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The Capital Raiser Show

Apr 21, 2023

You are asking for trouble if you are raising capital without an understanding of securities law for syndications. As soon as you have 1 person who is passive in your deal it becomes a security and is subject to SEC Federal Regulations.

Educate and refresh your understanding of this by spending time with lawyers like Stacey Bowers, Esq.

On the full show we covered:

Helping syndicators understand lawyer's roles.

Exemptions and understanding syndication structures.

Securities law compliances.

Shop talk on Fund of Funds.

When can a fund manager be viewed as an investment advisor?

Being cognizant of securities acts that affect the syndicator.

When might fund managers consider getting a securities license?

The different exemptions .

Reg. A+ vs Reg. CF.

Why would a syndicator would start a fund?

Fund Administration can be a mess!

How to violate securities laws.

What kind of solicitation is allowed for 506(c)?

What is conditioning the market?

Can The FBI knock on your door if your LP is a criminal?

Find Stacey at


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