CPVS
Is the Reg A+ offering right for your business?
Capital Planning Valuation Strategy™ is a proprietary process of Medical Funding Professionals that uses company-provided information to develop a custom, proposed pro forma presentation for your Reg A+ offering. The presentation establishes a powerful, forward-looking foundation to effectively implement a company’s capital funding strategies.
A 2–6-week process begins with review of your Due Diligence materials provided after receipt of a mutual non-disclosure agreement through our secure online portal. After that, we assess the amount of capital needed to launch and scale successfully with the most desirable schedule, propose a strategy to fit your funding needs, and suggest a governance structure that will maintain maximum control and ownership through the funding process.
A CPVS assessment provides a solid foundation of information for decisions about future capital funding efforts.
Issuance Stage
Setting the foundation for your raise
Manage the Entire Capital Raise
KoreConX offers the most advanced all-in-one platform enabling you to manage investors, shareholders, cap table and so much more with ease.
Select Your Partners
Get it right the first time around. Our RegA+ ecosystem brings together all the firms that have successfully done RegA+ offerings. It’s Critical to to have partners in your offering that understand what you need in order to get you to launch as quickly as possible. Our RegA+ ecosystem consists of the following partners we have vetted in for you so you can reach your goal.
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Medical Funding Professionals
Registered investment advisor firm providing capital and cash flow planning solutions to the medical industry, including life sciences, biotech, medtech, and pharmaceutical sectors. The Capital Planning Valuation Strategy™️ (CPVS) ensures founders and key executives maintain control of their companies as they raise capital and grow.
The purpose of the CVPS approach, beyond a successful RegA+ raise, is to help companies develop a strategic plan for their long-term capital needs that protects the interests of the founders and other early investors, as these capital-intensive businesses go through R&D, clinical trials, FDA approval, and go-to-market execution.
Medical Funding Professionals compliments its advisory services by providing further guidance on how to utilize the updated private company exemptions such as Reg D 506(c), Reg CF, RegA+ and RegS to meet their clients’ long-term capital needs.
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Life Science Intelligence
LSI is a medical technology-focused market intelligence & consulting company that helps medtech executives make informed strategic decisions by better understanding market dynamics, trends, opportunities and the competitive landscape. With experienced analysts, we are able to provide accurate and reliable data insights that will help you to make decisions.
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Investor Acquisition
After starting its capital raising process, the company will need to raise awareness of the offering to your potential investors. Through investor acquisition, your medtech, life sciences and biotech company will be able to target the right investors based on demographics; whether people who behave similarly to shareholders, by age, location or any other factor that allows you to identify the right investor for your company.
Investor Acquisition will help you tell your story, promote your offering and reach your best investors. They will use the best tools to reach your target audience and optimize the efforts to achieve your goal.
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RegD Resources
About Regulation D Resources
Regulation D Resources was formed in 1999 and has assisted over 5,000 companies with SEC Filing and Offering Preparation Services. The Company is located in Golden, Colorado and specializes in the formation of Regulation A+, Regulation CF and Regulation D SEC offerings.
Regulation A+ Filing
Regulation D Resources specializes in Regulation A+ SEC filing preparation. A Regulation A+ Offering requires submission of a Form 1A filing along with certain exhibits. It is imperative that an issuer choose a highly experienced firm to draft and coordinate submittal of this sophisticated SEC filing. Regulation D Resources has highly experienced expert staff and, to date, has a 100% success track record for obtaining SEC qualification for submitted Regulation A+ Offerings.
Importance of the Form 1A Filing
The Form 1A is a complex filing to create, finalize and coordinate with all needed exhibits. An experienced SEC filing preparation firm will be able to draft this filing efficiently and accurately while eliminating or minimizing SEC examiner comments. Since the SEC engages in review and qualification of the Form 1A filing, it is critical to develop it properly to successfully obtain SEC qualification.
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Rialto Markets FINRA Broker-dealer
It’s highly recommended that an issuer hire a broker dealer for their RegA+ offering. Consider them as your “insurance policy” for their typical 1-4% of the total raised amount. BD’s will satisfy requirements at the Federal SEC level and also the 50+ mini-SEC’s at the state level.
Why is a BD considered your “insurance policy”?
As the issuing company you want to focus on your offering, a BD is there to ensure compliance with respect to KYC/ID/AML, and investor suitability checks. Also, it’s a good idea to run all your marketing/advertising ideas and materials to make sure you’re onside with the SEC. This way the onus is on the BD.
There is 7 troubled states that require you to have a registered FINRA Broker-dealer to sell securities to investors.
The best insurance policy for your offering.
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Assurance Dimensions
The issuers must provide audited financial statements for their prior two years (a one – year old company files a one year audit) in the offering statement and annual reports. All filings with the SEC have to be prepared in accordance with GAAP, and RegA+ Tier 2 requires an audit opinion.
What is a financial auditor?
A financial auditor reviews a company’s financial statements, documents, data and accounting entries. Financial auditors gather information from a company’s financial reporting systems, account balances, cash flow statements, income statements, balance sheets, tax returns and internal control systems. The information is then reviewed and used to present all financial data relating to a specific organization in an accurate, fair manner, ensuring that no fraud or gross errors are present in the company.
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Escrow (Bank or Trust)
What is an escrow provider?
Offered through our KorePartners, business escrow services support your Offering’s critical investor transactions that require escrow processing to be held “in-trust” by a neutral party, typically via a bank or trust co.
