What Finalis does

Finalis is a fintech platform founded in 2021 by Federico Baradello that provides regulatory affiliation, compliance infrastructure, and deal-flow technology to independent M&A advisors, investment bankers, and placement agents operating in U.S. private capital markets. The company operates Finalis Securities LLC, a FINRA-registered broker-dealer (CRD# 305908) and SIPC member, through which it delivers broker-dealer affiliation services including FINRA exam sponsorship, U4/U5 filings, state registrations, KYC/AML checks, and SEC Rule 17a-4-compliant electronic recordkeeping. As of June 1, 2026, the platform serves 890+ affiliated members across 420+ firms, with $250B+ in active deal flow, $22.5B in cumulative closed transaction volume, and 1,100+ active private capital deals at an average deal size of $206M+.

The product suite is built around Finalis Hub™ and Finalis Marketplace™ for deal execution and collaboration, with Actions360™ providing real-time workflow visibility, Finalis Insights™ delivering market intelligence, and integrated data rooms for secure document management. The platform combines subscription-based access with transaction-derived revenue from success fees (typically 5-10% on unregistered securities) and placement fees, creating a hybrid recurring-plus-variable revenue model. Customer segments are horizontal across independent M&A boutiques, placement agents, boutique investment firms, foreign firms entering U.S. markets, issuers seeking capital, and institutional investors sourcing proprietary deal flow.

Go-to-market relies on enterprise field sales targeting dealmakers through direct consultation, complemented by community-led engagement via NYC Members Breakfasts, dinners, conferences, and digital events, plus content marketing (blog, podcasts, webinars, whitepapers). The company raised $10.7 million in seed funding in July 2022 and has scaled to 101-250 employees operating remotely across the United States, Latin America, Europe, and Asia, with headquarters at 450 Lexington Avenue, New York, NY. In 2025, Finalis was ranked among the top 15 U.S. investment banks and top 22 globally based on closed transaction volume.

Name

Finalis

Legal name

Finalis, Inc.

Website

https://finalis.com

Company type

Private

Founded year

2021

Operating status

Operating

Headcount range

101–250 employees

Short description

Finalis is a fintech platform providing FINRA broker-dealer affiliation, compliance technology, and a private capital markets deal network to independent M&A advisors, investment bankers, and placement agents across the United States.

Ownership category

akta.pro rank

Headquarters

HQ city

New York

HQ country

United States

HQ region

North America

Offices1 record

Markets served

GTM type

B2B

Offering type

Software

Cost components

Personnel, Technology or R&D, Operations, Marketing or Sales, Infrastructure

Revenue model

1. Subscription Fees: Monthly or annual subscription fees for platform access, compliance infrastructure, and broker-dealer affiliation services. Pricing is customized based on business size and maturity.
2. Deal Commissions / Success Fees: Transaction-based compensation earned on deals closed through the Finalis Platform. Gross success fees are earned by Finalis Members for deals closed, with $122M+ in Total Success Fees in 2025. Fees typically range from 5% to 10% for unregistered securities.
3. Placement Fees: Commissions or placement fees charged for facilitating private placements and other securities offerings. Compensation varies according to the security and amount invested.

Pricing tiers

Go-to-market motion3 records

Distribution channels3 records

Marketing channels7 records

Core offering

Finalis operates a cloud-based, AI-supported fintech platform that combines FINRA-registered broker-dealer affiliation with dealflow technology for independent investment bankers, M&A advisors, and placement agents. The platform delivers regulatory compliance infrastructure, KYC/AML tools, virtual data rooms, workflow automation, and a marketplace for connecting dealmakers with investors and issuers in private capital markets.

Product overview

Finalis is a fintech platform for private market dealmakers that provides a unified cloud-based platform combining broker-dealer compliance expertise with dealflow technology infrastructure. The platform consists of the core Finalis Platform, which encompasses Finalis Hub™ and Finalis Marketplace™ for deal execution and collaboration, along with supporting features including Actions360™ for workflow visibility, Finalis Connect for networking, Capital Allocators Program for investor introductions, and Data Rooms for secure document sharing. The ecosystem is built around Regulatory Affiliation & Compliance services (FINRA affiliation, U4/U5 filings, state registrations), Deal Network access, and Workflow Automation tools that integrate compliance review, KYC/AML checks, engagement letters, and fund flow management into a connected environment.

