How the connection works
Registered representatives
Randy Humphreys, GCA's Founder, Managing Partner and CIO, holds FINRA Series 79, 24, 65, 63 and SIE registrations and is a licensed investment banker through Mallory.
Placement through Mallory
Brokerage activity, including acting as placement agent or selling broker-dealer for private offerings, introducing eligible investors, and processing subscriptions, is carried out through Mallory and subject to its supervision.
Registered channel only
Any placement compensation is paid only to a properly registered broker-dealer and its registered representatives, and is disclosed in the applicable offering documents.
Separation of roles
Advisory activity at GCA and broker-dealer activity at Mallory are kept distinct, and conflicts are disclosed.
Investor protections
Accredited investor verification, AML/KYC and suitability procedures are applied through the broker-dealer process on every subscription.
Services offered through Mallory
Private placements of Regulation D fund interests
Investment banking and capital raising advisory
Capital introduction and investor subscription facilitation
Mallory does not hold customer funds or securities and does not provide discretionary investment management.
About Our Partner
Mallory Capital Group
Mallory Capital Group is a well-established private placement agent that raises institutional and private capital for private companies and investment managers across a wide range of alternative strategies. Mallory Capital Group, LLC is an SEC registered broker-dealer and a member of FINRA and SIPC, and is a wholly owned subsidiary of Capital Engine Inc.
Securities offered through Mallory Capital Group, LLC, Member FINRA/SIPC. Investment advisory services offered through Glynn Capital Advisors, LLC, an SEC-registered investment adviser. GCA and Mallory are separate and independently registered firms.