# Ladenburg Thalmann & Co. Inc.: fundraiser

> Ladenburg Thalmann & Co. Inc. placed 54 company rounds filed with the SEC, most recently Jan 2026. Who they placed, by sector and size.

Source: https://millionrounds.com/providers/ladenburg-thalmann-and-co-inc-3 (Millionrounds; every figure on the page links to its filing or article)

[Fundraisers](https://millionrounds.com/fundraisers) / Ladenburg Thalmann & Co. Inc.

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# Ladenburg Thalmann & Co. Inc.

FINRA 505 · placing rounds since May 2016

[Q1 2026 **#3 placement agent in Other Health Care**](https://millionrounds.com/rankings)

**54** company rounds placed

**7** in the last two years, last Jan 2026

**$376M** sold in the rounds they placed

**8.0%** typical commission; the median firm takes 4.9%

Named on 57 Form D filings as paid to sell the offering: 54 for operating companies, 3 for real estate. 1 registered agent named.

## Quarter by quarter

Company rounds they placed in each quarter, from the filings.

**4** 23Q2 **4** 24Q1 **4** 24Q2 **2** 24Q3 **2** 24Q4 **1** 25Q2 **2** 25Q3 **2** 25Q4 **1** 26Q1

## What they place

- Biotechnology **50%**
- Pharmaceuticals **29%**
- Other Health Care **13%**
- Other Technology **6%**
- Other **2%**

## How big the rounds are

- Under $1M **5**
- $1M to $5M **25**
- $5M to $20M **22**
- $20M to $100M **8**
- $100M+ **0**

## Where the companies are

**CA** 22 **MN** 7 **MA** 7 **NY** 4 **UT** 3 **FL** 2 **CO** 2 **NC** 1

## Rounds they placed

[Company rounds](https://millionrounds.com/providers/ladenburg-thalmann-and-co-inc-3)[Everything, funds and real estate too](https://millionrounds.com/providers/ladenburg-thalmann-and-co-inc-3?show=all)

Filed Issuer Industry Sold

Jan 2026 Intelligent Bio Solutions Inc. Other Health Care **$10.0M**

Oct 2025 Akari Therapeutics Plc Other Health Care **$6.3M**

Oct 2025 Kopin Corp Other Technology **$41M**

Sept 2025 Peraso Inc. Other Technology **$1.3M**

Aug 2025 Intelligent Bio Solutions Inc. Other Health Care **$3.8M**

May 2025 MetaVia Inc. Biotechnology **$10M**

Nov 2024 Nuwellis, Inc. Other Health Care **$3.8M**

Nov 2024 Peraso Inc. Other Technology **$7.5M**

Sept 2024 Nuwellis, Inc. Other Health Care **-**

Aug 2024 Biodexa Pharmaceuticals Plc Pharmaceuticals **$5.0M**

Jun 2024 NovaBay Pharmaceuticals, Inc. Pharmaceuticals **$226k**

Jun 2024 Calidi Biotherapeutics, Inc. Biotechnology **$5.5M**

May 2024 Palisade Bio, Inc. Biotechnology **$4.0M**

Apr 2024 NovaBay Pharmaceuticals, Inc. Pharmaceuticals **$665k**

Mar 2024 Intelligent Bio Solutions Inc. Other Health Care **$10M**

Feb 2024 Palisade Bio, Inc. Biotechnology **$2.5M**

Feb 2024 Mobilicom Ltd Other Technology **$2.9M**

Jan 2024 NovaBay Pharmaceuticals, Inc. Pharmaceuticals **$555k**

Jun 2023 Biodexa Pharmaceuticals Plc Pharmaceuticals **$3.3M**

May 2023 NovaBay Pharmaceuticals, Inc. Pharmaceuticals **$3.0M**

Apr 2023 Palisade Bio, Inc. Biotechnology **$4.0M**

Apr 2023 Ra Medical Systems, Inc. Biotechnology **$8.0M**

Feb 2023 Midatech Pharma Plc Pharmaceuticals **$6.0M**

Jan 2023 Palisade Bio, Inc. Biotechnology **$2.5M**

Sept 2022 NovaBay Pharmaceuticals, Inc. Pharmaceuticals **$2.1M**

Sept 2022 NovaBay Pharmaceuticals, Inc. Pharmaceuticals **$3.3M**

Aug 2022 Ra Medical Systems, Inc. Biotechnology **$6.2M**

May 2022 Palisade Bio, Inc. Biotechnology **$2.4M**

May 2022 Salarius Pharmaceuticals, Inc. Biotechnology **$2.3M**

Nov 2021 NovaBay Pharmaceuticals, Inc. Pharmaceuticals **$15M**

May 2021 Immunome Inc. Biotechnology **$27M**

Aug 2020 Hancock Jaffe Laboratories, Inc. Biotechnology **$1.6M**

Jul 2020 Tenax Therapeutics, Inc. Pharmaceuticals **$5.2M**

May 2020 CHF Solutions, Inc. Biotechnology **$1.7M**

May 2020 Viveve Medical, Inc. Biotechnology **$3.2M**

Apr 2020 CHF Solutions, Inc. Biotechnology **$2.2M**

Mar 2020 CHF Solutions, Inc. Biotechnology **$1.2M**

Nov 2019 CHF Solutions, Inc. Biotechnology **$1.4M**

Nov 2019 CHF Solutions, Inc. Biotechnology **$663k**

Oct 2019 Aytu Bioscience, Inc Pharmaceuticals **$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.

[**Roth Capital Partners, LLC** 2 rounds together](https://millionrounds.com/providers/roth-capital-partners-llc)[**H.C. Wainwright & Co., LLC** 2 rounds together](https://millionrounds.com/providers/h-c-wainwright-and-co-llc)[**Craig-Hallum Capital Group LLC** 1 round together](https://millionrounds.com/providers/craig-hallum-capital-group-llc)[**Katalyst Securities LLC** 1 round together](https://millionrounds.com/providers/katalyst-securities-llc)[**Lake Street Capital LLC** 1 round together](https://millionrounds.com/providers/lake-street-capital-llc)[**Nomura Securities International, Inc.** 1 round together](https://millionrounds.com/providers/nomura-securities-international-inc)

## Founders who worked with them

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