Compliance That Works For You
Running an independent firm is hard. Leading M&A boutiques and placement agents use Finalis to move faster, safely. We provide regulatory expertise and a fully-integrated compliance and dealflow technology platform purpose-built for independent dealmakers. So you can focus on moving deals, not paperwork.
Get Started TodayCompliance
That Works for You
Closing deals is hard. Elite M&A bankers and placement agents use Finalis to move deals forward quickly and safely. We combine broker-dealer compliance expertise with a technology platform purpose-built for M&A and capital raising deal management. So you can focus on your deal, not your paperwork.
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Solutions for
Investment Bankers &
Placement Agents
Trusted Compliance Expertise
M&A bankers and placement agents operate under constant regulatory pressure. Finalis combines experienced broker-dealer oversight with practical transaction support and technology infrastructure.
Join Peers & Partners
Access our community of 890+ Members* and benefit from institutional-grade partnerships with top banks and deal tools.
*As of June 1, 2026. Members include all registered representatives (RRs), non-registered persons (NRPs), non-registered fingerprints (NRFs), and Foreign Associated Persons (FAPs)
Connected Compliance & Deal Workflows
Manage approvals, diligence, payments,and documentation in one platform.
Your Back Office Just Got An Upgrade
Data Rooms, Upgraded And Integrated.
○ Start strong with a quick, hassle-free set-up — no sales calls or third party vendors
○ Speed up diligence with our simple, intuitive design, real-time analytics, bulk folder uploads, and granular permissions
○ Own your source of truth — stop chasing invoices, archives and audit trails
Speed Up Compliance Turnarounds
○ Catch issues before compliance sees them with AI pre-reviews that flag common issues
○ Always know exactly where you stand with real-time progress tracking
○ Accelerate approval cycles with embedded e-signatures
Control Invoicing & Payments
○ Create and send invoices directly to clients with pre-populated deal details
○ See where you stand at a glance — get notified when funds are received and processed by Finalis
○ Funds can be transferred directly to your bank account or split with eligible partners
*AI can help you operate efficiently but is subject to error and is not a substitute for human judgment.
Finalis Makes Firms
Safer
Reduce risk and regulatory burden with our registered broker-dealer services, technology infrastructure, and live deal support.
Faster
Close deals with less friction with a fully-integrated compliance and dealflow platform.
Smarter
Leverage success fee data, centralized workflows, and real-time visibility into deal status to make better decisions.
More Profitable
Cut operational complexity and cost while finding new origination sources and expanding your network.
The Finalis Ecosystem
We want you to be our next success story
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