Our goal is to identify and work with emerging growth companies led by committed, entrepreneurial management teams sharing our similar values and ethics. We then concentrate on what we do best – structuring and executing a custom tailored transaction that enables a company to satisfy its particular needs. We understand the challenges of building, financing and managing growth; and like our clients, we are committed to building our business by doing the right things with the right people.

Our services include:

- Private Placements / PIPES
- Mergers and Acquisitions
- Fairness Opinions and Valuations
- Industry Analysis and Projections
- 15c211 Filings
- We work closely with issuers in assisting them in their 15c211 filing. While acting as a liaison between the company and the NASD, our professionals work diligently in expediting the process.

 

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As a member of the Securities Investor Protection Corporation (SIPC) funds are available to meet customer claims up to a maximum of $500,000 in cash and securities with a $100,000 cash maximum. Additionally, our clearing firm holds Excess SIPC Insurance of $200,000,000 in the aggregate, over all customer accounts, subject to a maximum limit of $900,000 per Customer in respect to cash. This "Excess SIPC" protection is in addition to the protection provided by the Securities and Investors Protection Act, which is administered by SIPC and is subject to certain conditions and limitations, details of which are available upon request. Note SIPC and Excess SIPC provide coverage against loss of securities and cash, not against market depreciation, fluctuation in market value of your securities or a trading loss.