A Full-Service Platform for Financial Professionals

Kadenwood offers a comprehensive broker-dealer platform for independent investment bankers, capital markets professionals, and financial advisors seeking institutional-grade infrastructure to conduct private placements and other securities transactions. We provide a turnkey solution that allows professionals to operate with confidence, efficiency, and full regulatory oversight all under the strength and credibility of the Kadenwood platform.

Whether operating under an Office of Supervisory Jurisdiction (OSJ) or as a registered ranch office, our platform is designed to support your practice while maintaining full compliance with FINRA, SEC, and other applicable regulatory standards.

What We Provide

Our platform enables registered representatives and associated persons to focus on deal execution and client relationships, while we handle the regulatory, legal, and operational complexity behind the scenes.

Our broker-dealer services include:

Compliance Infrastructure

Centralized and ongoing compliance support, including registration, disclosures, regulatory filings, and supervision.

Outsourced Compliance Management

Day-to-day oversight and administrative support for independent professionals who require robust, cost-efficient compliance resources.

Due Diligence & Transaction Review

Deal-level diligence and documentation review to ensure transactions meet regulatory and procedural standards.

Regulatory Oversight

Comprehensive supervisory systems under an OSJ structure, with experienced leadership and oversight personnel.

Legal Support & In-House Counsel

In-house legal resources to guide contract execution, placement documentation, and regulatory interpretation.

Registered Representative Supervision

Professional home for registered reps conducting private placements and other exempt transactions.

FINRA & SEC Coordination

Guidance and infrastructure to navigate regulatory requirements, filings, and compliance obligations.

Who We Support

Our platform is built to support:

Independent Investment Bankers
Placement Agents and Registered Representatives
Strategic Advisors and Capital Introducers
Private Equity and Venture Professionals
Financial Consultants conducting exempt securities transactions

Whether you’re executing capital raises, advising on private placements, or seeking a high-integrity supervisory environment, Kadenwood provides the structure, compliance, and support you need to operate at a high standard.

Why Kadenwood

Kadenwood combines deep investment banking roots with institutional operations, legal insight, and a modern approach to compliance. Our team includes former C-level executives, in-house counsel, experienced CCOs, and operational leaders who understand both the transaction process and the regulatory environment.

We offer a high-touch, high-integrity platform for professionals who value flexibility, without compromising professionalism, compliance, or executional rigor.