Solutions for Regulation D 506(b) / 506(c) Offerings
Designed with compliance in mind.
The flexibile offering platform to meet your needs.
Prospect Engagement, Subscription Management, Investor Relations, Offering Administration.
All in One Portal.
Marketing and Promotion:
Supercharge the execution of your offering by using a Red Rock Investor Technology Portal and start engaging investors more effectively.
A 506(c) customized, dedicated front page engages investors providing significant advantages over a simple link or summary page on a corporate website.
Drafted and refined to the issuers specifications the page draws in viewers and funnels them to register for access to the full Private Placement Memorandum.
This narrative page, married to a compliance portal, ensures prospects are provided critical information effectively and efficiently about the company and opportunity thus converting more prospects into potential investors.
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Subscription & Compliance
The Red Rock Investor Technology Portal provides for investor management, subscription, and compliance processes related to investments in a private securities.
- Accounts are created through a registration form with the captured contact information sent to the administrator for review and approval.
- Initial accounts are limited to viewing the PPM documentation, viewing Offering Statistics and accessing SEC filing information.
- Call-to-action buttons allow for upgrading the account to complete the subscription process and access additional company information.
- Second tier accounts are guided through the subscription process in a direct three step process:
- complete the subscription documents either via download / upload or e-signing process
- provide accreditation verification (required for 506(c) offerings) either by uploading a document or following a link to a third party company
- using the instructions to transfer their investment to the issuer
- The portal tracks and time-stamps every step in the subscription process and provides Administrators with status updates, and reminders for items needing completion.
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Offering Administration
The administrative interface of the Red Rock Investor Technology Investor Portal was specifically developed to make management of all tasks related to the execution of the offering more efficient and effective.
- Graphical breakdown of data and trends for synopsis of offering progress
- Full Administrative control over accounts and access permissions
- Robust database querying functionality
- Ongoing Investor Relations tools for the life of the offering
- Enter security summary and assign them to investors
- Update investor accounts with return information
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Investor Relations
Managing investors once they have invested into your company is a key responsibility for company managers. The Red Rock Investor Technology Portal includes an Investor relations tools to provide your investors with access to company updates, reports, financials and other supporting documents.
- Documents
- News Articles
- Portfolio Entries
- Offering Progress
- Updated Distributions
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- Dedicated site to promote the offering
- Separate account levels for learning about the offering and completing the subscription process
- No Pressure Interface
- Clear, direct step-by-step subscription process
- Ongoing investor relations interactions with the issuer
- View real time investment results
- Dedicated site promoting the offering
- You own your user data
- Easily approve account registrations and upgrades
- Customized to fit your offering
- A timeline tracking each user's subscription progress
- Easily share news, documents and additional information with investors
- Enter data to automatically calculate and apply distributions to investors
- Cap table management
- Run customized reports from investments to email logs
Regulation D Portal Service
- Custom “prospect engagement” website to engage investor prospects and introduce them to the company, the investment opportunity and the offering
- Tracked investor prospect access to all disclosure documents and SEC filings for providing full disclosure to investors
- Clear calls to action to “Invest” in the Company or Fund
- Efficiently managed subscription process including investor data aggregation, subscription document completion, accredited investor verifications (Reg D 506(c) only), and multiple payment rails for tendering subscription capital to the issuer
- Investor relations capabilities allowing the issuer to share information with investors via news posts, documents, and customizable asset portfolio feature
- Administrative management of the securities offering with process tracking, task management and CRM features
