Underwriting due diligence reviews means the chips fall where they may…


Sell-Side Underwriting Due Diligence Services

Whether you believe it or not, when it comes to securities offerings (i.e., “capital raises”) people who understand investing and risk, also understand the people seeking the money may be stretching things a bit when it comes to disclosing the nature of the risks of a given transaction.  That’s where we come in – our sell-side underwriting due diligence program is designed to provide end-to-end confirmation of the key data points and risk issues, create risk mitigation plans and strategies, and provide a financial forecast that tests the key assumptions and market data points.  Does it guarantee anything?  No, but it is the peace-of-mind to rely upon when FINRA steps in for an audit or the prospective investor demands to know what is behind the curtain (and they all do because that is how they got to be successful investors).  Recent SEC rule changes provide a clear focus on SEC’s core mission of assuring the capital markets investors that due diligence is something to be taken seriously, as our capital markets depend upon reporting transparency.  Turn to RTMS and see a difference – not just in cost and time to get the assignment completed, but an over-arching approach centered on keeping the risk disclosure bus out of the ditch.


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