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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 selling agents on its offerings. Agents are appointed under a written agreement, granted access one offering at a time, and paid against attribution the firm records itself—not against a report the agent has to file.

The Terms

What the appointment actually is.

The whole arrangement, stated before you spend anything on it. What is not 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
One-time and trailing structures are both supported, payable in cash or in equity of the management company. Which applies, on what basis, at what rate and over what tail period is set in the agreement; the firm does not publish a schedule.
Attribution
Recorded by the firm when an introduction is made and carried through to the subscription it produces.
Reporting
A statement each period—monthly or quarterly, set 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, and it is public before you ask anyone for anything.

  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 what a client's adviser will ask you about first.

  3. 03

    A back office that already exists

    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

Four steps, and the second one is real.

  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 an introduction is attributed to you the moment it is made.

The Workspace

How a subscription actually moves.

Appointed agents get logins to a workspace of their own. This is what it does, in the order it does it—and at the end, what it does not do.

  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 once 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 stamped to your firm and to the rep who made it—on the investor's profile and on the contact record, with an audit entry. First write wins. An investor who already held an account here is never stamped automatically: that is a decision Buxton Helmsley staff make explicitly, and the refusal to auto-claim is itself recorded.

  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 refuses the transition. A rejection requires a written reason, is final from your side, and the reason goes to the investor.

  5. 05

    Commissions and statements arrive on their own

    Lines accrue against the attribution already on record the moment funding is confirmed—stepped tiers, in cash or in equity of the management company. Statements are generated and emailed to your principals automatically: quarterly by default, monthly if your firm prefers it. Nobody has to ask.

Still by hand

Not automated

The subscription agreement is dispatched for signature and countersigned by Buxton Helmsley, and funding is confirmed by Buxton Helmsley. Those steps involve a person here, deliberately. Everything above is the system, and the workspace shows you each of them 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.