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Customer Relationship Summary

Introduction

 MacArthur Strategic Capital, LLC (“MACARTHUR STRATEGIC”) is registered with the Securities and Exchange Commission (SEC) as a broker- dealer and is a member of the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC). Brokerage and investment advisory services and fees differ and it is important for the retail investor to understand the differences and free and simple tools are available to research firms and financial professionals at Investor.gov/CRS, which also provides educational materials about broker-dealers, investor advisors, and investing. 

  •  The only product that MacArthur Strategic offers are unregistered offerings in which the Firm is acting as Placement Agent. MacArthur Strategic can assist you in making investments in these unregistered offerings sold by those Issuers for which the Firm is acting as Placement Agent. MacArthur Strategic does not monitor the investments or make recommendations to investors on whether to hold or dispose of their investments. In most cases, Issuers set a minimum threshold on the size of investments, which may vary from one Issuer or offering to another. In some cases, securities are offered only to institutional investors, while in others they may also be sold to high net worth retail investors. 

    Conversation Starter
     

    • Given my financial situation, should I choose a brokerage service? Why or why not?

    • What is your relevant experience, including your licenses, education and other qualifications? What do these qualifications mean?

  •  As compensation for its Private Placement services, Issuers typically pay MacArthur Strategic a Placement Fee, determined as a percentage of the dollar amount of the securities sold ranging from 2% to 7% of the dollar amount raised. This fee may vary from one transaction to another but, in most cases, it is the same for all sales that are part of the same Private Placement. For Private Placements, the commissions and other fees are described in detail in the offering documents, including how the commission and other fees impact the value of your initial investment. The Private Placement Issuer pays the commissions. You will pay a transaction-based fee, which is a percentage of the amount you invest. You will not pay any account-related service fees, as you do not have an account with MacArthur Strategic. The fees and charges may differ for each investment. 

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    You will pay fees and costs whether you make or lose money on your investments. Fees and costs will reduce any amount of money you make on your investment over time. Please make sure you understand what fees and costs you are paying. 

    Conversation Starter
     

    • Help me understand how these fees and costs might affect my investments.

    • If I give you $10,000 to invest, how much will go to fees and costs, and how much will be invested for me?”

  • What are your legal obligations to investors when providing recommendations? How else does your Firm make money and what conflicts of interest do you have? 

    We do not provide recommendations. The way we make money creates some conflicts with your interests. You should understand and ask us about these conflicts because they can affect the services we provide you. Here are some examples to help you understand what this means. 

     

    1. There may be cases in which one or more personnel associated with MacArthur Strategic is also engaged as an officer or director of the Issuer, and thus our relationship with the Issuer may result in direct or indirect benefits to those individual(s) such as Salary Compensation and/or Equity Participation in the Issuer.

    2. Our success in completing one Private Placement can lead to additional business opportunities forus with other Issuers and investors. This will result in additional Placement Fees to MacArthur Strategic. As noted above, this may result in cases in which one or more personnel associated with MacArthur Strategic is also engaged as an officer or director of the Issuer, and thus our relationship with the Issuer may result in direct or indirect benefits to those individual(s) such as Salary Compensation and/or Equity Participation in the Issuer.

    Conversation Starter
     

    • How might your conflicts of interest affect me, and how will you address them?

  • Financial professionals at MacArthur Strategic may earn salaries as well as compensation that is tied to the Private Placement Fees received by the Firm and to its overall profitability. The Firm has established internal guidelines which determine the basis for allocating revenues received from successful Private Placements. In addition, certain of MacArthur Strategic’s financial professionals are also owners of the Firm. Their return as owners is based on the overall profitability of the Firm. 

  •  No. Visit investor.gov/CRS for free and simple search tool to research us and our financial professionals or visit brokercheck.finra.org.  

    Conversation Starter
     

    • As a financial professional, do you have any disciplinary history?

    • For what type of conduct?

  •  Additional information about MacArthur Strategic can be found on FINRA’s BrokerCheck website, brokercheck.finra.org. Please contact associate@macarthurstrategic.com for up-to-date information, or any updates to this Customer Relationship Summary. 

    Conversation Starter
     

    • Who is my primary contact person?

    • Is he or she a representative of an investment advisor or a broker-dealer?

    • Who can I talk to if I have concerns about how this person is treating me?

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