Tessera's Platform Partner program is the solution for small- to mid-sized third party marketers, placement agents, & wholesalers that are overwhelmed by regulatory compliance


Key Points:

  • Today's regulatory environment places a significant burden on the resources of small-to mid-sized third party marketers, placement agents, and wholesalers.
     
  • Running a solo regulatory platform has significant costs, both financial and opportunity.
     
  • Tessera's Platform Partners program enables investment management firms to focus on what they do best: research investments, raise assets, and manage investment portfolios
     
  • Each relationship is flexible and adapts to the specific requirements of each partner
     
  • The Platform Partner program enables firms to work with other managers in our network if they wish; leveraging their expertise with a certain product, distribution channel, or geographic territory

The Smart Way to Fulfill Your Regulatory Compliance Activities

Many smaller third party marketers, placement agents, wholesalers and other limited purpose firms find themselves crushed by the stringent regulatory and compliance requirements that characterize today's financial services industry.

As a registered broker-dealer, Tessera Capital has extensive experience managing these activities on our own behalf, as well as for our clients. The Platform Partners program allows members to leverage our experience on their behalf.

The Platform Partners Program provides:

  • All required back office regulatory infrastructure
  • Contractual/legal resources
  • Due diligence support on products and sponsors
  • Annual continuing education training and resources
  • Regulatory and Blue Sky registration
  • Supervision over all representative activities
  • Accounting and billing as it relates to asset raising activities

How It Works

Each relationship within the Platform Partners program is flexible, scalable, and adaptable. The program is designed to offer partners options as it relates to how the relationship is structured.

For example, Partners may:

  • function largely independent of the program, sourcing their own investment opportunities and managing clients accordingly
     
  • take advantage of offerings or services sourced by Tessera
     
  • choose to partner with others in the Platform Partners program; leveraging their expertise with specific products, distribution channels, or geographically territory.

Participation structures can be made based on mandate-specific basis; in other words, our Partners are not locked into working in a specific manner.

The Tessera Platform Partners program ultimately strengthens the capital-raising industry via cooperation, collaboration, and communication among its members


Practical Approach to Compliance 

Tessera considers the needs of our Platform Partners, offering advice and insight on how best to manage compliance and regulatory-related activities.

Seamless transition

Tessera works to ensure the on-boarding of new Partners is a smooth process. The on-boarding process has been refined over the course of many years, and requires only the relevant information and data from new Partners.

How long does on-boarding take?

The on-boarding process will vary, depending on the number of representatives, offices and manager agreements new Partners are bringing to the platform. We operate under the belief that sooner is better than later, so we strive to expedite the process as much as possible.   

Coast to Coast Operations

With offices in New York and California, Tessera’s Platform Partners program is collaborative and comprehensive, based on finely tuned protocols for due diligence, compliance and operations.

Representatives and offices are assigned based on their proximity to Tessera’s offices.

Check out Tessera's Current Platform Partners


Are You a Good Candidate for the Platform Partner Program?

Do you have:

  • Solid industry experience
  • Success in raising assets for securities and advisory services
  • Principled and professional approach
  • Open mindedness
  • Collaborative, curious, and trust-worthy individuals
  • An understanding of the importance of compliance
  • A partnership-based business culture

Want to learn more about the Platform Partners Program?
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