Free VC Directory
With any B-Plan Purchase
425 Page Capital Directory
Through Nov. 30

Business Plan Writer
$425 Flat Rate
No Templates Used
7 Day Turnaround

All Purchased Plans

Are Updated for 2020

Business Startup Guides
Checkout our new sister site!

Free VC Directory

With any B-Plan Purchase
425 Page Capital Directory
Through Nov. 30

Business Plan Writer
$425 Flat Rate
No Templates Used
7 Day Turnaround

All Purchased Plans
Are Updated for 2020

Business Startup Guides
Checkout our new sister site!

Free Private Placement Broker Business Plan
For Raising Capital from Investors, Banks, or Grant Companies!

Please note that the financials in this complete free business plan are completely fictitious and may not match the text of the business plan below. This free business plan demonstration purposes only. If you are interested in purchasing the completed editable MS Word and Excel documents for this business plan, please click the button below! Also, the text of the business plan is formatted with a fully automated table of contents.

Return to Samples Page

It should be noted that there is no special software required to use these templates. All business plans come in Microsoft Word and Microsoft Excel format. Each business plan features:

  • Excecutive Summary
  • Company and Financing Summary
  • Products and Services Overview
  • Strategic Analysis with current research!
  • Marketing Plan
  • Personnel Plan
  • 3 Year Advanced Financial Plan
  • Expanded Financial Plan with Monthly Financials
  • Loan Amortization and ROI Tools
  • FREE PowerPoint Presentation for Banks, Investors, or Grant Companies!

1.0 Executive Summary

The purpose of this business plan is to raise $100,000 for the development of a private placement brokerage while showcasing the expected financials and operations over the next three years. Private Placement Broker, Inc. (“the Company”) is a New York based corporation that will provide brokering of private placements and drafting of private placement memorandums to entrepreneurs in its targeted market. The Company was founded by John Doe.

1.1 Products and Services

The Private Placement Broker’s primary revenue center will come from the ongoing placement of private funds for businesses within the State of New York. On each successful transaction, the Company will earn a fee equal to 8% to 10% of the total amount of capital raised. The business will also earn ancillary revenues from the drafting of private placement memorandums that are used in conjunction with the private capital raising process. The third section of the business plan will further describe the services offered by the Private Placement Broker, Inc.

1.2 The Financing

Mr. Doe is seeking to raise $100,000 from as a private investment. The business is seeking to sell a 45% interest in the business in exchange for the requisite capital sought in this business plan. The investor will also receive a seat on the board of directors and a regular stream of dividends.

1.3 Mission Statement

The Private Placement Broker’s mission is to provide clients with access to private capital that they need to develop their businesses while concurrently remaining within the letter of the law regarding SEC rules and state securities laws.

1.4 Mangement Team

The Company was founded by John Doe. Mr. Doe has more than 10 years of experience in the investment banking and capital raising industry. Through his expertise, he will be able to bring the operations of the business to profitability within its first year of operations.

1.5 Sales Forecasts

Mr. Doe expects a strong rate of growth at the start of operations. Below are the expected financials over the next three years.

1.6 Expansion Plan

The Founder expects that the business will aggressively expand during the first three years of operation. Mr. Doe intends to implement marketing campaigns that will effectively target businesses that are seeking capital, investment banks, and other private placement brokers within the target market.

2.0 Company and Financing Summary

2.1 Registered Name and Corporate Structure

Private Placement Broker, Inc. The Company is registered as a corporation in the State of New York.

2.2 Required Funds

At this time, the Private Placement Broker requires $100,000 of debt funds. Below is a breakdown of how these funds will be used:

2.3 Investor Equity

Mr. Doe is seeking to sell a 45% equity interest in the business in exchange for the capital required in order to launch the operations of the Private Placement Broker.

2.4 Management Equity

John Doe owns 100% of the Private Placement Broker, Inc. This capital structure will change once the requisite capital has been raised.

2.5 Exit Strategy

If the business is very successful, Mr. Doe may seek to sell the business to a third party for a significant earnings multiple. Most likely, the Company will hire a qualified investment bank to sell the business on behalf of the Private Placement Broker. Based on historical numbers, the business could fetch a sales premium of up to 4 times earnings.

3.0 Products and Services

Below is a description of the private placement services offered by the Private Placement Broker.

3.1 Private Placement Brokering

As stated in the executive summary, the primary revenues for the business will come from raising capital on behalf of businesses and entrepreneurs via private placement memorandums. The business will generate substantial fees on each dollar successfully raised for clients. For instance, if the business raises $10 million for a business then the Private Placement Broker will earn fees equal to $800,000 to $1,000,000 for raising the capital. The business will employ a number of principals and analysts to assist in this process.

