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NPM Securities, LLC (“NPMS”) is a member of FINRA/SIPC and a wholly-owned subsidiary of Nasdaq Private Market, LLC (“NPM”). NPMS operates an SEC-registered alternative trading system (“ATS”) and acts as (i) agent on behalf of customers in facilitating primary and secondary transactions in unregistered securities of private companies (“private company security”) (ii) placement agent for accredited investors to purchase interests in affiliated and unaffiliated private funds, and (iii) paying and settlement agent for issuers and buyers and sellers in secondary transactions.
SecondMarket Financial, LLC (“SMF”) is an SEC-registered investment adviser and a wholly-owned subsidiary of NPM. SMF provides investment advice on a discretionary basis to investment vehicles, including pooled investment vehicles that are offered to investors on a private placement basis (“private funds”). SMF also offers referral services to an unaffiliated investment adviser for individuals who receive cash proceeds from the sale of a private company security.
NFSTX, LLC (“NFSTX”) is a member of FINRA/SIPC and a wholly-owned subsidiary of NPM. NFSTX operates an SEC-registered ATS and acts as intermediary to facilitate secondary transactions in private funds and other pooled investment vehicles.
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NASDAQ PRIVATE MARKET and NPM are registered trademarks of Nasdaq, Inc. and are used by Nasdaq Private Market under license.
Cumulative totals reflect statistics since NPM’s inception and include activity through NPMS and NFSTX, an affiliated broker-dealer.
NPM Investor Services are available only to “Accredited Investors” as defined by the U.S. Securities and Exchange Commission.
NPM and its affiliates do not provide tax, legal, investment or accounting advice. This material has been prepared for informational purposes only and is not intended to constitute tax, legal, investment or accounting advice. You should consult your own tax, legal, investment and accounting advisors before making any transaction.
