Outsourced FINOP & Compliance for Deal-Focused Broker-Dealers

Dealmaker Compliance, LLC provides outsourced FINOP services, accounting, and regulatory compliance support to investment banking and private placement broker-dealers. Founded by a CPA and former FINRA Principal Examiner, we deliver regulator-informed guidance tailored to limited-purpose, transaction-driven firms.

Who We Serve

  • Boutique Investment Banks

  • Middle Market M&A Advisors

  • Institutional Placement Agents

  • Third Party Marketers

  • Capital Acquisition Brokers

  • Product Originators

Our Services

Accounting & Bookkeeping

  • Supervision and approval over financial books and records.

  • Net capital computations and ongoing monitoring

  • Regulatory report preparation and filings (FOCUS, SSOI, Form Custody, SIPC etc.)

  • Early warning analysis and notifications

  • Guidance on distributions, capital contributions, and expense treatment

  • Experienced Series 28 Registered Principal

Outsourced FINOP

  • Monthly bookkeeping and financial statement preparation

  • Revenue recognition for retainers, success fees, and deal-based compensation

  • Proper setup and implementation of expense sharing agreement

  • Bank reconciliations and asset verifications

  • QuickBooks Online setup, cleanup, and ongoing support

  • Coordination with tax preparers and auditors

Compliance Consulting

  • Policies and procedures tailored to M&A and private placement activity

  • Regulatory exam preparation and assistance

  • Ongoing regulatory guidance and risk assessments

  • Interpretation of FINRA and SEC rules as applied to limited-purpose firms

  • Support for new membership applications, business changes, and growth events

  • Advice on Capital Acquisition Broker vs Broker Dealer registration

Why Choose Dealmaker Compliance

  • Former FINRA Principal Examiner

    Direct insight into how broker-dealers in FINRAs capital markets firm grouping are examined and evaluated.

  • Specialized in Limited-Purpose Deal Focused Firms

    Purpose-built support for investment banking and private placement broker-dealers—not retail firms.

  • Practical, Business-Focused Guidance

    Clear answers and solutions grounded in real regulatory expectations.

  • Direct Senior-Level Support

    Work directly with an experienced CPA, FINOP, and compliance professional.

  • Affordable Pricing Structure

    Built for recurring support, with an affordable cost structure that makes sense for small, limited purpose firms.

About Me

I’m a FINOP and Certified Public Accountant with 15 years of experience at FINRA, where I most recently served as a Principal Examiner in the Capital Markets firm grouping. In that role, I led and conducted regulatory examinations of broker-dealers and capital acquisition brokers engaged in investment banking, M&A advisors, institutional placement agents, and product originators.

I witnessed firsthand how limited-purpose firms struggle under FINRA and SEC rules largely built for retail brokers, leading to unnecessary complexity and avoidable exam risk. I founded Dealmaker Compliance LLC to give deal-focused broker-dealers and capital acquisition brokers direct access to regulator-level insight tailored to their business model.

Prior to FINRA, I was a Senior Associate at RSM in the financial services industry, where I performed financial statement audits of broker-dealers.

I hold a bachelor’s degree in accounting from Illinois State University and am registered with FINRA as a Series 28 Financial and Operations Principal.

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