Rosenblatt Securities
Rosenblatt Securities is a boutique, agency-only institutional broker and investment bank founded in 1979, serving hedge funds, asset managers, and TMT/FinTech issuers through equity research, execution services, investment banking advisory, and market structure consulting, with the largest NYSE floor presence.
- Company typePrivate
- Founded1979
- HeadquartersNew York, United States
- Headcount51–100
- GTM typeB2B
- OfferingServices
What Rosenblatt Securities does
Rosenblatt Securities is a privately held, boutique institutional broker and investment bank founded in 1979 by Dick Rosenblatt on the floor of the New York Stock Exchange. The firm operates as an agency-only broker, meaning it does not trade for its own account, which structurally eliminates proprietary trading conflicts in execution advice. It maintains the largest floor presence among NYSE member firms and runs an upstairs program trading desk, serving institutional clients including hedge funds, asset managers, and institutional trading desks that require execution services in fragmented, automated markets.
The firm is organized around four integrated service lines: Equity Research, Investment Banking and Capital Markets, Execution Services, and Market Structure Analysis. Equity research focuses exclusively on TMT and FinTech sectors, staffed by analysts with prior industry operating experience across multiple market cycles. Investment banking provides M&A advisory and capital raising to TMT and FinTech issuers. Execution services combine human trading judgment with algorithmic automation on the NYSE floor and program trading desk. Market structure analysis, pioneered by the firm over 20 years ago, provides consulting on order routing, regulation, and exchange dynamics. Revenue is generated through three primary streams: agency execution commissions, recurring research subscriptions and payments, and episodic investment banking advisory fees. The firm also operates an annual conference franchise spanning technology, FinTech, market structure, and global exchange leadership themes, which functions as both a client engagement and pipeline-generation channel. Joe Gawronski serves as CEO and President, overseeing strategy across the firm's integrated platform.
Rosenblatt Securities firmographics
Firmographics- Name
- Rosenblatt Securities
- Legal name
- Rosenblatt Securities Inc.
- Website
- https://rblt.com
- Company type
- Private
- Founded year
- 1979
- Operating status
- Operating
- Headcount range
- 51–100 employees
- Short description
- Rosenblatt Securities is a boutique, agency-only institutional broker and investment bank founded in 1979, serving hedge funds, asset managers, and TMT/FinTech issuers through equity research, execution services, investment banking advisory, and market structure consulting, with the largest NYSE floor presence.
- Ownership category
- akta.pro rank
Rosenblatt Securities industry classification
Industry- Product category
- Institutional Brokerage and Investment Banking
- NAICS
- Securities and Commodity Contracts Intermediation and Brokerage (5231), Investment Banking and Securities Intermediation (52315)
- SIC
- Security Brokers, Dealers & Flotation Companies (6211), Investment Advice (6282)
- akta.pro primary industry
- Industry-Specialist / Sector-Focused M&A Advisory (FSAEAGAJ)
- akta.pro secondary industry
- Buy-Side M&A Advisory (FSAEAGAB)
Keywords
Where Rosenblatt Securities is headquartered
LocationHeadquarters
- HQ city
- New York
- HQ country
- United States
- HQ region
- North America
Offices1 record
Markets served
Rosenblatt Securities business model
Business model- GTM type
- B2B
- Offering type
- Services
- Cost components
- Personnel, Technology or R&D, Operations, Marketing or Sales, Infrastructure
Revenue model
- Execution Services Commissions: Agency-only brokerage commissions from institutional equity and ETF trading, both from program trading desk and NYSE floor operations
- Equity Research: Tech and FinTech sector equity research generating subscription and research payment revenue from institutional clients
- Investment Banking Advisory: M&A advisory and capital raising services for TMT and FinTech companies
Go-to-market motion1 record
Distribution channels1 record
Marketing channels4 records
Rosenblatt Securities product offering
Product offeringCore offering
Rosenblatt Securities is a boutique agency-only institutional broker and investment bank offering four integrated core services: Equity Research covering TMT and FinTech sectors, Investment Banking & Capital Markets for capital raising and M&A advisory, Execution Services from the NYSE floor and program trading desk, and Market Structure analysis and consulting. The firm serves institutional investors including hedge funds and asset managers, as well as TMT and FinTech companies, and also hosts major annual industry conferences.
Product overview
Rosenblatt Securities is a boutique agency-only broker and investment bank offering a unified platform of four core services: Equity Research covering TMT and FinTech sectors, Investment Banking & Capital Markets for capital raising and M&A advisory, Execution Services for quality execution from the NYSE floor and program trading desk, and Market Structure Analysis consulting. The firm also organizes several major annual conferences including the Technology Summit, European Market Structure Conference, Global Exchange Leader Conference, and FinTech Summit. The company operates as a single integrated platform rather than a modular architecture, providing unconflicted service to institutional clients.
Differentiator
Problem solved
Functional benefit
Products and services
- Equity Research TMT and FinTech equity research services provided by a team of experienced analysts, most of whom come from industry, covering technology, media, telecom, and financial technology sectors including Semiconductors, Cloud Communications, Cybersecurity, Digital Media, Internet Media, Software, Quantum Computing, and Comm & Cloud Infrastructure.
- Investment Banking & Capital Markets Capital raising and M&A advisory services focused on TMT and FinTech sectors, with unequaled domain expertise dedicated to helping companies with their capital raising and M&A needs.
- Execution Services Quality execution services tailored to each client's individual needs, operating from the floor of the New York Stock Exchange (the largest NYSE floor presence among all firms) and the program trading desk, with agency-only execution combining human judgment with automation.
