Red Rock Securities Law Inc.

What Red Rock Securities Law Inc. does

Red Rock Securities Law Inc. is a boutique Arizona-licensed Alternative Business Structure law firm that specializes in preparing SEC exempt securities offerings under Regulation A+, Regulation CF, and Regulation D for small and medium-sized companies, entrepreneurs, private funds, and real-estate and other issuers seeking to raise capital. The firm traces its history to 1999 when Douglas Ruark founded Regulation D Resources Enterprises Inc., converted to Red Rock Securities Law Inc. in 2023, and reports over 5,500 offerings prepared since inception, supported by an A+ Better Business Bureau rating. Its core service set comprises flat-fee securities offering preparation (Form 1-A, Form C, Form D filings, PPMs), entity formation and governance work, and corporate counsel, with operations in Golden, Colorado (headquarters) and Mesa, Arizona.

The firm's differentiator is the integration of these legal services with proprietary investor portal technology built and maintained by its affiliate Red Rock Investor Technology Inc. The Rails-based Investor Raise Portal — now on build v3, with over 380 portals deployed since 2015 — provides issuer clients with custom investor engagement pages, subscription processing with accredited-investor verification, cap table and investor relations tooling, transfer-agent connectivity, and built-in CRM and compliance workflows. The technology and legal offerings are sold under a flat-fee engagement model, with affiliated broker dealers providing approximately 3% commission distribution (versus 6-8% plus equity on crowdfunding platforms) through an ecosystem of over 800 FINRA broker dealers.

The firm targets horizontal segmentation across diverse verticals (real estate, financial services, technology and SaaS, AI, healthcare, life sciences, manufacturing, consumer products, energy, transportation, media and entertainment) with a primarily domestic U.S. footprint. Go-to-market combines educational content marketing (blog, YouTube, email newsletter, webinars), social media, partner referrals from the broker-dealer ecosystem, and a website-driven discovery-call scheduling system. No outside funding has been disclosed; revenue is not publicly reported.

Name

Red Rock Securities Law Inc.

Legal name

Red Rock Securities Law Inc.

Website

https://redrocksecuritieslaw.com

Company type

Private

Founded year

1999

Operating status

Operating

Headcount range

1–10 employees

Short description

Red Rock Securities Law Inc. is a boutique Arizona Alternative Business Structure law firm providing flat-fee SEC exempt securities offering preparation (Regulation A+, Reg CF, Reg D) for small and mid-sized companies, entrepreneurs, and private funds, integrated with proprietary investor portal technology from affiliate Red Rock Investor Technology Inc.

Ownership category

akta.pro rank

Product category

Securities Law Services

NAICS

Offices of Lawyers (541110), All Other Legal Services (541199)

SIC

Services-Legal Services (8111)

akta.pro primary industry

Mergers & Acquisitions (M&A) & Securities Law (BPAHAAAI)

Keywords

• Securities offering preparation
• Regulation D compliance
• Regulation A+ services
• Regulation CF crowdfunding
• Investor portal technology

Headquarters

HQ city

Golden

HQ country

United States

HQ region

North America

Offices2 records

Markets served

GTM type

B2B

Offering type

Services

Cost components

Personnel, Operations, Technology or R&D, Marketing or Sales, Others

Revenue model

1. Securities Offering Preparation Legal Services: Flat fee legal services for SEC Regulation A, Regulation CF, and Regulation D securities offering preparation, including document drafting, SEC filings, entity formation, and governance documents.
2. Custom Investor Web Portal Build Services: Through affiliate Red Rock Investor Technology Inc., the firm provides custom investor web portal builds for administering securities offerings, including engagement pages, subscription processing, investor relations, and CRM tools.
3. Broker-Dealer Intermediary Services: Introduction to FINRA broker dealers for Reg CF intermediary services, Reg A administrative broker dealer services, and Reg D distribution. Red Rock's affiliated broker dealers charge approximately 3% commission with no equity requirement.

