Let Us Demystify the Crowdfunding Regulatory Process For You.

All-In-One Crowdfunding Portal Solution: Reg CF Portal Launch Pad

    • Ensure your broker-dealer firm stays compliant with the latest regulations using our Hadrius-powered compliance software.

    • Automate compliance workflows, manage audits, and mitigate risks, keeping your firm ahead of regulatory requirements and minimizing the chances of costly fines.

    • Features include:

      • Electronic Communications AI Review and Archiving

      • Marketing AI Reviews and Archiving

      • Monitoring Employee Outside Brokerage Accounts

      • Compliance Calendar

      • Certification Tracking

      • Outside Business Activity Tracking

      • Gift and Entertainment Expense Tracking

      • Political Contribution Tracking

      • Firm Records

      • Disclosure Version Control and Tracking

      • And more...

    • Build a custom website tailored for your broker-dealer business, complete with mobile-friendly features for seamless access across devices.

    • Attract clients, showcase your services, and provide a user-friendly experience that strengthens your online presence.

    • We manage the entire registration process with the SEC and FINRA, ensuring your broker-dealer firm is fully compliant and ready to operate.

    • From document filing to regulatory approval, we handle the details, so you can focus on growing your business.

    • No legal fees. Flat fee pricing.

    • Benefit from a team of seasoned professionals with deep expertise in broker-dealer operations, compliance, and regulatory requirements.

    • Our expert resources provide the guidance and support needed to navigate the complexities of running a broker-dealer, helping you launch and scale efficiently.

    • Seamlessly integrate HubSpot’s marketing, sales, and service tools into your broker-dealer operations.

    • Automate marketing campaigns, streamline your sales process, and deliver exceptional client service, all while driving business growth through real-time insights and automation.

    • We provide continuous oversight to ensure you remain compliant with SEC, FINRA, and state regulations, offering automated solutions for monitoring, reporting, and risk management.

    • Our team of experts also delivers operational support to streamline your day-to-day processes, from transaction tracking to regulatory filings, ensuring your firm runs efficiently and stays ahead of compliance requirements.

    • Focus on growing your business while we handle the complexities of compliance and operations.

    • Our broker-dealer platform, powered by Wealthblock, offers a modern CRM designed to manage client relationships, Reg CF compliance, and transactions with ease.

    • Stay organized, track key activities, and enhance productivity, all through an intuitive platform built for Reg CF firms.

Streamline Success with Reg CF Portal Launch Pad.

    • Compliance Program Design: We design and implement a robust compliance program tailored to your business model, covering all aspects of regulatory compliance.

    • Chief Compliance Officer (CCO) Services: Access fractional CCO services to oversee your compliance framework and ensure ongoing FINRA and SEC regulations adherence.

    • Free 60-minute Consultation: Determine the correct regulatory path for your firm.

    • Personalized Strategy: We start with a detailed consultation to understand your business goals and develop a tailored strategy for your Broker-Dealer or Investment Adviser.

    • Regulatory Roadmap: Our experts clearly outline all regulatory requirements and milestones.

  • New Membership Application (NMA)

    • Application Preparation: We prepare and file your New Membership Application (NMA) with FINRA, ensuring all necessary documentation is accurate and complete.

    • Follow-Up and Liaison: Our team liaises with regulatory bodies, promptly addressing any queries or additional information requests.

    • Systems and Processes: We set up the essential operational systems and processes, including regulatory platforms, customer account management, and record-keeping systems.

    • Cybersecurity and IT: Implement top-tier cybersecurity measures and IT infrastructure to protect your business and client data.

    • Stand up third party platform, Wealthblock, for your Reg CF portal.

    • Wealthblock is a plug and play solution that meets all of the regulatory needs of a Reg CF funding portal.

Launch Your Reg CF Portal in 90 Days, Hassle-Free.

    • GiGCXOs leverages its third party AI tech platform to review advertising and marketing materials in compliance with SEC and FINRA rules, ensuring firms meet all regulatory standards.

    • We can perform these reviews for you or you can license our AI Reg Tech platform.

    • Developing Written Supervisory Procedures (WSPs)

    • Developing an Anti-Money Laundering Compliance Program (AMLCP)

    • Documenting and training on a Customer Identification Program (CIP) 

    • Designing internal processes, procedures, and documents

    • Developing and implementing a Business Continuity Plan (BCP)

    • Documenting a Lost and Stolen Securities Program (if required)

    • Assigning principal registrations and executive positions

    • Establish comprehensive AML procedures

    • Our innovative AI technology is designed to monitor all your firm's digital communication channels—email, chat, social media, and more—ensuring you're always a step ahead of potential compliance risks.

    • By automatically reviewing and flagging content for regulatory infractions, our solution not only helps prevent costly fines but also streamlines your compliance processes.

    • With GiGCXOs, you gain peace of mind knowing your firm's communications are continually monitored with precision, allowing you to focus on growth and client satisfaction.

    • Draft the firm’s business structure, such as a corporation, limited liability company (LLC), or partnership.

    • Liaise with the firm’s legal counsel to establish the entity.

    • File entity registration with State government.

    • Sourcing and completing fidelity bond application

    • Draft Reg CF Portal application.

    • Liaise with FINRA on Reg CF Portal application.

    • Develop a business plan.