Safina Asset Management

What Safina Asset Management does

Safina Asset Management, operating as Safina Capital, is a privately held, founder-led "all-stage" investment and advisory firm headquartered in Fort Lauderdale, Florida. Founded by Joseph Safina in 1993 (as NSL, the predecessor broker dealer) and re-established in its current form in 1997, the firm targets small and mid-cap public and privately held companies with three integrated service lines: Capital Funding (private and public capital raises, IPO preparation, debt restructuring, complex valuations), Dynamic Partnerships (strategic, operational, sales and marketing support), and Exit Strategy (private and public sales, M&A, carve-outs, joint ventures, and buyouts). Its public portfolio lists 30+ companies spanning healthcare, music, transportation, technology and consumer products, with disclosed transactions ranging from $2M Series A rounds to a $150M merger. Revenue is generated through negotiated advisory and success fees, equity participation and returns on portfolio stakes, and ongoing asset-management fees; pricing is not publicly disclosed and varies by mandate. The firm operates with 1–10 employees, has no proprietary technology stack, and depends almost entirely on Joseph Safina's personal relationships and a network of underwriter partners (Merrill Lynch, Needham & Co., Alex Brown & Sons, Round Hill Securities, Frederick & Company, Aegis Capital Corp.) for deal origination and execution. Go-to-market is primarily founder-led relationship selling supplemented by a heavy cadence of thought-leadership articles through the Forbes Finance Council and recurring media appearances (Yahoo Finance, TheStreet, WGN Radio, U.S. News, CEOWORLD); the safina.com website functions as the digital storefront and inbound lead channel.

Name

Safina Asset Management

Legal name

Safina Capital

Website

https://safina.com

Company type

Private

Founded year

1997

Operating status

Operating

Headcount range

1–10 employees

Short description

Safina Asset Management (d/b/a Safina Capital) is a privately held, founder-led "all-stage" investment and advisory firm providing capital funding, strategic partnerships and exit-strategy services to small and mid-cap public and privately held companies, sourced almost entirely through founder Joseph Safina's personal relationship network.

Ownership category

akta.pro rank

Product category

Investment Banking and Asset Management

NAICS

Portfolio Management and Investment Advice (523940), All Other Financial Investment Activities (52399)

SIC

Security Brokers, Dealers & Flotation Companies (6211)

akta.pro primary industry

Corporate Finance & Capital Advisory (BPAHADAB)

akta.pro secondary industry

Advisory Portfolio Management (Non-Discretionary) (FSAAABAD)

Keywords

• Private investment firm
• Capital funding services
• M&A advisory
• Asset management
• Exit strategy consulting

Headquarters

HQ city

Fort Lauderdale

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, Others

Revenue model

1. Investment gains from portfolio equity stakes: Firm invests own and partner capital as equity into portfolio companies (e.g., Loud.com $5M Series A plus $25M UMG/Vivendi partnership; Financial Carrier Services $35M founder funding; Pure Records $2M Series A; Sound Villa $3M Series A). Returns come from capital appreciation, IPO exits, M&A sales and dividends.
2. Investment banking and M&A advisory fees: Capital funding services (private and public capital markets, IPO preparation, debt restructuring, complex business valuations), M&A advisory (sales, acquisitions, corporate carve-outs, joint ventures, management buyouts), and equity partner/strategic advisor engagements for which advisory and success fees are charged.
3. Asset management fees: Operates as Safina Asset Management / Safina Capital, providing wealth/asset management services to clients; derives ongoing management and performance fee revenue typical of asset managers (firm also accepted into Forbes Finance Council based on its asset-management practice).
4. Broker-dealer trading revenue (historical): Historically made markets in hundreds of stocks through NSL's trading desk while operating as a New York-based broker dealer; revenue came from trading spreads, market-making and commissions.

