MBD Services

Third Party Managing Broker-Dealer (“MBD”) Services

Patrick Capital Markets LLC offers Managing Broker-Dealer (MBD) Services to Issuers and Sponsors of private placement offerings who seek to expand their capital raising efforts beyond their internal sales teams and their immediate network of friends and family, high net worth and institutional clients.

When presented with the decision to hire internal sales people or form a captive broker-dealer, many Sponsors choose to keep their fixed costs low and outsource these tasks to a Third Party MBD. This choice gives the Sponsor the freedom to maintain its focus on their core business while expanding access to capital via a network of selling broker-dealers and RIAs.

In our role as a MBD, Patrick Capital Markets works closely together with the Sponsor in the following areas:

  • Conduct due diligence;
  • Review offering documents (with Sponsor’s legal counsel);
  • Assist in creation of compliant marketing materials;
  • Coordinate securities licensing and registration of internal sales staff;
  • Draft and facilitate selling broker-dealer and RIA agreements;
  • Organize and coordinate the subscription process with investors and intermediaries;
  • Expedite escrow arrangements and closing;
  • Ensure timely regulatory filings;
  • Deliver compliant results.

Patrick Capital Markets provides Sponsors with an experienced team that is capable of supporting a robust capital raising effort through a network of broker-dealers and RIAs and intermediaries. We offer a streamlined, electronic, on-demand investor subscription process that is investor-friendly.  Our platform is customizable and efficient for information-sharing with Sponsors.

Patrick Capital Markets stands ready to assist Sponsors with sourcing new capital, meeting investor demands and sharpening their competitive edge against their competition. 

  • If you are an Issuer or Sponsor interested in PCM’s Third Party MBD Services, please Contact Us.
  • Or, if you are a Broker-Dealer interested in joining PCM’s selling group for one of our current offerings, please Contact Us.
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