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Sequence Financial Specialists
Sequence Financial Specialists LLC structures itself as a hybrid broker-dealer and investment bank based in Florence, South Carolina.
Sequence Financial Specialists
Sequence Financial Specialists LLC structures itself as a hybrid broker-dealer and investment bank based in Florence, South Carolina. The firm targets companies in manufacturing, distribution, and service industries — the kind of lower-middle-market businesses that rarely attract bulge-bracket attention but generate steady cash flows. Sequence provides M&A advisory, private equity transaction support, and debt-financing placement, positioning itself as a transactional bridge for owner-operators seeking exits or growth capital. Sequence's capital-formation practice relies heavily on Regulation A+ and Regulation D exemptions, which allow the firm to raise capital from accredited and non-accredited investors without full SEC registration. Its EB-5 immigration investment support adds a distinct sourcing channel: the firm facilitates job-creating investments that qualify foreign nationals for US permanent residency, often channeled into real estate or operating-company projects. The firm also places high-net-worth clients into alternative investments, functioning as an intermediary between individual accredited investors and private offerings across private credit, real estate, and insurance-linked strategies. The firm's geographic footprint is concentrated in the southeastern United States, with its headquarters in Florence serving as the operational hub. Sequence does not publicly disclose assets under management, total capital deployed, or headcount, which is consistent with a privately held broker-dealer that transacts on behalf of clients rather than managing pooled vehicles. The firm's principal relationships include corporate clients seeking growth or exit financing, sponsors structuring exempt offerings, and individual investors pursuing alternative-exposure or immigration-linked investments. Sequence's structural differentiator is its bundle of lower-middle-market investment banking with EB-5 capital raising — a pairing rarely found in any single broker-dealer. Most EB-5 regional centers operate as standalone ventures, while most small investment banks avoid the regulatory complexity of the EB-5 program. By housing both under one roof, Sequence can offer business owners a dual-track capital solution: domestic private placements alongside immigrant-investor equity. The firm's long-term viability likely depends on the political weather around the EB-5 program, which Congress has reauthorized several times but remains subject to legislative renewal.
General information
Firm type
Asset Manager
Year founded
—
AUM
Undisclosed
Location
Region
North America
Country
United States
City
Florence
Corporate office
Florence, SC, United States
Sector focus
Frequently asked questions
How does Sequence Financial Specialists structure its EB-5 practice?
Sequence operates as a managing broker-dealer that pairs EB-5 immigrant-investor capital with qualifying US-based enterprises, typically in real estate or operating companies in manufacturing and services. The firm is not itself a regional center but facilitates securities offerings under Reg D and Reg A+ that comply with EB-5 job-creation and investment thresholds. Investors receive securities in the underlying projects while the firm earns placement fees on capital raised.
What types of companies does Sequence work with?
Sequence targets small-to-middle-market companies with EBITDA or net income between $1 million and $20 million, primarily in manufacturing, distribution, and service industries. Its services span sell-side M&A advisory, debt-financing placement, and private equity transaction support. The firm acts as a transaction intermediary for founder-owned businesses that may lack existing relationships with larger investment banks.
What is Sequence's regulatory status?
Sequence Financial Specialists LLC is a FINRA-registered broker-dealer, which means it is subject to Securities and Exchange Commission and FINRA oversight in its securities-offering activities. This registration is mandatory for any firm that earns transaction-based compensation from securities sales, including the Reg A+ and Reg D offerings that form the core of its capital-raising practice.
Does Sequence manage assets or operate funds?
Sequence does not publicly disclose operating any pooled investment funds or managing assets on a discretionary basis. The firm functions primarily as a placement agent and advisor, earning fees for brokering transactions rather than collecting management fees on committed capital. Its alternative-investment activity involves placing high-net-worth clients into third-party offerings rather than sponsoring proprietary vehicles.
What investment strategies does Sequence offer to its high-net-worth clients?
The firm places accredited investors into alternative investments that include private credit, real estate, and insurance-linked or reinsurance-risk strategies. These placements are typically structured as direct co-investments or special-purpose vehicles under Reg D exemptions. Sequence does not publicly disclose the specific managers or sponsors whose offerings it distributes.
Is Sequence affiliated with any larger financial institution?
No public affiliation with a larger bank, asset manager, or financial holding company has been disclosed. Sequence appears to operate as an independent broker-dealer headquartered in Florence, South Carolina. Its principal lines of business — lower-middle-market M&A and EB-5 capital raising — are consistent with an owner-operated firm rather than a subsidiary of a larger institution.
What is Sequence's geographic coverage?
Sequence's primary market is the United States, with a concentration in the Southeast given its South Carolina headquarters. The EB-5 practice necessarily involves foreign investors — primarily from China, South Korea, and other EB-5 source countries — but the firm's advisory activities focus on US-based middle-market companies. No additional US or international offices are publicly confirmed.
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