Niche broker-dealer Independent contractor model broker/dealer specializing in seasoned investment banking and M&A professionals, offering sponsorship for securities transactions and regulatory compliance through FINRA, SEC, and state registrations.

WBE Advantage Certified Women’s Business Enterprise status can be leveraged in outreach to firms prioritizing supplier diversity and to clients seeking inclusive, compliant capital advisory partners.

Limited headcount Very small team (0-1 employees) with extensive regulatory experience, suggesting potential partners for fractional or outsourced business development, operations support, and scalable tech-enabled services.

Tech-enabled platform Existing tech stack (LiteSpeed, Fastly, MySQL, jQuery/Bootstrap, HTTP/3) indicates capability for secure, scalable transaction processing; potential upsell opportunities around performance, security, and data analytics for deal workflows.

Revenue opportunities Revenue under $1M signals room for services to help scale including multi-client capital raising, private placements, M&A advisory support, and PIPE transaction facilitation through a broader intermediary network.