Differentiator

Problem solved

Functional benefit

Brands

• Finalis Hub™: A platform offering facilitating deal execution and collaboration for private market dealmakers.
• Finalis Marketplace™
• Finalis Connect
• Actions360™
• Capital Allocators Program
• Finalis Insights™
• Member Advantage Program

Products and services

• Finalis Platform

Quantifiable outcome

• $122M+ in Total Success Fees earned by members in 2025
• +3 more outcomes

Named customers8 records

Segments6 records

Ideal customer profiles4 records

Technology focussed Yes

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Feature7 records

Partnerships

Three partnerships are on record, tiered core.

• Clark Street AssociatescoreStrategic or Co-development Partner · 23 February 2026Clark Street Associates partnered with Finalis to help companies pursue government equity deals. The advisory firm, which secured $1.7 billion for clients and achieved 44% revenue increase, works with Finalis' broker-dealer and deal infrastructure platform to advise on government capital opportunities including $1.6 billion federal equity transactions.
• ShareVaultcoreTechnology or Integration · 13 November 2025ShareVault partnered with Finalis to modernize deal execution for middle-market banks. The collaboration aims to update and improve the process for financial institutions by combining ShareVault's document management capabilities with Finalis' compliance and deal infrastructure platform.
• Stirlingshire InvestmentscoreStrategic or Co-development Partner · 5 November 2025Stirlingshire Investments partnered with Finalis to expand their asset-management services and strategic growth in New York. The collaboration combines Finalis' network and compliance infrastructure with Stirlingshire's client-centric platform, aiming to modernize wealth management and improve operational flexibility and client service.

Scale indicators14 records

Recent moves10 records

Expansion highlights6 records

Direct peers

• Juniper Square: Juniper Square provides technology and fund administration for private market GPs and investors, with workflow automation similar to Finalis's deal management. Both target the private capital markets infrastructure layer serving independent dealmakers and asset managers.
• Weild & Co: Weild & Co provides broker-dealer services and capital markets advisory to small and mid-cap issuers and independent dealmakers. Direct competitor in providing FINRA-affiliated infrastructure for boutique investment banking activity.
• EF Hutton: EF Hutton is an investment bank and broker-dealer offering full-service capital markets and advisory services to independent and boutique dealmakers. Direct competitor offering broker-dealer affiliation and capital markets execution infrastructure.
• Aegis Capital: Aegis Capital Corp. is a FINRA-registered broker-dealer providing investment banking services to small and mid-cap companies. Direct competitor in the broker-dealer affiliation and capital markets infrastructure space for boutique advisory firms.
• Alexander Capital Group: Alexander Capital Group is a broker-dealer and investment bank serving boutique and middle-market firms with compliance and deal execution services. Direct competitor in the broker-dealer affiliation space for independent bankers and placement agents.

Broad incumbents

• Carta: Carta operates a private capital markets platform with cap table management, liquidity solutions, and broker-dealer services. Comparable because it serves private market participants with technology infrastructure, though it is broader in scope than Finalis's dealflow focus.
• CAIS: CAIS is a private markets platform connecting independent advisors and wealth managers with alternative investment funds. Comparable as private capital markets infrastructure serving independent financial professionals, though with an asset-allocation focus rather than M&A dealflow.
• iCapital: iCapital operates a fintech platform providing private market access and fund services to wealth managers and advisors. Comparable as a private markets infrastructure platform, though iCapital focuses on feeder fund distribution rather than deal origination.
• H.C. Wainwright: H.C. Wainwright & Co. is an investment bank and broker-dealer serving small and mid-cap private placements and M&A. Comparable as a FINRA-regulated broker-dealer serving independent bankers, though with a more traditional full-service model.

Emerging players

• Republic: Republic provides private capital markets access, brokerage, and deal infrastructure for private placements and tokenized offerings. Comparable as a regulated broker-dealer (FINRA member) offering technology-enabled private securities execution.

Market position

Strengths5 records

Weaknesses5 records

Competitive moat5 records

Key risks6 records

Key highlights6 records

Customer concentration

• LinkedInlinkedin.com/company/finalis
• Xx.com/finalisinc

Compliance4 records

Revenue estimate

Valuation estimate

Number of profiles

Profiles13 records

Funding overview

Funding rounds1 record

Investors9 records

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A

Investments

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about Finalis