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COMPLIANCE RISK MANAGEMENT AND REGULATORY ADVISORY SERVICES COPMANY Northeastern US #68499 BUSINESS HIGHLIGHTS This privately‐owned Company was founded in 2009 and specializes in providing regulatory compliance support for financial firms. The Company offers a suite of products and services dedicated to municipal advisors, asset managers, and broker‐dealers. The Company serves financial firms encompassing bouque advisors to large broker‐dealers, with emphasis on compliance in the municipal market and financial regulaons. The focus of the Company is to provide the required services to help clients maintain compliance with the key regulatory bodies that oversee the securies industry, which include FINRA (Financial Industry Regulatory Authority), MSRB (Municipal Securies Rulemaking Board), and the SEC (Securies and Exchange Commission). Ray Palombi Senior M&A Advisor Email: rpalombi@generaonal.com Phone: 201‐961‐2865 INVESTMENT BANK OF THE YEAR 2016 - 2017 - 2018 - 2022 - 2024 DISCLAIMER: All informaon contained in this document has been provided by the subject company to Generaonal Equity and while believed to be correct has not been verified. Accordingly, Generaonal Equity makes no representaons or warranes as to the accuracy and truthfulness of such informaon. The recipient hereof acknowledges that Generaonal Equity shall not be liable for any loss or injury suffered by said recipient in any way connected to the delivery by Genera‐ onal Equity of this document. At all mes Generaonal Equity and/or its affiliate network members are agents for the seller and not for the buyer. Generaonal Equity's fees are paid by the seller. REVENUE / EBITDA INVESTMENT APPEAL Exceponal Business Segment. Regulatory compliance requirements are developed and enforced through federal regulaon. The market is invulnerable to the risks of a business cycle. Experienced Staff for Succession. The Company has a depth of technical staff to posion it for seamless acquision. Stable Customer Base. The Company has long‐term relaonships that drive recurring revenue and client referrals. Addionally, the large number of acve accounts ensures that the revenue base is not concentrated with a small number of clients. Significant Growth Opportunies. The Company's growth has been completely organic (referral) and market penetraon is low. A markeng program would easily aract new clients and there is no market constraint. Generaonal Equity 125 Park Avenue , 25th Floor New York, NY 10017 SIGN NDA ► $1.5M 2025 Revenue (Proj.) $546K 2025 EBITDA (Proj.) REVENUE SOURCES Municipal Advisors 90% Broker‐Dealers 9% An‐Money Laundering 1% CUSTOMER MARKETS Municipal Advisors 90% Broker‐Dealer 10% EXPERIENCED TEAM Owner 1 Operaons Management 1 Compliance Advisors 4 Administraon 2 SELECT CLIENT RELATIONSHIPS ACTIVE ACCOUNTS 2024 60 FINANCIAL PERFORMANCE