Private Placement Advisors LLC 

advising on exempt offerings to find investors.  

Our Schedule of Services:


Consult on pre-offering entity structure and term sheet


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


File documents with SEC and states


Draft SEC-mandated 

verification letters


Establish a SEC EDGAR account
and secure a CIK number


Introduce client to the FINRA broker-dealer 

community, private equity resources 

and online platforms


Consult on the secondary market 

(Rule 144A) and non-US investors (Regulation S)

State and Federal Securities Filings

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

  • U2 Filing Review: this filing is utilized at the State level
  • Form ID EDGAR Access Filing Review: EDGAR is the system used by the SEC to transmit and manage your SEC filing. We review your Form ID EDGAR access filing for accuracy ensuring your EDGAR account is properly created with the SEC.
  • Form D Federal Filing: Utilized with the SEC to ensure all sales are in compliance with SEC filing guidelines. We provide review and development services for this filing as part of our services matrix.

We also guide clients through creation of an EDGAR Account which is the delivery method of the filing to the SEC. Our compliance support is provided through full completion and close of the offering to ensure the client is properly supported through the entire offering process.

506(c) Advertising Compliance

With the advent of Regulation D 506(c) and the capability to advertise, our compliance support also extends to providing appropriate SEC mandated legend language for 506(c) solicitations and general advertising. 

We also assist the client in understanding the proper deployment of a website and other corporate assets for use in promotion of the offering, electronic access to offering documents, and investor relations.