Private Placement Memorandum

Private Placement Memorandum

While there are numerous laws regulating private placements, the ones most commonly used are based on Regulation D (often called Reg D) of the Securities and Exchange (SEC) Act of 1933. Reg D has exemptions that allow companies to raise up to $1 million, or $5 million, or unlimited amounts, each with different restrictions.

How We Can Help

Raising capital through a Reg D offering must be handled very carefully by a person/company that thoroughly understands the process and legal issues.  We will refer you to our strategic partner that specializes in helping companies prepare an effective and professional PPM.

The PPM Preparation Process

The typical PPM is approximately 50-100+ pages and covers all of the rules and regulations for raising capital via a private placement memorandum. It may include photos, projections and renderings, in addition to all legal documentation, operating agreement, additional agreements, exhibits, etc.

The PPM service provides a  complete document, presentation and binding for the basic service...all the way to the creation of a fund and contracts for handling all legal matters, accounting matters, investor distributions, etc., for the more advanced service.

What You Will Receive

The typical service includes the following:

  • Preparation of all PPM material;
  • Preparation of an Operating Agreement;
  • Design of entire package including cover letter;
  • Design of custom covers and spines;
  • All printing and binding (custom binding); Delivery of package to client's contacts;
  • Client receives an email copy and digital copy on USB drive for future use;
  • Working with your lawyers regarding Blue Sky Laws for that state and determine best course of action for filing, banking and handing of funds;
  • Tips on how to effectively present your PPM package to your circle of influence and potential investors;
  • Presenting your PPM package to our investor base and relationships (additional service).


This service is a retainer based service and pricing is determined based on the needs of the client. It is also important to understand that preparing a PPM is not necessarily a guarantee of funding.

Contact: For more information email us at james[ at ]

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