Frequently Asked Questions

Is HG Compliance Solutions an investment bank?

HG Compliance Solutions is a SEC registered broker-dealer and member of FINRA for the purpose of providing outsourced compliance and regulatory solutions to M&A advisory firms. HG does not provide M&A advisory or any other investment banking services.

Who are HG Compliance Solutions’ clients?

Our clients are investment banks specializing in Mergers and Acquisitions (M&A) for $5 million to $500 million revenue private companies. Some of our clients have been in business for decades and hired us to offload the time-consuming demands of compliance and associated firm administration. Others are new M&A advisory firms founded by successful professionals who left large investment banks to start their own boutique firms.

How is HG Compliance Solutions compensated?

Our services are cost-efficient and predictable:

  • Annual charges to maintain registrations for a small service fee
  • Revenue participation based on client fee collections from broker-dealer activity

Hamilton Grant LLC
70 S. Lake Ave., Suite 700
Pasadena, CA 91101


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