October 2023
Linqto Capital LLC (“Linqto Capital”) is registered with the Securities and Exchange Commission (“SEC”) as a broker-dealer and is also a member of FINRA, and SIPC. Brokerage and investment advisory services and fees differ, and it is important for the retail investor to understand the differences. Free and simple tools are available to research firms and financial professionals at Investor.gov/CRS, which also provides educational materials about broker-dealers, investment advisers, and investing.
Linqto Capital is affiliated with Linqto through common ownership and control via Linqto, Inc.(“Linqto”)
All recommendations regarding your brokerage account will be made in a broker-dealer capacity, When we make a recommendation to you, we will expressly tell you orally which account we are discussing.
We offer private placements to “accredited investors” and “institutional investors” only. We do not offer all types of securities, but limit investment recommendations to private placements. Other security products or brokerage services may be more suitable for you.
We do not offer all types of securities, but limit investment choices to private placements and units of Special Purpose Vehicles (“SPV”) Most SPV units have a minimum investment amount which is typically $10,000, but the minimum investment amount can vary by issuer and placement. Investment minimums may be waived and will be listed in the private placement memorandum (“PPM”) or similar offering documents such as an operating agreement for SPV units. We may also assist an investor with SPV unit and/or private placements questions for completing accredited and non-accredited investors accounts through an investor portal. You make the ultimate decision regarding the purchase or sale of investments.
It is your responsibility to monitor your SPV units and/or private placement investments, and we encourage you to do so regularly. We do not commit to provide on-going monitoring of your SPV units and/or private placement investments. Additional information about our services are available through the portal disclosure documents.
When considering our services, ask your financial professional:
You will pay certain fees (commissions and sales concessions) in connection with investing in a private placement when available. The applicable fees will vary from offering to offering such as trading within the firm’s Alternative Trading System (“ATS”). That said, there are no management fees, organizational/operating expense reimbursement and profit participation/carried interest fees.
Where these fees apply, the more transactions you enter into, the more compensation that we receive. This compensation creates an incentive for us to encourage you to invest in SPV units and/or private placement, when selected. Commissions are charged when a transaction occurs. You will be charged more the more transactions you do with our Firm, and we, therefore, have an incentive to encourage you to invest in SPV unit and/or a private placements.
Transaction-based fees are based on a host of factors, including, but not limited to: issuer and the type of offering participated in, size of your transaction and/or overall value of your investment, frequency of your private placement/SPV unit investments, and available discounts and/or fee waivers in the form of Linqto Bucks, for example.
You will pay fees whether you make or lose money on your investments. Fees may reduce any amount of money you make on your investments over time. Please make sure you understand what fees you are paying.
Additional information about our fees are available on our Disclosure Document and in the PPM/Operating Document or similar offering document.
When considering our services, ask your financial professional:
Wedonotmakeanydirectrecommendations, at the same time, the way we make money creates some conflicts with your interests. You should understand and ask us about these conflicts because they can affect the investments and investment advice we may provide you. Here are some examples to help you understand what this means.
Linqto Capital has a conflict of interest through our financial arrangements between us, our clients and third parties, where applicable. For example, we have entered into marketing agreements with certain third-party investment managers. By introducing a manager to a client, who ends up investing with the manager, we may receive fees based off investment advisory management fees.
When considering our services, ask your financial professional:
Additional information about our conflicts of interest are available on our Disclosure Brochure and your Customer Agreement.
Financial professionals are compensated by salary and bonus, if elected by the firm to offer that compensation based upon firm performance. As commissions are based on a number of factors. certain products pay higher commission rates than others.. Employee bonuses may be paid based on the overall profitability of Linqto Inc and Linqto Capital.
You can visit Investor.gov/CRS for a free and simple search tool to research us and our financial professionals.
When considering our services, ask your financial professional:
Additional information, including our most recent Relationship Summary, is available by calling Linqto Capital at (646) 595-1711 to request up-to-date information and a copy of the Relationship Summary.
When considering our services, ask your financial professional: