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SEC & Corporate Disclosure


Our firm can assist your company with the financial advisory, analysis and preparation of Securities Exchange Commission (SEC) registration statements and filings, via forms:  S-1; S-3; S-4, Form 10; 10Q and 10K.


LDV will assist with the pre-planning process, project management, and preparation of SEC disclosure documents. Once a company is public, LDV will assist with compliance, SEC reporting requirements, including          forms 10-Q and 10-K, and with other securities filings relating to stock option plans, secondary offerings, proxy statements, insider trading reporting and all other SEC filings.


LDV will provide financial advisory, analysis and preparation of Private Placement Memorandums (PPM) pursuant to Regulation D of the Securities Act of 1933, including Rules 504, 505 and 506.  LDV will also render insight in advising companies on the most effective way to adhere to the new diligence requirements expected with private placement structures. 


Other financial advisory corporate services include:

  • Financial Advisory of Developing a Business Entity and Business Plan
  • Business Licensing Requirements (City, County, State and Federal)
  • Professional Regulation Licensing
  • Corporate Maintenance
  • Annual Report Guidance
  • Resolutions
  • Minutes
  • Reinstatement
  • Amendment
  • Name Change
  • Shareholder Change
  • Non-compete Advisory
  • Private Placement Securities Compliance
  • Forming a Fund
  • Securities Compliance
  • SEC Compliance
  • Audit Preparation
  • Blue Sky and Regulation D Rule 506 Compliance for Private Placement
  • Regulation D Rule 506 Offering
  • Regulation D Rule 504 Offering, SCOR Offering
  • EDGAR Filers (Executives and Investors)
  • Section 13 Compliance
  • Section 16 Compliance
  • Stock Plan
  • Stock Options
  • EDGAR Filers
  • Schedule 13D Filing
  • Schedule 13G Filing
  • Form 3
  • Form 4
  • Form 5


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Tel. (954) 746-3117  Fax: (954) 572-7988  e-mail


LDV Capital Management is listed with the state of Florida Office of Financial Regulation as a Registered Investment Advisor. This website does not provide investment advice, nor is it intended to be an offer to provide investment advisory services to individuals or entities. The information in this web-site is based on data gathered from what the Advisor believes are reliable sources. It is not guaranteed as to accuracy, and does not purport to be complete and is not intended as the primary basis for investment decisions. It should also not be construed as advice meeting the particular investment needs of any investor.