DPR AIBroker-dealer firewall
Compliance & legal — the broker-dealer firewall, honestly
DPR’s capital side is built around a simple rule: share useful information and never get paid for a financing outcome. This is a business summary, not legal advice.
01 · The rule
Introductions and information only
DPR may introduce founders and investors and share deal information. DPR does not negotiate terms, recommend securities, advise investors, handle orders, custody funds, or touch anyone’s money. Every deal page must make clear that scores and memos are information, not investment advice. This summary is not legal advice.
Allowed
- Warm introductions.
- Research, teardowns, and published scoring standards.
- Conflict labels on the deal page.
- Accredited-only private-placement posture.
Not allowed
- No term negotiation.
- No securities recommendations.
- No investor advice.
- No custody or handling of investor money.
02 · How the capital side earns
Flat recurring subscription, never a raise fee
The capital product is a software-style subscription: verified-accredited investors pay a flat, recurring dealflow subscription for research and relationship access. DPR never takes a percentage of a raise, a per-introduction success fee, or any compensation triggered by, contingent on, or timed to a financing event. This summary is not legal advice.
| Revenue type | Status | Reason |
|---|---|---|
| Flat investor subscription | Allowed model | Recurring SaaS fee for information and curated dealflow. |
| Percentage of capital raised | Never | Compensation tied to a financing event. |
| Per-intro success fee | Never | Transaction-based compensation. |
| Founder raise-closing bonus | Never | Contingent on a securities transaction. |
03 · Where equity fits
Equity can pay for build work — never for an introduction
DPR may accept equity or a SAFE only as payment for AI build work already delivered, priced to the fair cash value of those services and documented as in-lieu-of-cash. Equity is consideration for Line 1 services only. DPR never grants or receives equity for making an introduction, helping a raise, or anything on the capital-connection side. This summary is not legal advice.
04 · The firewall
Portfolio exposure is capped, labeled, disclosed, and unpaid
Because DPR may hold equity in a company it built for while also selling investor subscriptions, the feed must make the separation clear. Deals in which DPR holds equity are a small, capped, clearly-labeled, unpaid fraction of any subscriber’s feed. DPR publishes a curation standard and discloses every conflict on the deal page, including any stake, paid placement, or staff-founder tie. This summary is not legal advice.
Plain-English firewall
If DPR owns a stake, that deal cannot be treated like paid inventory. It must be labeled, capped, conflict-disclosed, and not sold as a financing outcome.
05 · Accredited-only posture
Private-placement posture by design
The investor side is for verified-accredited investors only, so introductions stay inside private-placement exemptions. DPR still does not promise a raise, recommend an investment, or tell an investor what to buy. This summary is not legal advice.
06 · Honest caveats
The legal and operating caveats
Not legal advice
Not legal advice. DPR is not a broker-dealer and does not guarantee any raise. Taking pay tied to a financing — flat or percentage — while unregistered is broker-dealer activity that can expose everyone involved. Default: fixed advisory + warm introductions with zero contingent fee.
Data and IP note: client data stays on client systems; clients own what DPR builds for them. DPR’s build-side posture is no lock-in: code, docs, and handoff materials belong to the client unless a signed agreement says otherwise.