TME 22 | Finders, Fines & Felonies: What the SEC Really Thinks of Your Capital Raising Strategy

06/11/2025 49 min Episodio 365
TME 22 | Finders, Fines & Felonies: What the SEC Really Thinks of Your Capital Raising Strategy

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Episode Synopsis

He began his career in corporate tech after earning an Electrical Engineering degree and MBA, later transitioning into real estate and oil & gas investing. Today, he focuses on pre-drilled oil & gas wells that offer higher cash flow and strong tax advantages. Leveraging his analytical background, he approaches underwriting and due diligence with precision, emphasizing operator performance, deal transparency, and long-term stability. In capital raising, he leads with honesty, investor education, and relationship-building, using LinkedIn and personal networks to expand his reach. He believes in pitching only deals he’d personally invest in, diversifying across asset classes, and addressing risks head-on. Grounded in core values of integrity, health, and balance, he continues to grow his ventures strategically while enjoying the personal freedom his investments provide.
 
Bullet Point Highlights:
- Continuity First: Investors care most about what happens if something happens to you, have a plan for continuity before asking for money.
- Database Building: Don’t rely on one investor; build relationships with many smaller ones to create a long-term investor base.
- Masterminds & Mentors: Coaching and masterminds can accelerate success, but only if mentors actually made their money in what they teach.
- Integration Rule Updates: 506(b) and 506(c) offerings can now be run simultaneously if you follow each rule properly; 30-day gap still avoids integration issues.
- Finder Regulation Watch: SEC considering allowing “finders” to register and charge limited fees, broker-dealers are pushing back hard.
- Accredited Investor Redefinition: Possible introduction of an investor “test”; retirement funds may be removed from net-worth calculations, cutting accredited households from 19% to ~12%.
-Constant Learning: Even industry veterans like Gene are still “going back to school” to keep up with evolving laws.
- Gene’s Parallel Universe: Never had a W-2 job, would still be coaching or mentoring clients, always teaching others to grow.
- 401(k) Access: New proposals may open 401(k)s to alternative investments, huge for capital formation, but risky for administrators.
Links from the Show and Guest Info and Links:
Seth Bradley’s Links:
https://x.com/sethbradleyesq
https://www.youtube.com/@sethbradleyesq
www.facebook.com/sethbradleyesq
https://www.threads.com/@sethbradleyesq
https://www.instagram.com/sethbradleyesq/
https://www.linkedin.com/in/sethbradleyesq
https://passiveincomeattorney.com/seth-bradley/
https://www.biggerpockets.com/users/sethbradleyesq
https://medium.com/@sethbradleyesq
https://www.tiktok.com/@sethbradleyesq?lang=en
Gene Trowbrindge’s Links:
https://www.instagram.com/gene_trowbridge_not_retired/
https://x.com/TrowbridgeGene
https://www.facebook.com/trowbridgelawgroup/?utm_
https://www.linkedin.com/company/trowbridge-law-group-llp/?utm_
https://x.com/law_trowbridge