Private Label Broker-Dealer Solutions
Streamline growth, mitigate risk, improve operational efficiency, and lower expenses by outsourcing your private-label broker-dealer.
ACA Foreside’s outsourced private-label broker-dealer solution enables firms to leverage a dedicated broker-dealer branded exclusively for them—owned and operated by ACA Foreside.
This offering is designed specifically for mutual fund (MF) and exchange-traded fund (ETF) clients seeking legal underwriting and distribution support. In alignment with regulatory requirements, ACA Foreside does not own or operate a retail broker-dealer.
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What do you need help with?
Ensure seamless broker-dealer operations with ACA Foreside’s outsourced private-label solution. We expertly manage regulatory compliance, supervision, and administration, allowing you to concentrate on growing your business. Trust our ACA Foreside solution to handle the complexities of your broker-dealer operations, ensuring full compliance and operational efficiency. Our comprehensive services include:
Regulatory Compliance and Oversight
- Implement and oversee all written supervisory procedures
- Maintain broker-dealer registrations in all jurisdictions
- Respond to audits from the SEC, FINRA, and state regulators
Leadership and Administration
- Provide key broker-dealer officers, including a President, FINOP, and CCO
- Prepare and submit periodic filings and reports to FINRA
- Maintain all required broker-dealer books and records
Not sure which solution you need?
Simply book a call with one of our specialists. They will guide you through the options available and help you build a plan perfect for your needs.
Key Benefits of Private-Label Broker-Dealer Services
Expert management of regulatory filings, audits, and risk mitigation ensures adherence to FINRA, SEC, and state-level regulations.
Gain quick access to a fully licensed broker-dealer framework, accelerating time to market compared to independent launches.
Reduce the need for costly compliance staff, technology, and legal resources by leveraging an established infrastructure.
Manage your own branding, marketing, and client relationships, offering a seamless experience without regulatory interference
Expand financial offerings, including private placements and capital raising, without the burden of licensing requirements.
Benefit from a robust compliance framework, including AML protocols, due diligence, and ongoing monitoring to ensure adherence and mitigate risks.
Why ACA Foreside?
ACA Foreside is the premier partner for broker-dealer services, delivering tailored, compliant solutions for the financial services industry.
Extensive Client Base
Trusted by over 6,300 clients worldwide, proving a strong presence in the financial sector.
Comprehensive Service Offerings
Full-service support across compliance, distribution, and broker-dealer solutions.
Global Presence
1,250+ employees across 18 global offices provide local expertise backed by international scale.
Industry Recognition
Recognized for client-first service and innovative compliance solutions that help firms navigate complex regulatory challenges.
Private Label Broker-Dealer Services
End-to-end private-label broker-deal services that streamline operations and accelerate growth.
Ready to outsource your private-label broker-dealer?
Let’s explore how ACA’s Broker-Dealer Chaperoning Services can help expand your fund distribution into the U.S. with confidence.
FAQs
Private Label Broker-Dealer Solutions
Who can benefit from a private label broker-dealer service?
Investment advisers, fintech firms, wealth management firms, and financial institutions looking to offer broker-dealer services without managing compliance, licensing, and operational overhead.
Do I need my own FINRA/SEC registration to use a private label broker-dealer?
No, you operate under the provider’s existing regulatory framework, eliminating the need for independent FINRA/SEC registration.
How does compliance work in private label setup?
The broker-dealer provider ensures adherence to SEC, FINRA, and AML regulations, handling audits, reporting, and due diligence, so you can focus on growing your business.
How much does a Private Label Broker-Dealer service cost?
Costs vary based on services offered, transaction volume, and customization, but it’s significantly lower than starting an independent broker-dealer due to shared infrastructure. For a more accurate estimate tailored to your specific needs, please contact us directly, and we’ll be happy to discuss the details with you.
Can I maintain control over my brand and client relationships?
Yes, firms using a private label broker-dealer maintain their branding, marketing strategies, and client relationships while leveraging the provider’s infrastructure.
What types of transactions can be conducted under a private label broker-dealer?
Typical services include private placements, capital raising, M&A advisory, and securities trading, depending on the provider’s license and capabilities.
How fast can I launch my brokerage services using ACA’s Private Label Broker-Dealer Solution?
You can go-to-market in weeks or months, compared to a year or more when establishing an independent broker-dealer.
Can I switch to my own broker-dealer in the future?
Yes, some firms start with a private label solution to establish operations before transitioning to an independent broker-dealer once they have the resources and regulatory approvals.
