Colorado Financial is your broker-dealer for EB-5 Funding Transactions
“A broker-dealer with experience in EB-5 funding should be consulted during the early planning stages for a project so that the broker-dealer has the opportunity to perform an initial evaluation of the sponsor and the project before accepting the engagement. The broker-dealer will typically work closely with the corporate/securities attorneys for the project to perform initial due diligence and assess the likelihood of success. The broker-dealer will review the project’s marketing, offering and subscription materials, both in English and the investors’ native language(s), and will conduct due diligence to help ensure the accuracy of these materials.” John Tishler, Esq.
Many opportunities lend themselves to the use of the EB-5 Immigrant Investor Program. Investments by foreign nationals under the auspices of the EB-5 program allow the foreign national the opportunity to expedite the receipt of US Citizenship. Most often these investment vehicles take on the form of an investment in a private placement under SEC Reg D or Reg S. The licensed professionals at Colorado Financial can assist you in analyzing your particular project and helping determine the best possible financing for your project, in light of EB-5 requirements. Once an acceptable form is decided, Colorado Financial can then assist you in a number of other ways to insure the success of your capital raise and compliance with regulatory issues:
Investor confidence and protection
- Operating within the context of securities law, Colorado Financial conducts an extensive due diligence investigation of your offering, the project, and its principals, officers and directors.
- Colorado Financial will conduct a due diligence on the Regional Center.
- Colorado Financial will conduct due diligence on each potential investor following guidelines established by the Financial Industry Regulatory Authority as well as the US Securities and Exchange Commission.
- Review and investigate the targeted job creation requirements.
- Colorado Financial can recommend qualified attorneys who have experience in all phases of EB-5 offerings.
- Colorado Financial can recommend qualified Escrow Agents who have experience with the funding of EB-5 offerings.
- At all levels, Colorado Financial, through these professionals helps to ensure compliance with the anti-fraud conditions of US securities law.
- Colorado Financial Service Corporation is a broker-dealer registered with the US Securities and Exchange Commission and a member of the Financial Industry Regulatory Authority.
Licensed Placement Agent
- Colorado Financial conducts numerous private placements of securities and has the experience issuers require of a placement agent. Under recent changes to securities laws, a broker-dealer is a necessity. Colorado Financial can provide both the issuer with timely and quality advice and at the same time can add to investor confidence through the conduct of due diligence in accordance with USCIS, FINRA and SEC directives.
Our experienced investment bankers stand ready to assist you at each step in the process of completing the funding of your project.