JOBS Act has created unprecedented opportunity for financial advisors – don’t get left out in the cold

By: Steve Sadler, CEO, Allegiancy, CrowdFundBeat  Sr. contributing guest,

Last week I spoke at FinFair 2015, a retail alternatives event hosted by Dara Albright in New York, about, “How Financial Advisors and Registered Investment Advisors (RIAs) can Capitalize on Reg A.”

The conference sought to bridge the gap between the Wall Street establishment and today’s financial innovators. I sought to bridge that gap by encouraging financial leaders to “brainstorm in the firestorm” created by the 2012 Jumpstart our Business Startups (JOBS) Act’s new Reg A.






Here were my key messages for today’s financial innovators:

The 2012 JOBS Act is bringing big massive change to Wall Street, and the value of your expertise is at a premium.

The democratization of capital is here, and it is moving faster by the day. Financial advisors, nowis your chance to get in position to ride the wave.

The path back to dynamism in America is in front of you, and there is both danger in ignoring it, and enormous opportunity in embracing it.

Now, anyone can be an investment banker, and everyone can be a private equity investor. So how will investors differentiate between great deals, good deals, and truly horrible ones? This is where good advisors can earn their keep.

In the post-JOBS Act world, engaged, knowledgeable, experienced financial professionals can add value as never before. The expertise of the licensed RIA, financial advisor, or rep is the first line of defense – not only for protecting the client/investor, but also for protecting the enormous potential of these changes to drive growth in the American economy.

Billions in fees can be earned by the financial industry, not to mention the trillions in new wealth and GDP growth created by this opportunity.

So financial advisors, get focused and establish your expertise. Not only will your clients be investors in these JOBs Act deals, your clients will be raising capital and bringing these deals to market.

Don’t think it will be only the other guy that gets cut out. If you are not adding tangible, measurable, and meaningful value, it will be you who gets left out in the cold.

There are tremendous pressures to reduce costs and improve investor returns — from both institutional and individual investors. In this environment, complacency kills, as does disintermediation.   It’s time to choose: Who do you want to be in this new world?

Behold your new client.

Your client has a company and wants to grow. He decides to raise $30 million and pull $5 million off the table. You introduce him to the right people and help him do a Reg A+ deal. You earn a 1 percent fee, or $300,000.

Then of course, your client needs to invest those proceeds. Perhaps you could help with that? $5 million assets under management (AUM) at 1 percent = $50,000 per year for you.

Maybe your client wants to diversify into other growth companies like his, and you get paid 3 to 5 percent for your counsel? Another $50,000.

See why embracing Reg A deals is an easy call?

Call to Action: the time is now.

For the first time in living memory, the regulatory nanny state is receding. The barriers separating entrepreneurs from investors are being lowered. Every investor needs a great wingman, and the faster things change, the more true this becomes.

Don’t be fooled by the naysayers and fear-mongers: Be one of the proven, reputable, bright financial players who’s leading the way.



The foregoing does not constitute an offer to sell or a solicitation of an offer to buy securities, and no money or other consideration is being solicited hereby, nor will be accepted. An offer to purchase or a solicitation of an offer to buy the securities can only be made or received and accepted once an offering statement is qualified by the Securities and Exchange Commission as exempt from the registration requirements of the Securities Act of 1933 (the “Act”), as amended, pursuant to Section 3(b)(2) of the Act.   Any such offer to purchase securities may be withdrawn or revoked, without obligation or commitment of any kind, at any time before notice of its acceptance given after the qualification date of the offering related thereto, and any indication of interest to purchase securities involves no obligation or commitment of any kind.

This press release contains forward-looking statements within the meaning of the Private Securities Litigation Reform Act of 1995 and other federal securities laws. These forward-looking statements are based upon the Allegiancy, LLC’s (the “Company”) present expectations, but these statements are not guaranteed to occur. Furthermore, the Company disclaims any obligation to publicly update or revise any forward-looking statement to reflect changes in underlying assumptions or factors, of new information, data or methods, future events or other changes. Investors should not place undue reliance upon forward-looking statements. For further discussion of the factors that could affect outcomes, please refer to the “Risk Factors” section of the offering circular dated January 14, 2014, and filed by the Company with the U.S. Securities and Exchange Commission on January 15, 2014.  The offering circular, and any supplements or updates thereto, is available on the EDGAR system located on


Steve Sadler, is Chief Executive Officer, Allegiancy,  He is the impetus behind the formation and strategic direction of Allegiancy, contributing essential skill sets, institutional relationships, and experience to the team after spending nearly twenty years in financial services and the investment banking field. He began pursuing investment banking projects in commercial real estate while part of Signet Bank’s Capital Markets Group, now known as Wells Fargo & Company. With public market securities and private placement transactions under his belt valued at more than $1 billion, Steve has been involved in a wide range of asset classes and financing structures and has proven commercial real estate performance and significant turnaround experience. He graduated from Florida State University with a BA in East Asian Studies/Economics and holds the Chartered Financial Analyst designation.

Meet Steve Sadler at:


4th Annual GCCB Conference – REGULATION A PLUS MASTER CLASS October 26, 2015

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