“Private Placement Programs” are a loaded phrase. Legitimate private placements exist. What often does not exist are the so-called “evergreen trading programs,” “bullet programs,” and “managed buy and sell programs” marketed as secretive, bank-adjacent platforms that allegedly produce hedge-fund level returns with minimal risk, minimal disclosure, and urgent fee requirements.
Financely provides a formal, evidence-based due diligence and claims assessment service for Private Placement Programs and related capital raising claims. The objective is simple: determine whether the transaction is defensible to a serious compliance function, legal reviewer, and institutional decision maker before you sign, pay, or disclose sensitive data.
Labels do not create substance. Diligence is about counterparties, legal structure, controls, and disclosures.
If a platform claims to move nine figures while avoiding basic transparency, it is not “exclusive.” It is uninvestable.
Legitimate capital raising and investment activity is governed by a real legal structure and an identifiable regulatory framework. In the United States, offerings are either registered with the SEC or conducted under an exemption. Private offerings commonly rely on Regulation D, and issuers must file a Form D notice with the SEC within the required timeframe after the first sale. If an issuer is generally soliciting under Rule 506(c), purchasers must be accredited investors and the issuer must take reasonable steps to verify status.
Where appropriate, we coordinate a third-party legal opinion from an independent law firm on Private Placement Program documentation, representations, and enforceability considerations within a defined scope. Legal opinions are issued solely by the engaged law firm under its own engagement terms.
| Deliverable | What You Receive |
|---|---|
| Written Risk Report | Clear assessment of claims, counterparties, documents, and feasibility, including material issues and required cures. |
| Evidence Checklist | Concrete documentary evidence required to proceed, sequenced in a defensible order. |
| Risk Classification | Viable with conditions, non-viable as presented, or insufficient evidence, with explicit reasoning. |
| Optional Legal Opinion | Coordination of an independent law firm review of program documents and representations, scoped and billed separately by the law firm. |
No. We provide an evidence-based diligence report. We do not endorse programs as investments, guarantee outcomes, or provide assurances of performance.
A legitimate U.S. private offering typically aligns to an exemption framework and supporting investor controls. Examples include a Form D notice filing for Regulation D offerings and, where applicable, accredited investor verification processes for Rule 506(c) offerings. The absence of an explanation of the legal basis for the offering is a material deficiency.
Practical rule: if two or more of the above criteria apply, treat the situation as a high probability of fraud or misrepresentation. Pause the process and require evidence, not explanations.
Because serious counterparties do not fund or commit capital on stories. They fund evidence. If a platform claims to handle hundreds of millions while avoiding normal scrutiny and promising returns beyond top-tier market participants, the correct response is not negotiation. It is diligence or exit.
We do not use misrepresentation or unauthorized outreach to obtain confirmations. Any confirmations must come through documented, authorized channels with the appropriate parties involved.
Submit the full document set and the claim summary through our intake form. We will revert with a written risk report, evidence checklist, and next-step decision path. If a third-party legal opinion is appropriate, we will propose scope and coordinate with an independent law firm.
Start Due Diligence IntakeDisclaimer: This page is for general information only. It does not constitute legal, tax, regulatory, investment, or credit advice and it is not an offer or solicitation to buy or sell securities. Financely is not a broker-dealer or investment adviser. Any legal opinion is issued solely by the engaged law firm under its own engagement terms and professional responsibility. Diligence reduces risk but does not eliminate risk. All work is subject to eligibility, KYC and AML review, sanctions screening, and executed engagement documentation.
Reference materials: SEC Form D filing overview , SEC Rule 506(c) general solicitation , Investor.gov: “Prime Bank” investments , U.S. Treasury OIG: Prime bank investment fraud.
Financely advises growth-focused businesses on accessing capital by introducing their opportunities to professional investors. Financely is not a securities broker or dealer. Where appropriate, engagements are coordinated with regulated broker-dealers, investment banks, legal counsel, and other specialists.
Financely does not solicit, offer, or accept orders to buy or sell securities and makes no assurance regarding capital-raising outcomes.
Services are strictly business-to-business. Financely does not provide personal finance, consumer credit, or retail advisory services.
Advisory services are reserved for post-revenue companies that recognize the time and resources required for professional underwriting.
All mandates start with an RFQ. We review submissions, issue a brief Go/No-Go memo, and where bankable, release a Term Sheet that leads to funding. We arrange capital across Senior Secured, Unitranche, Second Lien/Mezzanine, Preferred Equity, and Gap Solutions. We do not process deals by email or chat.
Letters of Credit, Standby LCs, Confirmations, Receivables Finance, and Inventory Lines with control.
Funding arranged for trade flows with instruments sized to your cycle and aligned to delivery and settlement.
Move forward to secure working capital and keep goods moving. Submit the RFQ to start underwriting for funding.
Limited or non-recourse structures for energy and infrastructure with lender-ready materials.
Funding solutions aligned to project cash flows with credible covenants and conditions to reach notice to proceed.
Advance the file to termable status. Submit the RFQ so we can underwrite and secure funding.
Debt and Preferred solutions anchored on cash flow, Quality of Earnings, and clear closing mechanics.
Funding across senior, unitranche, and preferred to match stable cash flows and acquisition timelines.
Get financed on workable terms for closing. Submit the RFQ to start underwriting.
Acquisition, development, bridge, and refinance with lender-ready packs and third-party reports managed.
Funding calibrated to DSCR, leverage, and tenancy with terms designed to close.
Move to a financeable package. Submit the RFQ to initiate underwriting for funding.
KYC and Source of Funds required. Engagements are best-efforts and subject to underwriting. Preference for operating companies with meaningful revenue. See our FAQ and Procedure.
Financely Inc. (“Financely”) provides corporate-finance advice and is wholly owned by Aurora Bay Trust, a trust formed under Bahamian law, together with its authorized affiliates. Depending on deal structure, jurisdiction, and local rules, engagements may be carried out through Financely Group LLC, a non-deposit-taking, non-banking financial company; Ashford Capital Advisory LLC; or another related entity.
Financely and its affiliates are not registered as securities broker-dealers and do not execute securities transactions or hold client funds or securities. When a mandate involves the purchase or sale of securities and a registered intermediary is required, any orders are introduced to and executed by one or more independent U.S. broker-dealers registered with the SEC and FINRA. Those broker-dealers are solely responsible for trade execution, custody, and related regulatory obligations. Nothing in this material constitutes an offer, solicitation, or recommendation to buy or sell any security or to engage in any specific transaction. Before engaging Financely Group LLC, Ashford Capital Advisory LLC, or any affiliate, you are responsible for confirming that such engagement complies with your own legal, regulatory, tax, and other requirements. In the United States, certain advisory activities may be conducted in reliance on exemptions available under the Investment Advisers Act of 1940, including the “foreign private adviser” exemption where applicable. Our services and regulatory status may vary by jurisdiction and by transaction type.
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