finLEET
◆ POWERED BY THE FINLEET TERMINAL

Sales & Product Intelligence
Built on Regulated Financial Data.

Institutions operate in silos. Risk does not. Regulators follow the paper trail.

Finleet follows the data.

◆ ENTITIES
Every Regulated Institution
Banks, Credit Unions, Registered Investment Advisors, Broker Dealers, Futures Commission Merchants, Funds, Municipal Advisors.
◆ PEOPLE
Every Registered Professional
Exams, registrations, firm history, disclosures.
◆ FILINGS
Historical Regulatory Record
Annual filings, enforcement, corporate actions.
◆ GEOGRAPHY
North America
United States and Canada, every regulator.
NORTH AMERICA COVERAGE

Showcasing regulatory institutions and professionals across the United States and Canada

FINRA SEC FDIC NCUA OCC CFTC FRB NFA MSRB CIRO OSFI
◆ 01 · THESIS

Why the Terminal Exists

All of finance is interconnected. Transparency is hidden behind unstructured data, messy PDFs, and silos.

The Finleet Terminal stitches together regulatory filings, governance data, enforcement actions, and institutional behavior across every major regulator in North America into one intelligence fabric.

This is strategic intelligence, not just due diligence. It is not designed for casual investors or retail audiences.

◆ 02 · AUDIENCE

Who Uses Finleet

SALES & PRODUCT
Build the business case

Evaluate new product lines. Map competitor positioning. Determine buy vs. build.

CAPITAL MARKETS
Track every counterparty

Institutional knowledge of clearing, custody, prime brokerage, and execution counterparties.

COMPLIANCE & RISK
Full-stack visibility

Filings, structure, governance, enforcement, and behavior across the entire market.

RESEARCH & TALENT
Find the decision makers

Search registered financial professionals by role, tenure, certifications, and career history.

VENDORS
Screen and source your next client

Find the financial institutions buying your product. Build a target list, track growth, and know who is hiring for the role your software solves.

CFOs & TREASURY
Evaluate your counterparties

Before you wire funds or open an account, know who you are dealing with. Financial health, enforcement history, ownership, and executive stability.

FOUNDERS
Research your investors

Look up venture capital firms before you take the meeting. Verify track records through Form D filings and know who is actually deploying capital.

RECRUITMENT FIRMS
Source talent faster

Find the most placeable candidates for your clients. Filter registered financial professionals by license, exam history, firm tenure, and disclosures — narrow down to exactly who can legally step into the seat.

◆ 03 · COVERAGE

Across North America

United States
  • Banks — FDIC, OCC, Federal Reserve
  • Credit Unions — NCUA
  • Registered Investment Advisors — SEC, Form ADV
  • Broker Dealers — FINRA, X-17A-5
  • Futures Commission Merchants — CFTC, NFA
  • Private Funds — SEC Form D, Form PF
  • Municipal Advisors — MSRB
  • Transfer Agents, Scholarship Plans, Fund Administrators
Canada NEW
Every dealer and adviser category across the national registration system, tracked through the post-IIROC/MFDA consolidation into CIRO.
  • Investment Dealers
  • Mutual Fund Dealers
  • Exempt Market Dealers
  • Portfolio Managers
  • Investment Fund Managers
  • Derivatives Dealers & Portfolio Managers
  • Commodity Trading Managers
  • Scholarship Plan Dealers
  • Restricted Dealers & Portfolio Managers
  • International Dealer & Adviser Exemptions
  • Scholarship & Crowdfunding Portal Exemptions
  • Plus every registered individual and disciplinary history
Also: Office of the Superintendent of Financial Institutions (OSFI) regulated banks across all provinces and territories.
◆ 04 · IDENTIFIER

One Identifier.
Every Entity. Every Person. Every Field.

Every entity and individual in Finleet is assigned a Financial Unique Identifier (FUID) — a persistent ID that tracks them across regulatory filings, corporate structures, and career moves.

When a bank changes its charter, a Registered Investment Advisor merges with a Broker Dealer, or an executive moves from a credit union to a private fund, the FUID follows. No more fragmented records. No more lost history.

The FUID extends to data fields too. Query "Total Assets" and get results whether it's a bank, credit union, or broker-dealer — no need to memorize the NCUA 5300, FDIC Call Report, or FOCUS report data dictionaries. One unified schema across all regulatory domains.

◆ 05 · LIVE FEED

Real-time Regulatory Ticker

The Terminal runs a continuous regulatory ticker that surfaces events the moment they're detected — not hours later in an email digest. Not days later in a research report. As they happen.

New firm registrations, advisor moves, enforcement actions, MPID changes, charter conversions, executive departures, FOCUS report filings, merger activity — across every regulator, in one continuous feed.

◆ LIVE REGULATORY FEED ● ACTIVE
14:23:01 NEW_FIRM FINRA approved registration · CRD 321589
14:22:47 EXEC_MOVE CCO departed RAYMOND JAMES FINANCIAL SERVICES
14:21:12 ENFORCEMENT FINRA fine issued — supervisory failures
14:19:58 FOCUS_REPORT X-17A-5 filed · Material weakness: N
14:18:33 CIRO_NEW Dealer member registration · Ontario
◆ 06 · BUILT BY AN OPERATOR

Built by a 25-year capital markets operator.

Finleet was built by Farah Kamal — a Bay Street veteran who ran trading desks through the 2008 crash, managed the MF Global bankruptcy wind-down (7 conversions in 2 weeks), launched Wealthsimple's options trading and securities lending desks, and implemented Broadridge Book of Record systems for National Bank and CIBC.

She knows the data because she built the systems that create it.

"When the screens went red, I was on the desk."
Read Farah's full story

Institutional intelligence,
at the speed of the market.