Rankings · Q1 2014 · Other Technology

The fundraisers who placed the most.

Broker-dealers ranked by the operating-company rounds they were paid to place in other technology, as filed with the SEC on Form D. Funds, real estate and insurance products are left out.

‹Q1 2014›an earlier quarter
Allen & Company1 rounds · $325M2Cedar Point Capital2 rounds · $1.0M1Goldman Sachs & Co.1 rounds · $325M2
27company rounds placed by a broker-dealer
50%of the 54 company Form Ds filed in this industry
$600Msold in those rounds
6%median fee, as a share of the money raised
#FirmRounds placedSoldMedian feeLast 8 quarters
1NewCedar Point CapitalMostly other technology2$1.0M19.6%2NewAllen & CompanyMostly other technology1$325M2.5%2NewGoldman Sachs & Co.Mostly other technology1$325M2.5%2NewEmerson EquityMostly other technology1$80M-2NewMorgan StanleyMostly other technology1$37M-2NewDinosaur Financial GroupMostly other technology1$27M8.2%2NewEDI FinancialMostly other technology1$27M8.2%2NewChardan Capital MarketsMostly other technology1$25M7.6%2NewAckrell CapitalMostly other technology1$15M3.2%2NewLake Street Capital MarketsMostly other technology1$14M-2NewCraig-Hallum Capital GroupMostly other technology1$12M6.8%2NewWoodrock SecuritiesMostly other technology1$10M4.8%2NewEast Wind SecuritiesMostly other technology1$9.8M3.8%2NewSparring Partners CapitalMostly other technology1$8.2M8%2NewA.G.P./Alliance Global PartnersMostly other technology1$6.2M1.6%2NewDigital OfferingMostly other technology1$6.2M1.6%2NewScarsdale EquitiesMostly other technology1$6.0M1.7%2NewTranceka CapitalMostly other technology1$5.7M4.4%2NewEmerging Growth EquitiesMostly other technology1$5.5M7.6%2NewCavu SecuritiesMostly other technology1$3.0M7.8%2NewWilmington Capital SecuritiesMostly other technology1$2.6M5.2%2NewTriPoint Global EquitiesMostly other technology1$2.5M6%2NewARETE Wealth ManagementMostly other technology1$902k2.2%2NewPickwick Capital PartnersMostly other technology1$750k9.5%2NewRaymond James & AssociatesMostly other technology1$721k6%

5 more firms placed at least one company round in Q1 2014 in this industry. Ties share a rank; within a tie, firms are ordered by money sold.

Since Q4 2013

Who moved

25 of this quarter's top 25 placed no company round at all the quarter before.

0Q2 120Q3 120Q4 120Q1 130Q2 130Q3 130Q4 1327Q1 14
#1New in the tableCedar Point Capital2 rounds this quarter, none the quarter before#2New in the tableAllen & Company1 rounds this quarter, none the quarter before#2New in the tableGoldman Sachs & Co.1 rounds this quarter, none the quarter before#2New in the tableEmerson Equity1 rounds this quarter, none the quarter before

What it costs

Half of fundraisers take 3.3% to 8%

The sales commission filed on each Form D, as a share of the money sold, across 150 placements in the four quarters to Q1 2014. Half fall between 3.3% and 8%; the middle one is 6%. Finder's fees and warrants are not in the figure, so the real cost is often higher.

median 6%
0%1%2%3%4%5%6%7%8%10%+

Filed in Q1 2014

The quarter's placements, as they were filed

  • 26 MarPickwick Capital PartnersViscount Systems Inc.Other Technology$750k
  • 25 MarEmerging Growth EquitiesMobivity Holdings Corp.Other Technology$5.5M
  • 21 MarMorgan StanleyLuxtera Inc.Other Technology$37M
  • 20 MarResearch Capital USAEXO U Inc.Other Technology$417k
  • 13 MarA.G.P./Alliance Global PartnersAcorns Grow IncOther Technology$6.2M
  • 13 MarCedar Point CapitalArgos Risk LLCOther Technology$700k
  • 12 MarARETE Wealth ManagementFresca Medical, Inc.Other Technology$902k
  • 12 MarFreedom InvestorsProsperity Systems, Inc.Other Technology$60k
  • 7 MarEast Wind SecuritiesKnowledge Delivery Systems Inc.Other Technology$9.8M
  • 6 MarJanney Montgomery ScottEcochlor Inc.Other TechnologyUndisclosed
  • 28 FebCraig-Hallum Capital GroupIZEA, Inc.Other Technology$12M
  • 24 FebAllen & CompanyDropbox, Inc.Other Technology$325M
  • 20 FebAckrell CapitalUrbanSitter, Inc.Other Technology$15M
  • 18 FebChardan Capital MarketsYou On Demand Holdings, Inc.Other Technology$25M
  • 18 FebCavu SecuritiesCalifornia Gold Corp.Other Technology$3.0M
  • 7 FebWilmington Capital SecuritiesHiconversion, Inc.Other Technology$2.6M

Looking for someone to place your round?

Every fundraiser we have seen place a company round, with their deals, fees and the industries they work in.

Browse the fundraisersList your firm

How the table is made

Where do the numbers come from?

From the SEC's Form D data sets. A company raising privately files a Form D, and when a broker-dealer is paid to sell the round, the filing names it with its commission. We count each new filing once per firm named on it, and leave out amendments, funds and real estate. Insurance and investing filings are left out too: they are an insurer's policy accounts and investment vehicles, sold through dozens of firms at once, not companies raising a round.

Why is the latest quarter a quarter behind?

The SEC publishes the data sets quarterly, after the quarter closes. A quarter only appears here once its filings are in.

Can a firm change its place?

No. The table is computed from filings alone. A firm can claim its page and add to it, but cannot change what it placed.

What is the badge?

Firms in the overall top 10, or the top 3 of an industry, can show their standing on their own site with a badge from their page. It updates when the next quarter arrives.

What does it leave out?

Rounds where nobody was paid to sell, which is most venture rounds, and placements a firm makes without filing. A low rank is not a verdict on a firm; it is what the filings show.