mitigating Risk, Ensuring Regulatory Compliance, and Maximizing Value

No matter the scale of private or public capital sought, the process of capitalization is grounded in five critical professional functions essential to every securities offering. These functions are designed to meet rigorous standards of regulatory compliance and market expectations, serving as the cornerstone of a successful capital raise.

Key Professional Functions

Senior Management Team: Responsible for producing a robust business plan and ensuring all SEC-required disclosures are comprehensive and transparent.
Investment Banker: Assigns a valuation to the company both pre- and post-capitalization and structures the securities to align with current market demand.
Accountant: Develops pro forma financial projections and maintains accurate historical financial records.
Attorney: Drafts all necessary legal disclaimers, prepares securities offering documents, and provides a legal opinion letter.
Stockbroker: Facilitates the sale of securities to both individual and institutional investors.

It is important to note that the roles of the Investment Banker and Stockbroker are regulated under an SEC-registered, FINRA Member broker-dealer. These professionals cannot be simply hired; a formal legal and contractual engagement with a broker-dealer is required to utilize their services.

At Commonwealth Capital, we specialize in guiding Senior Management teams through the complexities of preparing for and securing broker-dealer engagements. Our strategic advisory extends beyond mere compliance; we craft and deliver regulatory compliant securities tailored to empower companies to directly solicit accredited investors, enabling access to the U.S. Private Securities Markets without the mandatory engagement of a broker-dealer.

For companies aiming to enter the U.S. Public Securities Markets via a public exchange listing, engaging a broker-dealer remains a legal requirement and standard practice. This decision rests with the issuer but is strongly supported by our expert guidance.

Whether your path leads through private placements or public offerings, Commonwealth Capital is equipped to provide the expertise and professional services essential for achieving optimal capitalization. Engage with us to harness the full potential of your capital-raising efforts, ensuring compliance, value, and success in your financial ventures.

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