Buy A Broker-Dealer or Investment Adviser?

Buy A Broker-Dealer.

  • Acquire an established broker-dealer and start operations right away, bypassing lengthy setup processes.

    Benefit from an existing client base, operational systems, and established procedures, saving time and effort.

    The entity already has the necessary FINRA or SEC approvals, reducing uncertainty and complexity in regulatory compliance.

    Leverage the goodwill and reputation of the existing firm to enhance trust and credibility with clients and partners.

  • The upfront cost of acquiring a broker-dealer, including the purchase price and due diligence expenses.

    Inherit potential legacy issues such as outdated technology, compliance concerns, or cultural mismatches.

    Integrating the acquired firm into your operations can be complex and require significant adjustments.

    Potential hidden liabilities or unforeseen challenges may arise, necessitating thorough due diligence.

    The scope of approved business lines may not align with the new firm’s business strategy, which will require a change in membership application that will take an additional 90 - 120 days.

Buy An Investment Adviser.

  • Acquire an established adviser and start operations right away, bypassing lengthy setup processes.

    Benefit from an existing client base, operational systems, and established procedures, saving time and effort.

    The entity already has the necessary FINRA or SEC approvals, reducing uncertainty and complexity in regulatory compliance.

    Leverage the goodwill and reputation of the existing firm to enhance trust and credibility with clients and partners.

    • The upfront cost of acquiring an adviser, including the purchase price and due diligence expenses.

      Inherit potential legacy issues such as outdated technology, compliance concerns, or cultural mismatches.

      Integrating the acquired firm into your operations can be complex and require significant adjustments.

      Potential hidden liabilities or unforeseen challenges may arise, necessitating thorough due diligence.

      The scope of approved business lines may not align with the new firm’s business strategy, which will require a change in membership application that will take an additional 90 - 120 days.

Tell Us What You Want.

We’ll Locate A Broker-Dealer Or Investment Adviser For You.

Why Choose Us?

  • Our all-in-one service covers every aspect of your broker-dealer or investment adviser acquisition or sale.

  • Leverage our network and we'll find a broker-dealer or investment adviser quickly.

  • We will source a broker-dealer or investment adviser for you. Save time and money.

  • Avoid the high costs associated with buying an adviser. We charge a flat acquisition fee based on the scope of work.