Opportunity and instrument assessment
Identify the security, cap table position, rights, restrictions and documents relevant to a proposed private-market transaction.
Capability / Specialist structuring
Pre-IPO & Secondary Market Brokerage
A measured approach to private-company liquidity and secondary transactions.
At a glance
Private-company interests are not interchangeable with public securities. Transfers may involve issuer approvals, contractual restrictions, qualification requirements, sophisticated valuation questions and extended settlement timelines.
Areas of focus
What this work may involve.
- Buy-side and sell-side transaction readiness
- Pre-IPO and private secondary-market process coordination
- Transfer restriction and consent mapping
- Counterparty and settlement process assessment
- Documentation and execution-workflow coordination
How we approach it
Purpose first. Then process.
The process begins by identifying the security, issuer restrictions, transaction objectives and investor qualifications. Securities brokerage, solicitation and execution are undertaken only where legally permitted and through appropriately registered broker-dealers where required.
A useful starting question
Have issuer transfer restrictions and the identity of every intermediary been verified?
Important consideration: Private securities can be speculative, difficult to value and subject to transfer restrictions. Where brokerage execution is required, it must be undertaken through an appropriately registered intermediary.
A disciplined framework
Built on clarity, not complexity for its own sake.
Private-company interests are not interchangeable with public securities. Transfers may involve issuer approvals, contractual restrictions, qualification requirements, sophisticated valuation questions and extended settlement timelines.
Explore our approachPractical considerations
Private-market access requires disciplined execution
Pre-IPO interests and secondary transfers often involve transfer approvals, eligibility standards, pricing uncertainty and limited market depth. Preparation matters as much as identifying a possible counterparty.
Transaction feasibility
Assess the security, its transfer restrictions, issuer consent requirements and participating parties.
Economic analysis
Review valuation expectations, settlement mechanics, fees, dilution and the effect of limited liquidity.
Documented execution
Establish the roles of appropriately authorised intermediaries and the steps needed for a compliant transaction.
A credible private-market process prioritises verifiable ownership, investor eligibility and executable settlement terms over promotional claims.
Frequently considered
Questions worth asking.
Our initial conversations aim to establish scope, requirements and the appropriate professional responsibilities.
Can any private-company share be sold freely?+
No. Transfers may be prohibited or conditional under shareholders’ agreements, issuer policies, securities laws or platform rules.
Does the website offer actual securities for purchase?+
No. The website is descriptive and does not constitute an offering, solicitation or an active securities order facility.
Who executes regulated brokerage transactions?+
Only appropriately registered or exempt persons and entities under the applicable law and formal transaction arrangements may conduct activities requiring those permissions.
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