Understanding the Retail Channel
Dive into our Retail Readiness™ educational videos designed to help you learn the industry terminology and provide context for conversations you are having to find trusted partners.
Why Third-Party Due Diligence Matters
Independent Broker-Dealers vs RIAs
What Is a Due Diligence Officer?
What Is an Escrow Account?
What Is a Transfer Agent – and Do I Need One?
How Should a New Sponsor Structure Their Capital Markets Team?
What is a Selling Syndicate?
Why You Need a Securities Attorney with Retail Channel Experience.
Technology Requirements for Sponsors.
What’s the Difference Between FINRA and the SEC?
What is a Managing Broker-Dealer (MBD)?
Webinars That Inspire Growth
At Sponsor Growth Solutions™, our webinars are more than just presentations — they’re dynamic learning experiences designed to spark ideas, build confidence, and drive results. Each session brings together industry experts to discuss topics relevant to new sponsors and provide real-world insight they can apply right away.
Join us live or watch on demand!
Informational Resources
GLOSSARY
What It Takes: Team, Costs,
and Considerations for a
Retail Capital Raise
Advisor Profiling Guide
Guidance, strategy, and inspiration
—straight from CEO & Founder, Heidi Wheatley.
Heidi brings a wealth of knowledge and experience to every session. With her passion for helping others succeed, she offers insight into topics and strategies that truly make a difference.