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Home / Glossary / Capital introduction

Capital introduction

Connecting fund managers and private issuers with prospective investors. The introducer creates access; it does not solicit investments, negotiate terms, or close allocations.

Capital introduction — Connecting fund managers and private issuers with prospective investors. The introducer creates access; it does not solicit investments, negotiate terms, or close allocations.

The term covers a spectrum of activity from a single warm introduction to an ongoing relationship-building program, and is delivered through three structurally different models — prime brokerage, independent firms, and increasingly software platforms — each priced and positioned differently.

Frequently asked questions

Is capital introduction regulated?
The activity itself sits in a grey area of US securities law depending on exactly what is done and how it's paid for — see broker-dealer rules and finders for the full picture.
Who provides capital introduction?
Prime brokers, independent introduction firms, placement agents as part of a broader engagement, and a newer category of AI-matching software platforms.

Nothing on this page is legal, tax, or investment advice. SeRuM is not a registered broker-dealer, not a placement agent, and not an investment adviser.

Next step

Tell us what you're raising.

Entity type, target size, timeline. That's enough for us to tell you quickly whether we can help — and to say so plainly if we can't.