Author Archive
Brookville’s Service Offerings
Wealth Management
Brookville is a registered Broker Dealer offering traditional investment management activities. Brookville sponsors several alternative investment vehicles that focus on custom tailored mix of various equities, including private and small-cap public companies, and we intend to launch additional opportunities for qualified investors in conjunction with the over all expansion of our wealth management services division.
Our team is committed 10 working with you to achieve your investing objectives. Our commitment to our clients involves understanding your risk tolerance and your personal financial situation, and tailoring an investment strategy to your near-term and long-range goals.
We strive to exploit compelling investment opportunities and make every effort to preserve your capital during down markets. We provide investment analysis designed to meet your investment objectives. Each account statement details your investment position your strategic asset allocation.
Investment Banking
Brookville’s Investment Banking specializes in emerging growth companies with capital needs of $5 million to $25 million, We partner with our client companies to assist in planning and funding their business models to enhance shareholder value. Using our expertise in private and public financing, and our extensive network of investors, Brookville seeks to provide effective capital market solutions to help our corporate finance clients maximize their potential.
Brookville Investment Banking seeks to work with companies with new, viable technologies solid management teams and strong market growth potential. Our bankers have experience in many industries including, but not limited to, health care, technology, biotech and alternative energy.
Many of our clients are companies that are left on serviced by investment bank, have never raised capital before or consider them selves too small to be approached. We provide these companies with the opportunity to tap the capital markets in order to help them reach their potential growth goals.
Through our professional staff and” strategic partners, we have developed the resources to nurture and support growing public and private companies. In addition to assisting in raising debt and /or equity for proposed transactions, our comprehensive services include:
- Private Placements
- Corporate Advisory
- PIPE Transactions
- Alternative Public Offering
- Mergers and Acquisitions
- Bridge Financing
We are committed to long term relationships with our client companies that go beyond a single transaction. The firm’s corporate finance team works with management in assess the company’s business plan and prospects, and uses the information in design a financing arrangement that satisfies the needs of the company, and also provides our institutional and retail clients an attractive investment opportunity. For more information please Visit: www.brookvillecp.com
Privacy Policy Disclosure
This notice describes the Privacy Policy of BROOKVILLE CAPITAL PARTNERS LLC (“BCP”) regarding how BCP handles and protects personal information that it collects about individuals who are prospective, current, or former clients.
Maintaining your privacy is of utmost importance to BCP.
Personal Information
In the normal course of providing you with brokerage services, BCP collects your personal information, as necessary, to provide you with such services. This information includes:
- Personal information, which may consist of name(s}, address, social security number or tax identification number, phone number, occupation, net worth, income, personal investment(s) and other non-public personal information we receive from you on applications or other forms you complete
- Account information including account balances, positions and securities transactions.
- Information we received from a consumer reporting agency, such as your credit bureau reports and other information relating to your creditworthiness.
Safeguarding Personal information
BCP limits access to Personal information to those individuals who need to know that information in order to service your account. These individuals are required to maintain and protect the confidentiality of Personal Information. BCP maintains physical, electronic and procedural safeguards to project Personal information.
Sharing Personal information with Affiliates
BCP may share Personal information with its affiliates for business purposes, such as to facilitate the servicing of your account(s). In addition, Personal Information maintained in electronic files on BCP’s IT system may be backed-up or otherwise accessed by the IT Administrator.
Sharing Personal Information with Third Parties
BC? may share Personal information as described above with a non-affiliated third party if the entity is under contract to perform transaction processing or servicing on behalf of BCP, as instructed by you and as otherwise permitted by law. Any such contract entered into by BCP will include provisions designed to ensure that the third party will uphold and maintain privacy standards when handling Personal Information. BCP may also disclose Personal Information to regulatory authorities as required by applicable law.
Except as described in this Privacy Notice, BCP will not use Personal information for any other purpose unless BCP describes how such Personal information wilt be used and your prior written consent is obtained.
If you have any questions or concerns about your Personal Information or this Privacy Notice, please contact us at (516) 349-0306. For more information please Visit: www.brookvillecp.com
Brookville Capital Partners Acting as a Strong and Reliable Intermediarv in the World of Public as well as Private Fundraising
Brookville Capital Partners is a registered and accredited boutique investment bank, wealth management firm, and broker dealer, assisting corporate clients and high net worth individual’s with their financial goals in greater New York area. As a prominent middle-market broker dealer, Brookville specializes in emerging growth companies with capital needs of $5 million dollars.
The firm serves investors who choose to trade frequently with its head quarters in Long Island, NY. The firm uses state-of-the art technology and a team of highly qualified professionals to provide its clients with suitable investing and funding opportunities. Brookville Capital Partners has years of private equity market experience and an in-depth understanding of the latest financial instruments.
