Private Investment Banking

Via GT Securities, investment advisors on our RIA platform can better serve clients in a number of unique and powerful ways:

Comprehensive Wealth Management and Business Exit Planning

For wealth managers serving entrepreneurial, small business, and family business clients, our dual RIA and broker-dealer structure and licensing allows for a more holistic “personal wealth plus business wealth” approach to client services and value-add. 

For business owner clients and prospects, dually licensed investment advisors (Series 65) and investment bankers (Series 79) on our platform can:

  • Advise upon scenario planning as to the likelihood of a business sale, at what price and time frame, along with the critical tax considerations
  • As business sale and M&A events are consummated, advise upon and manage the proceeds from the business liquidity event, both as to:
    • Long-term family wealth planning 
    • Ongoing and new entrepreneurial and investment opportunities as they arise
  • For business owner clients and prospects engaged in the longer term business growth process toward an eventual sale:
    • Assist with the exploration of growth equity and debt financing (including recapitalizations),
    • Provide value-added advice as to business asset management (cash, inventory, real estate, etc.)

Banker Referrals

For those investment managers focused on traditional wealth management, GT Securities platform welcome deal referrals from private wealth managers, and with our dual RIA and broker-dealer licensing are able to pay referral and finders fees on placed deals for both referred M&A and financing deals.

Alternative Investing

Via GT Securities and via our affiliation with Proteus Capital, our investment advisors have access to high profile, difficult to source private investments with unparalleled convenience and trust, including opportunities from fund managers with strategies ranging from:


  • Secondaries and Co-Investments
  • Real Estate, Domestic and International
  • Infrastructure Equity
  • Opportunistic Credit
  • Alternative Credit
  • ClimateTech / Green Energy (Battery, Wind, Solar)
  • Tax Credits (including Inflation Reduction Act – based)


About GT Securities - Our Affiliated Broker-Dealer

GT Securities is a FINRA / SIPC registered, full-service investment banking platform on which over 100 Independent Investment Bankers, M&A Advisors and Institutional Financiers transact deals.  

Over 300 transactions, representing an aggregate deal value of greater than $4.5 billion, have been completed on our platform.

GT Securities bankers:

  • Raise equity and debt capital (primary and secondary)
  • Execute upon business sale, acquisition and divestiture transactions (M&A)
  • Advise on both the sell and buy side

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