3.2 Private Placement Memorandum Drafting

The secondary revenue center comes from the drafting of private placement memorandums that are used as the legal agreement between an investor and a business when raising capital. The business will file these forms with the Securities and Exchange Commission as well as state based securities bureaus. For each PPM drafted, the business will earn $1,000 to $5,000.

4.0 Strategic and Market Analysis

4.1 Economic Outlook

This section of the analysis will detail the economic climate, the Private Placement Broker industry, the customer profile, and the competition that the business will face as it progresses through its business operations. At this time, the economy is coming out of its recession. The job market has improved, and businesses are beginning to make investments into expansion. As such, the demand among companies that are seeking capital to expand its immense. The business will be able to easily place capital for its clients among institutional investors despite the current difficulties in the economy.

4.2 Industry Analysis

Within the United States, there are approximately 1,500 firms that specialize in investment banking with a specific focus on raising capital through private placements. Each year, these businesses generate $2 billion of revenue while employing 20,000 people. In each of the last five years, annual payrolls have remained steady at 50% of aggregate receipts. This is primarily due to the fact that raising capital is a heavily human resources intensive process. This is a mature industry, and the expected future growth rate is expected to remain in line with the United States economy in general.

4.3 Customer Profile

The Private Placement Broker’s average client will be a company that is seeking to raise startup or expansion capital.In this section of the analysis, you should describe the type of customer you are seeking to acquire. These traits include income size, type of business/occupation; how far away from your business is to your customer, and what the customer is looking for. In this section, you can also put demographic information about your target market including population size, income demographics, level of education, etc.

4.4 Competitive Analysis

This is one of the sections of the business plan that you must write completely on your own. The key to writing a strong competitive analysis is that you do your research on the local competition. Find out who your competitors are by searching online directories and searching in your local Yellow Pages. If there are a number of competitors in the same industry (meaning that it is not feasible to describe each one) then showcase the number of businesses that compete with you, and why your business will provide customers with service/products that are of better quality or less expensive than your competition.

5.0 Marketing Plan

The Private Placement Broker intends to maintain an extensive marketing campaign that will ensure maximum visibility for the business in its targeted market. Below is an overview of the marketing strategies and objectives of the Private Placement Broker.

5.1 Marketing Objectives

  • • Establish relationships with area investment banks, other private placement brokers, and private investors.

  • • Develop a broad range website that showcases the licensure and private placement brokering services offered by the business.

  • • Maintain a strong database of investors that can provide financing for clients.

5.2 Marketing Strategies

Management intends on using a number of strategies that will bring the attention of entrepreneurs seeking capital to the Private Placement Broker’s website as well as offices within the greater New York metropolitan area. Foremost, as many people now use the internet when beginning their capital search, the Private Placement Broker will develop an expansive website that showcases the operations of the business, fees associated with raising capital through a private placement memorandum, and the licensure required in order to operate this type of firm. The Company will regularly establish contacts within the investment banking industry in order to successfully have sources of capital from which the business can raise money for its clients. Mr. Doe and other key members of the Private Placement Broker staff will attend industry investments, conferences, and other gatherings of people within the financial professional industry.

5.3 Pricing

In this section, describe the pricing of your services and products. You should provide as much information as possible about your pricing as possible in this section. However, if you have hundreds of items, condense your product list categorically. This section of the business plan should not span more than 1 page.

6.0 Organizational Plan and Personnel Summary

6.1 Corporate Organization

6.2 Organizational Budget

6.3 Management Biographies

In this section of the business plan, you should write a two to four paragraph biography about your work experience, your education, and your skill set. For each owner or key employee, you should provide a brief biography in this section.

7.0 Financial Plan

7.1 Underlying Assumptions

  • • The Private Placement Broker will have an annual revenue growth rate of 16% per year.

  • • Management will acquire $100,000 of investor funds to launch the operations of the Private Placement broker.

  • • Management will settle most short term payables on a monthly basis.

7.2 Sensitivity Analysis

In the event of an economic downturn, the business may have a decline in its revenues. However, the business will earn highly recurring and highly predictable revenues from the ongoing drafting of private placement memorandums that will ensure that the Private Placement Broker is able to remain profitable and cash flow positive at all times.

7.3 Source of Funds

7.4 General Assumptions

7.5 Profit and Loss Statements 

7.6 Cash Flow Analysis


7.7 Balance Sheet


7.8 General Assumptions

7.9 Business Ratios

Expanded Profit and Loss Statements

Expanded Cash Flow Analysis