Fundraisers / Keefe, Bruyette & Woods, Inc.
FundraiserRegistered broker-dealer
Keefe, Bruyette & Woods, Inc.
FINRA 481 · placing rounds since Oct 2016
10company rounds placed
2in the last two years, last Mar 2026
$620Msold in the rounds they placed
2.5%typical commission; the median firm takes 4.9%
Named on 75 Form D filings as paid to sell the offering: 10 for operating companies, 2 for funds, 63 for real estate. 2 registered agents named.
Quarter by quarter
Company rounds they placed in each quarter, from the filings.
125Q2126Q1
What they place
- Other Banking and Financial Services73%
- Insurance9%
- Investment Banking9%
- Other9%
How big the rounds are
- Under $1M0
- $1M to $5M2
- $5M to $20M2
- $20M to $100M4
- $100M+3
Where the companies are
NY2CT1FL1LA1MA1CO1MS1NC1
Rounds they placed
FiledIssuerIndustrySold
Mar 2026DMMS Purchaser, Inc.Other$171M
Mar 2026BancIndependant, IncCommercial Banking$40M
Dec 2025Northrim Bancorp IncCommercial Banking$60M
Dec 2025Bank of Marin BancorpCommercial Banking$45M
Oct 2025Luna Parent, Inc.Commercial Banking$30M
Sept 2025Horizon Bancorp Inc /In/Commercial Banking$100M
Sept 2025Smartfinancial Inc.Agents: N/ACommercial Banking$100M
Jun 2025Alcar Inc.Other Banking and Financial Services$11M
Jun 2025Chemung Financial CorpCommercial Banking$45M
Oct 2024Eagle Bancorp IncCommercial Banking$78M
Dec 2022Patriot National Bancorp IncCommercial Banking$12M
Dec 2022First Western Financial IncCommercial Banking$20M
Nov 2022Coastal Financial CorpCommercial Banking$20M
Aug 2022Bankwell Financial Group, Inc.Commercial Banking$35M
Aug 2022Oakworth Capital, Inc.Commercial Banking$35M
Aug 2022Five Star BancorpCommercial Banking$75M
Jun 2022John Marshall Bancorp, Inc.Commercial Banking$25M
May 2022Heritage Commerce CorpCommercial Banking$40M
Apr 2022First Carolina Financial Services, Inc.Commercial Banking$32M
Apr 2022First Carolina Financial Services, Inc.Commercial Banking$115M
Mar 2022First Business Financial Services, Inc.Commercial Banking$13M
Mar 2022First Business Financial Services, Inc.Commercial Banking$20M
Mar 2022ANB Corp (TX)Agents: N/ACommercial Banking$30M
Mar 2022Guaranty Bancshares Inc /Tx/Commercial Banking$35M
Jan 2022CBX CorpAgents: PATRICK RICHARD KOSTERCommercial Banking$20M
Jan 2022Firstsun Capital BancorpCommercial Banking$25M
Jan 2022Congressional Bancshares, Inc.Commercial Banking$125M
Dec 2021Civista Bancshares, Inc.Agents: Keefe, Bruyette & Woods, Inc.Commercial Banking$75M
Nov 2021Central Valley Community BancorpCommercial Banking$35M
Oct 2021Bankwell Financial Group, Inc.Commercial Banking$35M
Oct 2021Sierra BancorpCommercial Banking$50k
Sept 2021First Western Financial IncCommercial Banking$15M
Sept 2021Coastal Financial CorpCommercial Banking$25M
Jul 2021Nicolet Bankshares IncCommercial Banking$100M
Jun 2021Capital Funding Bancorp, Inc.Commercial Banking$30M
Apr 2021Old Second Bancorp IncCommercial Banking$60M
Apr 2021Broadway Financial Corp \De\Commercial Banking$33M
Jan 2021Parkway Bancorp Inc/IlCommercial Banking$17M
Jan 2021Peapack Gladstone Financial CorpCommercial Banking$100M
Dec 2020Trinity Capital Inc.Pooled Investment Fund$10M
From the SEC's Form D data sets: the issuer named this firm as paid to sell the offering. The latest 40 shown.
Often on the same rounds
Other fundraisers named on the same filings: the firms they syndicate with.
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