01
Company licenses ATX
The issuer licenses Advisor Trade Ex to open a liquidity channel for eligible shareholders.
Shareholder & buyer workflow
Analyze company shares. Connect with counterparties.
Liquidity channels for CFA charterholders, advisor teams, companies, and shareholders.
Sell side
02
Authorized holders list interest
Approved holders publish share count, price, transfer status, and supporting materials.
03
Indications reach the tape
Listings move through the platform and FIX connectivity for participating firms.
Buy side
04
CFAs screen opportunities
CFA-led advisor teams compare valuation, mandate fit, liquidity profile, and documents.
05
Counterparties align
Participating firms match bids and offers on price, quantity, eligibility, and closing terms.
Settlement
06
Broker-dealers execute
Registered broker-dealers execute matched transactions through regulated channels.
07
Trade reporting follows rules
Covered trades are reported through required workflows as soon as practicable where applicable.
08
Escrow handles funds
Independent escrow providers coordinate funds, closing conditions, and settlement releases.
09
Transfer agent records change
The transfer agent updates ownership records after closing is complete.
How the pieces fit
ATX connects research, counterparties, execution, and settlement.
Advisor Trade Ex technology, licensed to public or private issuers, enables issuers and securities owners to present legally distributable offerings directly to permitted purchasers or through participating broker-dealers.
CFA-led teams can review issuer information, offering materials, valuation context, and trade eligibility before engaging counterparties. Independent escrow providers handle closing, and transfer agents record ownership changes.
Contact usWho is Advisor Trade Ex?
Research-led liquidity technology for CFA-grade diligence.
Advisor Trade Ex technology is licensed to public or private issuers to expand access to capital and liquidity for securities owners with limited access to conventional brokerage and trading channels.
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