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Registration & Compliance

  • New Agent Registration
  • FINRA Compliance Maintenance
  • Compliance Calendar
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Request Legal Agreements

  • Engage New Clients & Partners
  • Non-Circumvention & Non-Disclosure
  • Other Standardized Templates
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Client Operations

  • Submit Due Diligence
  • Establish Investor Suitability
  • Request Invoice for a Transaction

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Secondary Trading

  • View Current Buy/Sell Orders
  • Proprietary Research
  • Request a Pitchbook Report
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Private Offering Deal Rooms

  • Review Due Diligence
  • Provide Investors with Access
  • Print Subscription Agreements
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Workflows, Policies & Procedures

  • Visualize Rainmaker Workflows
  • Written Supervisory Procedures
  • Answers to Frequently Asked Questions