ArcStone Securities and Investments Corp.

What ArcStone Securities and Investments Corp. does

ArcStone Securities and Investments Corp. is a privately held Delaware financial services holding company founded in 2023 that delivers cross-border capital markets and strategic advisory services to mid-market public and private companies. Its core operating entity, ArcStone Securities LLC, is a FINRA-registered broker-dealer (CRD #306029) and SIPC member providing equity capital markets execution (IPOs, follow-ons, private placements), mergers and acquisitions advisory, and institutional equity distribution to investment managers, hedge funds, family offices, and qualified institutional buyers. The firm targets 16 industry verticals including AI/ML, blockchain, clean technology, mining, life sciences, and FinTech, and offers retail wealth connectivity through ArcStone Kingswood, a division of Kingswood Capital LLC.

The company's revenue model is transaction-based, generated through underwriting discounts, placement fees, advisory retainers, success fees, and institutional distribution commissions negotiated mandate by mandate. Distribution combines direct institutional sales with retail connectivity via ArcStone Kingswood, complemented by the ArcStone-Kingswood Growth Summit in Toronto (600 attendees in 2025, up from 430 in 2024) and the ArcStone Financial Pulse content platform for investor relations and corporate access. Adjacent subsidiaries include ArcStone Canada Inc., ArcStone Financial Pulse Corp., ArcStone Branding Inc., and ArcStone US Corp.; the firm added the Moneta Securities investment banking team in June 2026 to deepen mining, critical minerals, and energy coverage across Western Canada. Senior leadership comprises CEO Michael Astone, Managing Partner Jack Bensimon, Managing Director Jun He (Bernard), and recently appointed VP of Institutional Equity Sales Thomas Saunders.

Name

ArcStone Securities and Investments Corp.

Legal name

ArcStone Securities and Investments Corp.

Website

https://www.arcstoneglobalsecurities.com

Company type

Private

Founded year

2023

Operating status

Operating

Headcount range

11–50 employees

Short description

ArcStone Securities and Investments Corp. is a Delaware financial services holding company whose FINRA-registered broker-dealer subsidiary delivers cross-border equity capital markets, M&A advisory, and institutional equity distribution to mid-market public and private companies across North America.

Ownership category

akta.pro rank

Product category

Investment Banking and Capital Markets Advisory

NAICS

Portfolio Management and Investment Advice (52394), Securities, Commodity Contracts, and Other Financial Investments and Related Activities (523), Portfolio Management and Investment Advice (523940)

SIC

Investment Advice (6282), Security Brokers, Dealers & Flotation Companies (6211)

akta.pro primary industry

Equity Capital Markets Advisory (Equity Issuance Strategy & Readiness) (FSACAAAI)

Keywords

• Equity capital markets
• Mergers acquisitions advisory
• Institutional equity distribution
• Private placement services
• Cross-border financial advisory

Headquarters

HQ city

Brooklyn

HQ country

United States

HQ region

North America

Offices2 records

Markets served

GTM type

B2B

Offering type

Services

Cost components

Personnel, Operations, Marketing or Sales, Technology or R&D, Others, Infrastructure

Revenue model

1. Equity Capital Markets Transactions: ArcStone Securities provides equity capital markets services including initial public offerings (IPOs), follow-on equity financing, private placements, and cross-border transactions. The firm acts as placement agent, underwriter, or selling agent and receives commissions, underwriting discounts, or advisory fees.
2. Mergers & Acquisitions Advisory: ArcStone advises on mergers, acquisitions, divestitures, and other strategic transactions. Compensation is typically in the form of advisory fees, success fees, or retainers agreed upon at the time of engagement.
3. Institutional Equity Distribution: ArcStone distributes equity securities to institutional investors including investment managers, hedge funds, family offices, and qualified institutional buyers through its institutional distribution network, earning placement fees and commissions.

Pricing tiers

Go-to-market motion1 record

Distribution channels3 records

Marketing channels5 records

Core offering

ArcStone is a cross-border financial services holding company that provides equity capital markets transactions (IPOs, follow-on offerings, private placements), mergers and acquisitions advisory, and institutional equity distribution to mid-market public and private companies. Services are delivered through its FINRA/SIPC-registered broker-dealer subsidiary ArcStone Securities LLC, complemented by an investor relations platform (ArcStone Financial Pulse) and a retail wealth connectivity channel (ArcStone Kingswood).

Product overview

ArcStone Securities and Investments Corp. is a financial services holding company operating a multi-entity platform consisting of ArcStone Securities LLC (FINRA-registered broker-dealer providing equity capital markets, M&A advisory, and institutional equity distribution), ArcStone Financial Pulse (investor relations and financial communications platform), ArcStone Kingswood (retail wealth connectivity division via Kingswood US), ArcStone Canada Inc. (Canadian capital markets advisory), and ArcStone Branding Inc. (brand and marketing services). The firm serves public and private companies across capital markets transactions and strategic advisory mandates, with relationships including institutional equity distribution, global family office networks, and retail wealth connectivity.

