We Empower The Next Generation of Dealmakers


A Broker-Dealer with Tech-Enabled Compliance and a Customizable Deal Technology Platform

Compliant M&A, private placements, and alternative investment deals with Finalis,
a broker-dealer with a customizable deal technology platform

Finalis dashboard

Built to empower dealmakers

Dealmakers deserve better compliance solutions and technology to help them become more efficient and effective with their deals. Finalis is a modern platform that enables new revenue opportunities by focusing on winning and closing more deals.


We provide FINRA affiliation & State registration together with guidance and sponsorship for individuals seeking to take FINRA exams.


Technology enabled compliance tools that give you access to ready-to-use legal templates for a more efficient and integrated approach to dealmaking.


We enable our clients to grow their revenue by leveraging the Finalis banking network together with our tech platform.

We have been searching for a solid technology platform that would help us develop our pipeline, manage clients and gather data. We found that in Finalis! Finalis offering helps banks win more business utilizing their state of the art deal flow technology and tool integration from data room to CRM to email and more – all in one platform.”

Scott Smith

Scott Smith

Founder and CEO, Viant Capital

I’m excited to follow Finalis’ innovation in the M&A and private placement space. By productizing the compliance back office for investment bankers, Finalis is going to enable a whole new generation of bankers to close more deals faster — all with less overhead.”

Will Rodgers

Will Rodgers

Principal, Greenhill & Co.

Finalis is the solution that many of us in the investment banking industry have been asking for. Its fully-integrated broker-dealer and deal flow technology platform is a game-changer and will be positive force for the industry in the years to come.”

Manuel Amaro

Manuel Amaro

Director, Houlihan Lokey

It’s about time that a new compliance and technology platform like Finalis existed, which will improve and simplify our lives in investments and managing deal flow.”

Michael Fung

Michael Fung

Chairman (Ret.), JPMorgan Chase

As more capital flows into the private markets, there’s a tremendous need for a platform that delivers compliant transaction management. We’re very excited about Finalis’s entry into the market. Their solution will be incredibly useful not just in the U.S., but across the world, and including the Asia-Pacific region.”

Lawrence Lam

Lawrence Lam

Chairman (Ret.), Royal Bank of Scotland

Finalis leverages a compliance-first platform to drive scalable back-office solutions. Front-to-back integration allows bankers to close deals faster and at a fraction of current costs while mitigating operational risk. The platform also has the potential to drive transformational change by leveraging network effects across the industry.”

Chris Kawasaki

Chris Kawasaki

Vice President, Bank of America Merrill Lynch

Compliance solution

Finalis is a compliance and supervisory platform for dealmakers

Finalis Securities is a member of FINRA and operates as a broker-dealer.

Leverage integrated ecosystem

Unbiased compliance reviews for your deals

Same-day response time

Legal template library

Deal technology

The tools dealmakers need to win and close deals, faster

Improve your deal team’s ability to execute deals by increasing productivity with seamless deal tools that offer you what you need, when you need it, all in one place.

Facilitate investor outreach and close more business

Organize your institutional investor data and reach out to key industry stakeholders.

Quick collaboration and Q&A

Eliminate hassle associated with managing multi-part data rooms and Q&A threads.

Improve day to day deal management

With reminders and weekly digest reports, achieve transparency over your deal flow.

Leverage integrated ecosystem

Easily integrate with your favorite email services, file share services, and CRMs.

Customizable data room

Upload, download, preview files, set custom permissions and more.

Stay up to date

Receive real-time deal notifications and alerts.

Built for collaboration

Improve your ability to manage multiple deals simultaneously.
No more juggling endless email chains or multiple diligence requests lists.

More than just a data room

Unprecedented user controls and analytics on bidder and investor engagement.

Optimize reviews

Know what clients are looking at and how much time they've spent in a document.

Finalis dashboard Finalis dashboard


Disclosure Policy

Finalis is built on secure infrastructure that ensures your deals are fully protected throughout their lifecycle. We enforce a comprehensive set of best-in-class policies that proactively mitigate risks and detect threats in advance.

The security of your data is mission-critical to the success of Finalis business. We take security extremely seriously.

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    Certain services so designated are offered by Finalis Securities LLC, Member FINRA/ SIPC and an affiliate of Finalis, located at Corte Madera, CA. Finalis Securities does not make investment recommendations and no communication, through this website or in any other medium should be construed as a recommendation for any security.

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