A Broker-Dealer With a Global Network of Independent Investment Bankers
920+ members from 450+ firms across 30+ countries. One broker-dealer built around your independence.
What the Network Adds to Finalis Membership
When investment bankers affiliate with Finalis, they get more than FINRA registration. They join a peer community of 920+ professionals working across M&A advisory, capital raising, and placement.
Members use the network to source co-advisory partners on deals too large for one firm, reach sector specialists outside their own coverage, and build referral relationships across regions.
Finalis's compliance infrastructure gives every member a shared supervisory framework for those relationships to develop within.
The Network In Numbers
920+
*As of August 31, 2026. Members include all registered representatives (RRs), non-registered persons (NRPs), non-registered fingerprints (NRFs), and Foreign Associated Persons (FAPs).
450+
*As of August 31, 2026. Firms are legal entities with whom Finalis has signed a legal agreement to provide broker-dealer affiliate services.
30+
*As of August 31, 2026. Countries represent jurisdictions where Finalis Members operate.
22M+
*Calculated August 31, 2026. Gross success fees are earned by Finalis Members for deals closed on the Finalis Platform in the defined period (without subtracting FINRA/SIPC and Finalis fees).
Who Is in the Network
“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.”
The Network in Action
The network shows up in three ways: through the Finalis deal network, monthly virtual sessions, and in-person events across major financial centers.
The deal network operates within the Finalis platform and is visible only to affiliated members. Deal flow access is a common reason bankers choose Finalis over building their own broker-dealer.
Recent hosts have included New York, San Francisco, and Los Angeles.
Format varies by session, but the core purpose is the same: members connect with peers across the community without a mandate on the table.
Frequently asked questions
How many members are in the Finalis network?
+
As of August 28, 2026, Finalis currently has 920+ members across 450+ firms, based in 30+ countries across North America, Latin America, Europe, the Middle East, and Asia Pacific.
What types of investment professionals join Finalis?
+
Finalis members include independent M&A advisors, boutique investment banks, placement agents, established professionals launching their own advisory practice, and international firms seeking a US chaperoning broker-dealer under Rule 15a-6.
Is Finalis a broker-dealer or just a network?
+
Finalis is a FINRA-registered broker-dealer. Members register as representatives of the firm and operate under Finalis's supervisory framework. The peer network is one part of what membership includes, alongside FINRA registration, compliance infrastructure, and back-office support.
How does the Finalis deal network work?
+
Members access a private deal network within the Finalis platform. They can surface mandates for co-advisory partners, identify specialists in other sectors or regions, and connect with peers on active transactions. Access is limited to affiliated members. See the Deal Flow page for more detail.
Is the Finalis network open to placement agents?
+
Yes. Placement agents who raise capital for funds or private transactions generally need FINRA registration to operate in the US. Finalis provides that registration along with the compliance infrastructure and supervision required to support placement activity.
Do Finalis members collaborate on deals with each other?
+
Yes. Co-advisory arrangements between members are a possibility. The Finalis platform and compliance infrastructure support multi-party deal structures, including situations where two or more member practices work together on a single transaction.
What compliance infrastructure does Finalis provide to members?
+
Finalis provides FINRA registration and sponsorship, ongoing supervisory oversight, compliance oversight of member communications (including marketing materials and pitch decks), and handling of regulatory filings on behalf of members. Members handle client relationships. Finalis handles the regulatory infrastructure behind them.
Ready to Join the Network?
920+ independent investment bankers have already made Finalis their regulatory home. Add your firm to the map.
