Fundraisers / Finalis Securities LLC
FundraiserRegistered broker-dealer
Finalis Securities LLC
FINRA 305908 · placing rounds since Nov 2021
17company rounds placed
9in the last two years, last Mar 2026
$245Msold in the rounds they placed
4.5%typical commission; the median firm takes 4.9%
Named on 56 Form D filings as paid to sell the offering: 17 for operating companies, 20 for funds, 19 for real estate. 21 registered agents named.
Quarter by quarter
Company rounds they placed in each quarter, from the filings.
224Q2124Q3324Q4125Q1125Q2125Q3125Q4226Q1
What they place
- Other Technology35%
- Biotechnology18%
- Other Energy18%
- Other12%
- Agriculture6%
- Other Health Care6%
- Retailing6%
How big the rounds are
- Under $1M2
- $1M to $5M7
- $5M to $20M4
- $20M to $100M3
- $100M+0
Where the companies are
NY3CA3MA2NC2MN1NM1OH1WA1
Rounds they placed
FiledIssuerIndustrySold
Mar 2026MadeInUSA.com LLCAgents: Matthew Bartley JohnsRetailing$3.9M
Jan 2026Otay Village 8 III Lender, LLCResidential$8.8M
Jan 2026Orenda, Inc.Agents: Finalis Securities LLCOther Energy$10M
Dec 2025Armonica Technologies, Inc.Agents: TCB Capital Advisors Inc.Biotechnology$4.2M
Nov 2025Arkview Capital Fund I NT LPPooled Investment Fund$114M
Oct 2025Axv Spv Ii, LLCPooled Investment Fund-
Jul 2025Burnt Island Ventures Fund II-A, LPAgents: JOHN DONALD DELL, NICHOLAS WILLIAM DELLPooled Investment Fund$5.0M
Jul 2025Terrestrial Energy Inc.Agents: Murat ArmbrusterOther Energy$26M
May 2025MoveJoy, IncAgents: Tyler CresswellOther Technology-
Mar 2025Terrestrial Energy Inc.Agents: Murat ArmbrusterOther Energy$16M
Mar 2025RV II The Wellness Fund LPAgents: Big Path CapitalPooled Investment Fund-
Jan 2025Tanglin Venture Fund III Limited PartnershipAgents: Marcena CapitalPooled Investment Fund-
Dec 2024Northwest Mills & Specialty Grains SPCAgriculture$3.9M
Oct 2024Onconetix, Inc.Biotechnology$2.0M
Oct 2024Bioventrix, Inc.Agents: THOMAS C. ARMSTRONGOther$125k
Oct 2024Burnt Island Ventures Opportunity Fund I, LPAgents: JOHN DONALD DELL, NICHOLAS WILLIAM DELLPooled Investment Fund$5.1M
Aug 2024Roboflow, Inc.Agents: Aaron HarrisOther Technology$37M
Jun 2024Cityfunds Yield, LLCAgents: Deyon RobertsonPooled Investment Fund$1.2M
Jun 2024Lexington Wellness Holdings Inc.Agents: David Stevenson, Ronald David Kirby, Ryan CalhounOther Technology$32M
Jun 2024Acuamark Diagnostics, Inc.Other Health Care$4.9M
Jun 2024Inter-Atlantic Fund X, L.P.Pooled Investment Fund-
May 2024SGV28, a series of SGV I, LLCAgents: Finalis Securities, LLCPooled Investment Fund$3.6M
Apr 2024Otay Village 8E Lender, LLCResidential$1.2M
Mar 2024SGV27, a series of SGV I, LLCAgents: Finalis Securities, LLCPooled Investment Fund$1.7M
Jan 2024Axv Spv I, LLCPooled Investment Fund$150k
Jan 2024WindSail Climate Capital Fund II, L.P.Pooled Investment Fund$25M
Dec 2023Rise Town East Partners, LLCResidential$19M
Nov 2023Cityfunds Portfolio Fund, LLCAgents: Deyon RobertsonPooled Investment Fund$660k
Sept 2023Rose Affordable Housing Preservation Fund VI REIT, L.P.Pooled Investment Fund-
Sept 2023Rose Affordable Housing Preservation Fund VI, L.P.Pooled Investment Fund-
Jul 2023Rise North Arlington Partners, LLCAgents: Spencer HilligossResidential$24M
May 2023Rise Bedford Partners, LLCAgents: Spencer HilligossResidential$25M
Apr 2023SROA Capital Fund IX (Parallel A), LPAgents: Christopher McGheePooled Investment Fund-
Apr 2023SROA Capital Fund IX, LPAgents: Christopher McGheePooled Investment Fund-
Apr 2023HIPstr Early Stage Fund I-A, L.P.Agents: Max W. SchapiroPooled Investment Fund-
Mar 2023KO Storage Fund III, LLCAgents: Spencer Hilligoss d/b/a Madison InvestingOther Real Estate-
Mar 2023KO Storage Fund III, LLCAgents: Spencer Hilligoss d/b/a Madison InvestingOther Real Estate-
Feb 2023Rise Highland Partners, LLCResidential$25M
Dec 2022Intrinsic Health Partners Ii, L.P.Agents: Thomas HermanPooled Investment Fund$47M
Nov 2022Ashcroft Value-Add Fund III, LPResidential-
From the SEC's Form D data sets: the issuer named this firm as paid to sell the offering. The latest 40 shown.
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