Pricing tiers

Go-to-market motion2 records

Distribution channels2 records

Marketing channels7 records

Core offering

Red Rock Securities Law Inc. is a boutique Alternative Business Structure law firm that prepares SEC Regulation A+, Regulation CF, and Regulation D exempt securities offerings on a flat-fee basis, including offering document drafting, SEC filings (Form C, Form 1-A, Form D), entity formation, and governance documentation. The firm pairs its legal practice with custom investor web portals built by affiliate Red Rock Investor Technology Inc. that administer the raise with investor engagement pages, subscription processing, accredited investor verification, cap table management, and ongoing investor relations functionality.

Product overview

Red Rock Securities Law Inc. is a boutique Arizona Alternative Business Structure law firm offering integrated securities offering preparation legal services and proprietary investor portal technology. The core offering consists of three SEC exempt securities offering preparation services: Regulation A+ (up to $75M annually), Regulation D (unlimited raise), and Regulation CF (up to $5M annually). These legal services are delivered alongside or integrated with the proprietary Investor Raise Portal platform developed by affiliate Red Rock Investor Technology Inc., which provides custom-built web portals for investor engagement, subscription processing, cap table management, and ongoing investor relations administration. The product portfolio includes the core legal service offerings, the Investor Raise Portal technology platform, and specific portal features including Custom Engagement Page Websites, Subscription Processing Management, and Cap Table & Investor Relations Management. A notable differentiator is the 'Direct Issuance' Regulation CF option that combines SEC offering preparation, FINRA broker-dealer access, and custom portal build under a flat fee engagement.

Differentiator

Problem solved

Functional benefit

Brands

• Red Rock Investor Technology: Affiliate technology company providing custom Investor Raise Portal development for Regulation D, Regulation CF, and Regulation A offerings

Products and services

• Regulation A+ Offering Preparation SEC Regulation A securities offering preparation legal services enabling issuers to raise up to $75 million annually through Tier 2 offerings with public solicitation capabilities and access to both accredited and non-accredited investors.
• Regulation D Offering Preparation SEC Regulation D private placement offering preparation services under Rules 504, 506(b), and 506(c), allowing unlimited raise amounts with streamlined compliance compared to public offerings.
• Regulation CF Offering Preparation SEC Regulation Crowdfunding offering preparation enabling issuers to raise up to $5 million annually with access to both accredited and non-accredited retail investors through general solicitation.
• Investor Raise Portal Custom-built investor web portal developed by affiliate Red Rock Investor Technology Inc. that administers securities offerings, providing investor engagement, subscription processing, cap table management, and compliance tracking for Regulation D, Regulation CF, and Regulation A offerings.
• Corporate Legal Services Comprehensive securities-focused corporate legal services including entity formation, governance documents, fund formation, and ongoing corporate counsel for capital-raising clients.

Quantifiable outcome

• Over 5,500 securities offerings prepared since 1999
• +4 more outcomes

Named customers9 records

Segments3 records

Ideal customer profiles2 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Feature7 records

Partnerships

Six partnerships are on record, tiered core and minor.

