Independent Investment Bankers: Key Catalysts for Success in IB


Written by Finalis

Last edited on May 14, 2024

3 min read

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To secure success in investment banking, dealmakers, placement agents, and independent investment bankers need to focus on their core strengths: originating and closing more deals.

High-volume deal flows demand expert and reliable workflows on the dealmaker’s part. They must ascertain that compliance requirements are being met, determine ideal deal flow, and decide whether or not a deal is the right fit for them. In this article we explore three key ways dealmakers can achieve demonstrable success with the right investment banking tools. 

Efficient compliance: liberating dealmakers

Operating in investment banking involves a crucial aspect that must be addressed: compliance. This is especially important for independent investment bankers. Their smaller structure means that complying with all the requirements stipulated by FINRA can feel overwhelming.

While partnering with a traditional broker-dealer is a common practice to overcome this regulatory hurdle, such partnerships are not always sufficient for dealmakers to achieve success in investment banking. For decades, the compliance approach in capital markets has faced inefficiencies, relying on disorganized and confusing email conversation threads, unreliable and overly complex virtual data room solutions,  and a back-and-forth exchange of paperwork between the front and back offices of an investment bank.

Finalis has successfully cracked the code, addressing these inefficiencies with software and a 21st century, web-based solution—and in the process is raising compliance tech standards industry-wide. 

This innovation gives dealmakers the peace of mind of knowing that their compliance matters will be handled, while also freeing their time to focus on growing their business.

Partnering for growth: success in investment banking

Dealmakers and independent investment bankers partnered with Finalis have access to a solution that not only allows them to navigate the compliance labyrinth with ease but at the same time serves as a growth enabler for their boutique investment firms. Finalis Connect is already generating economic results for those involved by developing three business catalysts:

  1. Originating more “bestfit” transactions: Finalis Connect empowers investment bankers, placement agents and independent dealmakers to discover opportunities aligned with their expertise and interests. With our compliance experts meticulously reviewing the entire ecosystem, partners can confidently explore options without the burden of extensive data cross-checking and regulations concerns. The platform continues to add high-quality active transactions in the lower- and middle-market segments at an increasing pace. At present, there are over 1,500 active deals on the Finalis platform, with the average transaction size close to $70M and the median close to $20M. 
  1. Accelerating close rates: backed by the power of our networking effect, Finalis ́ partners close deals more efficiently. Our platform unlocks access to over 450 qualified licensed investment bankers globally,  who collectively are very well positioned to provide support on specific transactions. Removing compliance friction points and providing access to dealmakers with diverse expertise fosters seamless cooperation, accelerating execution processes without the need for increased headcount.
  1. Generating more revenue: through Finalis Connect, dealmakers expand monetization opportunities, even with deals that come to them directly but may not be suitable for whatever reason. Finalis’ Deal Promotion allows our partners to negotiate percentages between transaction parties, converting a lost opportunity into a potential monetizable event—a direct consequence of Finalis’ network effect. In 3Q23, investment bankers generated an average referral revenue in excess of $127,000. This revenue record underscores the platform's ongoing ability to create opportunities for investment bankers through the strength of banker networking.

In essence, Finalis not just resolves the compliance challenge but has also evolved to serve as the key growth partner for our dealmakers and independent investment bankers. Our partners are not just succeeding—they're thriving in an ecosystem that enables efficiency, collaboration and, most importantly, their firm’s growth. Join us and become part of the future of investment banking, powered by Finalis Connect.

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