Role of an Escrow Provider?
An escrow provider is required with your RegA+ and they provide an account where funds are held in trust whilst two or more parties complete a transaction. This means a trusted third party such as Escrow provider will secure the funds in a trust account. The funds will be disbursed to the issuer after the terms of the escrow agreement have been met.
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SEC Transfer Agent
KoreConX private label all-in-one platform also provides you with a registered SEC Transfer Agent (TA). The KoreConX Transfer Agent role is included in your private label All-In-One platform. Rest assured that your regulatory requirements are being fulfilled.
What Role Does The Transfer Agent Play?
The security issuer to record changes of ownership, maintain the issuer’s security holder records, cancel and issue certificates, and distribute dividends.
Managing all your securities, not just your offering
Investor Acquisition
Awareness & Succeeding with Investors.
Driving more “eyeballs” to your offering is a general ingredient to RegA+ success. Not every issuing company has a built-in fan or customer base that can be potential investors.
The Role of Investor Acquisition Firms.
These firms are very niche and specialized in how they generate awareness through media, optimize data from various channels, messaging support, and creative market approaches that all add to the positive outcome of your RegA+.
These are the different types of Investor Acquisition techniques/Tactics
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Public Relations Firm
PR firms are instrumental in managing the reputation of your company through owned, earned, and paid communications. Usually, PR firms handle messaging to the press with a core objective of building brand awareness and reputation management as it relates to your company and it’s offering.
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Investor Relations Firm
Is responsible for communication between a company’s corporate management and its investors. It’s common for IR firms to handle the release of information, supporting inquiries and meetings. Lastly, they also provide feedback to management, and preparation in case of crisis management.
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Video
Videographers are perhaps one of the most influential pieces to your offering. Being able to beautifully convey your product or service and investment opportunity to investors in this offering space is crucial. Unlike public markets where ROI is king, it’s often said that investors in the private markets have a connection and kinship to why they invest.
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Social media
It almost goes without saying, being able to take full advantage of social media as a communication channel is important. Through vetting the do’s and don’ts with your BD, Social media is a great tactic employed in-house or through an external agency.
Create Invest Button
The KoreConX team has this down to a science. With globally customizable compliance built-in, seamless KYC & AML, private label branding and full integration capability this Invest Button can live anywhere on your company website
Tracking Your Live Offering
Did you know you’re in control? KoreConX provides you visibility when visibility may not be otherwise available. View who’s invested, how much and many other investment details.
Kickstart Your RegA+
Download our FREE ebook and learn all the ropes to kickstart your RegA+ process.
Invest button
This is also the stage to create your “Invest Now” button so that when your investors visit your site they will have a completely branded mobile ready experience and never have to leave your site. This is your raise and you’ll be spending marketing budget so why not have those dollars go to work for the brand you’ve built.
- Placed on company websites or multiple websites
- Mobile ready
- Investor to invest, private label, look and feel
- KYC
- Subscription Agreement
- Payment
- Submits to Compliance to review
Portfolio
The investor also expects that they’ll be able to view and be kept in the loop about their investment. This is why we pack a bunch of features in the Portfolio so that you have all you require with KoreConX
- Investor invited to Dashboard when they initiate investment
- Investor provided a dashboard to monitor the investment process
- To provide additional information if needed
Compliance
Your fundraising journey also involves key partners such as your selected Broker Dealer. KoreConX makes it simple and provides the features they require to keep you on-side with the Regulators. AML/KYC and investor suitability is fully integrated, ready for review and record keeping capable.
- Compliance management platform for your broker-dealer
- Compliance officer to review KYC, ID, AML suitability for the investor
- Compliance officer approves and closes investor
- Then the message is sent to the shareholder with an update
Cap Table
The Cap Table is essential for any company raising capital. This is also why we include it in our freemium model. We have designed this area to be fully automated and in doing so it can drastically simplify your time and management efforts
- Once an investor is approved and closed, information is moved to your cap table realtime
- As the cap table is updated your registered transfer agent is reviewing transactions details
- Your shareholders are invited to your website to login to view their holdings, news releases, updates
Portfolio
Congrats your investor is now fully invested as a shareholder. The Portfolio also serves as their holdings dashboard. With advanced functionality we make this area highly visual and intuitive.
- Shareholder logs in at the company website private label
- Shareholders view holdings in Portfolio
- A shareholder can view news releases, reports
- A shareholder can transfer their shares to other parties
- A shareholder can connect to the Registered Secondary Market to sell their shares
Secondary Market
Additionally, with KoreConX and our KorePartner Rialto Markets a FINRA registered Broker Dealer we are the only all-in-one platform with a registered secondary market. Now your shareholders can enjoy more peace of mind knowing their investment has greater liquidity and they’re able to sell their investment on a secondary market.
- Shareholder able to list shares for sale
- New Investor can purchase the shares
Cap Table
Post secondary market sale you now revisit the cap table which is automatically updated once a transaction has occurred. The beauty is you have had to lift a finger and you are fully up to date on your cap table.
- Captable automatically updated information coming from Rialto Markets Registered ATS
- New holder invited to create an account
Portfolio
In light of the transaction above our KoreConX solution also advises both shareholder parties involved in the transaction and their Portfolio area are both simultaneously updated.
- Both shareholders portfolio are update
Join the all-in-one platform empowering private capital markets.
Free forever, KoreConX makes it easy for participants in private capital markets to manage their investment portfolios, raise capital, and meet global compliance standards along every step of the way.
