Understand the relationship first
Clarify the professional’s role, services, registration, fees and conflicts before moving into a specific transaction. Ask for written disclosures and time to read them.
- In what capacity are you acting for me?
- How are you and your firm paid?
- What conflicts or affiliations should I know about?
- Which services and responsibilities are included?
Then pressure-test the investment
Use the conversation to identify missing evidence and the next person best placed to provide it. Keep the conversation focused on your circumstances and the actual documents.
- What would I legally own?
- Who has independently verified the underlying position?
- What is the full cost, including markups and carry?
- What restrictions control a transfer or exit?
- What happens if the company never goes public?
- How does this affect my concentration and liquidity?
- Which alternatives should I compare?
- What evidence would make you decline this transaction?
Your research checklist
0 / 5 reviewedUse the original sources.
Check current documents before making a decision. SEC review and a regulatory filing are not endorsements of an investment. This guide provides general education, not advice about your circumstances.