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Investment Banking & Advisory

Equity Sales & Trading

Wealth Management

Team &
Approach

A seasoned team of investment banking and equity capital markets professionals provide companies with advice, planning and execution to  finance growth and options  across all market caps and sectors.

Public Offerings and Financings of Debt & Equity

Follow On Offerings
Secondary Offerings
Registered Directs
At-the-Market Offerings
Fixed Income Offerings

Private Placements of Debt & Equity

PIPEs
Special Purpose Acquisition Vehicles
Structured Securities
Senior, Second-Lien, Mezzanine Debt
Private Equity

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Advisory Services

Mergers & Acquisitions
Board Placement
Corporate Fairness Opinions
Balance Sheet and
Corporate Restructuring
Debt Restructuring
Capital Raising
Solvency Opinions
Listing on a NASDAQ/NYSE
Jobs Act Overview

See the types of industries and sectors in which we focus and excel.

Recent Transactions

Muscle Maker, Inc

$5,600,000

Follow-On Offering

September 2020

AZRX

$15,200,000

Sole Placement Agent

July 20, 2020

DemeRx, Inc.

$3,600,000

Nov 2019

DIP Financing

Muscle Maker, Inc

$7,700,000

Sole Underwriter

IPO

February 2020

AZRX

$6,154,000

PIPE

January 2020

EDNT

$2,100,000

PIPE

October 2019

 

 

EDNT

$1,930,000

Restructuring

October 2019

 

Summit Wireless

$1,750,000.00

Follow-On

October 16, 2019

Relmada

$5,441,838.00

Sole Placement Agent

PIPE

June 2019

Relmada

$5,126,007.40

Sole Placement Agent

PIPE

December 2018

Hancock Jaffe

$3,868,715

Follow-On Offer

Sole Bookrunner

June 2019

Summit Wireless Technologies

$5,420,715

Follow-On Offering

Sole Bookrunner

May 21, 2019

AZRX / Azur Rx

$2,800,000

Lead Manager

Follow-On Offering

May 9th 2019

AZRX / Azur Rx

$2,700,000

Lead Manager

Follow-On Offering

April 2nd 2019

HJLI / Hancock Jaffe

$2,700,000

Placement Agent

Follow-On Offering

March 16th  2019

HJLI / Hancock Jaffe

$2,700,000

Placement Agent

Follow-On Offering

March 16th  2019

Relmada

$5,126,007.40

Sole Placement Agent

PIPE

December 2018

EDNT

$1,930,000

Restructuring

October 2019

 

Summit Wireless

$1,750,000.00

Follow-On

October 16, 2019

Summit Wireless Technologies

$5,420,715

Follow-On Offering

Sole Bookrunner

May 21, 2019

EDNT

$2,100,000

PIPE

October 2019

 

 

Hancock Jaffe

$3,868,715

Follow-On Offer

Sole Bookrunner

June 2019

AZRX

$15,200,000

Sole Placement Agent

July 20, 2020

Relmada

$5,441,838.00

Sole Placement Agent

PIPE

June 2019

AZRX

$6,154,000

PIPE

January 2020

AZRX / Azur Rx

$2,700,000

Lead Manager

Follow-On Offering

April 2nd 2019

AZRX / Azur Rx

$2,800,000

Lead Manager

Follow-On Offering

May 9th 2019

Muscle Maker, Inc

$5,600,000

Follow-On Offering

September 2020

Muscle Maker, Inc

$7,700,000

Sole Underwriter

IPO

February 2020

DemeRx, Inc.

$3,600,000

Nov 2019

DIP Financing

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