Finalis

Finalis is a regulatory compliance and deal management platform for investment banks and independent broker-dealers, providing the infrastructure smaller M&A advisory firms need to operate in a registered, compliant manner. It offers a registered broker-dealer network that independent advisors can operate under, combined with software for managing deal pipelines, documents, and client communications. The product targets the fragmented independent investment banking market, where many advisors lack the infrastructure to operate compliantly without building it themselves. Finalis is venture-backed and has positioned itself as the compliance backbone for the independent M&A advisory ecosystem.