Finalis CCO Steve Price is running a session on the M&A broker exemption on September 29 at 12pm ET.
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A counterparty decides they don't want to pay your $1-2M success fee after closing. They engage a law firm. The law firm finds a state without an M&A broker exemption so…
Company
Finalis
Compliance that works for you
- Industry
- Investment Banking
- Location
- San Francisco, US
- Company size
- 51–200 employees
About Finalis
Compliance should support growth, not slow it down. Finalis helps independent dealmakers operate efficiently and confidently with fully-integrated compliance and dealflow infrastructure. We serve elite M&A advisors and placement agents. Finalis combines compliance, operational support, and dealflow infrastructure in one platform. Advisors receive hands-on support from experienced professionals. Our model is built to help you scale quickly and efficiently. Independent firms need flexibility without sacrificing standards. Finalis provides institutional-grade support with an independent mindset. Dealmakers stay focused on relationships and execution.
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Latest activity from Finalis
3 signals
Presence & Recognition
Finalis hosted a candid conversation between Chief Compliance Officer Steven Price and CEO Federico Baradello on September 29th, 2026, regarding the M&A broker exemption.
Research & Knowledge
Finalis published an article on Advisory List breaking down exactly what to evaluate, including compliance infrastructure, FINRA license sponsorship, deal workflow tools, and what a BD's network is worth.
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