GUARDD
GUARDD operates a securities-compliance platform that helps private-company issuers achieve Blue Sky compliance in 43 states plus DC for secondary trading of exempt securities, publishing disclosure reports to the Mergent Manual. It serves Reg A+, Reg D 506(c), Reg CF, NFT/digital-asset, and fractionalized-asset issuers via a self-serve SaaS model.
- Company typePrivate
- Founded2020
- HeadquartersDenver, United States
- Headcount1–10
- GTM typeB2B
- OfferingSoftware
What GUARDD does
GUARDD (Guardd Inc.) is a Denver-based fintech company that operates a securities-compliance platform enabling private-company issuers to achieve Blue Sky compliance for the secondary trading of exempt securities. The platform collects more than 100 standardized data fields covering company details, financials, offering information, and security characteristics, then generates disclosure reports that are published in Mergent's nationally recognized securities manual, qualifying issuers for the Manual Exemption in 43 states plus the District of Columbia. Service modules include Rule 144 and Form 15C2-11 disclosure reporting, fractionalized venture debt compliance, and emerging tokenized-securities compliance supported by a proposed Qualified Disclosure Publisher (QDP) framework submitted to the SEC. Financial-statement integrity is anchored by an integration with the RIVIO Clearinghouse for audited data.
GUARDD serves issuers across multiple private-market verticals, including Regulation A+ offerings, Regulation D 506(c) restricted securities post-holding period, Regulation Crowdfunding issuers seeking liquidity after the one-year restriction, NFT and digital-asset issuers whose tokens are classified as securities, private-company shareholders, and owners of fractionalized assets. The company's commercial model is a self-serve product-led growth motion at app.guardd.com combined with inside-sales demos for enterprise engagements, monetized through recurring subscription disclosure-reporting and ongoing annual-renewal services, supplemented by professional services for state-specific filings (notably California and New York) and RIVIO integration work.
Distribution is anchored by channel partnerships with multiple Alternative Trading Systems, including PPEX (whose CEO is GUARDD co-founder Jim Dowd), and by a content-driven marketing strategy emphasizing white papers, demo videos, podcast appearances, and active engagement with the SEC, NASAA, and the CPA.com accelerator ecosystem. The founding team—Sherwood Neiss (CEO, co-author of the Crowdfunding Exemption Framework that became Title III of the JOBS Act), Douglas S. Ellenoff (securities attorney at Ellenoff Grossman & Schole LLP), and Jim Dowd (former Bear Stearns Senior Managing Director)—brings more than 80 years of combined experience in crowdfunding policy, corporate and securities law, and broker-dealer operations. The company has raised a single disclosed funding round: a December 2022 side-by-side Reg CF/Reg D offering on SeedInvest targeting up to $2 million at a $6 million pre-money valuation cap.
GUARDD firmographics
Firmographics- Name
- GUARDD
- Legal name
- Guardd Inc.
- Website
- https://guardd.com
- Company type
- Private
- Founded year
- 2020
- Operating status
- Operating
- Headcount range
- 1–10 employees
- Short description
- GUARDD operates a securities-compliance platform that helps private-company issuers achieve Blue Sky compliance in 43 states plus DC for secondary trading of exempt securities, publishing disclosure reports to the Mergent Manual. It serves Reg A+, Reg D 506(c), Reg CF, NFT/digital-asset, and fractionalized-asset issuers via a self-serve SaaS model.
- Ownership category
- akta.pro rank
GUARDD industry classification
Industry- Product category
- Securities Compliance Software
- SIC
- Security Brokers, Dealers & Flotation Companies (6211)
- akta.pro primary industry
- AML/Financial Crime for Securities (KYC, Sanctions, PEP) (FSACAJAE)
Keywords
Where GUARDD is headquartered
LocationHeadquarters
- HQ city
- Denver
- HQ country
- United States
- HQ region
- North America
Offices2 records
Markets served
GUARDD business model
Business model- GTM type
- B2B
- Offering type
- Software
- Cost components
- Personnel, Technology or R&D, Marketing or Sales, Operations, Infrastructure
Revenue model
- Disclosure Reporting Services: Platform generates compliant disclosure reports for issuers seeking Blue Sky compliance for secondary trading. Reports published in Mergent Manual enabling Manual Exemption in 43 states plus DC.
- Ongoing Disclosure Management: Manages ongoing reporting including material updates and annual renewals as required by the Manual Exemption.
- Financial Statement Integration Services: Integration with RIVIO Clearinghouse for audited financial data; professional services for Blue Sky compliance review and report preparation.
