What Equus Financial Consulting does

Equus Financial Consulting LLC is a privately held, founder-controlled boutique broker-dealer founded in 2004 by Darryl Glatthorn, headquartered at 78 Pine Street, New Canaan, Connecticut, with a secondary Stamford footprint. The firm is SEC-registered and a member of FINRA and SIPC, operating under two distinct service lines: (1) private placement marketing and capital introduction services that connect alternative asset managers with institutional and high-net-worth investors, including investor qualification, marketing presentation preparation, onsite introductions, and ongoing performance monitoring; and (2) viatical/life settlements brokerage, in which the firm shops variable life insurance policies to multiple buyers to facilitate sale to the highest bidder on behalf of retail policyholders. Its revenue model is transaction-based, charging brokerage fees only upon successful completion — for life settlements, the lower of 6% of policy face amount or 30% of value created above cash value — and operates with headcount in the 11–50 range with a domestic-only geographic footprint.

The firm's go-to-market is direct and network-led, relying on seasoned marketing professionals and a proprietary database of known alternative investors rather than paid channels. Equus services two primary customer segments: institutional investors seeking vetted alternative-investment managers, and retail policyholders seeking to monetize variable life insurance; a secondary segment comprises small-to-mid-sized alternative asset managers seeking institutional capital and credibility. Capital introduction economics (typically retainer or success-based fees) are not publicly disclosed, creating revenue opacity on that side of the business. There is no disclosed proprietary technology platform, no AI/ML capabilities, and no external institutional investment or parent company, leaving the business entirely dependent on the founder's relationships and the firm's regulatory standing as a FINRA member.

Name

Equus Financial Consulting

Legal name

Equus Financial Consulting LLC

Website

https://equusfinancialconsulting.com

Company type

Private

Founded year

2004

Operating status

Operating

Headcount range

11–50 employees

Short description

Equus Financial Consulting is a privately held, FINRA-registered boutique broker-dealer founded in 2004 that connects alternative asset managers with institutional investors via capital introduction and brokers viatical/life settlements for retail policyholders on a transaction-fee basis.

Ownership category

akta.pro rank

Product category

Broker-Dealer and Investment Banking Services

NAICS

Securities and Commodity Contracts Intermediation and Brokerage (5231), Portfolio Management and Investment Advice (523940)

SIC

Security Brokers, Dealers & Flotation Companies (6211), Investment Advice (6282)

akta.pro primary industry

Equities Brokerage (FSAEACAH)

akta.pro secondary industries

Buy-Side M&A Advisory (FSAEAGAB), M&A Advisory (Buy-Side & Sell-Side) (BPAHAOAA)

Keywords

• Private placement broker-dealer
• Viatical life settlements
• Alternative asset introductions
• Capital introduction services
• Boutique investment banking

Headquarters

HQ city

Stamford

HQ country

United States

HQ region

North America

Offices1 record

Markets served

GTM type

B2B

Offering type

Services

Cost components

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

Revenue model

1. Viatical/Life Settlement Brokerage Fees: The firm charges a brokerage fee upon successful completion of a viatical/life settlement transaction. The fee is the lower of 6% of the face amount (death benefit) of the policy or 30% of the value created above the cash value of the policy at the time of the sale. Fees are only charged upon successful transaction completion.

Pricing tiers

Go-to-market motion1 record

Distribution channels1 record

Core offering

Equus Financial Consulting is a FINRA-registered broker-dealer and boutique investment bank that connects institutional investors with alternative asset money managers through private placement marketing services, and separately acts as a viatical/life settlements broker that shops variable life insurance policies to buyers on behalf of retail sellers, charging a transaction-based brokerage fee upon successful completion.

Product overview

Equus Financial Consulting operates as a dual-focus financial services firm offering two primary services: (1) Private Placement Marketing Services that connect investment managers with institutional investors through investor qualification, marketing support, and ongoing relationship management, and (2) Viatical/Life Settlements Brokerage that facilitates the sale of variable life insurance policies by matching sellers with buyers and earning a transaction-based fee. The firm functions as a FINRA-registered broker-dealer and boutique investment bank with a primary focus on private placements and alternative asset investments.

Differentiator

Problem solved

Functional benefit

Products and services

• Private Placement Marketing Services Marketing and distribution services that connect investment managers with institutional and high net worth investors, including investor qualification, marketing presentation preparation, onsite introductions, and ongoing performance monitoring.
• Viatical/Life Settlements Brokerage Brokerage service facilitating the sale of variable life insurance policies by shopping each policy to buyers and matching sellers with the highest bidder, charging a brokerage fee only upon successful completion of the sale.

Segments3 records

Ideal customer profiles3 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Scale indicators1 record

Recent moves3 records

Direct peers

• American Life Fund: American Life Fund is a life settlement provider purchasing policies from sellers in the secondary market, serving the same retail policyholder segment and competing for the same transactions as Equus's life settlement brokerage.
• Maxim Group: Maxim Group is a boutique broker-dealer offering capital markets, investment banking, and institutional services to middle-market and emerging growth clients — directly comparable to Equus's FINRA-registered boutique broker-dealer model.
• A.G.P. / Alliance Global Partners: Alliance Global Partners is a boutique broker-dealer providing investment banking, capital markets, and institutional brokerage services, structurally similar to Equus as a small FINRA-registered broker-dealer focused on private placements.
• M Financial Group: M Financial Group is a life insurance distribution and life settlement network serving high-net-worth clients and institutional producers, comparable to Equus in facilitating complex life insurance transactions including viatical/life settlements.
• Coventry First: Coventry First is a leading viatical and life settlement provider/broker that facilitates the sale of life insurance policies, directly competing with Equus's life settlement brokerage service on transaction fee economics.
• B. Riley Financial: B. Riley Financial is a diversified financial services firm with broker-dealer and investment banking operations, comparable to Equus in offering institutional brokerage and private placement services.
• GWG Holdings (Beneficient): GWG Holdings / Beneficient operated as a major life settlement and alternative asset firm, competing with Equus on the life settlement brokerage side and sharing the same regulatory framework governing life insurance policy transfers.
• Commonfund: Commonfund is an investment firm dedicated to alternative investments and OCIO services for institutional investors and endowments, overlapping directly with Equus's private placement capital introduction and manager-sourcing services.

Broad incumbents

• Goldman Sachs Prime Brokerage (Capital Introduction): Goldman Sachs Prime Brokerage runs a Capital Introduction Group connecting institutional investors with hedge fund and alternative managers at scale — overlapping with Equus's private placement capital introduction franchise but at vastly greater scale and breadth.
• Morgan Stanley Prime Brokerage (Capital Introduction): Morgan Stanley Prime Brokerage operates a Capital Introduction team that matches institutional allocators with hedge fund and private market managers — directly serving the same customer need as Equus's alternative-asset introduction services.

Market position

Strengths1 record

Weaknesses5 records

Competitive moat3 records

Key risks6 records

Key highlights7 records

Customer concentration

• LinkedInlinkedin.com/company/equus-financial-consulting-llc

Compliance4 records

Revenue estimate

Valuation estimate

Number of profiles

Profiles1 record

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 Equus Financial Consulting