Item 1. Introduction
Fort Ghent Brokerage LLC is registered with the Securities and Exchange Commission (SEC) as a broker-dealer and is a member of the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC). Brokerage and investment advisory services and fees differ, and it is important for you to understand these 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.
Item 2. Relationships and Services
What investment services and advice can you provide me?
We are primarily a Private Placement Investment Banking broker-dealer. We provide capital raising assistance to our clients, primarily private companies and private funds. We introduce our clients to financial entities, family offices and pre-qualified accredited investors. We also provide financial advisory services and assistance on corporate matters and introduce prospective customers to an unaffiliated registered investment advisory firm. We do not sell securities directly to the public. Investments in Private Placements involve significant risks and are not suitable for many retail investors. We are not responsible for an investor’s final investment decision.
We refer our client’s Private Placement investment opportunities to pre-qualified investors. Private placement offerings include companies seeking to raise capital for expansion, Hedge funds, private equity/debt funds, joint ventures and unregistered pooled investments. We do not have a customer relationship with an investor solely by virtue of making an introduction.
We provide financial advice on capital raising efforts and assistance on corporate matters.
We introduce potential customers seeking investment advisory services to an unaffiliated registered investment Advisor.
We do not have any discretionary trading authority or provide any periodic monitoring of the performance of any investment.
We do not distribute any proprietary products.
Additional Information: Please call us for more detailed information about our broker-dealer services at 212 588-0580.
Conversation Starter • Ask your financial professional: Given my financial situation, should I choose a brokerage service? Why or why not?
Item 3. Fees, Costs, Conflicts and Standard of Conduct
What fees will I pay?
We do not charge investors any fees when we refer them to a Private Placement.
Each Private Placement has its own organizational, offering, operating, and administrative expenses. Investors in a Private Placement bear such expenses indirectly in proportion to their investments.
We will negotiate a compensation fee with institutional investors for referrals to select Private Placement investment opportunities.
When we provide financial advice and assistance on corporate matters, you may pay a retainer, incur fees for advice and pay expense reimbursements.
Description of Other Fees and Costs:
Additional Information: You will pay fees and costs whether you make or lose money on your investments. Fees and costs will reduce any amount of money you make on your investments over time. Please make sure you understand what fees and costs you are paying. Please refer to the applicable offering memorandum and any transaction-related documents for detailed fee and cost information.
Conversation Starter • Ask your financial professional: Help me understand how these fees and costs might affect my investments. If I give you $10,000 to invest, how much will go to fees and costs, and how much will be invested for me?
How else does your firm make money and what conflicts of interest do you have?
We do not provide recommendations. We expect that you will exercise independent judgment in making investment decisions. We cannot fully assess a qualified investor’s suitability and therefore are not necessarily acting in their best interest. 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 services, we provide you. Here are some examples to help you understand what this means.
When we act as a referral agent, the Private Placement offering pays us referral fees, a transaction-based compensation, for a qualified investor’s capital commitment. We benefit when you invest with our clients.
In securities transactions in which you participate, we typically represent the issuer and/or other applicable parties, who will have different interests than yours.
We may receive a portion of a Third-Party Fund’s management and performance fees.
When we make a successful introduction of a prospective customer to an unaffiliated registered investment advisory firm, we are paid a portion of the investment advisory fee.
When we provide financial advice or assistance on mergers, acquisitions, or other corporate matters we may negotiate fees, expense reimbursements and a retainer.
Conversation Starter • Ask your financial professional: How might your conflicts of interest affect me, and how will you address them?
How do your financial professionals make money?
Our team of Registered Representatives are paid commissions and fees linked to a capital commitment and/or the performance of a fund. When we are engaged in providing financial advice and assistance on corporate matters, our Registered Representatives may receive a retainer, negotiated fees plus expense reimbursements.
Item 4. Disciplinary History
Do you or your financial professionals have legal or disciplinary history?
Fort Ghent Brokerage, LLC does not have any disciplinary history, but some of our Registered Representatives do. Visit Investor.gov/CRS for a free and simple search tool to research us and our financial professionals.
Conversation Starter • Ask your financial professional: As a financial professional, do you have any disciplinary history? For what type of conduct?
Item 5. Additional Information
You can find additional information about our services, request up-to-date information or a copy of the relationship summary by calling us at 212 588-0580.
Conversation Starter • Ask your financial professional: Who is my primary contact person? Is he or she a representative of an investment adviser or a broker-dealer? Who can I talk to if I have concerns about how this person is treating me?
We are a broker-dealer rather than an investment advisory firm. If you have any concerns regarding the service that you receive, you can visit our website www.ftghent.com or contact us by email at firstname.lastname@example.org or email@example.com.