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Veteran Reg A+ Broker-Dealer Dalmore Group’s 2020 Year-End Update


2020 has been an unprecedented year in the financial markets, and a remarkably successful one for the opportunity-driven activities of The Dalmore Group. In addition to the general displacement brought about by the COVID pandemic – and perhaps, at least partially driven by it — we have seen a significant shift in how smaller companies and start-ups are raising capital and communicating with potential investors. The move to direct, online solicitation and investment, and new approaches and programs that have been developed by the regulators have been almost tailor-made for The Dalmore Group team, and our innovations in capital raising methodologies and approaches to Regulation A+, CF and D.

Under new SEC regulations that are scheduled to be enacted over the next few months, Reg A+ issuers will be permitted to raise up to $75m and Reg CF issuers will be permitted to raise up to $5m from accredited and non-accredited investors. Under these expanded parameters, Dalmore looks forward to a very productive 2021 for our firm’s private and listed company issuers. And we have a good reason for this optimism. Just look at what we were able to accomplish in the pandemic ridden year of 2020:

Reg A+ Metrics/Milestones – Dalmore further established itself as the nation’s leading Reg A+ broker-dealer (over 85 Reg A+ clients in 2020), including some of the most successful offerings. In the process, Dalmore has:


Reg A+ Series Issuers – a new trend emerged in 2020: fractional ownership interests

  • One of the more exciting developments for Dalmore is the growth in the area of fractional ownership. Specialty issuers bringing unique and highly sought-after offerings for their investor base, offering them an opportunity to own a portion of the prized asset(s). Examples of items that Dalmore client investors were able to invest in this year are:
    • the winning racehorse of the 2020 Kentucky Derby,
    • NASA APOLLO 11 Buzz Aldrin’s control stick,
    • Steve Job’s 1986 signed MAC,
    • Babe Ruth’s AL Batting Title Bat and signed ball,
    • Rare Rolex and Hermes bag collections,
    • Mohammed Ali’s Rumble in the Jungle WBC Championship belt

DirectCF Launch – Dalmore Group’s further lineup expanded this past year to include Regulation CF offerings, which provided issuers another option to pursue their capital raises

  • With DirectCF, Dalmore has created a direct, cost effective, and open access Reg CF solution for companies considering a Reg CF offering
  • DirectCF challenges the traditional marketplace-oriented crowd funding investment listing model, empowering issuers to take full control of their offering
  • Issuers now become the sole name listed and the sole beneficiary of their marketing and promotional efforts, while maintaining full visibility to critical site analytics and investor activity

Strategic Partnerships – Providing Dalmore’s clients with access to industry experts to improve the breadth and scope of their offerings

  • Marketing and PR Firms: Dalmore continues to expand its network to bring clients access to some of the most experienced firms in the online distribution, promotion and capital-raising universe. One area Dalmore sees continued success for issuers is the use of the financial publication ecosystem and the increased public exposure to an issuer’s offering
  • Distribution and syndication-partnerships with multiple Reg A, D and CF broker-dealer marketplace platforms, through which we are able to offer issuers the choice to list their offerings on multiple platforms in addition to maintaining their own dedicated offering page
  • Creating ATS partnerships and secondary trading solutions for our Reg A+ and D issuers, thereby enabling issuers to offer ongoing liquidity solutions to their investors

Dalmore’s Reg A+ services include:

  • 50 states registered broker-dealer with a top track-record of primary issuance service
  • Full-service investment banking since 2005
  • Deep institutional, private equity, venture capital and family office relationships
  • Marketing guidance and experienced securities regulation compliance review
  • Deep relationships with securities and regulatory counsel to help prepare and coordinate necessary filings
  • Media and publisher knowledge and experience
  • Reg A+ broker-dealer marketplace platform distribution partners
  • Marketing and PR company guidance
  • Special volume discounted pricing at funding portals and other service providers
  • Comprehensive data security and compliance procedures
  • Ability to integrate with any third-party platform in the management and processing of investor activity
  • Ability to integrate with any escrow or paying agent
  • Comprehensive KYC/AML services
  • Fully streamlined on-boarding, diligence, and advertising material review process
  • Secondary trading solutions through our Alternative Trading System partnerships

Dalmore offers flexible fee arrangements for Reg A+ activity, ranging from national plans to more focused regional or state specific activities.

At Dalmore, we believe that innovation in the crowdfunding space will accelerate in 2021. From new and creative types of offerings for investors to participate in, or innovating in the areas of communication and marketing methods, issuers are becoming more connected to their investors than ever before. We are excited about the future and continue to ask the question: what can we possibly do to make this easier, less expensive, and better? Best wishes to you and your loved ones for a healthy, joyous, and blessed Holiday Season, and a productive 2021.

We look forward to hearing from you,

Etan Butler, Chairman
Dalmore Group, LLC

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