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WHAT WE DO
ABOUT US
- FORM CRS
KNOWLEDGE BASE

Evaluating Issuers

Articles

“Due Diligence” and Investments: What Do I Really Need to Know?
5 Elements of Private Investing: A Guide for Evaluating Investment Opportunities
A Clearer Path to Private Investing: Carofin’s Unique Approach to Evaluating Issuers
Are they ready to scale?
Blue Sky Laws: History and Application to Private Investments
Care Is In The Details – The Career Path of AZZLY’s Founder and CEO, Coletta Dorado
Carofin’s Due Diligence Checklist
Customers, or a lack thereof
Defaults: being reasonable can be rational
Due Diligence for Private Business Investment Opportunities
Evaluating Companies: 7 Key Questions for Direct Private Investments
Flying High, Commercial Aircraft Parts Distributor Nails Safe Landing for Investment Returns Despite Turbulence
Getting the ‘Why’ When Making a Private Investment
Has the entrepreneur (you funded) ever tangled with the competition?
How realistic is your sales pipeline?
Identify a Market Opportunity (1st principles of investing)
If you’re going to sell something, you ought to have something to sell.
Is this the entrepreneur’s first rodeo?
Lessons from a Pro Player Turned Entrepreneur
Liars Aren’t Trustworthy — Surprise!
Lies, Damned Lies, and Spreadsheets: A History of Financial Calculations
New Product + Market Disruption = One Tough Investment Decision
One Person Can’t Do It All
Overcome a Challenge (1st Principles of Investing)
Painting Shoes and Private Debt
Provide a Solution (1st principles of investing)
Red Flags in Due Diligence
Regulation D, Rule 506(b) Private Placements
Regulation D, Rule 506(c) Private Placements
The SEC: Its Role with Private Equity and Private Finance
Understanding the Viability of Investment Opportunities
Venture investing succeeds when the entrepreneur knows its customer
What are the Essential Components of a Good Deal
What do Aristotle, Charles Munger, and Thomas Edison have in common?
What is a Balance Sheet?
What is a Broker-Dealer?
What Securities Laws and Regulations Govern Private Placements?

White Papers

3 Tracks — Preparing yourself for Private Investing
Beauty Products — Why Investing Makes Sense
Evaluating Venture Investments
Five Elements of Private Investing
Investing in Private Debt
Primary Investment Considerations
Seven Key Questions for Evaluating a Private Company
The Lane
What’s a Good Deal?

Videos

Are distribution channels and a sales pipeline in place?
Do they have a product yet?
Do they have customers yet?
Is a quality management team in place?
Is the business ready to scale?
Is this a “sustaining” or “disruptive” technology?
Is this the entrepreneur’s first start-up?
What is the competition?
What motivates a customer to buy the product?

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CORE WHITE PAPERS

3 Tracks – Preparing Yourself for Private Investing
Private Investing the “Right” Way
Five Elements of Private Investing
Seven Key Questions for Evaluating a Private Company
Understanding Private Securities

Videos

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Investment Terms

In the interest of accessibility, here are some terms that any savvy investor should be familiar with.

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PRIVATE PLACEMENTS ARE HIGH RISK AND ILLIQUID INVESTMENTS. AS WITH OTHER INVESTMENTS, YOU CAN LOSE SOME OR ALL OF YOUR INVESTMENT.

Securities offered through Carofin, LLC. Carofin, LLC and Carolina Financial Securities, LLC are affiliated Broker-Dealers, Members of FINRA/SIPC, and subsidiaries of Carolina Financial Group, LLC. For more information on the services we offer and details associated with such services, please see our Customer Relationship Summary.

This site is published for residents of the United States only. Representatives may only conduct business with residents of the states and jurisdictions in which they are properly registered. Therefore, a response to a request for information may be delayed until appropriate registration is obtained or exemption from registration is determined. Not all services referenced on this site are available in every state and through every advisor listed. For additional information, please contact Craig Gilmore at 828.393.0088 x 520 and/or cgilmore@carofin.com

The information contained herein is for informational purposes only and is not intended for further distribution. The information does not constitute a complete description of any investment or investment performance. This webpage is in no way a solicitation nor is it an offer to sell securities nor is it advice or recommendation regarding any investment. The information is not directed to any person who is not believed to qualify under the definition of an Accredited Investor under the rules of Regulation D of the 1933 Securities and Exchange Act. No security listed on this webpage or otherwise offered through Carofin, LLC may be purchased without prior receipt of a complete Private Placement Memorandum or other official offers of sale.

Carolina Financial Securities and Carofin only offer one type of alternative investment, those sold as private placements. Nothing on this website should be interpreted to state or imply that past results are an indication of future performance nor should it be interpreted that FINRA, the SEC or any other securities regulator approves of any of these securities. Additionally, there are no warranties expressed or implied as to accuracy, completeness, or results obtained from any information provided on this website. Investing in private securities transactions bears risk, in part due to the following factors: there is no secondary market for the securities; there is credit risk; where there is collateral as security for the investment, its value may be impaired if it is sold.

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