Bridge Capital Associates, Inc.

Investment Bankers and other professionals in the Private Equity and Mergers & Acquisition markets often encounter one final hurdle when it comes to closing the deal. They need a broker/dealer to supervise the transaction and meet the complex compliance requirements of the regulations and potential exemptions associated with the sale and purchase of a target company. The challenge often comes down to partnering with a broker/dealer that has deep regulatory experience, efficient paperless systems, veteran leadership, and most importantly, the creativity and willingness to get to “yes”.

Bridge Capital Associates was founded by Carrie Wisniewski, a former Senior Examiner at FINRA. After going into private practice in 1994, she began providing consulting services to Investment Bankers and other professionals who were interested in starting up their own broker/dealers. Easier said than done. The challenges of starting a broker/dealer have always been the time it takes to obtain an active registration, the allocation of staff, the potential for liability, the hiring or testing of multiple Series 24 principals, increasing regulatory scrutiny, and the development of operational systems and detailed written supervisory procedures. Because of these challenges, Wisniewski found that most of the Investment Bankers she was consulting with preferred to affiliate with a broker/dealer rather than build one or buy one of their own.

“As the broker-dealer backbone and partner, we free up our clients to do the things they’re good at, which is building relationships with the sell and buy-side parties and closing deals,” says Wisniewski, the President of Bridge Capital Associates.

Bridge Capital Associates is committed to fostering an environment of regulatory compliance complimented by a commonsense approach to problem solving and getting deals to the finish line. Over the years, the firm has developed a team of experienced CCO experts to provide compliance support to Investment Banking professionals working in the middle markets arranging for the private placement of equity and debt securities, and advising clients on mergers and acquisitions.

Mark Oswald, Bridge Capital Associate's Chief Compliance Officer, says, “Carrie and our experienced team have developed a highly successful philosophy when working with other industry professionals. By combining our more than 70 years of regulatory and compliance experience, we have the skill and drive to be a strong partner to our clients helping us to build relationships that ensure the true success of our partners in the long term”.

Wisniewski added, “we view the ever-evolving regulatory landscape in shades that are 10 percent black, 10 percent white, and 80 percent grey.” The firm’s expertise is helping to manage the grey areas and find solutions that meet the strict regulatory requirements while balancing risk and profitability. “That’s where we come in and thrive,” said Oswald.

Bridge Capital Associates allows investment bankers to conduct their investment banking and M&A activities in an environment conducive to emerging regulations. The firm caters to successful investment bankers and those who are seeking FINRA registration through the Series 79 or Series 82 examination. It also provides SEC-compliant chaperoning services to foreign brokers/dealers entering the U.S. capital markets.

Highlighting Bridge Capital Associates’ services is an instance where it assisted an investment banking group in building a niche market in the automotive industry. In this instance, it helped them develop internal processes, build a strong compliance structure, develop marketing and regulatory materials, and achieve tremendous success. Over the ensuing five years, the group became the preeminent investment banker in the US automotive space. Using Bridge Capital Associates as its backbone, the investment banking group succeeded in cornering the market and making record profits.

“What was so remarkable about their success was the balance between our collective creative thinking and mastering the regulatory challenges along the way”, Wisniewski said. “We found a pathway to ‘yes’ for every unique deal that was presented, nurtured an environment of strong compliance to manage risk and liability, and it resulted in above market returns for the bankers”, she added.

Central to the firm’s compliance systems is the paperless platform that has been created to communicate with investment bankers throughout the US and around the world. Oswald said, “it’s not at all uncommon for a partner to submit a marketing piece or offering memorandum for approval and get it back ready to use in a matter of hours, not days or weeks where a deal can get bogged down or even lost”.