Rankings · Q3 2019 · 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.

‹Q3 2019›an earlier quarter
Carolina Financial Securitites3 rounds · $160k1Laidlaw & Company (UK)3 rounds · $5.3M1A.G.P./Alliance Global Partners2 rounds · $9.3M3
32company rounds placed by a broker-dealer
40%of the 80 company Form Ds filed in this industry
$356Msold in those rounds
7%median fee, as a share of the money raised
#FirmRounds placedSoldMedian feeLast 8 quarters
1NewLaidlaw & Company (UK)Mostly other technology3$5.3M8%1NewCarolina Financial SecurititesMostly other technology3$160k5%3NewA.G.P./Alliance Global PartnersMostly other technology2$9.3M6.5%3NewNetwork 1 Financial SecuritiesMostly other technology2$3.3M6.8%3NewMaxim GroupMostly other technology2$2.7M7%3▼ 2SI SecurtiesMostly other technology2$469k8.1%7NewJ.P. Morgan SecuritiesMostly other technology1$130M3.5%7NewPark Hill GroupMostly other technology1$35M11.4%7NewPJT PartnersMostly other technology1$35M11.4%7NewFort Ghent BrokerageMostly other technology1$31M-7NewCowen and CompanyMostly other technology1$25M-7NewB. Riley SecuritiesMostly other technology1$23M6%7NewPricewaterhouseCoopers Corporate FinanceMostly other technology1$23M3.1%7▼ 5Palladium Capital GroupMostly other technology1$17M0.5%7▼ 1Daiwa Corporate AdvisoryMostly other technology1$15M-7NewRosenblatt SecuritiesMostly other technology1$11M-7NewRainmaker SecuritiesMostly other technology1$6.8M3.5%7NewBradley Woods & Co.Mostly other technology1$5.5M7.7%7NewWestPark CapitalMostly other technology1$5.5M7.7%7NewSparring Partners CapitalMostly other technology1$5.0M7.1%7NewGLCA SecuritiesMostly other technology1$3.9M6%7NewWilmington Capital SecuritiesMostly other technology1$3.1M5.6%7NewHovde GroupMostly other technology1$2.6M23.1%7NewKatalyst SecuritiesMostly other technology1$2.5M8.8%7NewTranceka CapitalMostly other technology1$1.0M0%

6 more firms placed at least one company round in Q3 2019 in this industry. Ties share a rank; within a tie, firms are ordered by money sold.

Since Q2 2019

Who moved

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

38Q4 1735Q1 1829Q2 1831Q3 1833Q4 1825Q1 1928Q2 1932Q3 19
#1New in the tableLaidlaw & Company (UK)3 rounds this quarter, none the quarter before#1New in the tableCarolina Financial Securitites3 rounds this quarter, none the quarter before#3New in the tableA.G.P./Alliance Global Partners2 rounds this quarter, none the quarter before#3New in the tableNetwork 1 Financial Securities2 rounds this quarter, none the quarter before

What it costs

Half of fundraisers take 3% to 8%

The sales commission filed on each Form D, as a share of the money sold, across 611 placements in the four quarters to Q3 2019. Half fall between 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 Q3 2019

The quarter's placements, as they were filed

  • 27 SeptSI SecurtiesFoldiMate, Inc.Other Technology$149k
  • 26 SeptSparring Partners CapitalApto, Inc.Other Technology$5.0M
  • 25 SeptCarofinPresidio Health, Inc.Other TechnologyUndisclosed
  • 24 SeptCastle PlacementPhase Change Software LLCOther Technology$333k
  • 16 SeptA.G.P./Alliance Global PartnersNano Dimension Ltd.Other Technology$4.3M
  • 11 SeptRosenblatt SecuritiesSkydweller Aero Inc.Other Technology$11M
  • 6 SeptA.G.P./Alliance Global PartnersVerb Technology Company, Inc.Other Technology$5.0M
  • 30 AugBradley Woods & Co.SRAX, Inc.Other Technology$5.5M
  • 23 AugHovde GroupNeocova CorpOther Technology$2.6M
  • 21 AugPark Hill GroupHawkEye 360, Inc.Other Technology$35M
  • 21 AugCowen and CompanyStereotaxis, Inc.Other Technology$25M
  • 21 AugGLCA SecuritiesTrapp Holdings, LLCOther Technology$3.9M
  • 21 AugLaidlaw & Company (UK)Amesite Inc.Other Technology$2.0M
  • 7 AugEntoro SecuritiesElite Mining Inc.Other TechnologyUndisclosed
  • 1 AugDaiwa Corporate AdvisoryNeighborhoods.com, LLCOther Technology$15M
  • 1 AugTranceka CapitalTaqtile, Inc.Other Technology$1.0M

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.