Execution
The R3i DealDesk works on complex private transactions in frontier technology and strategic assets.
We focus on situations in which execution is constrained by more than price: fragmented ownership, transfer restrictions, regulatory perimeter, incomplete evidence, complex capital structures or unusual transaction pathways.
01 · Objective
It is to establish whether the transaction is executable.
Inventory is originated at source and screened at the gate. Broker chains, stacked fees and unverified counterparties do not pass.
02 · Scope
Founder, employee, early-investor and strategic shareholder liquidity.
Capital formation where conventional venture or growth financing does not adequately fit the asset, stage or investor base.
Transactions requiring bespoke legal, economic or ownership architecture.
03 · The gate
| Asset | What exactly is being bought, sold or financed? |
|---|---|
| Title | Who legally owns it? |
| Authority | Who has the right to transact? |
| Transferability | What restrictions apply? |
| Counterparty | Who can legally and practically participate? |
| Economics | Does the transaction remain rational after friction? |
| Regulation | Which entity and regulated pathway must be used? |
| Settlement | Can the transaction actually close? |
Only then does the transaction move forward. The questions are recorded through Clearance, and the answer is a stated outcome rather than a general impression.
04 · R3i's role
Depending on the mandate, R3i may act as originator, principal, structuring party or strategic adviser.
Where an activity requires regulated securities execution, that activity is conducted through an appropriately registered provider. Securities transactions with U.S. persons are effected under the chaperoning of Finalis Securities LLC (SEC File No. 8-70425; CRD No. 305908), member FINRA/SIPC. R3i Inc is not a registered broker-dealer.
The specific role, conflicts and economics are documented by mandate. Fee arrangements are disclosed in priority order rather than layered silently, and Investment Committee members recuse themselves from decisions in which they hold a personal or related-party interest.
05 · Confidentiality
Mandate documentation is held by counsel and made available to qualified counterparties under non-disclosure agreement, following KYC and compliance clearance. A risk-based AML/KYC policy applies across all entities and is a precondition of access to the desk.
Mandate names are disclosed to qualified counterparties under confidentiality. They are not published.