Built for Independent Investment Bankers
Your firm. Your clients. Your relationships.
Independent Investment Bankers Corp. (IIB) is an SEC-registered broker-dealer and FINRA/SIPC member providing institutional grade broker-dealer infrastructure for experienced independent investment bankers, M&A advisors, and capital markets professionals.
Approved by FINRA in 2011 and registered in all 50 states, IIB enables investment bankers to operate independently without the cost and complexity of maintaining their own broker-dealer. We provide the regulatory, compliance, supervisory, legal, financial, technology, and operational infrastructure needed to execute transactions and serve clients.
Whether you are launching an independent investment banking firm, operating an established M&A advisory practice, or seeking a better broker-dealer platform, IIB provides the infrastructure and support to help you maintain your independence, build your brand, and focus on originating and closing transactions.
Experience + Technology to Support Your Practice
Technology can make a broker-dealer more efficient. It cannot replace experienced people.
IIB combines an experienced, U.S.-based team with technology purpose-built for independent investment banking professionals.
Our technology streamlines compliance, supervision, transaction review, due diligence, documentation, communications archiving, and administrative workflows. When a technical matter can’t be resolved through technology that is where experienced people matter to help evaluate and resolve issues with practical solution.
The result is less time spent on broker-dealer administration and more time originating transactions, serving clients, and growing your investment banking practice.
Experienced Professionals Behind Your Independent Practice
Your clients expect experience, professionalism, and responsiveness from you. You should expect the same from your broker-dealer.
IIB's team brings extensive experience across securities regulation, compliance, law, accounting, broker-dealer operations, and technology. Just as importantly, our historically low staff turnover provides the continuity our members want and expect.
You shouldn't have to repeatedly explain your business to new compliance personnel. At IIB, our members develop long-term relationships with experienced professionals who understand M&A, capital raising, institutional transactions, and the regulatory environment in which our members operate.
Technology enables our team to work faster and analyze information more efficiently. Experience provides the judgment to interpret the results and find practical solutions.
Legal Counsel
Experienced Legal Support
Investment banking transactions often involve negotiated engagement letters, offering materials, disclosures, and complex legal and regulatory considerations. IIB provides experienced legal support throughout the transaction process.
Our legal team assists members with engagement letter review and negotiation, helping bankers navigate client requests, protect their interests, and move mandates toward execution. Counsel also supportsbackground checks, offering document review, and other firm matters.
Our role goes beyond reviewing documents. IIB's legal professionals understand both securities regulation and the practical realities of originating and executing investment banking mandates. Our goal is to help you win mandates and get transactions done without compromising regulatory or legal standards.
Accounting & Finance
Financial Discipline Behind the Platform
Strong broker-dealer infrastructure requires experienced financial oversight.
IIB's accounting and finance professionals bring extensive experience managing audits, regulatory financial reporting, books and records, financial controls, and broker-dealer operations.
Their role extends beyond maintaining accurate records. They help ensure that IIB maintains the financial and operational discipline required to support our members through changing transaction volumes, market environments, and regulatory requirements.
For our bankers, that means operating on a platform supported by professionals who understand the financial infrastructure behind a regulated securities firm.
Compliance & Supervision
Experienced Regulatory Professionals Who Understand Investment Banking
Compliance should protect your practice and your clients without unnecessarily interfering with your ability to conduct business.
IIB's compliance and supervisory function includes professionals with backgrounds as securities regulators, broker-dealer operators, compliance professionals, and FINRA arbitrators.
That experience provides an important perspective.
Our team understands regulatory expectations, but also understands how independent investment bankers actually operate. We apply that experience to transaction supervision, communications, due diligence, examinations, books and records, licensing, and the many regulatory requirements associated with operating an investment banking practice.
Our goal is to provide practical, responsive, institutional-grade compliance support that helps our members conduct business appropriately and efficiently.
Technology & Software Development
Technology Built Around the Investment Banker
IIB continually develops and enhances proprietary technology designed around the workflows of independent investment bankers.
Our technology team builds systems that streamline regulatory and operational processes, automate repetitive administrative work, improve transaction oversight, organize information, and give our members better tools to manage and grow their practices.
We are also integrating AI-assisted capabilities where they can improve efficiency, analysis, documentation, and workflow—while maintaining experienced human oversight where professional judgment is required.
The philosophy is simple:
Automate the administrative work. Enhance the analysis. Keep experienced people involved in the decisions that matter.