Exempt Offerings Resources

        Sponsored by Private Placement Advisors LLC 

Welcome to Exempt Offerings Resources 

With Rule 506(c, companies can execute a de jure private offering with the marketing advantages of a de facto public 

offering. Entrepreneurs and small businesses can now execute a “public offering” while retaining the 

low execution cost and straightforward compliance benefits of a relatively inexpensive, traditional private placement. 

Private Placement Advisors LLC provides a seven-stage schedule of services:

1) Consult on pre-offering entity structure and term sheet  

2) Draft PPM, subscription agreement, investor questionnaire, state filings, and other documents

3) File documents with SEC and states

4) Draft the SEC-mandated verification letter 

5) Establish a SEC EDGAR account and secure a CIK number 

6) Introduce client to the FINRA broker-dealer community, private equity resources and online platforms

7) Consult on the secondary market (SEC Rule 144A)


Private placement offerings are subject to filing requirements at the state and Federal level. Our filing services include:

  • U2 Filing Review for the states
  • SEC Form ID EDGAR Access Filing Review. We review your Form ID EDGAR access filing for accuracy and ensure that your EDGAR account is properly registered with the SEC.
  • Form D Federal Filing: We do the filing. 

We provide SEC-mandated legends for 506(c solicitations and general advertising. We draft SEC disclosures that exceed what is required under Regulation D. We use the disclosure standard that broker-dealers require for Reg A+ Tier 1 offerings.

Tier 1 Grade

We use the SEC’s Tier 1  Grade disclosure model. 

Benefits of Tier 1 Grade offering documents:

  • they better protect you
  • they enhance the disclosure package 
  • they are required by most broker-dealers 

We have been doing this since 2011.

To get started or just to ask questions, email [email protected]

LinkedIn: http://linkedin.com/in/douglasslain
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Twitter: https://twitter.com/exemptofferings 
Blog: http://www.privateplacementadvisors.com/apps/blog
Website: http://privateplacementadvisors.com 
Email: [email protected] 

Douglas Slain can be reached directly at 415-317-6130.