More about our History

When Joe Decosimo started the Decosimo CPA firm in 1971, it was with the goal of providing business owners and entrepreneurs with transaction advisory in addition to tax, audit and other traditional accounting services. In that spirit, Decosimo Corporate Finance was created as a division of the CPA firm to provide sell-side and buy-side advisory services, debt and equity capital sourcing, and business valuation to the firm’s clients and to the businesses throughout the firm’s practice region. The corporate finance division became a leader in the accounting profession in providing high-level sell-side, buy-side, and institutional debt and equity sourcing.

In 2009 DCF, LLC was established as a broker-dealer, member of FINRA,SIPC. Within a couple years DCF was approached by other CPA firms and independent investment bankers wishing to affiliate and be licensed through DCF. DCF accommodated these groups and realized there was great mutual benefit in DCF having a national network of affiliates.

When the Decosimo CPA firm merged in 2015, DCF became independent of the CPA firm.

We believe that providing sell-side advisory is the highest form of service to businesses and clients. DCF Affiliates are professionals, who as CPAs and independent investment bankers, provide years of accounting and tax experience, due diligence understanding, business valuation expertise and the knowledge and experience of preparing a company for sell and then executing a disciplined sell-side process in order maximize the value of an owner’s life’s working of building a business. DCF Affiliates seek to maximize our clients’ value by doing what we do best: conducting our disciplined sell-side process. Our process is comprehensive, minimizes disruption to our client’s daily operations, and is designed to maintain confidentiality and maximize value.

Thank you for visiting our website, we encourage you to look around to see what we’ve been doing lately.

 

REQUIREMENTS FOR SELL-SIDE ADVISORY

Sell-side advisory and debt and equity sourcing require the professional be licensed through the Financial Industry Regulatory Authority (FINRA). To be licensed, the professional must be affiliated with a broker-dealer. The affiliation is evidenced by an agreement between the broker-dealer and the registered representative.

The licensing process begins with the preparation of the U-4 form that must be completed and submitted through the Broker Dealer. The U-4 opens up three exams, the first of which is the Securities Industries Essentials Exam (SIE). The other two exams opened by the U-4 are the Series 79, Investment Banking Representative, and the Series 63, Uniform State License. The Series 82, Private Securities Offerings Representative, is required to place institutional debt and equity securities, if the registered representative does hold the Series 7, General Securities License.

Please call Tom Decosimo at 423-266-4000 for more information about the affiliation agreement and other requirements of being an investment banking registered representative. We would be please to send you “Sell-Side Advisory and Affiliation with DCF, LLC”.

 

 

DCF, LLC provides its affiliates the ability to obtain and continue to provide sell-side advisory and institutional debt and equity sourcing for their clients. DCF is a Capital Acquisition Broker (CAB) as provided by Regulatory Notice 16-37. As a CAB, DCF limits its, and its affiliates, activities to advising a company regarding its purchase or sale of a business or assets or regarding its corporate restructuring, including a going-private transaction, divestiture or merger; assisting in the preparation of offering materials on behalf of an issuer; providing negotiation and structuring services; and qualifying, identifying, soliciting, or acting as a placement agent or finder on behalf of an issuer in connection with a sale of newly-issued, unregistered securities to institutional investors or on behalf of an issuer or a control person in connection with a change of control of a privately-held company.

Contact Us

DCF, LLC, 819 Broad Street,
Chattanooga, TN, 37402
T: 423-266-4000

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