B. Riley Financial, Inc. (RILY)
B. Riley Financial is an investment banking firm focused on providing corporate finance, research, sales and trading services to small-cap companies. Headquartered in Los Angeles, with offices across the United States, the firm offers a full range of investment banking services that include secondary and follow-on offerings, institutional private placements and mergers and acquisitions advisory services.
Founded in 1997, the firm has earned a reputation for providing proprietary, unbiased and often contrarian equity research coverage of companies that are under-followed or misunderstood by Wall Street. The firm’s analysts and research department as a whole have consistently been awarded a number of high-profile awards for their research coverage, most recently being named by TipRanks to the list of Top 100 Wall Street Analysts.
The firm provides access to company management by hosting industry-specific conferences and non-deal road shows that provide opportunities for companies and investors to connect. These events offer premier networking and business opportunities featuring company presentations and one-on-one meetings with high-level decision makers. B. Riley FBR is comprised of dedicated professionals who leverage extensive industry knowledge to deliver a collaborative and positive client experience.
Roth Capital Partners
Roth Capital Partners is an investment-banking firm focused on serving small-cap public companies. Based in Newport Beach, California, the firm operates internationally offering a full range of facilities including capital raising; sales, trading and market making; mergers and acquisitions; and research coverage, as well as an extensive suite of corporate access and conference-management services. The firm provides access to company management through road shows and numerous bespoke events.
Roth is particularly well-known for its research acumen. The firm’s analysts have consistently been awarded top rankings from rating providers such as the WSJ and Starmine. The firm covers over 270 growth companies in the United States and abroad, with a median market cap of approximately $250 million. Roth is constantly on the lookout for companies with significant long-term growth prospects. The firm credits its success in the small-cap space with an understanding of the sector derived from maintaining a close relationship with companies it covers. The firm’s equity reports are disseminated to thousands of retail and institutional investors on a daily basis.
Roth’s institutional relationships, formidable research capabilities and ability to attract the most select participants to its forums provides the organization with unmatched capability as a sponsorship platform for growth companies. As a result, the firm has, since 1992, been able to raise more than $60 billion for small-cap companies in the public markets as well as completing over 350 merger, acquisition and advisory assignments.
EF Hutton Group
EF Hutton Group is a rapidly growing full-service investment bank dedicated to providing strategic advice and customized financial solutions to middle market and emerging growth companies around the world. Its operational headquarters are in New York City, with additional locations in Beverly Hills, California, Palm Beach Gardens, Florida, and Hingham, Massachusetts.
EF Hutton’s customized financial solutions span capital markets & institutional sales, investment banking, and research & strategy. Its longstanding global network allows it to maintain strong investor relations, while its seasoned team of investment bankers guides clients with a focus on harmonizing robust relationships that facilitate long-term results. EF Hutton’s research team is differentiated by its depth of expertise and fundamental approach to analytical and behavioral insights.
In the past, EF Hutton was recognized for the information it passed on and the wise advice it offered. Today, it is forging a new future by empowering its clients to go forward, see further and build stronger. With this vision and a dedicated leadership team, EF Hutton seeks to create prosperity from the 21st century’s most ambitious views – finding solutions, overcoming barriers, building teams, and making amazing things happen.
Noble Capital Markets
Noble Capital Markets is a research-driven investment bank focused on small cap emerging growth companies in the healthcare, technology, media, transportation and logistics and natural resources sectors. As a full-service broker-dealer, Noble Capital Markets offers the complete suite of services expected by investors and issuers which include investment and merchant banking, mergers and acquisitions advisory, valuations, trading, wealth management and equity research coverage and distribution.
Incorporated in 1984, Noble Capital Markets remains dedicated exclusively to serving underfollowed small cap companies. For more than 35 years, Noble has raised billions of dollars for these companies and published more than 45,000 equity research reports. Over almost four decades, Noble has established distribution to the investment community – institutional and retail – of more than 70,000 contacts. And for the past 16 years, the investment bank has featured a selection of 125 emerging growth companies at its preeminent annual conference, NobleCon, open to investors at all levels, institutions, registered investment advisors, independent brokers and self-directed investors.
Noble Capital Markets firmly believes that insightful advisory and effective capital procurement can change lives. The firm’s priority is empowering clients to create employment, engineer technological and medical breakthroughs, producing products and services that lay the foundation for the future. Accomplishing these goals requires analysts that are qualified and who are respected by other institutions. Nico Pronk, a financial expert with over 25 years of experience in the industry, serves as CEO and president of the firm. He is ably assisted by Mark Pinvidic as Managing Partner and by Director of Research, Michael Kupinski, who also serves as Senior Media and Entertainment Analyst.
