Arcview Capital, LLC, a FINRA-member broker-dealer and registered with the S.E.C. in the same capacity, has a business limited to private placements on behalf of issuers primarily in the cannabis, and related , industries. Arcview does not engage in general retail brokerage activities. Arcview is not an investment advisor.
Clients should be aware that free and simple tools are available to research firms and financial professionals at Investor .gov /CRS, which also provides educational materials about broker-dealers, investment advisers, and investing. You can also access Arcview ‘s website 1 at www .arcviewca12ital.com for additional information and guidance.
What investment services and advice can you provide me?
Arcview’s business with respect to retail customers is limited to placing private placement interests with various qualified investors, such as individual accredited investors and non-accredited but otherwise qualified individuals, and, for qualified smaller investors, access our Crowd Funding platform . Arcview does not: (i) monitor retail investors’ investments; (ii) does not open or hold investors’ accounts ; (iii) does not accept or hold investors’ money; and (iv) does not buy or sell any securities either on its own behalf or on behalf of any client. Arcview does not offer any other product other than private placement interests. Arcview does not have account minimums, though there may be minimum investment amounts for certain private placements. Each potential private placement will state whether and how much any minimum investment is required.
For additional information about Arcview’s services, please go to www.arcviewcapital.com
You should ask your salesperson one or more of the following questions to shed more light on your relationship with Arcview: (i) “Given my financial situation, should I choose a brokerage service? Why or why not?”; (ii) “How will you choose investments to recommend to me?”; (iii) “What is your relevant experience, including your licenses, education and other qualifications? What do these qualifications mean?”
What fees will I pay?
As an investor in a private placement offered by us, you will not pay any direct compensation to Arcview. Rather , Arcview receives a percentage of the amount of money raised by the issuers of the private placement interests . Thus , a portion of your investment in an issuer will be received by Arcview as a fee. The following example will illustrate:
Assume that ABC Corp. wants to raise $100,000for working capital purposes. You decide to invest $10,000 in that placement . ABC Corp. ‘sfee arrangement with Arcview is to pay it 7% of the total amount it raised as a fee . This means that $700 of your $10,000 investment will be paid by ABC Corp. to Arcview as a fee, but your investment in ABC Corp. will be credited for the full $10,000.
For investors who participate in our Crowd Funding platform , you my pay additional fees beyond those covered by the issuer’s fee to Arcview . Details may be obtained from Arcview upon request.
You will not pay additional or ongoing fees for any particular transaction. However , you should understand that you will indirectly pay the fee outlined above whether you make or lose money on your investments.
You should ask your sales person the following questions , among others, to shed more light on the fees you will pay to Arcview: (i) “Help me understand how these fees and costs might affect my investments . If I give you $10,000 to invest , how much will go to fees and costs, and how much will be invested for me?” ; (ii) “Ifl invest through your Crowd Funding platform, what fees would I pay beyond those paid by the issuer to Arcview?”
III (B). What are your legal obligations to me when providing recommendations?
How else does your firm make money and what conflicts of interest do you have?
Generally, Arcview does not provide recommendations on a particular investment. Arcview will present opportunities to invest in private placements it has evaluated. We ask that each potential investor rely on his or her own advisors before making an investment decision . Nonetheless , the way we make money creates some conflicts with your interests. You should understand and ask us about these conflicts because they can affect the services that we provide to you. Here are some examples to help you understand what this means.
Example 1: If ABC Corp. is seeking to raise $100,000 in capital, and Arcview receives a fee only if it is successful in helping raise the entire amount, then we may present this investment to you in order to raise the entire amount sought by ABC Corp. In this instance , Arcview ‘s interests are, in part, to complete the raise to receive its fee .
Example 2: XYZ Corp. would like to raise money in order to buy a rival company . Arcview will receive a fee only if it is able to raise funds sufficient to allow XYZ’s purchase to go through. We therefore may present such an investment to you, but you need to understand that if you invest, you are, in part, furthering Arcview ‘s interest in ultimately receiving its fee.
Example 3: A senior officer of Arcview has an equity interest in Green House LLC. Green House has also sought out Arcview ‘s help to raise funds to create a new product line. If successful, Green House anticipates improving its revenues drastically . In this case, the conflict is between the officer of Arcview, who stands to benefit if it is successful in getting Green House the money it needs, and your interests as an investor in evaluating an investment for yourself.
“How might your conflicts of interest affect me, and how will you address them?”
For additional information about Arcview’s services, fees, and the potential conflicts of interest that may arise, please go to www.arcviewcapital.com
III (C). How do your financial professionals make money?
Our financial professionals are compensated in one of two ways: (i) if they are employees, they receive a combination of salary, annual bonus, and/or a percentage of the sales concession Arcview receives from completed transactions; or (ii) if they are a contractor, through a percentage of the sales concession from any deals . Arcview does not execute client trades, open, monitor, or maintain client accounts, and does hold client funds. Thus, our financial professionals’ compensation is derived only from the sources we have described in this section .
The potential conflict with your interests created by professionals’ compensation arrangements is the same as it is with Arcview: because the financial professionals receive a percentage of the total fee received if they complete the transaction, any transaction presented to you will, in part, involve potential compensation to the sales person to whom you are speaking.
IV. Do your financial professionals have legal disciplinary history?
You should ask the following question, among others: “As a financial professional, do you have any disciplinary history? For what type of conduct?”
For additional information about potential disciplinary history, please visit: Investor .gov/CRS for a free and simple search tool to research your financial professionals background.
IV. Additional Information Available to You.
For additional information about Arcview’s brokerage services, and/or to request the most up-to-date copy of this summary form, please visit our website: www.arcviewcapital.com or emailing email@example.com to request a copy of the latest form be emailed or mailed to you.
You should ask your sales person the following questions, among others, to shed more light on contacts and complaints: “Who is my primary contact person? Are they a representative of the broker-dealer? Who can I speak to ifl have concerns about how this person is treating me?”