Firm Profile

Sequence Team

The Sequence team offers a broad base of knowledge in many industries along with significant transaction experience. Comprised of investment banking and consulting professionals, Sequence has a network of both strategic and financial investors. Our team has specific experience in the manufacturing, distribution and service industries. Further, the team has developed a niche in the nuances of closely held businesses as to their unique needs and concerns regarding tax ramifications.

Our team is led by Michael Grady, Managing Principal of Sequence Financial Specialists LLC. Additional team members include Mike Xenick, Invest America. Each brings over 30 years of business, transactional and refinancing experience. Working together, the entire Sequence team offers a deep and unique skill set required to complete successful financial transactions. View the entire team here.

Sequence Services

Managing Broker-Dealer

Sequence provides Managing Broker-Dealer (“MBD”) services for sponsors looking to raise capital through Regulation A+ and Regulation D private placement offerings. Sequence streamlines and simplifies the entire transaction for the sponsor focusing on compliance with FINRA and SEC guidelines and state/federal securities laws.

Sequence offers a three-pronged process for sponsors to be able to access investors for projects:

• The sponsor hires the wholesalers who would in turn be licensed through Sequence to sell the transaction. Compensation would be through both the sponsor and Sequence.
• The sponsor provides an agreed upon budget for Sequence to hire the wholesalers to sell the transaction. In this process, the sponsor manages the wholesalers, but Sequence manages the compensation.
• Sequence, under a marketing budget with the sponsor, hires and manages the wholesalers who sell the transaction. Sequence works with the sponsor to access investors.

Sequence has built a diverse and deep relationship with other broker dealers, wealth advisors, RIAs, CPAs, and individual investors to provide access to capital for the sponsor.

Debt Financing

Sequence works with companies that need debt for growth capital or restructuring. Often, a company has an opportunity to expand its operations, but needs new capital to accomplish the expansion.

Private Equity Transactions

When arranging an equity transaction for new or additional owners, Sequence helps determine the amount and type of capital to be raised. Each transaction is different, and many require a combination of debt and different classes of equity.

Mergers & Acquisitions

We leverage our experiences to provide clients with strategic counsel. On the buy‐side, Sequence represents purchasers in acquiring a targeted business and, when needed, assists in raising capital. On the sell‐side, Sequence represents sellers on an exclusive basis and manages the entire process of selling a company.

Business Advisory Services

Sequence Financial Specialists advisory services helps to prepare its clients for access to capital, restructuring, as well as merger and/or acquisition opportunities.

Relations

Sequence is interested in establishing relationships for MBD services with companies desiring to raise capital. Sequence continues to build its relationships with broker-dealers, wealth advisory firms, RIAs, family offices, and CPAs. Through these relationships, Sequence evaluates, and when appropriate, offers alternative investments for their clients. See contact information below to personally reach out to an individual with Sequence.