Dawson James Securities, Inc.
Dawson James Securities, Inc. is a securities broker connecting investors and asset holders through stocks, bonds, mutual funds and other investment products. Its operational headquarters is located in Boca Raton, Fla., an upscale community located in the U.S. Southeast’s international access hub of the Palm Beach-Fort Lauderdale-Miami metropolitan area.
Dawson James’ financial services focus on the capital needs of small and microcap companies, particularly in the health care and biomedical life sciences field, as well as in technology and consumer interests. Its annual Small Cap Growth Conference provides the benefits of two decades’ worth of expertise to uplisting clients in the form of a small convention gathering with access to experienced managers.
Dawson James’ research division and innovation acumen underscore its commitment to helping its investment community find the brightest opportunities in broad capital markets through institutional and retail sales as well as execution trading and corporate services. The company’s growth has driven its addition of institutional and securities issuer services within its verticals during recent months.
National Introducing Brokers Association (NIBA)
NIBA is one of the foremost nationally recognized organizations representing professionals in the futures and options industry and is the united voice for derivatives professionals.
Established in 1991 as a nonprofit association, NIBA helps members find greater success in the derivatives industry through education and networking while providing members with a voice in regulatory and industry matters.
NIBA has grown to include introducing brokers, commodity trading advisors, associated persons, and futures commission merchants, as well as other participants in the futures, options and swaps markets.
Joseph Gunnar & Co., LLC
Joseph Gunnar & Co., LLC is a full-service broker-dealer dedicated to assisting investors in achieving their financial goals by offering a full array of investment products and vehicles for both private and corporate clients. Founded in 1997, the firm prides itself on its personalized service, including customized, one-on-one consultative offerings backed by decades of financial experience.
The firm’s unique array of products and services provides its clients with a competitive advantage, regardless of financial goals. Whether clients are working to accumulate wealth, fund college education, plan for retirement, or create shareholder value, Joseph Gunnar & Co. is devoted to facilitating success. Through years of relationship building, the firm is able to provide access to investment opportunities not readily available through its larger competitors.
The firm also offers a full selection of investment banking services, including IPOs, underwritten secondary offerings, and private placements. Its banking division provides advisory services for a broad spectrum of corporate strategy needs, whether merger & acquisition oriented or via business development initiatives. By leveraging a boutique-style approach, the firm delivers value-added services to corporate clients exploring financing with a commitment to service that isn’t typically experienced with bigger firms.
R.F. Lafferty
R.F. Lafferty is an independent, family-owned brokerage firm committed to the idea that each and every client is the company’s most valued asset. Its clients can expect an exceptional level of experience, continuity in service and true dedication from the R.F. Lafferty team that is unique in the industry.
Founded in 1946, R.F. Lafferty has evolved throughout its history to stay ahead of the ever-changing financial services industry – adhering to a motto of ‘Progressive Thinking, Traditional Values’. The company’s current offerings span wealth management, retirement services, capital markets, retail brokerage, institutional sales, investment banking, market making and independent research.
For wealth management clients, R.F. Lafferty offers a comprehensive suite of investment alternatives to reach specific goals. The company’s team of professionals interfaces with a worldwide network of retail and institutional investors and has an over 75-year track record of success raising capital for public and private organizations.
ThinkEquity
ThinkEquity is a boutique investment bank created by experienced professionals who have worked together for over a decade, collectively financing over $50 billion of public and private capital raises, restructurings, and mergers and acquisitions. The ThinkEquity model is built around the client’s needs, no matter how complicated, and identifying solutions that help them create value for investors.
The ThinkEquity team combines its decades of expertise in under-followed, undiscovered, paradigm changing companies to make it the “go-to” investment banking firm for numerous companies across various business sectors. ThinkEquity stimulates and develops solutions in difficult situations, creating an atmosphere of optimism and pride in every aspect of its business.
ThinkEquity creates customized strategies to meet its clients’ needs. By leveraging an array of capabilities, the firm is able to provide superior value and create effective solutions to complex challenges. Its experts also provide unparalleled equity research and assist with institutional sales to help clients thrive. ThinkEquity’s goal is to recognize the constantly changing environment ahead of the herd, evaluate and respond to those changes rapidly and in a timely manner.
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