The BDOS is not a generic CRM or document storage system retrofitted for compliance. It’s the product of two decades of operational insight, designed by a broker-dealer for broker-dealers, to handle the unique demands of regulated fundraising.
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In the highly regulated world of capital markets, speed, compliance, and control are the pillars of a broker-dealer’s success. For too long, broker-dealers have relied on fragmented tools; spreadsheets, shared drives, email archives, and disconnected databases to manage issuers, store investor data, and prepare for audits.
Dalmore Group has been a FINRA-registered broker-dealer for over 20 years. Over that time, we’ve managed hundreds of offerings, thousands of investors, and billions in transactions and we saw first-hand that no existing system could handle the scale, complexity, and compliance requirements of modern online fundraising.
So, we built our own.
The Dalmore Group Broker Dealer Operating System (BDOS) is a proprietary, turn-key compliance and issuer management platform designed from the ground up based on over two decades of broker-dealer experience.
It is the brain of our firm, powering everything from real-time investor review to secondary trade approvals.
A common operational challenge for any broker-dealer is keeping every required record organized, accessible, and audit-ready. The BDOS solves this by centralizing all FINRA- and SEC-mandated data into one secure, unified environment, eliminating the scattered folders, drives, and spreadsheets that most firms rely on.
At the core of the system is a structured framework that keeps every category of information exactly where it belongs, including:
Instead of stitching together Google Drive, Dropbox, Excel, and email threads, everything your firm needs now lives in one place — organized, secure, and instantly retrievable when regulators ask.
For select offerings, Dalmore Portal connects directly into the BDOS, creating a continuous and compliant flow of investor data from the moment someone begins the checkout process. This integration allows our compliance team to oversee investments in real time and maintain full regulatory consistency across the entire lifecycle of the transaction.
Through this connection, issuers benefit from:
The result is a fully connected compliance engine behind your investor experience — fast, accurate, and built for audit readiness.
Should an issuer or marketplace create their own investment technology and need a broker-dealer supprt, direct connection to your proprietary investment will flow directly to our system through API, allowing Dalmore Group to handle compliance oversight without disrupting your product vision.
With the BDOS API framework, issuers can:
This approach gives issuers the freedom to innovate while ensuring every investment remains compliant, audit-ready, and fully supervised under Dalmore Group’s broker-dealer umbrella.
For issuers offering secondary liquidity through an Alternative Trading System (ATS), the BDOS serves as the compliance checkpoint that ensures every transaction meets regulatory standards before it settles. Rather than operating in a silo, all secondary trading activity flows directly into the BDOS, giving our compliance team full visibility into each trade.
Through this process, the BDOS enables Dalmore Group to:
With BDOS acting as the oversight layer, issuers can offer secondary liquidity confidently, knowing that every trade is monitored, reviewed, and documented in accordance with FINRA and SEC requirements.
The BDOS is designed to give broker-dealers everything they need to operate efficiently, respond to regulators quickly, and manage issuers end-to-end—all within a single, secure environment. When regulators request information, the system can generate audit-ready reports in minutes, pulling investor lists, offering summaries, trade histories, and even historical marketing approvals with a simple search. Every action taken in the BDOS is captured in a timestamped audit log, ensuring full traceability.
Issuers and broker-dealers also retain complete control over their data. All information stored in the BDOS is encrypted in transit and at rest, easily exportable at any time, and governed by granular permission settings so teams can manage internal access without relying on external storage providers.
The BDOS solves the biggest pain points broker-dealers face today:
Whether you’re running your offerings through Dalmore Portal or your own custom platform, the BDOS ensures that every investment, every trade, and every document is compliant, secure, and ready for regulatory review.
Securities offered by Dalmore Group LLC. Member FINRA/SIPC BrokerCheck
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