Frequently Asked Questions

Is Hamilton Grant an investment bank?

Hamilton Grant LLC is an SEC-registered broker-dealer and member FINRA for the purpose of providing outsourced compliance and regulatory solutions to M&A advisory firms. HG and its employees do not compete with the firm’s registered representative clients and do not provide investment banking services.

Who are Hamilton Grant’s 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 Hamilton Grant compensated?

Our services are cost-efficient and predictable:

  • Annual fee for compliance and administrative services.
  • Reimbursement of costs to maintain licensing registrations plus a small service fee.
  • Revenue participation in fees collected by client for broker-dealer activity.
One of our partners is doing a great job as CCO. Why should we consider Hamilton Grant?

With Hamilton Grant providing your compliance services and a CCO, your partner will get to spend more time on income-producing endeavors instead of managing compliance-related details. Additionally, our team strives to remain current on recent and pending changes to regulations, reducing your firm’s risks.

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


© 2020 Hamilton Grant LLC 

Member FINRA
Member SIPC