• Red Rock Investor Technology Inc.coreTechnology or IntegrationRed Rock Investor Technology Inc. is the technology affiliate of Red Rock Securities Law, providing custom investor raise portal builds exclusively for Red Rock Securities Law clients. The two companies operate as an integrated model combining securities legal services with purpose-built investor portal technology. The affiliate develops and maintains the Investor Raise Portal software (Rails-based) used for Reg D, Reg CF, and Reg A offerings.
• FINRA Broker-Dealer NetworkcoreChannel Partner/ Reseller/ DistributorA network of over 800 FINRA broker dealers that serve as retail distributors and/or administrative broker-dealers for securities offerings prepared by Red Rock Securities Law. Broker dealers serve as intermediary for Reg CF offerings (required), administrative broker dealers for Reg A offerings, and retail distribution partners for Reg D offerings.
• KoreConX Inc.minorGTM or Marketing PartnerKoreConX is listed as a global ecosystem partner of Red Rock Securities Law. KoreConX is a securities and compliance technology company. Oscar A Jofre, co-founder and CEO of KoreConX Inc., has provided a testimonial endorsement of Red Rock Securities Law's services.
• Transfer Agent VendorsminorOthersThe firm maintains vendor relationships with transfer agents for Reg A and Reg CF offerings. Investor portals have direct integration to leading transfer agents enabling real-time synchronization of investor data and cap table records.
• Escrow CompaniesminorOthersIndustry-leading vendor relationships include escrow companies as part of the broker-dealer ecosystem for managing investor funds during securities offerings.
• Audit FirmsminorOthersThe firm maintains vendor relationships with audit companies as part of its industry-leading ecosystem of transfer agents, broker dealers, and escrow vendors.

Scale indicators6 records

Recent moves6 records

Expansion highlights6 records

Others

• KoreConX: Securities and compliance technology company providing an end-to-end ecosystem for private market issuers, including cap-table, transfer-agent, and investor verification tooling. Comparable because it is a publicly listed ecosystem partner of Red Rock (per their testimonial) and provides overlapping investor-management technology for exempt offerings.
• CrowdCheck: Due diligence and compliance services firm supporting Reg CF and Reg A issuers with disclosure review, financial statement analysis, and ongoing reporting. Comparable because it operates in the same exempt-offering value chain and serves overlapping issuer and platform clients.

Broad incumbents

• Republic: Multi-product private investment platform offering Reg CF and Reg A+ offerings to retail and accredited investors. Comparable because it competes for the same SMB/exempt-offering issuer client base and increasingly bundles legal and administrative services.
• DLA Piper: Global law firm with a large securities and capital markets practice covering Reg D, Reg A, and Reg CF offerings. Comparable as a broad incumbent that competes for the upper end of the same exempt-offering market, though it typically serves larger and more institutional issuers than Red Rock's SMB focus.
• Wefunder: Reg CF crowdfunding platform that helps SMB issuers raise capital online. Comparable to Red Rock because it serves the same Reg CF issuer base, though it distributes via its own portal rather than through a legal-plus-broker-dealer model.
• SeedInvest: Reg CF and Reg D private placement platform serving venture-stage issuers with selective due diligence and investor matching. Comparable because it operates in the same exempt-offering ecosystem and increasingly competes for the same Reg CF issuer pool.
• StartEngine: Large Reg CF and Reg A+ crowdfunding platform that supports SMB issuers with integrated legal, escrow, and investor management tooling. Comparable to Red Rock as a one-stop alternative for issuers choosing between a portal-driven raise and a law-firm-driven raise.

Emerging players

• Issuance: Private securities issuance platform offering investor onboarding, document management, and cap-table tooling for exempt offerings. Comparable because it competes at the technology layer with parts of Red Rock's Investor Raise Portal offering for SMB issuers.
• Parallel Markets: Investor verification and private market infrastructure provider focused on accredited investor verification, KYC/AML, and cap-table workflows. Comparable because it offers a technology layer that competes with parts of Red Rock's Investor Raise Portal subscription verification functionality.
• Carofin: Private securities platform supporting SMB issuers in running exempt offerings (Reg D, Reg CF) with integrated investor management and broker-dealer relationships. Comparable as an emerging competitor blending technology with distribution for the same target issuer.

Market position

Strengths4 records

Weaknesses4 records

Competitive moat6 records

Key risks5 records

Key highlights6 records

Customer concentration

• Facebookfacebook.com/redrocksecuritieslaw
• LinkedInlinkedin.com/company/redrocksecuritieslawinc

Revenue estimate

Valuation estimate

Number of profiles

Profiles9 records

Subsidiaries1 record

Funding overview

Funding rounds

Investors

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A

Investments

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about Red Rock Securities Law Inc.