wholesale micro & small cap
Exclusive 708 wholesale investor offers
If you qualify as a wholesale investor, Lynx Advisors can offer access to a broader range of micro and small cap investment opportunities otherwise unavailable to the public.
If you are unable to qualify as a wholesale investor, you can still benefit from our vast access to Initial Public Offerings (IPOs) as a retail investor.
Wholesale investors typically have more advanced skills and experience investing in financial markets and can make financial decisions with less information.
Sections 708 8, 10 and 11 of the Corporations Act 2001 define these investors as Sophisticated, Experienced and Professional. To qualify, individuals or entities are required to meet certain criteria as explained in the section below.
Examples of wholesale investment opportunities include placements in listed companies or capital raisings in unlisted companies such as Pre-IPO or seed capital financings.
Whether it’s a retail or wholesale offer, our professional advisors thoroughly vet and hand select what they feel are some of the best corporate offerings for our investors.
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Investor benefits
How do I qualify as a wholesale investor?
At Lynx Advisors, we qualify our clients under either 708 section 8, 10 or 11 of the Corporation Act. Your qualification will largely depend on your income, net assets and/or experience in the equity markets.
Section 708 8 sophisticated investor qualification
To qualify as a sophisticated investor, an individual, or a company or trust controlled by an individual, needs to meet either these two requirements:
- Net assets of at least A$2.5 million or,
- A gross income of at least A$250,000 p.a for the two most recent consecutive tax years
A qualified accountant’s certificate is also required. This must be no older than 6 months before an offer is made to you and is valid for 2 years from the date on the certificate.
Section 708 10 experienced investor qualification
For Lynx Advisors to be satisfied you qualify as an experienced investor, we must be confident you have previous financial markets and investment experience and are able to assess the following:
- Offer merit
- Offer risks
- Valuation of the securities
- Your information needs
- Adequacy of the information given to you
Section 708 11 professional investor qualification
Professional investors are required to meet the following criteria before they can be approved to invest in wholesale offers:
- Hold an Australian Financial Services License (AFSL) or,
- Control gross assets of at least A$10 million (including any assets held by an associate or under a trust managed by the person)
Examples of professional investors are ultra high net worth individuals, fund managers, family offices, private equity and venture capital firms.
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