Phone: 949-468-0357 Fax: 866-268-9874

Private Placement.

Our Firm offers investments in Direct Private Placement (Private Equity/Real Estate Assets) Also known as Direct Participation Programs (DPP), Alternative Investments, or Non-Traditional Assets.

What is a Private Placement?

A Private Placement is a direct private offering of securities to a limited number of sophisticated and Accredited Investors. It is the opposite of a public offering. Securities issued as private placements include equity and debt securities. In the United States, private placements are exempt from public registration under the Securities Act of 1933. While the procedure for conducting a private placement pursuant to the exemption is less stringent than for that of a public offering, the process requires a careful compliance with the terms and restrictions of Regulation D. Private placements typically have a low-correlated relationship to stocks since they are not publically traded.

Rule 506 of Regulation D – from

If you are thinking about investing in a Reg D company, you should access the EDGAR database to determine whether the company has filed Form D. If you need a copy of a Form D filed as a paper filing (which will include any Form D filed before September 15, 2008), you can request a copy. If the company has not filed a Form D, this should alert you that the company might not be in compliance with the federal securities laws using the online form

You should always check with your state securities regulator to see if it has more information about the company and the people behind it. Be sure to ask whether your state regulator has cleared the offering for sale in your state. You can get the address and telephone number for your state securities regulator by calling the North American Securities Administrators Association at (202) 737-0900 or by visiting its website. You’ll also find this information in the state government section of your local phone book.

For more information about the SEC’s registration requirements and common exemptions, read the brochure, Q&A Small Business & the SEC.

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