From SEC filings

The people paid to place rounds.

Broker-dealers paid to sell private rounds, from the forms companies file with the SEC when they raise. Who placed what, at which stage and in which sector, as filed.

See the 1,442 fundraisersThis quarter's rankings

Placements filedForm D, latest first

31 MarA.G.P./Alliance Global PartnersplacedIceCure Medical Ltd.$4.0M

31 MarPerformance Trust Capital Partners, LLCplacedDMMS Purchaser, Inc.$171M

27 MarOdeon Capital Group LLCplacedBattery Mineral Resources Corp.$6.5M

27 MarMarco Polo Securities Inc.placedEloro Resources Ltd.$3.0M

27 MarEaton Partners LLCplacedCVW Sustainable Royalties Inc.$7.5M

26 MarThe Tidal Group, Inc.placedTidal Petroleum Inc$126k

26 MarBMO Nesbitt Burns Inc.placedKingfisher Metals Corp.$945k

26 MarRothschild & Co US Inc.placedSteno Agency, Inc.$49M

26 MarLifeSci Capital, LLCplacedPacegenix, Inc.$23M

25 MarSCA Development, LLCplacedGreenville Surgery Center, LLCundisclosed

25 MarSCA Development, LLCplacedConnecticut Surgery Center, Limited Partnership$63k

25 MarCharles WorthmanplacedLongeveron Inc.$16M

25 MarSCA Development, LLCplacedRiver Valley ASC, LLCundisclosed

25 MarFirst Liberties Securities, Inc.placedCarver Edison, Inc.$185k

25 MarLeerink Partners LLCplacedAN2 Therapeutics, Inc.$40M

25 MarGrant Williams L.P.placedLandline Co$1.4M

1,442firms that placed a company round
431placed one in the last two years
11,681company rounds placed, all time
4.9%median commission, as filed

What they place

Company rounds placed in the last two years, by industry.

  1. Other Technology227
  2. Other Health Care197
  3. Biotechnology182
  4. Oil and Gas103
  5. Other Banking and Financial Services94
  6. Pharmaceuticals78
  7. Other Energy54
  8. Manufacturing40

Where the companies are

The issuer's state, from the same filings.

CA214TX194NY153FL117NJ64MA60PA56IL37MN36CO30

The fundraisers 1,442

Most active, last 2 yearsMost company rounds everMost recent

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Is this your firm?

Fundraisers are listed from SEC filings. If you place rounds and are registered, claim your page. Free to list.

Questions

Where do these come from?

The SEC's Form D: when a company raises privately and pays a broker-dealer to sell the round, the filing names the firm and its commission. We count original filings, not amendments.

Is a percentage fee legal?

In the US, being paid a share of the money raised generally requires broker-dealer registration. Every firm here is registered; that is why it appears on a Form D.