Broker-Dealer Affiliate 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.
Practical Support for M&A, Capital Raises, and Secondaries Transactions
Add Finalis to your team
Registered broker-dealer affiliate with deep regulatory expertise
Experienced with foreign firms (non-U.S. registered)
Dedicated Customer Success Manager
Live transaction support from engagement letter to payment processing
Operate Under Your Own Brand
We deliver the benefits of broker-dealer ownership, without the headaches
Your Name. Your Deals. Our Support.
Watch How AI Speeds Up Engagement Letter Approvals
See what Finalis can do for your firm
Compliance You Can Operate On
For Elite M&A Bankers & Placement Agents
Launch your firm confidently. Finalis combines 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
For Boutique Banks
Get the benefits of broker-dealer ownership without the headaches. Work alongside experienced compliance, legal and operational professionals. Centralize workflows, consolidate your tech stack, and create one source of truth.
For Foreign Firms
Compliance chaperoning helps foreign firms seeking access to US capital reduce regulatory communication risks. Finalis provides systems and review processes supporting compliant engagement.
Integrated compliance + deal management
“The broader Finalis community is powerful. Finalis has basically created a collaboration space for individual firms, which gives us the collective power and resources of a much larger institution.”
Discover flexible pricing tailored to your compliance needs and budget.