Brookville Capital Partners acts as an intermediary in the world of fundraising. It assists entrepreneurs, private companies, or institutional investors who are willing and capable of investing. Brookville makes every effort to match clients in need of funds with willing and accredited investors to assist them in meeting their financial goals.
As a registered Broker Dealer, Brookville Capital Partners offers traditional investment accounts. The firm seeks to assist individual situations in selective trading ideas. It considers its clients’ financial situation and the amount of risk involved on the market in each investment and accordingly formulates short term financial strategies to assist in their investment decision.
Plus, Brookville Capital Partners makes every effort in raising funds for small and mid-size companies; it is a premium source of seeking capital for your business. Well established companies naturally attract the interest of investment professionals looking for big growth opportunities. However, in case of smaller companies they need to display their fund growth potential to potential investors and require necessary resources for raising funds. In such a scenario, Brookville Capital Partners seeks to help its corporate clients build sound management teams and robust market growth potential through its expertise in private as well as public financing
The firm provides bridge financing, private placements, corporate advisory, and consulting related servers-to mergers and acquisitions candidates. Brookville Capital Partners aims to be a full service firm with a personal touch. Brookville Capital Partners gives personal attention to each client’s financial situations and views them as a promising opportunity.
Brookville works directly with its clients to help build successful business models to enhance their potential opportunities. Brookville strives to build a long-lasting relationship of trust and mutual co-operation with its clients for greater opportunities and growth. For more information please Visit: www.brookvillecp.com
Brookville Capital Partners Help Companies that are not Publicly Traded on a Stock Exchange Raise Capital
Brookville Capital Partners serves its private equity clients across the Greater New York area. The firm has many years of private equity experience and an in-depth understanding of the latest financial securities. As a boutique investment broker dealer, Brookville Capital Partners uses state-of-the art technology and a team of highly qualified professionals to provide its clients with trading opportunities.
Brookville Capital Partners makes every effort to assist capable investors in making trading decisions. The firm maintains a team of highly competent and experienced professionals who make every effort to take advantage of volatile moves in the market. Plus, Brookville Capital Partners provides its investors with timely guidance and investment strategies. In fact, the firm provides constant superior service to maintain its clients’ accounts.
Brookville Capital Partners is focused on bringing a level of sophistication and experience to the fundraising process. Brookville Capital Partners assists entrepreneurs, private companies, or institutional investors who are willing and capable of investing in investment opportunities. The firm’s representatives work in close association with each individual client to help them choose the trading strategy that fits their needs.
Brookville Capital Partners nurtures and supports growing public and private companies. It assists companies in raising debt and equity capital through Brookville Capital Partners. Besides securities, Brookville offers comprehensive-services including:
- Private Placements
- Corporate Advisory
- PIPE Transactions
- Alternative Public Offerings
- Bridge Financing
New private equity funds are based on investors’ trust and commitments, so the need of an authentic investment banking firm is crucial in this field. In fact, the role of a private placement agent is indispensable for fundraising in today’s competitive market environment, fluctuation economic conditions, and the fast advancement of media and technology.
Brookville Capital Partners is registered with the U.S Securities and Exchange Commission’s also; Brookville holds membership in the Financial Industry Regulatory Authority, Inc. (FINRA) and Securities Investor Protection Corporation (SIPC). The firm has the required legal affiliations and memberships for helping companies and individuals raise capital. For more information please Visit: www.brookvillecp.com
Appendix A Business Continuity Plan Summary
Brookville Capital Partners LLC has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.
Contacting Us- If after a significant business disruption you cannot contact us as you usually do at the office where your account is domiciled, you should call our alternative number 888-391-4727 or go to our web site at www.ncfgi.com. If you cannot access us through either of those means, you should contact our clearing firm, Legent Clearing, at 402-384-6100 or go their web site at www.legentclearing.com for instructions on how it may provide prompt access to your funds and securities, enter orders and process other trade-related, cash, and security transfer transactions for your account(s).
Our Business Continuity Plan — We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.
Our business continuity plan addresses: data back up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.
Our clearing firm, Legent Clearing, backs up our important records in a geographically separate area. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by Legent Clearing that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments within four (4) hours. Your orders and requests for funds and securities could be delayed during this period.
Varying Disruptions — Significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within four (4) hours. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and recover and resume business within four (4) hours. In either situation, we plan to continue in business, transfer operations to our clearing firm if necessary, and notify you through our web site at www.brookvillecp.com or our customer emergency number, 888 391-4727. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customer’s prompt access to their funds and securities.
For more information — If you have questions about our business continuity planning, you can contact us at 516-349-0300 or by e-mail at inquiries@brookvillecp.com
