SYSTEM AND METHOD FOR THE CREATION AND SALE OF SEC-COMPLIANT INVESTMENT VEHICLES

• US 20130124432A1
• Filed: 11/02/2012
• Published: 05/16/2013
• Est. Priority Date: 11/02/2011
• Status: Abandoned Application

• Current Assignee: Mariner Ventures
• Original Assignee: Mariner Ventures
• Inventors: Thibodeau, Robert J.
• Application Number:
  US13/667,464
• Publication Number:
  US 20130124432A1
• Time in Patent Office: Days
• US Class Current: 705/36.R
• CPC Class Codes: G06Q 40/06 Asset management; Financial planning or analysis

Abstract

A system and method are disclosed for raising financing in accordance with SEC and other regulatory requirements by an early stage company. Initially, a draft business plan is presented to collaborators, on a company'"'"'s Internet website, and interested potential collaborators of the company are allowed to collaborate and assist in the development and refinement of the business plan, invite other prospective collaborators likewise to collaborate on the plans development. At such point as the business plan receives enough such indications of positive interest from collaborators, the company may elect to package the business plan elements into a securities offering as may be determined suitable by the company based on the number, qualifications, and geographic locations of collaborators who have indicated a willingness and a desire to invest in the company which they have helped to create.

Claims

1. A method for the creation and sale of an SEC-compliant investment vehicle comprising:

receiving, from an entrepreneur, an entrepreneurial concept for an entity;

creating and refining a business plan for the entity via collaboration among a group of collaborators; and

then creating a security to raise financing for the entity.

2. The method of claim 1, further including broadcasting a request to potentially interested parties to collaborate in the further development of the concept to form a pool of collaborators.

3. The method of claim 2, wherein the request is broadcast via a social network.

4. The method of claim 1, further including receiving indicia of sentiments expressed by the collaborators, to assist in determining when the entrepreneurial concept progresses from a collaboration environment to a review environment, and when the entrepreneurial concept goes from the review environment to the step of creating the security.

5. The method of claim 4, wherein the entrepreneurial concept is matched to a corresponding best available underwriting option

6. The method of claim 1, wherein the interest of potential investors in the investment vehicle is tallied to determine whether to create the security.

7. The method of claim 1, further including:

registering, by at least one entrepreneur, with a centralized database, at least one project concept;

sending an invitation by said entrepreneur to at least one other person to collaborate in the development of a business based on the concept;

wherein the collaborating of said person occurs with the entrepreneur in the development of a plan for said business.

8. The method of claim 1, wherein each of the collaborators becomes a ‘

knowledgeable collaborator’

at such time as there is a sufficient and significant relationship between the entrepreneur and a particular collaborator, wherein said knowledgeable collaborator is a de facto knowledgeable company insider.

9. The method of claim 1, wherein the security is created only after there is a sufficient and significant relationship between the entrepreneur and all participating said collaborators.

10. The method of claim 8, wherein said sufficient and significant relationship is established as a result of the collaborator having provided required investor account information, having answered one or more investor suitability questionnaires, and having collaborated with the entrepreneur through indications thereof including one or more of (a) having read and understood the documents, (b) having provided comments on the entrepreneurial concept, and (c) having provided suggested edits.