What Sequence Financial Specialists does

Sequence Financial Specialists LLC is a privately held, FINRA-registered broker-dealer and boutique investment banking firm headquartered in Florence, South Carolina, operating under parent company Sequence Holdings LLC. Founded in 2009 as WRSequence LLC (a merger of WebsterRogers LLP's M&A Group and Sequence Investment Partners) and rebranded in 2013 when principals Michael Grady and Gene King acquired full control, the firm targets small to middle-market companies throughout the United States with $1M-$20M in EBITDA/net income, advising on debt financing ($2M-$100M range), private equity transactions, mergers and acquisitions (buy-side and sell-side), and general business advisory. The firm's core technology platform is its managing broker-dealer capability, which streamlines Reg A+ and Reg D private placement capital raising for alternative investment sponsors, including preparation of offering materials, formation and due diligence of selling groups, subscription verification, escrow management, and transaction closing.

The firm generates revenue primarily through transaction fees on debt, equity, and M&A advisory mandates, plus managing broker-dealer fees for private placement offerings, and professional services fees from its InvestAmerica subsidiary (which provides EB-5 green card and E-2 visa consulting to foreign nationals and Regional Centers since 2010). Distribution is driven by institutional sales outreach (notably Andrew B. Hurvitz based in Chicago), professional referrals from broker-dealers, RIAs, family offices, and CPAs, and a global immigrant investor channel via InvestAmerica. Sequence Holdings LLC also owns Sequence Real Estate LLC as a parallel commercial real estate brokerage. The team operates with 1-10 employees across offices in Florence, SC; Charleston, SC; Tampa, FL; and Chicago, IL.

Name

Sequence Financial Specialists

Legal name

Sequence Financial Specialists LLC

Website

https://sequencefinancialspecialists.com

Company type

Private

Founded year

2013

Operating status

Operating

Headcount range

1–10 employees

Short description

Sequence Financial Specialists is a FINRA-registered boutique investment bank and managing broker-dealer headquartered in Florence, SC, serving small to middle-market US companies with debt financing, M&A advisory, and Reg A+/Reg D private placement capital raising, with an EB-5/E-2 visa sub-brand.

Ownership category

akta.pro rank

Product category

Investment Banking

NAICS

Investment Banking and Securities Intermediation (52315)

SIC

Security Brokers, Dealers & Flotation Companies (6211)

akta.pro primary industry

Corporate Finance Advisory (Strategic Finance, Capital Structure & Recaps) (FSAEAGAE)

akta.pro secondary industries

Industry-Specialist / Sector-Focused M&A Advisory (FSAEAGAJ), Fairness Opinions & Independent Financial Advice (BPAHAOAF)

Keywords

• Investment banking services
• Managing broker-dealer
• Mergers and acquisitions advisory
• Private placement offerings
• Middle market financing

Headquarters

HQ city

Charleston

HQ country

United States

HQ region

North America

Offices4 records

Markets served

GTM type

B2B

Offering type

Services

Cost components

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

Revenue model

1. Managing Broker-Dealer Services: Sequence provides managing broker-dealer services for sponsors raising capital through Regulation A+ and Regulation D private placement offerings. The firm earns fees for streamlining and simplifying the capital raising process, assisting in preparation of offering materials, forming selling groups, verifying subscription documents, closing transactions, and distributing proceeds.
2. Investment Banking and Advisory Fees: Fees generated from debt financing arrangements, private equity transactions, and merger and acquisition advisory services for small to middle-market companies.
3. EB-5 and E-2 Immigration Advisory Services: InvestAmerica, a subsidiary under Sequence Holdings LLC, provides consulting services to EB-5 investors, E-2 US Visa applicants, and EB-5 Regional Centers, focusing on project due diligence, U.S. securities law compliance, investor transparency, and investor interest protection.

Go-to-market motion1 record

Distribution channels3 records

Marketing channels2 records

Core offering

Sequence Financial Specialists is a FINRA-registered boutique investment banking firm and managing broker-dealer that delivers capital raising, debt financing, private equity transactions, mergers and acquisitions advisory, and business advisory services to small to middle-market U.S. companies. Through its InvestAmerica sub-brand, the firm additionally provides EB-5 and E-2 visa investment advisory to foreign nationals seeking U.S. immigration through investment.

Product overview

Sequence Financial Specialists operates as a boutique investment banking firm offering a suite of financial transaction services. The firm's core offerings include Managing Broker-Dealer Services (for capital raising through Reg A+ and Reg D offerings), Debt Financing Services, Private Equity Transaction Services, Mergers & Acquisitions Services, Business Advisory Services, and InvestAmerica (a sub-brand focused on EB-5 and E-2 visa immigration investment programs). These services work together to serve small to middle-market companies with EBITDA/net income of $1,000,000 to $20,000,000.

