Today, it’s no brainer that strategic financial services, like financial mentoring, are costly—but they are the secret weapons to startups and even accomplished enterprises to great heights of success. Notable advisors like Brian Gaister, from Securities and Exchange Commission- (SEC) registered firms like Pennington Partners & Co owner, are aware of this.


Brian Gaister


Why should you trust SEC-registered firms?

Investment Advisers and SEC registration

Investment advisers are people or companies that monetize advising about securities investment like stocks, bonds, stocks, exchange traded funds, and mutual funds. They are similarly defined by SEC. Once they manage accounts and families that are worth more than $100 million, they have to register with SEC, which is called a federal registration. After they have registered, they are then called Registered Investment Advisers (RIAs). The process is complex, so it takes a strong sense of commitment.

It’s not rare for IAs to oversee and handle securities portfolios. RIAs such as Brian Gaister, may be paid in any of these: a part of the assets’ value they handle for customers, fixed fees or hourly fees, securities commission if they sell.

Compliance with SEC through submitting a Form D filing

Privately held companies that raise capital are required to file a Form D with the SEC to declare exempt offering of securities. Many of these filings show investments in small, growing companies through venture capital and angel investors, as well as certain pooled investment funds.

Angel investors and venture capitalists such as Brian Gaister have filed a Form D as a compliance to SEC. Form D is a SEC filing form required for privately managed firms that are raising capital for starting companies, as a declaration of an exempt offering of securities.

A filing such as filed by Brian Gaister, shows the issuer’s identify which is SAAS Ventures. In, it was declared that the securities offered were in the form of an equity.

What’s the benefit of a Form D Submission to a start-up company?

Disclosures of Form D can be used to check and better analyze your competitors. Since Form D’s info is commonly highly secretive, most startups don’t like revealing it as it could give the competitors a benefit.

However, in, you could see that SaaS Ventures, the company which Form D was signed by Brian Gaister, can now benefit from it. First, fundraising reporting helps clients feel safer to transact with a firm that’s well-financed. Next, this could lure other willing investors such as venture capitalists or venture capital firms and angel investors. Lastly, this is also a form of a public relations effect that could attract leasing companies and venture lenders.

As you see, if you hire SEC-registered investment advisers (IA) or family offices, they can help you extend your exposure so that other investors can fund your starting company.

Is it okay to hire the “overqualified” investment advisers?

A SEC registration, especially the Federal type, may require a lot of certifications for the IA or the investment management firm. But this is an indication of dedication and commitment to help companies, both established and starting, to sustain their finances.

Moreover, “overqualified” IAs can solve financial problems in the quickest and most efficient way possible, and they can explain complex situations to the client in a simple way. This type of service is in demand, as most starting companies are surveyed to fail because of their inexperience in handling cash flow.

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