Insights

Why Your Transaction Advisor Should Be Licensed

Transactions are complicated. As such, company owners engaged in M&A or capital raising transactions typically employ a full deal team of investment bankers, attorneys and CPAs to successfully execute the transaction. There are numerous financial intermediaries who act as “investment bankers” on M&A transactions (and even capital raises) without registering as a broker-dealer. As you consider a particular firm as your investment banker, it is critical to understand the products and services the firm can – or cannot – provide. To ensure a successful and legal transaction process, it is critical to employ the services of a registered broker-dealer.

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Understanding Capital Market Firms for a Successful Transaction

Many capital market firms work with companies on transactions – but figuring out the differences of each firm and their roles and services can be tricky. Major firm categories include Investment Banking, Private Equity and Venture Capital. These terms are often mistakenly used interchangeably, and understanding their differences is crucial for company owners looking to make a transaction. Use this list as a guide to finding the right type of firm for your company.

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