Skip to content

For Intermediaries

Placement agents.

Registered broker-dealers and appropriately licensed intermediaries only · Subject to diligence under Rule 506(d)

Introduce your firm

The Relationship

Buxton Helmsley appoints a small number of placement agents on its offerings. Each is engaged under a written selling agreement, given access one offering at a time, and paid against attribution the firm records itself rather than against a report the agent has to file.

The Terms

What an appointment involves.

The arrangement in full, before you spend time on it. The one thing not stated here is the schedule: rates, bases and any tail period are set in the selling agreement, and the firm does not publish them.

Appointment
By written selling agreement, executed after diligence. One agreement is in force per firm at a time.
Eligibility
Broker-dealers registered with FINRA, and intermediaries outside the United States appropriately licensed in their own jurisdiction. The firm does not compensate unregistered finders for introducing investors.
Scope
Access is granted one offering at a time. An appointment on one does not extend to another.
Compensation
The firm uses one-time and trailing structures, payable in cash or in equity of the management company. The agreement sets which applies, at what rate, on what basis and over what tail period; the firm does not publish a schedule.
Attribution
Recorded on the invitation when you issue it, and attached to the investor’s own record when they accept. It then carries through to the subscription it produces.
Reporting
A statement each period, monthly or quarterly as agreed with the agent, listing every commission line and its status.
Access
Appointed agents receive logins to a workspace of their own: offerings, client invitations, subscription progress, commissions and statements.
Status
Open. The firm is appointing selectively.

The Case

What you would be taking to clients.

  1. 01

    Diligence you can do before you call

    Every campaign the firm has run is published in full, with the correspondence and the outcome—including the ones that did not go the firm’s way. The campaign ledger is the diligence.

  2. 02

    A research process, not a thesis

    The forensic screening, professional-history tracking and governance analysis behind every position are documented on the investment process page. It is usually the first thing a client’s adviser asks about.

  3. 03

    Independent administration

    The managed fund is administered by IQ EQ Fund Services LLC, and investor statements come from the administrator rather than the manager. What your own firm gets is set out below.

How It Works

From introduction to appointment.

  1. 01

    Introduce your firm

    The form below. Your registrations, the jurisdictions you are licensed in, and which offerings you would take out.

  2. 02

    Diligence

    The firm reviews registration, jurisdiction and disciplinary history, and makes the factual inquiry Rule 506(d) requires of it before compensating anyone. This is the step that takes the longest, and it is not waived.

  3. 03

    Selling agreement

    Scope, term, compensation, any tail period, and the offerings you are appointed to. Countersigned by the firm and held on file.

  4. 04

    Appointment and access

    Logins to the agent workspace, access granted per offering, and client invitations you issue from inside it—so every invitation carries your firm and the rep who sent it from the moment it goes out.

The Workspace

How a subscription moves.

What the workspace does, in the order it does it. The two rows at the end say what it leaves to a person here.

  1. 01

    Invite

    Choose the offerings, enter the investor’s details once (individual, joint or entity), and the invitation goes out under your firm’s name. One message per offering, each link unique and good for fourteen days. The investor sets a password and arrives with every offering you selected already in front of them.

  2. 02

    Attribution is recorded at acceptance

    The moment they set that password, the introduction is recorded against your firm and the rep who made it, on the investor’s profile and on the contact record, with an audit entry. The first record stands. An investor who already held an account here is never attributed automatically; that decision is made by Buxton Helmsley staff, and a decision not to attribute is recorded too.

  3. 03

    Watch it from invited to funded

    Every stage on one line: invited, accepted, drafted, submitted, approved, countersigned, funded—with amounts and dates. Open a subscription and you see the subscriber’s details, their accreditation verification, their Rule 506(c) acknowledgements, the electronic signature with its timestamp, and the data room exactly as it stood when they signed.

  4. 04

    Your firm approves before we do

    A subscription reaches Buxton Helmsley only once your firm has passed it—the rep who made the introduction, then a principal. Staff cannot countersign ahead of that; the system will not let them. A rejection requires a written reason, is final from your side, and the reason goes to the investor.

  5. 05

    Commissions and statements are automatic

    Lines accrue against the attribution already on record the moment funding is confirmed, in cash or in equity of the management company. Statements are generated and emailed to your principals: quarterly by default, monthly if your firm prefers it.

Still by hand

Not automated

Buxton Helmsley dispatches the subscription agreement for signature, countersigns it, and confirms funding. Those three steps involve a person here, deliberately. Everything above them is the system, and the workspace shows you each one as it happens.

Materials

Offering materials are read inside the data room rather than distributed. Every document served is watermarked to the person who opened it and every access is logged. Subscription templates are the exception—those exist to be taken away, completed and returned.

Next Step

Introduce your firm.

Tell us who you are, what you are licensed to do, and where. If there is a fit we will come back with the diligence pack and a selling agreement to review.

Introduce Your Firm

Introductions are reviewed by the firm directly. Nothing is shared with third parties.

The firm

Regulatory Status

Choose the status that applies to the entity that would sign the selling agreement. “Foreign” means licensed outside the United States by your own regulator.

Fee Basis

How your firm is normally engaged. It is neither an offer nor a limit on what may be agreed—compensation is set in the selling agreement.

Who we would speak to

Offerings Of Interest

Self-certification only. The firm makes its own Rule 506(d) inquiry before executing any selling agreement or paying any compensation, and requires prompt notice of any change.

An introduction is not an appointment and places you under no obligation.

Important Disclosures

Not an offer

This page describes a commercial relationship with intermediaries. It is not an offer to sell or a solicitation of an offer to buy any security, and it is not an offer of appointment, engagement or compensation. Any offer of securities is made solely through the operative offering documents.

Eligibility

The firm appoints broker-dealers registered with FINRA and, outside the United States, intermediaries appropriately licensed by their own regulator. The firm does not compensate unregistered finders for introducing investors. Appointment follows a written selling agreement and the diligence described above; submitting an introduction confers nothing.

Rule 506(d)

A person compensated for soliciting investors in a Regulation D offering is a covered person under Rule 506(d). A disqualifying event affecting an agent or any of its covered persons can disqualify the offering itself. The firm therefore makes a factual inquiry before appointing anyone, and an appointed agent is required to give prompt notice of any change.

Compensation

Compensation is set in the selling agreement and is not published on this site. Nothing here constitutes an offer of compensation, an entitlement to it, or a representation as to its amount, basis or duration.

Regulatory status

Buxton Helmsley USA, Inc. is an exempt reporting adviser. It is not registered with the Securities and Exchange Commission as an investment adviser, and nothing on this page is to be read as stating or implying otherwise.

Forward-looking statements

Statements on this page that are not historical fact are forward-looking and involve known and unknown risks and uncertainties. Actual results may differ materially. The firm undertakes no obligation to update any forward-looking statement.