Transfer Agent Services That Scale With Your Company
Spreadsheets don't scale. Rialto Transfer Services supports the maintenance of your official shareholder records, from issuances through transfers
Affiliate of Rialto Markets, LLC, a FINRA-member broker-dealer
When Do You Need a Transfer Agent?
As companies raise capital, add shareholders, and complete more transactions, maintaining shareholder records can become increasingly complex.
A transfer agent puts the right structure in place before problems happen.
Your raise is getting complex
More investors bring more room for cap table errors and compliance gaps.
Your shareholder base keeps growing
Manual recordkeeping stops being reliable. Centralize it before it becomes a risk.
You're nearing SEC reporting thresholds
Growth in shareholders and assets may trigger Section 12(g) registration.
Shareholders want to sell
Even a few secondary transfers add risk around restrictions and legends.
Your offering may require a registered TA
Some securities and exemptions require, or set conditions involving, an SEC-registered transfer agent.
You're planning to go public
A clean, audit-ready cap table needs to be in place well before you file.
Infrastructure That Supports Your Capital Journey
From capital raising through ongoing shareholder recordkeeping and potential secondary activity, Rialto’s affiliated capabilities can support issuers across multiple stages of growth.
Why Companies Choose Rialto Transfer Services?
We don’t just maintain your cap table. We help build the infrastructure for your growth.
Compliance-Focused Operations
Built with a transfer-agent mindset from day one, focused on accuracy, control and auditability.
Connected Infrastructure
Affiliated broker-dealer and transfer agent infrastructure. One connected experience from raise to recordkeeping.
Scalable Infrastructure
Designed to grow with you, from early-stage to complex capital structures.
Digital Infrastructure
Positioned for tokenization, automation and digital workflows. We build for what's next, not just today's needs.
CORE SERVICES
Everything you need to manage your shareholder records.
Cap Table & Recordkeeping
Official shareholder ledger with current ownership tracking.
Issuances & Transfers
New share issuances, transfers between shareholders, and full transaction history and reporting.
Investor & Issuer Support
Structured onboarding and ongoing support for both sides.
Compliance-Driven Operations
W-8/W-9 document collection and supporting recordkeeping.
NEXT GENERATION TRANSFER AGENT SERVICES
Managing your cap table shouldn’t be static, costly, or inefficient. With Rialto’s next-generation Transfer Agent Services, you gain a digitally native, cost-effective, and dynamic solution designed to seamlessly integrate with our permissioned Alternative Trading System (ATS)—unlocking controlled liquidity and enhanced shareholder engagement.
Task Rialto Transfer Services’ team of financial markets veterans with the burden of navigating the ever-changing landscape, empowering you to focus on your business.
BESPOKE SERVICES
AS YOU GROW
Corporate Actions
Dividends and distributions, stock splits, recapitalizations and AGM voting support.
Advanced Tax & Reporting
K-1 distribution support and enhanced investor reporting.
Tokenization-Ready Infrastructure
Digital securities support and a TA-controlled cap table layer.
API & Automation
Integrated workflows between broker-dealer, issuers and investors, with less manual input and faster processing.
What we do for Your Company?
Most companies wait until something breaks. Errors in ownership records are expensive to fix after the fact. A transfer agent puts the right structure in place before that happens.
Operational Efficiency
Streamlined workflows for onboarding, issuances and transfers.
Recordkeeping & Control
Centralized shareholder records supported by defined processes and controls.
Issuer & Investor Support
Structured support for issuers and their shareholders.
Compliance Support
Recordkeeping, documentation and processes designed to support applicable transfer-agent requirements.
Whether you’re considering a new transfer agent or looking to convert from your existing provider, we’re eager to show you how Rialto Transfer Services can enhance your shareholder experience and unlock new value.
Let’s discuss how we can help you drive growth and operational efficiency.
Contact us at support@RialtoTS.com for more information.
Frequently Asked Questions
What is a transfer agent?
A transfer agent maintains an issuer’s official securityholder records and supports the processing and recordkeeping associated with issuances, transfers and other shareholder transactions.
When does a private company have to register with the SEC?
Under Section 12(g) of the Exchange Act, a company may become subject to SEC registration and reporting once its shareholder base and assets reach certain thresholds. Your legal counsel can confirm when this applies to you. A transfer agent supports the ownership recordkeeping that comes with a growing shareholder base.
How can shareholders sell their shares in a private company?
Secondary transfers need to be recorded accurately and must follow applicable restrictions and legends. Even a few transfers add risk. A transfer agent processes these transactions and keeps your ownership records up to date.
How do I prepare my cap table before going public?
A clean, audit-ready cap table should be in place well before you file. Engaging a transfer agent early helps you find and fix errors in your ownership records before they become costly.