Finalis

Finalis provides broker-dealer affiliation, compliance supervision and deal technology for independent dealmakers: M&A advisors, boutique investment banks, placement agents, capital raisers and foreign firms that need US compliance support. Securities services are offered by Finalis Securities LLC, CRD# 305908, a member of FINRA and SIPC; Finalis, Inc., which operates the website, states that it is not itself a registered broker-dealer and does not give investment advice or recommendations.

Membership bundles regulatory affiliation with workflow tools. On the compliance side it covers dedicated compliance professionals overseeing deal workflow, supervisory review, electronic communications surveillance, outside business activity supervision, errors and omissions insurance coverage, continuing education and Annual Compliance Meeting support, and Series 79 sponsorship. On the platform side it covers deal submission and compliance workflow, AI-assisted engagement letter review, transaction documentation management, real-time deal tracking, automated payments and wallets, a dedicated customer success manager and discounted PitchBook access for eligible members.

The firm reports $22.5 billion in total closed transaction volume and describes a network of more than 900 affiliated investment banking and private placement professionals, with team members based across the United States, Latin America, Europe and Asia. The Office of Supervisory Jurisdiction of Finalis Securities LLC is at 450 Lexington Ave, New York, NY 10017.

Affiliation is priced as a one-time $500 onboarding fee, an annual membership commitment and a commission split that does not start until success fees break even with the annual membership; the split and commitment are tailored to a firm's size, expected production and stage after a call. This is a route to operating under someone else's licence, or to finding an intermediary who already does, rather than a placement agent that will raise capital for a property owner.