Harrington Institutional Overview

Institutional Capital Markets Coordination

Delivering a white-glove client experience through professional transaction management.

A Capital Markets Coordination & Transaction Management Firm

Prepared for family offices, public companies, corporate counsel & transfer agents. Harrington is not a broker-dealer or investment adviser.

Who We Are

One relationship. Every stage of the transaction.

Our Mission

Harrington was founded to solve the operational complexity surrounding shareholder liquidity transactions by providing institutional coordination while regulated financial institutions perform regulated activities.

Harrington Equity Group is a capital markets coordination firm that helps public companies, shareholders, family offices, and corporate advisers navigate complex liquidity transactions.

Rather than requiring clients to manage multiple broker relationships, onboarding procedures, legal documentation, and transaction logistics, Harrington serves as a single trusted point of contact throughout the transaction lifecycle.

Documentation

Onboarding

Compliance Readiness

Transaction Management

Execution Coordination

The Defining Idea

Why Harrington exists

Today's capital markets are fragmented. Clients often coordinate multiple service providers, including:

Corporate Counsel
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Transfer Agents
Broker-Dealers
Compliance Departments
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Custodians
Administrators
Family Offices

Each performs an important role. No one coordinates the entire process.

Harrington fills that gap.
Scope of Engagement

What Harrington does — and what it doesn't

Harrington is not a broker-dealer. Every regulated activity is performed exclusively by licensed execution partners.

Harrington coordinates

  • Client onboarding & documentation
  • Compliance & legal opinion coordination
  • Transfer agent & shareholder support
  • Execution partner coordination
  • Deposit monitoring & settlement follow-up

Harrington does not

  • Provide investment advice
  • Recommend securities or transactions
  • Execute trades or hold securities
  • Hold client money or provide custody
  • Accept trade instructions
Process

Our white-glove workflow

From initial consultation to the ongoing relationship — one continuous, coordinated process.

01

Client

02

Relationship Manager

03

Secure Portal

04

Document Collection

05

Compliance Preparation

06

Legal Opinion Coordination

07

Execution Partner Coordination

08

Deposit & Trading

09

Settlement

10

Ongoing Relationship

Regulatory Structure

Regulated execution partners

Harrington works with multiple licensed, regulated broker-dealers — not a single exclusive partner.

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Licensed Broker-Dealer

🏦

Licensed Broker-Dealer

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Licensed Broker-Dealer

KYC
AML
Client acceptance
Account approval
Custody
Trade execution
Settlement
Regulatory compliance
Harrington remains the consistent client relationship throughout the process.
The Broader Platform

Harrington capital markets ecosystem

Harrington maintains two separate, independent relationships — not a sequential hand-off.

Harrington is the client-facing coordination layer. Execution and custody sit with regulated broker-dealers; principal capital solutions sit with Red Rock Alternative Fund — a separate, independent entity.

Regulated Execution Partners

Licensed broker-dealers providing execution, custody, settlement, and compliance.

Red Rock Alternative Fund

Principal capital solutions — direct purchases, stock loan financing, debt acquisition, structured opportunities.

The availability of any capital solution is subject to applicable law, transaction-specific considerations, and the independent acceptance of the relevant execution partner or principal investor.

Our Approach

Why clients trust Harrington

Independent

We are not tied to a single broker or execution venue.

🤝

Relationship Focused

We remain the client's single point of contact.

Execution Partner Agnostic

We coordinate with the most appropriate regulated execution partner.

Institutional Process

Professional documentation, communication, and transaction management.

Harrington simplifies complex capital markets transactions by coordinating the right people, the right documentation, and the right regulated partners — through one trusted relationship.
Get In Touch

One relationship. One coordinated process.

Multiple capital markets solutions — connect with Harrington to discuss a shareholder liquidity transaction, corporate action, or capital markets engagement.

Email Harrington
admin@harringtonequitygroup.com
www.harringtonequitygroup.com
Harrington Equity Group