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Form CRS
December 13, 2021

Client Relationship Summary


Dalmore Group LLC (“Dalmore”) is registered with the Securities and Exchange Commission (“SEC”) as a broker-dealer and is also a member of Financial Industry Regulatory Authority, Inc. (“FINRA”) and Securities Investor Protection Corporation (“SIPC”). This Form CRS contains important information about the types of services Dalmore offers, along with general information related to compensation, conflicts of interest, disciplinary action, and other reportable legal information. Free and simple tools are available to research firms and financial professionals at Investor.gov/CRS, which also provides educational materials about broker-dealers, investment advisers, and investing.

What investment services and advice can you provide me?

Dalmore offers limited investment products and services. Specifically, we offer investors the opportunity to make unsolicited self-directed investments on an agency-basis of interests in registered and unregistered securities offerings, including private placements offered under Regulation D, Regulation A, Regulation Crowdfunding, and EB-5 investment programs. We also offer the opportunity to make unsolicited self-directed trades in the secondary market for Reg A investments. Other security products or brokerage services may be more suitable for you. 

We do not enter into a fiduciary relationship with you. It is also your responsibility to monitor the investments you make, and we encourage you to do so regularly. We do not commit to providing ongoing monitoring of your investments. Dalmore Group does not open or maintain customer brokerage accounts. As applicable, your investments will be reflected in account statement(s) provided by a financial institution that will maintain your account. Additional information about our services is available through our Best Interest Disclosure Documents, Client Relation BI

When considering our services, ask your financial professional:

  • Given my financial situation, should I choose a brokerage service? Why or why not?
  • How will you choose investments to recommend to me?
  • What is your relevant experience, including your licenses, education and other qualifications? What do these qualifications mean?


What fees will I pay?

You will pay certain transaction-based fees (commissions and sales concessions) in connection with investing in a private placement. The applicable fees will vary from offering to offering. That said, there are management fees, organizational and operating expense reimbursement, and profit participation/carried interest fees. In offerings related to real estate, there can be acquisition fees, development fees, asset management fees, financing fees, and property management fees. There can be stock acquisition costs in venture capital and private equity offerings. Where these fees apply, the more transactions you enter into, the more compensation that we and your financial professional receive. This compensation creates an incentive for us to encourage you to invest in private placements. Commissions and other sales concessions are charged when a transaction occurs. You will be charged more the more transactions you do with our Firm, and we, therefore, have an incentive to encourage you to invest in private placements.

Transaction-based fees are based on a host of factors, including, but not limited to: issuer and the type of offering participated in, size of your transaction and/or the overall value of your investment, frequency of your private placement investments, and available discounts and/or fee waivers.

You will pay fees whether you make or lose money on your investments. Fees may reduce any amount of money you make on your investments over time. Please make sure you understand what fees you are paying. Additional information about our fees is available on our Best Interest Disclosure Document and in the PPM or similar offering document.

When considering our services, ask your financial professional:

  • Help me understand how fees and costs might affect my overall investment. If I give you $10,000 to invest, how much will go to fees and costs, and how much will be invested for me?

What are your legal obligations to me when providing recommendations as my broker-dealer? How else does the firm make money and what conflicts of interest do you have?

Dalmore does not make investment recommendations to its customers. We provide the ability to make unsolicited self-directed investments in certain registered and unregistered securities and securities offerings. Dalmore generates revenue as a result of transaction-based fee structures and other financial arrangements between third parties and us. Securities rules allow us to earn fees when we provide brokerage services to you. The fees we receive from you vary based on the product or services you purchase.

Registered Representatives may invest in the same products offered to customers. Dalmore has procedures to monitor the personal trading activities and securities holdings of each of its Registered Representatives and includes procedures for limitations on personal securities transactions of associated persons. These policies are designed to discourage and prohibit personal trading that would disadvantage customers.

When considering our services, ask your financial professional:

  • How might your conflicts of interest affect me, and how will you address them?

Additional information about our conflicts of interest is available on our Regulatory Best Interest Disclosure Brochure and your Customer Agreement.

How do your financial professionals make money?

Registered Representatives earn a portion of the commissions and other transaction fees you pay as well as commissions paid to Dalmore directly by the issuers. As commissions are based on several factors, so is the compensation paid to our Registered Representatives. For example, certain products pay higher commission rates than others. Employee bonuses may be paid based on the overall profitability of Dalmore.    

When considering our services, ask your financial professional:

  • As a financial professional, do you have any disciplinary history? For what type of conduct.

Do you or your financial professionals have a legal or disciplinary history?

Yes. You can visit https://www.Investor.gov/CRS for a free and simple search tool to research our financial professionals and us.

When considering our services, ask your financial professional:

  • Who is my primary contact person?
  • Is she or he a representative of an investment adviser or a broker dealer?
  • Who can I talk to if I have concerns about how this person is treating me?

To report a problem to the SEC, visit Investor.gov or call the SEC’s toll‐free investor assistance line at (800) 732‐0330. To report a problem to FINRA, visit https://www.finra.org/investors/have-problem/file-complaint.

If you have a problem with your investments, an account or our financial professional, contact us in writing at Dalmore Group LLC, 525 Green Place, Woodmere, NY 11598

Additional information, including our most recent Relationship Summary, is available by calling your Registered Representative at (929) 207-3164 to request up-to-date information and a copy of the Relationship Summary or by visiting https://files.brokercheck.finra.org/crs_136352.pdf 

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