Pricing tiers
| Model | Billing | Price |
|---|---|---|
| Subscription | Monthly | Get Started - Self-service platform |
| Professional services/ project-based | Multi-year contract | Additional Filings - CA, NY, and other jurisdictions |
Go-to-market motion3 records
Distribution channels3 records
Marketing channels8 records
GUARDD product offering
Product offeringCore offering
GUARDD is a SaaS platform that enables private-company issuers to achieve Blue Sky compliance for the secondary trading of their exempt, unrestricted, unregistered securities. Issuers input company, financial, offering, and security data into 100+ standardized fields, and GUARDD produces a compliant disclosure report published in Mergent's nationally recognized securities manual to qualify for the Manual Exemption in 43 states plus DC. The platform also supports Rule 144 / Form 15C2-11 compliance, tokenized securities reporting, and fractionalized venture debt disclosures.
Product overview
GUARDD is a single, unified securities compliance platform designed specifically for secondary transfer disclosure. The core GUARDD Platform enables issuers to create compliant disclosure reports covering 100+ standardized data fields, which are then published to Mergent Manual to qualify for the Manual Exemption across 43 states. Additional modules include Rule 144/Form 15C2-11 Disclosure Reporting for private securities resale compliance, and Tokenized Securities Compliance for digital assets and blockchain-based securities. The platform supports multiple security types including Regulation A+, Regulation D 506(c), Regulation Crowdfunding, NFTs/digital assets, private company shares, and fractionalized securities.
Differentiator
Problem solved
Functional benefit
Products and services
- GUARDD Platform A secondary transfer disclosure compliance platform that enables private-company issuers to achieve Blue Sky compliance for secondary trading of their securities through the Manual Exemption in 43 states plus DC. Issuers enter company details, financials, offering information, and security characteristics once into 100+ standardized data fields, and GUARDD generates compliant disclosure reports that are published in the Mergent nationally recognized securities manual.
- Rule 144 / Form 15C2-11 Disclosure Reporting Compliance reporting services for Rule 144 (governing resale of restricted and control securities after the holding period) and Form 15C2-11 (requiring broker-dealers to review current issuer information before publishing quotations), enabling comprehensive disclosure for private companies seeking secondary market liquidity.
- Tokenized Securities Compliance Disclosure and compliance services supporting secondary trading of tokenized exempt securities, including publishing of token-specific data (contract address, blockchain network, transfer restrictions, audit status) alongside Rule 15c2-11(b) disclosures for blockchain-based securities.
- Fractionalized Venture Debt Compliance Compliance reporting service for fractionalized venture debt offerings and other fractionalized asset structures (real estate, art, collectibles) structured as securities, enabling ATS-enabled secondary trading with proper Blue Sky compliance.
Quantifiable outcome
- Blue Sky compliance coverage in 43 states + DC via Manual Exemption
- +2 more outcomes
Companies that use GUARDD
Customer profileNamed customers3 records
Segments7 records
Ideal customer profiles5 records
GUARDD technology and API
TechnologyTechnology focussed Yes
API detail
- Has API
- No
- API docs
- API detail
Core technology
AI maturity
App detail
Integration1 record
Feature5 records
GUARDD partnerships and signals
Strategic signalPartnerships
Seven partnerships are on record, tiered core and minor.
- DalmorecorePartnership with Dalmore and PPEX to offer compliant NFT securitization and trading solutions. Helps NFT issuers navigate the complex regulatory landscape while providing investors with proper protections amid SEC enforcement actions on digital assets.
- PPEXcorePPEX is an Alternative Trading System (ATS) partner enabling compliant secondary trading of private securities. Jim Dowd, GUARDD co-founder, is also CEO of PPEX ATS. The partnership facilitates private securities trading with Blue Sky compliance.
- AICPA / CPA.comminorSelected to participate in AICPA and CPA.com startup accelerator focused on accounting innovation. The accelerator provides mentorship, resources, and connections to help scale solutions in the financial services industry.
- Two ATS MarketplacescoreGUARDD announced two new partnerships with Alternative Trading Systems to enable private securities trading. These ATS partnerships are key to GUARDD's distribution strategy, allowing compliant secondary trading for non-accredited and accredited investors.
- MergentcoreGUARDD reports are published in Mergent's nationally recognized securities manual, qualifying issuers for the Manual Exemption in 43 states. Mergent is one of only two such manuals recognized for the exemption, making this a foundational partnership for GUARDD's core service offering.
- RIVIOcoreRIVIO Clearinghouse integration provides data integrity for audited financial statements. GUARDD can pull audited financials directly from RIVIO or accept uploads from issuers with audit reports. RIVIO/AICPA Data Integrity is a key trust indicator displayed on GUARDD's website.