Pricing tiers

Go-to-market motion3 records

Distribution channels1 record

Marketing channels10 records

Core offering

Safina Asset Management (operating as Safina Capital) is an "all-stage" private investment firm that provides portfolio companies with capital funding (private and public capital markets, complex business valuations, IPO preparation, debt restructuring), dynamic partnerships (financial and strategic planning, value enhancement, sales and marketing support, management and operational support), and exit strategy services (private and public sales, M&A, corporate carve-outs, joint ventures, partnership and management buyouts). The firm invests its own capital alongside partners as equity into portfolio companies across diverse industries globally.

Product overview

Safina Asset Management (operating as Safina Capital) is a single unified investment-services firm rather than a multi-module SaaS platform. Its offering is structured around three core investment service lines — Capital Funding (private/public capital raises, valuations, IPO prep, debt restructuring), Dynamic Partnerships (strategic, financial, operational and marketing support), and Exit Strategy (sales, M&A, carve-outs, joint ventures, buyouts) — delivered to portfolio companies worldwide. Alongside these advisory and capital services, the firm operates distinct owned media and entertainment ventures referenced in the products array, most notably Battlerap.com and Loud.com (online rap-battle competition platforms co-founded by Joseph Safina with Steve Rifkind), Pure Records (independent music label), and Pure Games, which together illustrate the breadth of the firm's portfolio beyond its core investment-banking activities.

Differentiator

Problem solved

Functional benefit

Brands

• Loud.com: Online hip-hop battle rap competition platform co-founded by Joseph Safina with Steve Rifkind (SRC Records) and Rich Isaacson.
• Battlerap.com
• Pure Records
• Pure Games
• Safina Performance
• Safina Racing, Ltd.

Products and services

• Capital Funding
• Dynamic Partnerships
• Exit Strategy
• Asset Management Services
• Loud.com / Battlerap.com Battle Rap Competition Platform
• Pure Records (Independent Music Label)

Quantifiable outcome

• $150,000,000 Youngevity merger executed
• +4 more outcomes

Named customers3 records

Ideal customer profiles2 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Partnerships

Ten partnerships are on record, tiered flagship, core and minor.

• SRC Records (Steve Rifkind)flagshipStrategic or Co-development PartnerCo-founded Loud.com and Battlerap.com with Steve Rifkind (CEO of SRC Records and founder of Loud Records in 1992); competition offering $100,000 cash prize and an SRC Records recording contract, judged by celebrity producers Cool and Dre, Teflon and DJ Khaled.
• Loud Records / Rich IsaacsoncoreStrategic or Co-development PartnerCo-founded Loud.com with Loud Records co-founder Rich Isaacson and Steve Rifkind; competition platform integrates with SRC Records distribution.
• SG Blocks, Inc. (NASDAQ: SGBX)coreStrategic or Co-development PartnerJoseph Safina appointed to the SG Blocks Board of Directors effective May 28, 2021, serving on the audit committee (replacing Yaniv Blumenfeld) and the compensation committee; brings 30+ years of investment banking, capital raising, M&A and operational expertise to SG Blocks, a designer, innovator and fabricator of container-based structures.
• Financial Carrier Services, Inc. (FCS)flagshipStrategic or Co-development Partner$35,000,000 funding as Founder; Joseph Safina serves as founding partner and CEO of Safina Asset Management alongside FCS President Derek Skea and Vice President Hanna Roze. FCS is a premier factoring company focused on small to mid-sized independent trucking companies; ranked on the Inc. 5000 in 2017 and 2020.
• 711.TvminorGTM or Marketing PartnerSponsor of Safina Racing Ltd.'s Archangel Motorsports #22 711.Tv Lola Nissan SRPII in Grand-Am; international debit-card service company used motorsport marketing to support its planned IPO in London. 711.Tv Chairman Leem Hutchinson publicly endorsed the partnership with Joseph Safina and Justin Bell.
• Mitchum MotorsportscoreStrategic or Co-development PartnerMulti-year racing partnership (2012 Daytona Rolex 24, 2013 SCC season, prior Grand-Am Rolex Series events); Joseph Safina co-drove with David Murry, Franz Engstler, Gunter Schaldach at the 50th anniversary Rolex 24, and with Derek Skea and Anthony Lazzaro in the No. 74 Florida Marlins Porsche GT3.
• Liqui Moly Team EngstlerminorStrategic or Co-development PartnerCo-partnered with Mitchum Motorsports for the 50th anniversary Rolex 24 at Daytona (December 2011 announcement); Liqui Moly livery on the #20 Porsche 997 GT3 with Engstler bringing World Touring Car Championship experience.
• VICI Racing (Ron Meixner, Cristiano Piquet)minorStrategic or Co-development PartnerJoseph Safina co-drove the VICI Racing Lamborghini GTR at the 12 Hours of Sebring (2006), the first Lamborghini entered in U.S. racing by team owner Ron Meixner; co-driver Cristiano Piquet (Brazilian rising talent from Skip Barber series).
• Archangel MotorsportsminorStrategic or Co-development PartnerFielded the #22 711.Tv Lola Nissan SRPII at the Nextel 250 Grand-Am race at Homestead-Miami Speedway (2002); Joseph Safina paired with Justin Bell (1998 Le Mans GT2 class winner) as preparation for Le Mans.
• Gruntal & Co. (NYSE Member firm)coreOthersHistorical: Joseph Safina joined as Senior Vice President in 1988, became a top producer and was tasked with building Gruntal's Corporate Finance Department; departed in 1993 to found NSL. Listed here as a historical strategic relationship.

