Independent Broker Dealers

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Did you know that there is an element of the securities market that is uncorrelated to market volatility, generally passive with more modest return goals then private equity/institutional capital and raises billions of dollars annually for transactions and businesses? KVCF is a leading legal provider to businesses seeking to access or are raising capital regularly, in the “Independent Broker-Dealer” community.

Few firms understand the Independent Broker-Dealer space as well as Kaplan Voekler Cunningham & Frank. We have worked closely with some of the industry’s most significant players and bring to the table a credibility that allows us to advise not only transactions, but on the best approach to delivering securities to the market.

KVCF represents a diverse set of businesses raising capital in the Independent Broker-Dealer space – REIT’s, other real estate firms, growth stage companies and publicly traded companies seeking to access this market with uncorrelated securities. We regularly conduct common stock offerings, offers of tax-advantaged products (such as Delaware Statutory Trusts), preferred stock offerings and bond offerings.

Our sophisticated capital markets experience and technical legal knowledge is combined with a level of responsiveness and cost efficiency that reflects our firm’s size and focus. For our clients, it means a rare combination of high-quality counsel and value aimed at helping them achieve their legal and business objectives. Because of our experience in this space, we also have a unique knowledge of state securities laws and the impact of FINRA regulation other firms may lack.

And, given our deep experience with IBD community, we are a leader in the space. Our attorneys have served as presidents, directors and educational speakers for the Alternative and Direct Investment Securities Association (ADISA), one of the largest trade associations representing the Independent Broker-Dealer space. Recently, we have pioneered the revision of Regulation A and helped broker-dealers understand how they can use it to more effectively distribute our clients’ securities. The Regulation A, amended under reforms enacted in 2012, presents a watershed event in America’s securities market by creating an “intermediate” class of public securities: between private placements under Regulation D, and those registered securities typically listed on national exchanges. KVCF is one of the few law firms regularly providing counsel on Regulation A deals.

Please contact us to learn more about how KVCF assists broker-dealers.

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