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Investor-centric Platform for Intermediaries

Online private and public investment platform that provides a simple way to engage investors with a fully integrated offering process and brokerage account.

Features and Benefits

VIA Folio enables your investors to easily subscribe to private investments online. We offer investment portals, brokersinvestment bankers, and serial issuers distribution to Folio Investing customers and through advisors on the Folio Institutional platform.

Reduce your implementation cost and risk by leveraging our infrastructure and 15+ years of experience as a leading clearing, custody, and financial technology firm. We provide integrated services to more than 400 financial services firms with billions of dollars of investor assets.

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Get to Market Quickly
Get your business running and in front of potential investors quickly by automating manual activities and leveraging our scalable online platform for multiple offers.
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Customization
Post your offerings on our website (folioclient.com) or create a co-branded or private label version. You can event create your own website with our REST APIs.
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Convenient Online Investor Access
Flexible account funding and withdrawal options, views of transaction history, tax lot reporting, monthly statements and trade confirmations.
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Transfers and Trading
Easily transfer securities between account holders where allowed by law and approved by the issuer. We allow trading of listed securities in our accounts, including DTCC eligible Reg A+.
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Custody - Book Entry
Eliminate the inherent risk of paper certificates, maintain transfer restrictions automatically, and enjoy a single location for all shareholder records.
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Investor Protections
SIPC protection is provided on certain securities. FDIC insurance is provided on uninvested cash through our multi-bank sweep program.

Our Streamlined Process

With VIA Folio, you can easily post and distribute your offerings online, and rapidly gauge and act on prospective investors’ indications of interest.

Investors review your offers online, then subscribe and fund an online brokerage account that holds their investments. They may choose from an array of account types, including IRAs. Our technology makes it possible to distribute your offers with low minimum investments.

VIA Folio automatically conducts required investor checks, collects investor accreditations, and executes online offering closings.

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Feature Comparison

Compare VIA Folio's online service features with those of multi-firm services providers and the traditional check and application process.

  VIA Folio Multi-Firm Alternatives* Traditional Purchase*
Investor Evaluation Online Online Offline

Compliance
(KYC, AML, OFAC)

Online Online Offline
Subscribe Online Online Offline
Funding Check, wire, EFT or ACAT transfer Check, wire or EFT Check or wire
Closing Automated exchange of shares and cash Bank escrow and transfer agent Bank escrow and transfer agent
Custody Online brokerage account (book entry and street name) Transfer agent Issuer certificates
Brokerage Account Features Online private & public securities (confirmations, statements, etc.) Private securities are not held in an account Private securities are not held in an account
Trading & Transfers In brokerage account Transfer agent processes transfers Issuer processes transfers
Distributions
(capital, interest, dividends)
Deposited directly into account Transfer agent mails check(s) Issuer mails check(s)
Voting & Corporate Actions In brokerage account Transfer agent mails proxies and materials Issuer mails proxies and materials
IRAs In brokerage account Separate IRA custodian and pricing Separate IRA custodian and pricing
Taxes Online 1099s Transfer agent may provide Issuer may provide
Investor Protection SIPC coverage on account** FDIC insured cash sweep program No SIPC coverage; FDIC insured bank escrow No SIPC coverage; FDIC insured bank escrow
Offer Website Hosted by Folio or API Hosted or API Not widely available
Offer Distribution Online Folio Investing & RIA customers; B/D syndicate(s) Online B/D syndicates Offline B/D syndicates

* Multi-Firm Alternatives are firms that use a transfer agent and bank escrow to close offers. Traditional Purchase refers to a check, paper application, and escrow closing process that does not involve a transfer agent. Neither Multi-Firm Alternatives or Traditional Purchase use a clearing broker/dealer as of 9/26/2016.
** SIPC coverage on an account is subject to exclusions for certain types of securities.