Scale indicators9 records

Recent moves7 records

Expansion highlights5 records

Broad incumbents

• Houlihan Lokey: Large global investment bank specializing in M&A advisory, capital markets, and valuation services for mid-market companies. Comparable to Safina's M&A and valuation practice but at significantly greater scale and institutional breadth.
• B. Riley Financial: Diversified financial services firm offering investment banking, asset management, and direct lending to small and mid-cap companies. Overlaps with Safina's all-stage capital, advisory, and asset management offering.
• Cowen (acquired by TD Securities): Mid-market investment bank and asset manager historically focused on small and mid-cap public companies — comparable in target segment, with a larger institutional footprint than Safina.
• Berkshire Hathaway: Patient-capital, all-stage holding company with diversified operating subsidiaries and an asset management arm. Conceptually aligned with Safina's 'art of the long view' all-stage investment philosophy, though vastly larger in scale.

Direct peers

• Ladenburg Thalmann: Full-service investment bank and wealth management firm focused on small and mid-cap public and private companies. Closely comparable to Safina's boutique investment banking and wealth management model.
• EF Hutton: Boutique investment bank focused on capital markets, M&A, and wealth management for small and mid-cap issuers. Directly comparable in size, target market, and product mix to Safina Capital.
• Aegis Capital Corp. Full-service broker-dealer and investment bank focused on small and mid-cap capital markets. Listed as a Safina co-underwriter partner and a directly comparable boutique IB.
• Joseph Gunnar & Co. Independent broker-dealer and investment bank serving small and mid-cap issuers through capital markets and advisory services — closely comparable boutique investment banking peer.
• Maxim Group: Full-service investment bank, broker-dealer and wealth manager targeting small and mid-cap public and private companies — highly comparable in business model and client profile.
• D. Boral Capital: Boutique investment bank focused on capital markets, M&A and wealth management for small and mid-cap companies — comparable boutique peer in segment and product offering.

Market position

Strengths4 records

Weaknesses4 records

Competitive moat4 records

Key risks5 records

Key highlights6 records

Customer concentration

• Xx.com/safinasiha

Revenue estimate

Valuation estimate

Number of profiles

Profiles1 record

Subsidiaries6 records

Funding overview

Funding rounds1 record

Investors

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

M&A

Investments

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

Frequently asked questions about Safina Asset Management