Ballast Rock Capital was designed by industry veterans with deep experience in capital markets, M&A, risk management and securities regulations. Our team seeks to build your trust first and foremost, and truly understands that today’s investment banking professionals demand expertise and efficiency with the handling of their business.
Trust is earned through transparency, accountability, and consistent execution. We believe compliance should support professional judgment, not replace it
Our culture prioritizes doing what is right — for our professionals, counterparties, and regulators — even in complex or time‑sensitive transactions.
Our leadership brings extensive experience working directly with FINRA and the SEC across M&A, private placements, PIPEs, and registered offerings.
Our principals are involved throughout the transaction lifecycle — from pre‑deal structuring through closing and post‑transaction supervision.
We support a broad range of investment banking and capital‑raising activities, including:
Our approach integrates regulatory oversight with deal execution insight, enhancing credibility with investors, issuers, and regulators.
Our operations team provides hands‑on support across onboarding, transaction processing, supervision, and ongoing operational needs — reducing friction and allowing professionals to focus on execution.
We combine dedicated Series 24 oversight with practical, transaction-aware guidance designed for sophisticated deal professionals. Our involvement begins early and continues through execution and supervision — ensuring regulatory alignment without slowing momentum.
The result is disciplined infrastructure that supports confident capital formation.
CO-CCO (Chief Compliance Officer) and FinOp
Based in the San Francisco bay area, Dennis Azary is Co- Chief Compliance Officer and Financial Operations Principal (FINOP) of Ballast Rock Capital, LLC. Specializing in risk management, securities rules & regulations, and execution of compliant transactions involving mergers & acquisitions and private placements, Dennis is responsible for oversight of the firm’s regulated activities.
CO-CCO (Chief Compliance Officer)
A senior financial services professional with over 20 years of experience supporting investment banking transactions, including M&A, private placements, capital raises, pre-IPO offerings, and secondary transactions. She has extensive expertise supervising Regulation D offerings, conducting transaction-level due diligence, and guiding boutique investment banking firms through SEC and FINRA regulatory requirements.
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