- Crowdfund Capital AdvisorsminorCEO Sherwood Neiss co-founded Crowdfund Capital Advisors. The company architected CCLEAR, the only proprietary dataset tracking daily Reg CF transactions across every regulated platform covering 10,000+ offerings from 8,500+ private companies.
Scale indicators4 records
Recent moves6 records
Expansion highlights6 records
GUARDD competitors and assessment
Company assessmentDirect peers
- iDisclose: Securities disclosure and compliance platform serving exempt private offerings, chaired by GUARDD co-founder Douglas Ellenoff. Directly comparable to GUARDD in targeting issuer-side disclosure for Regulation D and related exemptions.
- Securitize: Tokenized-securities issuance, transfer agent, and compliance platform. Comparable to GUARDD's tokenized-securities disclosure module, with overlap on SEC-compliant secondary trading infrastructure for digital assets.
- tZERO: Blockchain-based alternative trading system for private and tokenized securities. Comparable to GUARDD's ATS partner ecosystem (PPEX) and shares the same compliance-driven thesis around secondary trading of exempt securities.
- Templum: Alternative trading system and regulatory technology provider for private and digital securities. Listed as a logo on GUARDD's website and operates in the same ATS + RegTech niche serving issuers seeking compliant secondary trading.
- Forge Global: Marketplace and trading platform for private company shares. Comparable as a venue for secondary liquidity in private securities, where GUARDD's Manual Exemption disclosures enable compliant trading.
- EquityZen: Secondary market platform for pre-IPO and late-stage private shares. Targets the same shareholder liquidity problem GUARDD addresses through compliant disclosure, with overlapping end customers (employees and early investors in private companies).
- SharesPost: Private company shares marketplace and ATS-adjacent platform. Comparable to GUARDD as a regulated venue for secondary private-securities trading that depends on compliant disclosure infrastructure.
Broad incumbents
- Carta: Dominant cap table management, valuations, and equity administration platform for private companies. Comparable as private-market infrastructure, with broader scope than GUARDD but an overlapping customer base of private issuers that may eventually need secondary-market compliance.
Emerging players
- InvestReady (formerlytruCrowd): RegTech platform focused on Reg CF and Reg D compliance and investor verification. Compares to GUARDD in addressing small-issuer securities compliance and secondary trading readiness for crowdfunded companies.
Others
- Dalmore Group: Broker-dealer specializing in digital asset and exempt securities offerings. Listed as a GUARDD partner for NFT securitization, making it an ecosystem participant rather than direct competitor but operating in the same compliant digital-securities value chain.
Market position
Competitive moat5 records
Key risks7 records
Key highlights7 records
Customer concentration
GUARDD social profiles
Digital presenceGUARDD financial estimates
Financial estimateRevenue estimate
Valuation estimate
GUARDD leadership team
Management profileNumber of profiles
Profiles3 records
GUARDD funding detail
Funding detailFunding overview
Funding rounds
Investors
Funding detail is available on the Subscription and Enterprise plan.Contact sales →
GUARDD M&A and investment
M&A and investmentM&A
Investments
M&A and investment is available on the Subscription and Enterprise plan.Contact sales →
Frequently asked questions about GUARDD
What does GUARDD do?
GUARDD is a SaaS platform that enables private-company issuers to achieve Blue Sky compliance for the secondary trading of their exempt, unrestricted, unregistered securities. Issuers input company, financial, offering, and security data into 100+ standardized fields, and GUARDD produces a compliant disclosure report published in Mergent's nationally recognized securities manual to qualify for the Manual Exemption in 43 states plus DC. The platform also supports Rule 144 / Form 15C2-11 compliance, tokenized securities reporting, and fractionalized venture debt disclosures.
Is GUARDD a public or private company?
GUARDD is a private company. It is classified as founder individual operated bootstrapped and is currently operating.
When was GUARDD founded?
GUARDD was founded in 2020. It employs 1 to 10 people.
Where is GUARDD based?
GUARDD is headquartered in Denver, United States, in the North America region.
How does GUARDD make money?
Three revenue lines are on record. Disclosure Reporting Services are the primary driver. The others are ongoing Disclosure Management and financial Statement Integration Services.
Who are GUARDD's main competitors?
Direct peers on record are iDisclose, Securitize, tZERO, Templum, Forge Global, EquityZen and SharesPost. Carta is listed as a broad incumbent. InvestReady (formerlytruCrowd) is listed as an emerging player. Dalmore Group is listed as an others.
Does GUARDD have an API?
No public API is recorded for GUARDD.
What industry is GUARDD in?
GUARDD's product category is Securities Compliance Software. Its primary akta.pro industry code is FSACAJAE, AML/Financial Crime for Securities (KYC, Sanctions, PEP). Its SIC code is 6211.