For Independent M&A Advisors and Placement Agents

Finalis provides FINRA-registered broker-dealer backing, a structured deal compliance workflow, AI-assisted engagement letter review, and an integrated virtual data room, all in a single platform purpose-built for independent deal professionals. These are the operational and regulatory capabilities most independent M&A advisors currently manage across multiple providers or handle manually.

No. Your clients, your deals, and your fee relationships remain yours. Finalis provides the regulatory infrastructure your practice operates within: FINRA registration, compliance review, and deal tools. Finalis has no stake in your client relationships and does not interfere in how you manage your practice.

Yes. Affiliating with Finalis means registering as a representative under Finalis Securities for regulatory purposes. Your firm's name, brand identity, and market presence remain entirely yours. You are not required to operate under the Finalis brand in your client or counterparty relationships.

Independent M&A advisors conducting securities transactions are required to be registered with FINRA through a broker-dealer, maintain books and records consistent with FINRA rules, and submit transactions for compliance review. Finalis platform is designed to support these requirements through structured deal submission, documentation management, and compliance review built into the deal workflow.

Placement agents use Finalis to conduct Regulation D and other private placement activities under a FINRA-registered broker-dealer. The platform supports the full deal workflow: compliance review, engagement letter support, investor document management, and an integrated data room, for private capital transactions.

Operating a broker-dealer requires maintaining FINRA registration, a full compliance infrastructure, net capital requirements, and significant regulatory overhead. Affiliation with an established broker-dealer allows an independent investment banker to access those capabilities without the operational burden. Advisors keep their focus on clients and deals rather than regulatory administration.

A registered representative is a securities industry professional registered under a FINRA-member broker-dealer who has passed required FINRA qualification exams. Independent M&A advisors conducting investment banking activities involving securities are required to operate as registered representatives. Finalis provides that registration framework and the compliance infrastructure that comes with it.