FINRA Sponsorship & Affiliation
Broker-dealer affiliation and appropriate Series 7, Series 79, or Series 82 sponsorship for qualified professionals conducting approved securities distribution and private placement activities.
Broker-Dealer Solutions for Fund Sponsors & Asset Managers
FNEX provides turnkey broker-dealer affiliation, FINRA sponsorship, and private placement compliance infrastructure for qualified fund sponsors, asset managers, and fund distribution professionals. Our AI-powered compliance platform supports approved capital-raising activities, helping teams focus on investor relationships, fund distribution, and business growth.
Discuss Fund Distribution Support Explore Compliance Services$26B+Transactions Completed
160+Financial Professionals
50State Coverage
FINRAMember Broker-Dealer
Private Fund Distribution Infrastructure
Broker-Dealer Compliance for Fund Sponsors & Asset Managers
Fund sponsors and asset managers raising capital for private equity, private credit, venture capital, real estate, and other alternative investment strategies must consider how their securities offerings are marketed and distributed. Investor solicitation, transaction-based compensation, and certain placement activities can trigger broker-dealer registration and supervision requirements.
FNEX offers an established broker-dealer affiliation model for qualified professionals conducting approved private placement and fund distribution activities. Instead of building a separate broker-dealer infrastructure, eligible professionals can access FINRA sponsorship, compliance supervision, and regulatory systems through FNEX, subject to registration and firm approval.
Fund management and investment advisory obligations are distinct from securities distribution requirements. A fund may need investment adviser registration or an applicable exemption, while its fundraising and placement activities require a separate analysis. FNEX’s broker-dealer services support approved securities distribution; FNEX Advisors’ RIA services address qualifying private fund and SPV advisory needs.
FNEX Compliance-as-a-Service: Broker-dealer affiliation, FINRA supervision, private placement oversight, and AI-powered compliance technology for qualified fund distribution professionals. Explore FNEX Compliance Services.
The FNEX Advantage
Turnkey Infrastructure for Private Fund Distribution
Private Placement Supervision
Compliance support for approved fund offerings, placement activities, investor communications, offering materials, regulatory documentation, and required recordkeeping.
AI-Powered Compliance Platform
Technology-enabled regulatory workflows, reporting, and operational processes, supported by FNEX’s proprietary DataBank infrastructure and human supervisory oversight.
Professional Network & Connectivity
Connect with FNEX’s network of 160+ financial professionals to explore relevant collaboration and distribution relationships, subject to applicable approvals and suitability requirements.
Your Options
Building Broker-Dealer Infrastructure vs. Affiliating with FNEX
Building Your Own Broker-Dealer
Establish and maintain FINRA membership, qualified supervisory personnel, written supervisory procedures, regulatory filings, communications review, recordkeeping systems, and ongoing compliance operations.
Affiliating with FNEX
Access established broker-dealer infrastructure, FINRA supervision, private placement compliance support, and AI-powered technology for approved fund distribution activities, while your team focuses on investor relationships and capital formation.
Learn more about alternatives to building your own broker-dealer and FINRA Series 7, 79, and 82 licensing.
Support Your Fundraising Strategy with FNEX
FNEX provides the broker-dealer sponsorship, private placement supervision, and technology-enabled compliance infrastructure qualified fund distribution professionals need for approved securities activities.
Schedule a ConsultationFrequently Asked Questions
Fund Sponsor & Asset Manager Compliance FAQs
What broker-dealer services does FNEX provide for fund sponsors and asset managers?
FNEX provides affiliation and FINRA sponsorship for qualified professionals, along with compliance supervision for approved private placement and securities distribution activities, regulatory recordkeeping, and AI-powered compliance technology.
Do private fund sponsors need a broker-dealer to raise capital?
It depends on who conducts the fundraising, the activities performed, compensation arrangements, and any applicable registration requirements or exemptions. Active securities solicitation and transaction-based compensation can raise broker-dealer registration issues. Fund sponsors should evaluate their specific circumstances with qualified counsel.
Can a fund sponsor use FNEX to support third-party fund distribution?
Qualified professionals may discuss approved private placement and fund distribution activities with FNEX. Any proposed activity, offering, compensation arrangement, and representative registration must be reviewed and accepted under FNEX’s supervisory procedures.
Which FINRA licenses are relevant for private fund distribution?
Depending on the scope of activities, Series 82, Series 7, or Series 79 may be relevant. Appropriate qualifications, registrations, and broker-dealer supervision depend on the professional’s actual role and approved business.
What is the difference between broker-dealer compliance and RIA compliance for private funds?
Broker-dealer compliance generally concerns regulated securities distribution, placement activity, and representative supervision. RIA compliance concerns investment advisory services, fund management, and applicable adviser obligations. FNEX provides broker-dealer infrastructure, while FNEX Advisors offers separate RIA services for qualifying private funds and SPVs.
How can fund sponsors and asset managers get started with FNEX?
Contact FNEX to discuss your fund strategy, proposed securities distribution activities, existing registrations, and compliance needs. FNEX can evaluate whether its affiliation and supervisory framework is appropriate for your business.
Explore More FNEX Solutions
Integrated Support for Private Markets
FNEX also supports private fund advisory compliance and access to alternative investment opportunities for qualified financial professionals.
RIA for Private Funds & SPVs
FNEX Advisors provides registered investment adviser services and compliance support for qualifying private funds and special purpose vehicles.
Explore RIA Compliance Services →FNEX Alternatives Market
Explore curated alternative investment opportunities across private markets through FNEX’s platform for qualified financial professionals.
Explore FNEX Alternatives Market →
