How to Invest with IPO Solutions

This Risk Statement enclosed must be read and accepted before opening a new account and is included in the "open account" process.

Steps Involved

The steps for opening an IPO Solutions account are as follows:

  1. Open a new account by following the steps in our OPEN ACCOUNT tab on the navigation bar. Once you have completed this process, please print, sign and mail to the address provided. You may also fax your completed paperwork to the number provided at the bottom of the page. You will be notified by email once your account has been approved.
  2. You must fund your account with a minimum of $10,000.00. However, in order to indicate for larger share allocations, you must have sufficient funds available in your account. You can fund your account by wire transfer or check. Please keep in mind that your account will not be officially approved until funds have cleared.
  3. Once your account is approved, you can proceed to the CURRENT OFFERINGS tab on the navigation bar to view those offerings that are currently available for indications of interest.
  4. After confirming that you have read the prospectus, by checking the appropriate box, you may submit an "Indication of Interest" for that offering. REMEMBER, you must have adequate funds available in your account for us to accept and maintain your "Indication of Interest". You will be able to change your "Indication of Interest" at any time prior to, and before the offering becomes effective. We will notify you by email that we have received your changed "Indication of Interest".
  5. We will send you an email confirmation of the number of shares that you have been allocated once we have determined your allocation, if any. Generally, this will occur after the offering is effective and before the offering can be traded. Please keep in mind that you might not receive any allocation of shares for any offering.
  6. Generally, the shares will begin trading the day after the effective date. You are free to sell your shares at any time. We strongly encourage our customers not to "flip" their shares, as our allocation model is designed to "score" accounts based on factors such as how quickly they indicate interest, the size of their order, how many offerings they participate in, how long they hold a given offering, and whether they buy additional shares in the aftermarket.


Our allocation process is designed to allocate shares to investors in a fair manner. In the event there are not enough shares to meet demand, we will allocate shares and can use our proprietary software to assist us in this process, to clients based on how they rank versus other clients using the following factors:

  1. The date and time that a client gives us an "Indication of Interest".
  2. The size of your "Indication of Interest".
  3. Participation in our offerings, ranked by the number of offerings in which you have participated and the number of shares purchased in each offering.
  4. Length of holding period, longer is better, ranked by sale date if shares are sold or transferred.
  5. Open market share purchases of offerings and holding period.

All offerings are processed through a registered securities broker/dealer. The IPO Solutions registered broker/dealer license is currently pending.
Accounts and assets are held by Southwest Securities, Inc. a member NYSE, FINRA and SIPC.