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