We provide assistance at all stages of the capital raising and business development progression. There are 5 stages of business growth, each with different funding and resource profiles:

Stage 1 – Pre-Seed – This is usually done on the proverbial “smell of an oily rag”, with founders scrabbling funds from whatever personal resources they can muster.

Stage 2 – Seed & Establishment – This is the first time the company goes outside to raise capital, usually smaller amounts (around $500,000 is typical). At this stage the business is young and the concept yet to be proven on any scale. Quite often this round of funding enables acquisition of intellectual property, for hiring key personnel and to put in place the basic infrastructure needed to roll out the business plan.

Stage 3 – Development & Venture Funding – Once the business model has been proven, companies wishing to rapidly expand on their early efforts require additional funding to grow into their potential. This stage is typically $1m to $3m

Stage 4 – Expansion & Pre-Exit – This is the stage where larger capital raisings occur. Here the company is strong, proven and ready to ramp up on a national or global scale. Venture Capital or Private Equity funds are typically seeking involvement with these types of enterprises.

Stage 5 – The Exit/Liquidity Event – This occurs when the business and management are proven. It will typically involve either an IPO for ASX listing or a negotiated trade sale.

Capital raising in Australia is strictly regulated under the Federal Corporations Act. The intention is to protect investors, and for this reason, most approaches to investors require expensive and comprehensive prospectuses registered with the Australian Securities and Investments Commission (ASIC), the government regulator.

Section 708 of the Corporations Act allows small fund raising without the need to register a prospectus. Funds raised are limited to $2m and the offer cannot be marketed. Further, only a small number of investors can participate (there is a limit of 20 personal offers within any 12 month period).

Class Order 02/273 allows certain exemptions to the provisions of Section 708 to Business Introduction or Matching Services. Transition Capital generally operates under this area of the law, allowing capital raisings of up to $5m, and certain restrictions on advertising via subscription-based publications or web sites such as this.

As an ASSOB Sponsor we are also able to utilise the advantages of the ASSOB marketing channel and secondary market for securities post capital raising. Go to www.assob.com.au for more information.

Operating within this framework gives our clients a more effective capital raising process, which is both faster and more secure (full compliance and less risk of breaching Corporations law).

Because of the risky nature of equity finance, and because most private offerings sell only a minority share, investors require substantial upside on their investment to compensate for the higher risk inherent in these opportunities.

For an initial free consultation to discuss your needs, please make an appointment on 0407 193 699 or email This e-mail address is being protected from spambots. You need JavaScript enabled to view it

Please complete the following form to secure an appointment (in person in Perth WA, or by skype elsewhere).