Differentiator

Problem solved

Functional benefit

Brands

• InvestAmerica: EB-5 Green Card Programs and E-2 Visa Advisory Services for foreign nationals seeking U.S. immigration through investment

Products and services

• Managing Broker-Dealer Services Capital raising services for alternative investment sponsors through Regulation A+ and Regulation D private placement offerings, including preparation of offering materials, solicitation of broker-dealers to form selling groups, verification of subscription documents, escrow deposit management, transaction closing, and proceeds distribution.
• Debt Financing Services Debt financing solutions for companies needing growth capital, restructuring, or expansion, with typical financing needs ranging from $2,000,000 to $100,000,000.
• Private Equity Transaction Services Equity transaction arrangement services including determining capital amount and type, establishing financing terms, and completing private equity transactions for new or additional owners.
• Mergers & Acquisitions Services Comprehensive M&A advisory for buy-side and sell-side transactions including acquisition consulting, client representation, deal structuring, exit strategy, and market valuation.
• Business Advisory Services Advisory services preparing clients for capital access, restructuring, and M&A opportunities, including corporate re-engineering, strategic planning, and operational plan development.
• InvestAmerica EB-5/E-2 Investment Advisory

Segments2 records

Ideal customer profiles2 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Feature1 record

Partnerships

One partnership is on record.

• InvestAmerica LLCcoreOEM/ Whitelabel/ Licensing PartnerInvestAmerica LLC is a subsidiary of Sequence Holdings LLC that provides EB-5 and E-2 visa advisory and consulting services. InvestAmerica has been in the EB-5 industry since 2010 and has represented several hundred investors, providing consulting services to EB-5 investors, E-2 US Visa applicants, and EB-5 Regional Centers with a focus on project due diligence, U.S. securities law compliance, and investor transparency.

Scale indicators3 records

Recent moves9 records

Expansion highlights5 records

Direct peers

• Newbridge Securities Corporation: Newbridge Securities is a FINRA-registered broker-dealer and investment bank serving small-cap and middle-market issuers with advisory and capital raising services. It is directly comparable to Sequence as a boutique broker-dealer executing private placements and IB mandates for similar clients.
• Maxim Group: Maxim Group is a FINRA-registered full-service broker-dealer and investment bank focused on small and middle-market companies. It is directly comparable to Sequence as both provide IB advisory, capital raising, and institutional sales/brokerage services to the same lower middle-market client base.
• WestPark Capital: WestPark Capital is a Los Angeles-based FINRA-registered broker-dealer and investment bank focused on small and middle-market companies. It is comparable to Sequence as both provide IB advisory and private placement capital raising services to similar issuer profiles.
• Aegis Capital Corp: Aegis Capital is a FINRA-registered broker-dealer and investment bank serving small to mid-cap issuers with capital markets and advisory services. Like Sequence, it focuses on emerging and middle-market companies with a comparable boutique execution model.
• Benchmark International: Benchmark International is a global M&A advisory firm specializing in sell-side and buy-side transactions for privately held companies with $1M–$100M+ in value. It is comparable to Sequence as both target the same lower middle-market closely held business owner demographic with M&A advisory services.
• EF Hutton: EF Hutton is a full-service investment bank and broker-dealer providing M&A advisory, capital markets, and wealth services to small and middle-market companies. It is directly comparable to Sequence in its boutique IB and FINRA broker-dealer positioning targeting similar client demographics.
• Alliance Global Partners (A.G.P.): A.G.P. is a mid-sized full-service broker-dealer and investment bank focused on small and mid-cap companies. It is comparable to Sequence as both offer M&A advisory, capital raising, and institutional brokerage to the same target market with similar boutique-style execution.
• Joseph Gunnar & Co. Joseph Gunnar & Co. is a FINRA-registered broker-dealer and investment bank serving emerging growth and middle-market companies. It is directly comparable to Sequence as both operate as boutique broker-dealers offering IB advisory and capital markets services to small-cap issuers.

Broad incumbents

• B. Riley Financial: B. Riley Financial is a publicly traded diversified financial services firm with a broker-dealer and investment banking platform serving small and mid-cap companies. It is comparable to Sequence as both operate as FINRA-registered broker-dealers offering IB advisory, capital markets, and wealth services, though at substantially larger scale.

Emerging players

• CanAm Enterprises: CanAm Enterprises is one of the largest EB-5 Regional Center operators and issuers in the U.S., raising foreign capital through EB-5-compliant investment offerings. It is comparable to Sequence's InvestAmerica subsidiary as both operate in the EB-5 capital raising ecosystem with overlapping broker-dealer and Regional Center relationships.

Market position

Strengths4 records

Weaknesses4 records

Competitive moat3 records

Key risks5 records

Key highlights6 records

Customer concentration

Compliance1 record

Revenue estimate

Valuation estimate

Number of profiles

Profiles6 records

Subsidiaries2 records

Funding overview

Funding rounds

Investors

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 Sequence Financial Specialists