Welcome to the Finalis Referral Program with Impact Capital Partners. Below you will find a brief guide describing our relationship with Finalis and the processes involved with their dealmaking marketplace.
Our Relationship with Finalis Securities, LLC
Impact Capital Partners is a U.S. based placement agent for impact investments, connecting institutional capital with sustainable investing strategies. For the most part, our listed strategies are sourced organically or through in-region / in-country Investment Partners who source, due diligence, and share them with us. In turn, Impact Capital Partners LLC, can share them with institutional investors in the US, through its association with Finalis Securities LLC, who is authorized by FINRA to act as a chaperone under SEC Rule 15a-6.
Securities are offered through Finalis Securities LLC Member FINRA / SIPC. Impact Capital Partners LLC is not a registered broker-dealer, and Finalis Securities LLC and Impact Capital Partners LLC are separate, unaffiliated entities. Finalis Privacy Policy | Finalis Business Continuity Plan | FINRA BrokerCheck
Introduction to Finalis Marketplace
Besides being a registered Broker-Dealer, Finalis also offers a dealmaking marketplace to connect institutional investors with various investing strategies. If your investment strategy is compelling, yet we lack the resources & bandwidth to represent you, we will introduce you to the Finalis Marketplace team. Through the Finalis Marketplace, you will have instant access to hundreds of placement agents from around the world that will be interested in fundraising for your strategy.
If you are open to the opportunity we will schedule an introduction call with the Finalis onboarding team. On the introduction call, members of our team will join with the Finalis team to introduce your opportunity.
Finalis Due Diligence
If your strategy sounds like a good fit with the Finalis team, they will offer to begin detailed due diligence. Through this process the Finalis team will collect principal names, passports, run standard Anti-Money Laundering (AML), Know Your Client (KYC) background checks, and perform other internal reviews. Finalis charges an upfront $300 to cover their costs related to due diligence.
Before this process begins, you will first need to:
- Send Finalis team your fund’s PPM and marketing materials.
- Fill out a Marketplace Approval Committee Form.
Finalis Approval & Onboarding
If / when you are approved to access the Finalis Marketplace, Finalis will begin the onboarding process so you can access your account. You will receive a Order Form to formally engage with Finalis and begin the onboarding process. Please note that by signing this Order Form you are not committed to any recurring fees.
There are no retainer fees until you sign an Engagement Letter with a placement agent. Once you are engaged with a placement agent (or multiple placement agents), Finalis will then charge a monthly $300 for as long as your deal is on the platform.
