Capital Solutions
Funding Partner for Wealth Management
We provide flexible capital solutions to hybrid broker dealers and RIAs, structured to work within existing regulatory frameworks.
What We Do
Three Core Capabilities
Capital Solutions
Flexible financing structures tailored to the wealth management sector. Senior facilities, unitranche solutions, and growth capital aligned with your business model.
Regulatory Awareness
Every structure is designed to sit within FINRA and SEC frameworks. We work alongside your compliance teams and counsel to ensure alignment.
Partnership Mindset
We position as a balance sheet partner, not a competitor. No personal guarantees, no forced dilution, no unwanted interference.
Who We Serve
Hybrid Platforms, Broker Dealers, and RIAs
We partner with wealth management firms that combine traditional brokerage with advisory services. Our capital rides existing rails—we work with your custody, billing, and supervision infrastructure, not against it.
- Hybrid broker dealers seeking growth capital
- RIA practices pursuing succession opportunities
- Aggregator platforms funding advisor recruitment
- Multi-channel firms expanding fee-based business
“We are friendly, not competitive. A balance sheet partnership where you keep full control and full upside on what you have already built.”
Our Positioning
Market Context
A Sector in Transition
The wealth management industry continues to evolve, driven by demographic shifts, changing client expectations, and regulatory developments. These dynamics create opportunities for well-positioned capital providers.
72%+
Fee-Based Revenue
Advisory revenue share rising across channels, creating predictable recurring cash flows
~106K
Advisor Transitions
Advisors expected to retire over the next decade, representing significant succession opportunity
$13.7T
Managed Accounts
Assets in managed accounts as of 2024, demonstrating the scale of fee-based wealth management
Source: Internal research based on Cerulli Associates and industry data
How We Work
A Structured Process
Origination
Identify opportunities aligned with our investment criteria and regulatory requirements
Underwrite
Evaluate cash flow quality, retention metrics, and platform dynamics
Structure
Design terms that work within existing frameworks with appropriate protections
Monitor
Ongoing relationship management with regular performance review
Current Focus
Hybrid Broker Dealer and RIA Platforms
A focused opportunity in hybrid wealth management, providing capital solutions to broker dealers and RIAs navigating succession, growth, and regulatory complexity.
Learn MoreStatus
live
Sector
Hybrid Wealth Management
Ready to Explore Partnership?
We welcome conversations with wealth management firms seeking flexible capital solutions that respect your independence and regulatory obligations.
Start a Conversation