Private Placements


As a private placement broker-dealer, LGA Capital represents companies nationwide, pursuing a wide variety of opportunities. Each private placement includes a detailed analysis of the issuer and the investment, identification of prospective investors, and ultimately, the timely execution of the transaction.

LGA adds value by understanding its clients and their proposed investment. By embracing the obligations incumbent upon a broker- dealer, LGA is better able to identify and communicate with suitable investors to raise capital.

Regulation D Private Placements

Under the Securities Act of 1933, any offer to sell securities must either be registered with the Securities and Exchange Commission (SEC) or meet an enumerated exemption. Regulation D, under which LGA Capital offers securities, contains a number of limited exemptions from the registration requirements. This is a common tool used by companies of all sizes and in all industries to raise capital. The sale of these securities is known as a Private Placement. In such cases, unless there is an enumerated exemption, a company (issuer) seeking to raise capital is required by the Securities Act to use an intermediary, such as a broker, to solicit investors. This requirement stems from an effort to sell securities to investors, for whom such an investment is suitable, in a fair and objective manner.


Prospective investors need to make informed decisions, understanding not only the potential rewards, but also the risks inherent in investing. The spirit and letter of the Securities Act is fulfilled when investors enter the private placement market and make informed decisions based on a fair, balanced and objective presentation of any investment opportunity.

LGA Capital endeavors to raise capital for its clients through application of its central focus on objective, critical and detailed analysis of any opportunity.