Hollister Associates

What Hollister Associates does

Hollister Associates, LLC is a privately held, FINRA-registered broker-dealer and SIPC member headquartered at 257 River Oak Drive, Mt. Pleasant, SC. The firm provides brokerage services to retail accredited investors and institutional clients focused on private placements of issuers including operating companies, private equity funds, and other funds, acting in capacities of placement agent and/or finder/referral agent. It also refers investors to other investors and to investment advisers of separately managed accounts, and discloses the right to act as placement agent for entities controlled or managed by its own financial professionals.

The firm's core product is a regulatory infrastructure platform sold on a fixed-fee basis to experienced independent investment bankers and advisors. Hollister supplies the registered broker-dealer license, compliance supervision, and transaction support that enable these professionals to operate independently; the firm does not participate in client revenue or negotiate payout grids. Compensation is derived from private-placement commissions received from issuers, managers, investment advisers, or escrow agents at the time of transaction, from referral fees on investor-to-investor and investor-to-adviser matches, and from a share of asset management fees paid by third-party advisers on separately managed accounts originated through the platform.

Distribution is direct and relationship-based — there are no disclosed channel partners, resellers, or marketing campaigns, and acquisition is driven by the professional networks of affiliated independents. The firm serves a horizontal mix of accredited retail investors, institutional investors, and independent investment professionals, operates solely in the United States, and has no public funding history, parent company, or disclosed ownership structure beyond its LLC status.

Name

Hollister Associates

Legal name

Hollister Associates LLC

Website

https://hollisterassociatesllc.com

Company type

Private

Operating status

Operating

Headcount range

11–50 employees

Short description

Hollister Associates LLC is a FINRA-registered, SIPC-member broker-dealer in Mt. Pleasant, SC that provides fixed-fee regulatory infrastructure and brokerage services — including placement-agent and referral activities in private placements — to independent investment bankers, advisors, and accredited investors across the United States.

Ownership category

akta.pro rank

Product category

Broker-Dealer Services

akta.pro primary industry

Broker-Dealer Affiliated Wealth Advisory (FSAEABAB)

Keywords

• Broker-dealer services
• Private placement brokerage
• Placement agent services
• Investment banking platform
• Securities referral services

Headquarters

HQ city

Mt Pleasant

HQ country

United States

HQ region

North America

Offices1 record

Markets served

GTM type

B2B

Offering type

Services

Cost components

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

Revenue model

1. Commission - Private Placements: Commissions received from issuers, managers, investment advisers, or escrow agents at the time of transaction for private placement investments. Commission rates are not disclosed publicly.
2. Referral Fees: Fees paid for referring investors to other investors to facilitate purchase or sale of securities, or referrals to investment advisers of separately managed accounts. Fees may be paid by the investor, counterparty investor, escrow agent/attorney, or other financial institution.
3. Asset Management Fee Share: Percentage of asset management fees collected by investment advisers for management of separately managed accounts, paid to Hollister as a referral fee, contingent on continued asset maintenance.

Pricing tiers

Go-to-market motion1 record

Distribution channels2 records

Core offering

Hollister Associates is a FINRA-registered broker-dealer that provides regulatory infrastructure, compliance oversight, and transaction support to independent investment bankers and advisors. The firm offers brokerage services to retail and institutional investors, acting as placement agent and/or finder/referral agent for private placements of issuers including companies, private equity funds, and other funds.

Product overview

Hollister Associates operates as a FINRA-registered broker-dealer offering a suite of financial services centered around regulatory infrastructure and compliance oversight. The company provides a fixed-fee platform for independent investment bankers and advisors, combining brokerage services (placement agent and finder/referral agent functions for private placements), investor referral services, and regulatory/compliance infrastructure. Rather than a single unified product, the offering consists of multiple interconnected service lines that enable securities transactions and provide the regulatory framework for professionals to conduct investment banking activities under broker-dealer supervision.

Differentiator

Problem solved

Functional benefit

Products and services

• Brokerage Services
• Placement Agent Services
• Investor Referral Services
• Regulatory Infrastructure Platform

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 indicators2 records

Recent moves5 records

Expansion highlights3 records

Direct peers

• Alexander Capital Group: Alexander Capital Group is a small New York-based broker-dealer and investment bank that supports independent financial professionals and offers private placement and capital raising services. It is closely comparable to Hollister as a small broker-dealer providing infrastructure and transaction services to independent producers.
• Maxim Group: Maxim Group is a small FINRA-registered broker-dealer with investment banking, equity research, and private placement capabilities, focused on small and mid-cap issuers. It is directly comparable to Hollister as a small broker-dealer facilitating private placements and capital raising, with a similarly niche footprint.
• National Securities Corporation: National Securities Corporation is a small FINRA-registered broker-dealer that supports independent financial advisors and provides capital markets and investment banking services. It mirrors Hollister's model of hosting independent professionals under a registered broker-dealer, with a similarly small footprint.
• Aegis Capital Corp. Aegis Capital is a small FINRA-registered broker-dealer that provides investment banking, private placement, and equity capital markets services to small and mid-cap companies. It is closely comparable to Hollister as a small broker-dealer active in private placements and capital raising for issuers.

Broad incumbents

• Raymond James Financial Services: Raymond James operates a major independent contractor channel within its broker-dealer and investment banking businesses, providing infrastructure to independent financial advisors. It overlaps with Hollister in hosting independent producers under a registered broker-dealer umbrella, while also running institutional and capital markets businesses.
• Kestra Financial: Kestra Financial is an independent broker-dealer platform that provides registered representatives with compliance, operations, and technology infrastructure. It is comparable to Hollister in serving independent producers under a broker-dealer license, with a stronger focus on wealth management at scale.
• LPL Financial: LPL Financial is the largest independent broker-dealer in the U.S., providing compliance, technology, and operational infrastructure to thousands of independent financial advisors. It shares Hollister's core business model of enabling independent professionals to operate under a broker-dealer license, but at vastly greater scale and with a much broader product set.
• Commonwealth Financial Network: Commonwealth Financial Network is an independent broker-dealer that supports independent financial advisors with compliance, technology, and planning resources. Like Hollister, it enables independent professionals to operate under a registered broker-dealer, but at meaningfully greater scale.
• Cambridge Investment Research: Cambridge Investment Research is a large independent broker-dealer that supports independent financial advisors with compliance, practice management, and back-office infrastructure. Comparable to Hollister as a host platform for independent producers, though it operates at much larger scale and offers a broader wealth management platform.
• Cetera Financial Group: Cetera is a leading independent broker-dealer network supporting thousands of independent financial advisors with compliance, technology, and product access. It is structurally similar to Hollister as an independent-advisor host platform, but with a far larger footprint and broader wealth management offering.

Market position

Strengths4 records

Weaknesses4 records

Competitive moat3 records

Key risks5 records

Key highlights5 records

Customer concentration

Compliance3 records

Revenue estimate

Valuation estimate

Number of profiles

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 Hollister Associates