Private Placements |
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Asset Managers |
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
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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. |