The benefits of association with Starlight's broker-dealer include:

• High payout (among the highest in the industry);
• Access to a network of institutional investors;
• Increased deal flow;
• On-line marketing services;
• Invitations for their clients and themselves to invitation-only private equity conferences and receptions;
• Personal biographies and tombstones of completed deals on homepage;
• Professional administration supported by annual audits and compliance specialists;
• No firm disciplinary sanctions;
• Administrative, legal, regulatory and technological support;
• A history of conducting due diligence reviews, term sheets and private placement memoranda; and
  
• A network of highly qualified, independent representatives for deal sourcing, industry expertise, and pre-existing investor relationships.

The firm discourages applicants (i) without industry experience or with active outside business activities which would necessarily detract from their Starlight-oriented revenue generation, while still requiring Starlight compliance oversight, (ii) unlikely to bring or work on a Starlight contract within the first quarter of affiliation (we do not offer salaries or draws) and (iii) with a history of compliance problems. Each representative is expected to build franchise value for Starlight in one area of specialty or to form a synergistic team with other Starlight reps. Each person pays his/her direct expenses (office, licenses) and a small monthly fee. Starlight will waive the monthly fee once the representative has reached his/her minimum annual revenue goal. Potential Starlight interns are encouraged to begin their association with the firm by joining the Marketing Affiliate Program.

Please apply for association with the firm by forwarding your resume to Murray Froikin, COO & Managing Principal, at mfroikin@starlightinvestments.com. Describe your industry expertise and productivity. Please note that we do not do wealth management or securities trading. A mutually satisfactory telephone interview would be followed by review of the new hire packet, a U4, fingerprint review and a background check.

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Pre-Association Business Planning Worksheet

Please use the below guide to help you develop your personal business plan and determine how your goals and desires coincide with those of Starlight and its network of finance professionals.

Vision: What are your personal goals and expectations over the next five years and how do you anticipate that your association with us will further these?

Aptitude: Have you worked previously in an environment in which compliance with laws and industry regulations has been essential? What did you like or not like about that?

Personality: How independent are you and how will you balance your need for independence with the requirement for compliance? Is your personality suited to such an environment? How do you react to authority?

Regulations: To what extent do you believe that you understand current Federal and state securities laws and regulations? How do you plan to keep up with changes in the law, and, therefore, what you can and cannot do as a registered person in the industry?

Technical Skills: Are your financial structuring and computer skills up-to-date? What knowledge, skills and abilities do you plan to increase in the next year (such as by acquiring additional licenses or taking continuing education courses, which are mandatory in the industry)?

Teamwork: What knowledge, skills and abilities to you plan to offer to or receive from the other members of our network? Under what circumstances and with what frequency do you plan to interact with the other registered individuals? Do you plan to contribute your own contacts to or seek information from the common, on-line database?

Revenues: How much and in what states do you plan to sell your first year with us? What elements, either within or not within your control, might affect these projections?

Costs: What do you project to be your costs to realize these revenue goals? Please consider thoroughly your anticipated fixed, variable and compliance-related costs. Will the anticipated cash flows cover your professional and personal expenses?

Marketing: How do you plan to hold yourself out to the public in a compliant manner? Which of your marketing efforts will be limited by securities regulations?

Sales Experience: How many investment advisory clients have you engaged in the past 5 years? In what amounts each?

Business Continuity Plan: What resources would you expect from us in the event of a personal or professional disaster (consider off-site e-mail storage, electronic file backups and our on-line database)?

Starlight's model: Please summarize our model as you understand it.