As your Broker-Dealer of Record, Dalmore oversees the compliance, supervision, and investor transaction flows required under Reg CF, Reg D, and Reg A — giving you the freedom to partner with best-in-class marketers, advisors, and investor networks without compromising on regulatory rigor.
Our model gives you more flexibility, control, and a stronger foundation to scale your capital raise efficiently and compliantly.
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Dalmore serves as your Broker-Dealer of Record (BDOR) — a role focused on regulatory supervision, due diligence and investor review. This means you or your marketing partners bring in the capital, while Dalmore strives to make it happen compliantly and transparently.
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Enable your team to become registered representatives, allowing compliant compensation for capital-raising activities
As your BDOR, Dalmore conducts a thorough review of all marketing materials from social posts to landing pages to ensure they are accurate, balanced, and compliant before they go live
Integrated Know Your Customer, Anti-Money Laundering, and Accredited Investor Checks across all regulations
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Oversight of secondary market transactions to ensure compliance with anti-fraud to regulatory
Maintain clean books and records for regulatory inquiries with exportable, time-stamped data and audit logs
Issuers choose Dalmore because we combine regulatory precision with real-world experience across a wide range of capital raises — from straightforward equity rounds to complex, highly-structured alternative investments.
Dalmore has supported some of the most unique and complex offerings in the market. From fractional collectibles and music royalties to private credit, oil and gas, real estate, and beyond. With over 20 years of broker-dealer experience, we understand traditional and emerging asset classes.
Dalmore understands how to navigate complex regulations, respond to inquiries, and ensure offerings meet the highest compliance standards. This gives your investors confidence that every raise is reviewed with care, due diligence, and oversight.
Our proprietary infrastructure powers everything from investor onboarding and compliance to payments, reporting, and secondary trading . This tech-first approach gives issuers and platforms a faster, smarter way to launch and scale regulated investment offerings.
Whether you’re an early-stage startup launching your first Reg CF or a mature issuer preparing an S-1, Dalmore adapts to your structure. We support Reg D, Reg A, and Reg CF offerings across single-asset raises, multi-series funds, marketplaces, and more.
Partnering with Dalmore as your Broker-Dealer of Record is a guided, end-to-end process designed to help you launch compliantly and raise with confidence.
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We conduct a thorough review of your company, leadership, and offering structure to ensure regulatory alignment and fit with Dalmore’s compliance standards.
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Our compliance team reviews your offering documents to ensure accuracy, investor protections, and adherence to regulatory expectations.
We integrate onboarding flows, KYC/AML checks, accreditation verification, and payment tracking into your branded experience.
Once your offering is live, Dalmore supervises your offering. We review to oversee trades, monitor marketing materials, and ensure compliance from the first investment to the last distribution.
Engaging a broker-dealer means your offering must meet a higher standard of compliance and oversight. As your BD of record, Dalmore oversees every component of your raise so that it is regulatory-ready and built to scale.
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Regulatory oversight for Reg CF, Reg D, and Reg A offerings — from review through close.
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Integrated identity verification, AML screening, and accreditation checks, all logged and timestamped.
Review of ACH, card, wire, and check payments with real-time reconciliation and investor tracking.
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Secure fund flow via coordinated relationships with trusted third-party escrow agents.
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Supervision and sponsorship of sales reps who require licensing to participate in the raise, including U4 filings and state registrations.
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Maintain audit-ready investor logs, state-by-state reporting, and exportable books and records for regulator review.
Stay informed with the latest insights on broker-dealer services and compliance:
Dalmore offers a full suite of broker-dealer services to support every stage of your raise. Discover how our expertise and infrastructure can help you scale with confidence.
Partner with Dalmore as your broker-dealer of record and gain the regulatory expertise and infrastructure you need to raise with confidence.
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