Background 

  • InvestorCOM provides outsourced regulatory compliance software solutions to the financial services industry that help streamline the complicated steps needed to comply with regulatory requirements
  • New compliance regulations in both the US and Canadian securities markets pertaining to transparency and duty of care for brokers and advisors have yielded significant near-term growth
  • Estancia Capital Partners (Estancia) provides buyout and growth capital to lower-middle market businesses in the financial services sector

Process

  • DC Advisory (DC) acted as exclusive financial advisor to InvestorCOM on its investment from Estancia
  • DC’s prior experience in risk and compliance software enabled the team to optimally position InvestorCOM, resulting in a successful outcome

Outcome 

  • InvestorCOM announced a significant strategic investment from Estancia
  • The partnership will help to accelerate InvestorCOM’s growth and help it capitalize on new market expansion opportunities, both organically as well as via targeted M&A

InvestorCOM could not have made this happen without the dedication and focus of DC Advisory. The combination of the team's industry knowledge, contacts, strategic advice and focus on details were all critical ingredients to InvestorCOM getting this deal across the finish line and closing with the right partner.

David Reeve, Founder & CEO, InvestorCOM