Sequence Financial Specialists
Sequence Financial Specialists LLC provides investment-banking, advisory, M&A, capital-raising, and managing broker-dealer services for small to middle-market companies. Its public materials describe experience across manufacturing, distribution, service industries, and closely held businesses.
What stands out about Sequence Financial Specialists
Sequence Financial Specialists publicly offers sell-side and buy-side M&A representation, acquisition consulting, valuation, exit-strategy planning, offering-memorandum preparation, deal structuring, post-closing consulting, debt financing, private-equity transaction services, and business advisory services. Its public materials state both U.S.-wide and Southeast-focused coverage and disclose two different EBITDA and/or net-income ranges: $1,000,000 to $20,000,000 and $1,000,000 to $5,000,000.[1][2][3][4][5][6][7][8]
What does Sequence Financial Specialists do?
Sequence Financial Specialists LLC describes itself as an investment-banking, advisory, and managing broker-dealer firm serving small to middle-market companies. Its public materials state that the firm provides individually tailored financial services and solutions.
FINRA identifies Sequence Financial Specialists LLC as a South Carolina limited liability company formed on April 15, 2005, with CRD #132915 and SEC #8-66657. The firm states that it is a subsidiary of Sequence Holdings LLC.[1][2]
Sequence publicly offers sell-side and buy-side M&A representation, acquisition consulting, deal structuring, exit-strategy planning, market valuation, descriptive offering-memorandum preparation, and post-closing consulting.
Additional stated services include debt financing, private-equity transaction services, managing broker-dealer services, and business advisory work covering strategic planning, corporate re-engineering, operational planning, and management or board metrics.[3][4]
Owners comparing advisory firms can also review Auxo’s M&A advisor vs. business broker vs. investment bank comparison, advisor-selection guide, and sell-side advisor evaluation framework.
Published criteria: Sequence's homepage states a $1,000,000 to $20,000,000 EBITDA and/or net-income range, while a separate welcome page states $1,000,000 to $5,000,000. Neither cited page explains the difference between the two criteria statements.[6][7]
What should a business owner evaluate before hiring Sequence Financial Specialists?
An owner evaluating Sequence can clarify which EBITDA or net-income range governs new engagements, because the homepage and welcome page state different ranges. The owner can also clarify whether the intended mandate is throughout the United States or focused on the Southeast.
Because the completed-transactions page does not identify counterparties or provide complete details for every listed entry, a prospective seller may wish to request named or confidentially discussable references, comparable completed transactions, and Sequence’s precise role in each example. The official M&A service page does not publish universal fee, tail, termination, or standard expense terms, so those engagement provisions should be obtained directly from the firm.[3][6][7][8]
Which listed transactions can be discussed under confidentiality, and what was Sequence's precise role in each
What size transactions and clients does Sequence Financial Specialists focus on?
Sequence states that its team has experience in manufacturing, distribution, and service industries and has developed a niche in closely held businesses.
Examples on the firm’s completed-transactions page include food, professional engineering, construction and engineering, healthcare services, staffing, distribution, financial services, medical devices, electronics, retail furniture, food services, and material manufacturing situations.[1][8]
The completed-transactions page lists a $50,000,000 buy-side representation for the acquisition of a company in the food industry during 2014-2016, an $8,500,000 sell-side representation of a professional engineering firm in 2021, and a $3,100,000 management buyout for a construction and engineering company during 2014-2016.
Other listed examples include a $500,000 healthcare-services sale during 2014-2016, a $1,200,000 sale of a staffing company during 2014-2015, and a $2,200,000 sale of a distribution company in 2013.[8]
The firm’s stated transaction services cover sell-side and buy-side representation, acquisition consulting, exit-strategy planning, valuation, offering-memorandum preparation, deal structuring, and post-closing consulting. Sequence also states that it represents sellers on an exclusive basis in the sale of a company, part of a company, or a business unit.
Its broader transaction capabilities include debt financing, private-equity transactions, and capital-raising activity through its managing broker-dealer services.[3][4][5]
What does Sequence Financial Specialists publicly disclose about fees, process and engagement terms?
The completed-transactions page does not identify counterparties for the listed transactions and does not provide full buyer, seller, financing, consideration, and closing-date details for every entry.
The official M&A service page does not publish a universal success-fee percentage, minimum fee, tail period, termination schedule, or standard expense schedule.
The official homepage states a $1,000,000 to $20,000,000 EBITDA and/or net-income range, while the official welcome page states a $1,000,000 to $5,000,000 range; neither cited page explains the difference between the two criteria statements.[3][6][8]
Sequence’s current Client Relationship Summary states that Sequence Financial Specialists LLC is registered with the Securities and Exchange Commission as a broker-dealer and is a member of FINRA and SIPC.
FINRA identifies the firm as regulated by FINRA’s Atlanta Office and provides CRD #132915 and SEC #8-66657. Sequence states that it is a subsidiary of Sequence Holdings LLC, alongside Sequence Real Estate LLC and InvestAmerica LLC.[1][2][9]
For sell-side engagements, Sequence states that it represents sellers on an exclusive basis and manages the process of selling a company, part of a company, or a business unit. Its stated process includes exit-strategy analysis, valuation, buyer identification, offering-memorandum preparation, marketing, negotiation, and post-closing support.[3][5]
Questions to ask before hiring Sequence Financial Specialists
Which current EBITDA or net-income range governs new engagements: $1,000,000 to $5,000,000 or $1,000,000 to $20,000,000?
Does the firm primarily target the Southeast or accept engagements throughout the United States?
Which listed transactions can be discussed under confidentiality, and what was Sequence's precise role in each?
What are the engagement fee, success-fee, expense, exclusivity, tail, termination, and reimbursement terms?
How are potential conflicts managed when Sequence operates as a broker-dealer and managing broker-dealer as well as an M&A advisor?
Which buyer types and financing sources are typically approached for a seller's industry and transaction?
Sources & research notes
- Official website / firm overview
- FINRA regulatory record
- Services / capabilities
- Services / capabilities
- Investment approach
- Geography / market coverage
- Geography / market coverage
- Transaction / portfolio evidence
- Structure / regulatory context
How this profile was researched
Auxo profiles are prepared from publicly available primary and authoritative sources and reviewed for entity identity, factual support and disclosure consistency. When a fact cannot be supported by the reviewed public record, the profile identifies it as something to confirm directly rather than inferring it.
Independent research profile
This profile was prepared by Auxo Capital Advisors from publicly available information believed to be reliable and is provided solely for informational and educational purposes. It is not an endorsement, recommendation, ranking, solicitation, or representation regarding the profiled firm, its services, qualifications, transaction experience, regulatory status, financial condition, or suitability for any particular person, company, transaction, or investment.
Information obtained from third-party and public sources may be incomplete, inaccurate, outdated, or subject to change, and Auxo Capital Advisors makes no representation or warranty, express or implied, as to its accuracy, completeness, or timeliness. Readers should conduct their own independent diligence and consult appropriate professional advisers before engaging any advisor, intermediary, investor, lender, acquirer, or other transaction counterparty.
Broker-dealer and securities disclosure
Auxo Capital Advisors is an affiliate of Weild & Co., Member FINRA | SIPC. Securities-related activities and securities transactions are conducted through Weild & Co.
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