Differentiator

Problem solved

Functional benefit

Products and services

• Equity Capital Markets Services Equity capital markets transactions for public and private issuers, including initial public offerings (IPOs), follow-on equity financing, and private placements, executed through the FINRA-registered broker-dealer ArcStone Securities LLC.
• Mergers and Acquisitions Advisory Strategic advisory on mergers, acquisitions, divestitures, and other strategic alternatives for mid-market public and private companies, compensated through advisory fees, success fees, or retainers.
• Institutional Equity Distribution Placement and distribution of equity securities to institutional investors including investment managers, hedge funds, family offices, and qualified institutional buyers, earning placement fees and commissions through ArcStone's institutional distribution network.
• Cross-Border Capital Markets Advisory Cross-border capital markets and strategic advisory services for U.S. and Canadian issuers, including listings on NYSE, NASDAQ, OTC Markets, TSX, Cboe, and CSE, with sector depth in mining, critical minerals, energy, and other growth verticals.
• ArcStone Financial Pulse Investor relations and financial communications platform providing news, market reports, capital markets reports, and issuer-specific publications to subscribers.
• ArcStone-Kingswood Growth Summit Annual conference platform connecting growth companies with investors, featuring company presentations, panel discussions, and one-on-one meetings for issuers exploring listings on US and Canadian exchanges (NYSE, NASDAQ, OTC Markets, TSX, Cboe, CSE).

Quantifiable outcome

• 120+ collective years of industry experience across the team
• +3 more outcomes

Named customers1 record

Segments4 records

Ideal customer profiles4 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Partnerships

Three partnerships are on record, tiered core and minor.

• Moneta SecuritiescoreStrategic or Co-development Partner · 11 June 2026The investment banking team of Moneta Securities, led by founder Erin Campbell and Michael J. Curtis, has joined ArcStone, expanding the firm's advisory footprint in metals, mining, critical minerals, energy, and related growth sectors while deepening its Western Canada presence. The team brings deep sector expertise and institutional capital networks.
• Newton Golf Company, Inc.minorOthers · 28 October 2025ArcStone client Newton Golf Company announced a US$10 million equity offering agreement with Kingswood U.S. to raise capital for product expansion and distribution enhancement, supporting retail, fitter networks, and tour adoption of advanced golf shafts and putters.
• Kingswood Capital LLC (ArcStone Kingswood)coreChannel Partner/ Reseller/ DistributorArcStone Kingswood is a division of Kingswood Capital LLC providing retail wealth connectivity and distribution services. ArcStone Securities focuses on institutional and corporate capital markets while ArcStone Kingswood focuses on retail wealth management, financial planning, and distribution services to individual investors. The two channels serve different client segments with complementary services.

Scale indicators8 records

Recent moves7 records

Expansion highlights6 records

Direct peers

• Canaccord Genuity: Direct cross-border US/Canada mid-market ECM and M&A advisor with deep resources-sector coverage. Closest comparable to ArcStone given its transatlantic deal-making focus, mid-market positioning, and sector-led banking model.
• EF Hutton: U.S. capital markets boutique focused on small/mid-cap IPOs, follow-ons, and advisory. Comparable in ECM-centric service model and mid-market issuer focus.
• ThinkEquity: U.S. investment bank specializing in IPOs, follow-on offerings, and capital markets advisory for small/mid-cap issuers, particularly in growth and technology sectors. Directly comparable to ArcStone's ECM-led offering.
• Roth Capital Partners: U.S. mid-market broker-dealer focused on IPOs, follow-ons, and capital markets advisory for small/mid-cap issuers. Directly comparable in target client (small/mid-cap corporate issuers) and service mix (ECM-led advisory).
• Maxim Group: U.S. small/mid-cap broker-dealer providing investment banking, capital markets, and institutional sales/trading. Comparable in targeting growth-company issuers for IPOs and follow-on financings.

Regional players

• Eight Capital: Independent Canadian investment bank focused on mid-market equity capital markets and advisory. Comparable to ArcStone Canada Inc. in cross-border ECM execution from a Canadian base.
• Haywood Securities: Canadian investment dealer with strong resources-sector franchise. Comparable in Canadian resource-sector ECM focus and mid-market positioning, but primarily serves Canadian-domiciled issuers.

Broad incumbents

• Piper Sandler: Larger U.S. mid-market investment bank with strong ECM and M&A advisory franchises. Overlaps with ArcStone in mid-market issuer mandates but offers a much fuller platform including research, sales, and trading.
• B. Riley Financial: Larger diversified financial services firm with capital markets, M&A, and wealth management arms. Overlaps with ArcStone on small/mid-cap ECM and advisory mandates, but operates a much broader service portfolio.

Others

• Kingswood Capital Partners: Parent of the ArcStone Kingswood branded division and channel partner for retail wealth distribution. Adjacent rather than competitive — they provide retail connectivity infrastructure ArcStone uses to broaden distribution.

Market position

Strengths5 records

Weaknesses5 records

Competitive moat3 records

Key risks7 records

Key highlights6 records

Customer concentration

• Xx.com/arcstone
• YouTubeyoutube.com/@ArcStone_
• Facebookfacebook.com/ArcStone-Securities-Investments-Corp
• LinkedInlinkedin.com/company/arcstone-securities-investments-corp
• Instagraminstagram.com/arcstonesecurities

Compliance8 records

Revenue estimate

Valuation estimate

Number of profiles

Profiles10 records

Subsidiaries6 records

Funding overview

Funding rounds

Investors

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A1 record

Investments

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about ArcStone Securities and Investments Corp.