Reg A+ is Bringing Back Small-Cap IPOs

ELIO Motors’ successful capital raise ($17M from 6,000+ investors) and listing on the OTC Markets has elevated Reg A’s (Title IV of the JOBS Act) profile in the capital markets. Watch our webinar to learn how this novel financing vehicle enables companies to:

  • “Go Public” at lower costs; list on the OTC or NASDAQ exchanges
  • Confidentially file with the SEC
  • Solicit the general public without established relationships via social media
  • Access non-accredited investors’ ~$14 trillion of new capital
  • Be preempted from Blue Sky Laws

Our distinguished webinar panel included preeminent leaders in the financial technology and investment banking industries: Josh Rutberg (Managing Director, Loyal3), Mark Elenowitz (CEO, BANQ), Rod Turner (Founder, Manhattan Street Capital) and Scott Jordan (CEO, S. Jordan Associates).

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New FinTech Funding Alternatives for Life Science Companies

On April 21, more than 80 investment professionals and emerging growth company executives participated in SJA/ShareVault’s webinar, “New FinTECH Funding Alternatives for Life Science Companies.” Topics of discussion included answers to the following questions:

  • Can I leverage FinTECH Portals (~AngelList, Capbridge, HealthiosXchange, Healthfundr) to raise capital from retail and institutional investors?
  • How should I set my expectations regarding the amount of capital I can raise under the JOBS Act (Title’s II, III, and IV)?
  • Can I simultaneously raise capital and list on an exchange (OTCQX, NASDAQ) via Reg A+ (Tier II) and do I need to hire an underwriter?
  • How did Elio Motors raise $17M via Reg A+ and “Go Public” on the OTCQX Exchange? How is Stock performing to date?

Get answers to these questions and much more.

View the slide deck here or click here to watch the recorded webinar.

Discussion: Access to Capital Markets

On Nov. 17th, 2015, Scott Jordan participated on a panel discussion, “Access to Capital Markets,” at the 4th Oncology Partnering & Deal Making conference in San Francisco. The presentation highlights capital flows in the biotech sector and an overview of “Direct” Investing (Limited Partners co-investing alongside “Lead” investors).

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Going Direct: A New Paradigm in Venture Capital Investing

White Paper: Best practices for leveraging FinTECH to overcome inherent challenges with direct investing

The goal of this paper is to provide institutional investors, managers, and originators with a greater understanding of best practices for leveraging FinTECH to overcome inherent challenges with direct investing: liquidity, adverse selection, diversification, volatility, performance, scalability, access to best managers, and valuation.

Background

Institutional adoption of FinTECH platforms in the P2P sector has been robust. Prosper’s (leading P2P originator) lending origination grew by 347% in 2014 (YOY) issuing $1 billion worth of loans in just 6 months surpassing the $2 billion mark for the first time in the fall of 2014. Highlighting this accomplishment, it took Prosper 8 years to reach its first $1 billion in originations. Ron Suber, President – Prosper, terms this explosive growth “Escape Velocity” or escaping the gravitational pull of traditional lending practices and constraints (~banking industry).

And what accounted for Prosper’s escape velocity? Institutional capital! Hedge funds have been the primary catalyst for Prosper crossing the $5 billion mark in loan originations (October 2015). On the equity side, institutional capital is gaining access to early-stage technology and scaling capital primarily via investor syndicates (~online venture funds) participating both as “lead” syndicators (~Arena Ventures) and members of syndicates managed by esteemed investors.

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Jordan at JOBS Act roundtable

Scott Jordan will be participating in the roundtable covering the JOBS Act on Monday, Nov. 9th from 8:30 – 11:30 a.m. in Washington, DC (Morrison & Foerster office). The event, hosted by Milken Institute Center for Financial Markets, will be an off-the-record discussion of the impact the JOBS Act has had on capital formation and investor access and protection, and will feature government and industry representatives, academics and investor advocates. They anticipate discussing:

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“Re-boot” – Venture Capital Investing in the 21st Century

View the recorded webinar “Reboot” – Venture Capital Investing in the 21st Century. During the webinar, we discussed the following topics:

  • Going DIRECT: A New Paradigm in Healthcare Venture Capital Investing
  • “State of the Union” – Venture Capital
  • Sources of Potential Superior Outcomes in Direct Investing
  • Out of the Ashes: Re-Inventing VC
  • Confronting Risks – Direct Investing

For more on this topic, download the slide deck or read the white paper.

White Paper: Democratizing Finance

While researching and analyzing the key players and drivers underpinning the digital investment landscape, the DealIndex team uncovered a whole ecosystem of players that have transitioned into the online investment space. We realized that these players and how they interrelate with one another have not been covered before in a comprehensive manner. As such, we have attempted to capture the interlinkages between the swarm of players in the alternative finance space with this report.

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