# Spartan Capital Securities LLC: fundraiser

> Spartan Capital Securities LLC placed 30 company rounds filed with the SEC, most recently Nov 2025. Who they placed, by sector and size.

Source: https://millionrounds.com/providers/spartan-capital-securities-llc (Millionrounds; every figure on the page links to its filing or article)

[Fundraisers](https://millionrounds.com/fundraisers) / Spartan Capital Securities LLC

Fundraiser Registered broker-dealer

# Spartan Capital Securities LLC

FINRA 146251 · placing rounds since Aug 2017

**30** company rounds placed

**3** in the last two years, last Nov 2025

**$104M** sold in the rounds they placed

**10.0%** typical commission; the median firm takes 4.9%

Named on 47 Form D filings as paid to sell the offering: 30 for operating companies, 17 for funds.

## Quarter by quarter

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

**3** 23Q3 **3** 23Q4 **2** 24Q1 **2** 24Q2 **2** 24Q4 **1** 25Q4

## What they place

- Other **31%**
- Biotechnology **31%**
- Other Technology **20%**
- Pharmaceuticals **9%**
- Environmental Services **3%**
- Retailing **3%**
- Telecommunications **3%**

## How big the rounds are

- Under $1M **9**
- $1M to $5M **16**
- $5M to $20M **2**
- $20M to $100M **1**
- $100M+ **0**

## Where the companies are

**CA** 7 **NY** 6 **TX** 5 **FL** 4 **RI** 2 **IL** 2 **UT** 1 **NJ** 1

## Rounds they placed

[Company rounds](https://millionrounds.com/providers/spartan-capital-securities-llc)[Everything, funds and real estate too](https://millionrounds.com/providers/spartan-capital-securities-llc?show=all)

Filed Issuer Industry Sold

Nov 2025 Focus Universal Inc. Other Technology **$3.0M**

Dec 2024 1847 Holdings LLC Other **$11M**

Oct 2024 Alpha Cognition Inc. Biotechnology **$4.5M**

Apr 2024 ExoDexa Holdings Inc. Other **$240k**

Apr 2024 ImmunoGenesis, Inc. Biotechnology **$44M**

Jan 2024 Alpha Cognition Inc. Biotechnology **$2.8M**

Jan 2024 Alpha Cognition Inc. Biotechnology **$1.8M**

Dec 2023 Adven Inc. Other Technology **$1.7M**

Nov 2023 Alpha Cognition Inc. Biotechnology **$1.0M**

Oct 2023 Alpha Cognition Inc. Biotechnology **$344k**

Sept 2023 Alpha Cognition Inc. Biotechnology **$1.3M**

Aug 2023 ExoDexa Holdings Inc. Other **$400k**

Aug 2023 1847 Holdings LLC Other **$2.5M**

Mar 2023 Alpha Cognition Inc. Biotechnology **$1.3M**

Mar 2023 Bion Environmental Technologies Inc Environmental Services **$320k**

Jan 2023 Giga Tronics Inc Other **$3.3M**

Jul 2022 Six Diamond Resorts International Other **$175k**

Apr 2022 Adtech Pharma, Inc. Pharmaceuticals **$1.1M**

Feb 2022 Tpt Global Tech, Inc. Telecommunications **-**

Nov 2021 Adtech Pharma, Inc. Pharmaceuticals **$1.9M**

Jan 2021 Transphorm, Inc. Other Technology **$15M**

Dec 2020 AYRO, Inc. Other **-**

Nov 2020 Lipella Pharmaceuticals Inc Pharmaceuticals **$405k**

Mar 2020 Hancock Jaffe Laboratories, Inc. Biotechnology **$650k**

Mar 2020 Six Diamond Resorts International Other **-**

Feb 2020 Bright Mountain Media, Inc. Other Technology **$1.9M**

Feb 2020 Bright Mountain Media, Inc. Other Technology **$1.5M**

Jan 2019 Bright Mountain Media, Inc. Other Technology **$1.2M**

Jan 2018 Bright Mountain Media, Inc. Other Technology **$250k**

Aug 2017 Alzamend Neuro, Inc. Biotechnology **-**

Nov 2015 Sports Field Holdings, Inc. Agents: Spartan Capital Securities, LLC Other **-**

Jun 2015 Pur Hydroponic Solutions, Inc. Agents: Spartan Capital Securities, LLC Retailing **-**

Jun 2015 MamaMancini's Holdings, Inc. Other **$1.0M**

May 2015 Sports Field Holdings, Inc. Agents: Spartan Capital Securities, LLC Other **$450k**

Jun 2014 Ineedmd,Inc. Agents: Spartan Capital Securities, LLC Biotechnology **-**

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.

[**Ausdal Financial Partners, Inc.** 1 round together](https://millionrounds.com/providers/ausdal-financial-partners-inc)[**KCD Financial** 1 round together](https://millionrounds.com/providers/kcd-financial)[**Loop Capital Markets LLC** 1 round together](https://millionrounds.com/providers/loop-capital-markets-llc)[**Palladium Capital Group, LLC** 1 round together](https://millionrounds.com/providers/palladium-capital-group-llc)[**The Benchmark Company, LLC** 1 round together](https://millionrounds.com/providers/the-benchmark-company-llc)

## Founders who worked with them

No one has said so yet.

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