Fundraisers / Southwest Securities Inc
FundraiserRegistered broker-dealer
Southwest Securities Inc
FINRA 6220 · placing rounds since Nov 2016
5company rounds placed
1in the last two years, last Jan 2025
$134Msold in the rounds they placed
0.2%typical commission; the median firm takes 4.9%
Named on 15 Form D filings as paid to sell the offering: 5 for operating companies, 9 for funds, 1 for real estate. 1 registered agent named.
Quarter by quarter
Company rounds they placed in each quarter, from the filings.
125Q1
What they place
- Other Banking and Financial Services80%
- Other20%
How big the rounds are
- Under $1M0
- $1M to $5M0
- $5M to $20M2
- $20M to $100M3
- $100M+0
Where the companies are
TX5
Rounds they placed
FiledIssuerIndustrySold
Mar 2025Graham Alternative Investment Fund I LLCAgents: MULTIPLEPooled Investment Fund$402M
Mar 2025Graham Alternative Investment Fund Ii LLCAgents: MULTIPLEPooled Investment Fund$243M
Jan 2025Hilltop Securities Inc.Agents: N/AOther Banking and Financial Services$25M
Jun 2024Futures Diversified Alpha LLCAgents: HILLTOP SECURITIES INCPooled Investment Fund-
Mar 2024Graham Alternative Investment Fund I LLCAgents: MULTIPLEPooled Investment Fund$398M
Mar 2024Graham Alternative Investment Fund Ii LLCAgents: MULTIPLEPooled Investment Fund$237M
Mar 2023Graham Alternative Investment Fund Ii LLCAgents: MULTIPLEPooled Investment Fund$233M
Mar 2023Graham Alternative Investment Fund I LLCAgents: MULTIPLEPooled Investment Fund$396M
Aug 2022Phcc LLCAgents: N/AOther Banking and Financial Services$40M
Jul 2021BR Lake Linganore, DSTResidential$7.5M
Mar 2021Hilltop Securities Inc.Agents: N/AOther Banking and Financial Services$30M
Dec 2019Hilltop Securities Inc.Agents: N/AOther Banking and Financial Services$19M
Mar 2017Graham Alternative Investment Fund I LLCAgents: MULTIPLEPooled Investment Fund$395M
Mar 2017Graham Alternative Investment Fund Ii LLCAgents: MULTIPLEPooled Investment Fund$232M
Nov 2016BTF Solutions, a Joint VentureOther$20M
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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