Private Placements

 

 

 

 

Asset Managers

 

 

 

 

 

Private Placements

 

 

 

These companies are seeking funds from accredited investors through Regulation D Rule 506(c) offerings. This allows them to market their securities to the general public, but they must take reasonable steps to verify that all investors are accredited (see General Solicitations by Companies below).

 

 

Aggregage, Inc. (transforming B2B media for industry verticals) - Link

 

El Segundo, CA

AiM Medical Robotics Inc. (neurosurgical targeting and therapy) - Link

 

Fort Lauderdale, FL

Applaud LLC (software platform to help groups share and save stories) - Link

 

Cincinnati, OH

BenAdvance (health insurance & supplemental benefits) - Link

 

Rye, NY

DASH Therapeutics, Inc. (targeted biologics) - Link

 

Boca Raton, FL

DTI Motion LLC (precision piezo electric motors) - Link

 

Sarasota, FL

Jupiter Orphan Therapeutics, Inc. (clinical-stage drug platform) - Link

 

Jupiter, FL

Knightscope, Inc. (autonomous security robots) - Link

 

Mountainview, CA

UltraVision Corporation (medical ultrasonic imaging scanners) - Link

 

North Palm Beach, FL

Uvax Bio, Inc. (vaccines targeting infectious diseases) - Link

Wilmington, DE

 

 

 

Asset Managers

 

 

These managers are seeking to expand their client bases of institutional accounts and accredited individual investors.

 

 

Fortuna Investors, LLC - Link

 

Jupiter & Miami Beach, FL

Mira Life Science Ventures, Inc. - Link

 

Boca Raton, FL & Belfast, UK

Seaside 88, LLC - Link

 

West Palm Beach, FL

Sirius Quantitative Cryptocurrency Fund - Link

 

Pasadena, CA

 

 

PBHFA Home

 

Here is a link to information on our comprehensive investor awareness program.

For more detailed information, please contact one of the following individuals:

 

William J. Ritger at 561.891.1903 or writger@gmail.com

David Goodboy at 561.349.7300 or dave@pbhfa.org

 

 

General Solicitations by Companies: The JOBS Act permits companies to conduct general solicitations without having to register the securities under the Securities Act if they conform to the requirements set forth in Rule 506(c) of Regulation D. These requirements include (i) all investors must meet the accredited definition (here and here), (ii) the companies must take reasonable steps to verify that all investors are accredited, and (iii) the companies must follow certain rules relating to integration, resale restrictions of securities, and bad actor disqualifications. The U.S. Securities & Exchange Commission has published a paper (here) that summarizes and explains rules that it has adopted, but it is not a substitute for any rule itself. Although the Securities Act provides a federal preemption from state registration and qualification under Rule 506(c), the states still have authority to require notice filings and collect state fees. The information in this paragraph is not meant to be definitive, and companies should seek advice from their own counsel regarding general solicitations. By their agreement to be included on these pages, the companies represent that they are in compliance with the regulations noted in this paragraph, as well as all other applicable state and federal regulations.

 

 

The Deal Flow section of this website is operated jointly by Palm Beach Hedge Fund Association, Inc., a Florida corporation, and TickerBuzz, LLC, a Florida limited liability company. Neither PBHFA nor TickerBuzz are registered broker-dealers, and they do not give investment advice, endorsement, analysis, or recommendations with respect to any securities. All securities listed here are being offered by, and all information included on this site is the responsibility of the applicable issuer of such securities. Neither PBHFA nor TickerBuzz have taken any steps to verify the adequacy, accuracy, or completeness of any information, and neither PBHFA nor TickerBuzz nor any of their officers, directors, agents, and employees make any warranty, express or implied, of any kind whatsoever related to the adequacy, accuracy, or completeness of any information on this site or the use of information on this site. By accessing this site and any pages thereof, you agree to be bound by the PBHFA Terms of Use and Privacy Policy. Neither PBHFA nor TickerBuzz make investment recommendations, and no communication, through this website or in any other medium, should be construed as a recommendation for any security offered on or off this investment platform. Investments in early-stage companies offering private placements are speculative and involve a high degree of risk, and those investors who cannot afford to lose their entire investment should not invest in such offerings. Early-stage companies seeking investors tend to have business models, products, and services that may not yet be fully developed, operational, or tested in the public marketplace. There is no guarantee that the stated valuation and other terms are accurate or in agreement with the market or industry valuations. Additionally, investors may receive illiquid and/or restricted stock that may be subject to holding period requirements and/or liquidity concerns. In the most sensible investment strategy for early stage investing, such investments should only be part of an overall investment portfolio. Further, the early-stage portion of a portfolio should include a balanced portfolio of different early-stage companies. Investments in early-stage companies are highly illiquid, and those investors who cannot hold such investments for the long term (at least 5-7 years) should not invest.

 

The information in these Profiles has been provided by the client companies and is intended for discussion purposes only; the only definitive sources of information regarding an offering are the offering documents that you may obtain from the companies. These Profiles are not a solicitation to buy or sell any security, and must not be relied upon for financial, legal, tax, or any other professional advice. Investor prospects should also carefully research and consider the risks inherent in these investments. The information in each Profile is applicable only as of the date of that Profile and is subject to change without prior notice. All fees that PBHFA charges a client company for a Profile are disclosed on the Profiles page for that company. Neither PBHFA nor TickerBuzz take any compensation relating to the success of any securities offering.

 

 

 

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