- Market Structure Analysis and Consulting Market-structure analysis and consulting services pioneered over 20 years ago, helping clients navigate today's complex, fragmented and automated markets.
- SORT Report (Streamlined Order Routing Transparency) Streamlined Order Routing Transparency report providing insights on order routing practices for institutional clients navigating market structure.
Companies that use Rosenblatt Securities
Customer profileNamed customers3 records
Segments2 records
Ideal customer profiles3 records
Rosenblatt Securities technology and API
TechnologyTechnology focussed No
API detail
- Has API
- No
- API docs
- API detail
Core technology
AI maturity
App detail
Feature1 record
Rosenblatt Securities partnerships and signals
Strategic signalPartnerships
Two partnerships are on record, tiered notable and minor.
- LeveL ATSnotableServed as exclusive strategic and financial advisor to LeveL ATS on its merger with Luminex, creating a unique and powerful trading network backed by a world-class consortium of buy side and sell side institutions and Nasdaq
- XTX MarketsminorXTX Markets topped Rosenblatt Securities's widely-tracked ranking of non-bank SIs by volume for European cash equities
Scale indicators3 records
Recent moves6 records
Expansion highlights6 records
Rosenblatt Securities competitors and assessment
Company assessmentDirect peers
- Loop Capital Markets: Boutique broker-dealer and investment bank providing institutional sales, trading, and research with comparable scale and relationship-driven model to Rosenblatt's institutional execution business.
- Northland Securities / Colliers Securities: Boutique broker-dealer and investment bank providing equity research and IB advisory with technology sector overlap; comparable in boutique scale and agency-only orientation to Rosenblatt.
- Canaccord Genuity: Global capital markets division of Canaccord Financial with strong TMT and growth-company coverage, providing equity research, IB advisory, and institutional execution to hedge funds and asset managers.
- Needham & Company: Boutique investment bank and broker-dealer specializing in technology, media, and FinTech, with comparable agency execution, equity research, and IB coverage of growth TMT companies. Closest peer in business model and client focus.
- Roth Capital Partners: Boutique investment bank focused on small- and mid-cap growth companies, particularly in technology and consumer sectors, providing equity research, M&A advisory, and capital raising—directly comparable to Rosenblatt's TMT-centric model.
- D.A. Davidson: Employee-owned financial services firm offering institutional research, investment banking, and capital markets with a mid-market technology and growth-company focus comparable to Rosenblatt.
- MKM Partners: Boutique institutional broker and investment bank with strong technology and growth-company research, offering sales, trading, and IB services to similar institutional client segments.
- Craig-Hallum Capital Group: Mid-market boutique investment bank and institutional broker with strong technology sector focus, offering equity research, corporate advisory, and institutional execution services to similar client segments.
Broad incumbents
- Stifel Financial: Larger full-service broker-dealer and investment bank with institutional equity research and capital markets capabilities; several Rosenblatt senior analysts previously worked at Stifel/Thomas Weisel, indicating overlapping talent and client segments.
- B. Riley Financial: Diversified financial services firm with a meaningful investment banking and research platform, including the former FBR franchise, that overlaps with Rosenblatt's TMT and small-cap advisory franchise at a larger scale.
Market position
Strengths5 records
Weaknesses5 records
Competitive moat5 records
Key risks6 records
Key highlights7 records
Customer concentration
Rosenblatt Securities social profiles
Digital presenceRosenblatt Securities compliance and trust
Trust signalCompliance3 records
Rosenblatt Securities financial estimates
Financial estimateRevenue estimate
Valuation estimate
Rosenblatt Securities leadership team
Management profileNumber of profiles
Profiles15 records
Rosenblatt Securities funding detail
Funding detailFunding overview
Funding rounds
Investors
Funding detail is available on the Subscription and Enterprise plan.Contact sales →
Rosenblatt Securities M&A and investment
M&A and investmentM&A
Investments
M&A and investment is available on the Subscription and Enterprise plan.Contact sales →
Frequently asked questions about Rosenblatt Securities
What does Rosenblatt Securities do?
Rosenblatt Securities is a boutique agency-only institutional broker and investment bank offering four integrated core services: Equity Research covering TMT and FinTech sectors, Investment Banking & Capital Markets for capital raising and M&A advisory, Execution Services from the NYSE floor and program trading desk, and Market Structure analysis and consulting. The firm serves institutional investors including hedge funds and asset managers, as well as TMT and FinTech companies, and also hosts major annual industry conferences.
Is Rosenblatt Securities a public or private company?
Rosenblatt Securities is a private company. It is classified as founder individual operated bootstrapped and is currently operating.
When was Rosenblatt Securities founded?
Rosenblatt Securities was founded in 1979. It employs 51 to 100 people.
Where is Rosenblatt Securities based?
Rosenblatt Securities is headquartered in New York, United States, in the North America region.
How does Rosenblatt Securities make money?
Three revenue lines are on record. Execution Services Commissions are the primary driver. The others are equity Research and investment Banking Advisory.
Who are Rosenblatt Securities's main competitors?
Direct peers on record are Loop Capital Markets, Northland Securities / Colliers Securities, Canaccord Genuity, Needham & Company, Roth Capital Partners, D.A. Davidson, MKM Partners and Craig-Hallum Capital Group. Broad incumbents are Stifel Financial and B. Riley Financial.
Does Rosenblatt Securities have an API?
No public API is recorded for Rosenblatt Securities.
What industry is Rosenblatt Securities in?
Rosenblatt Securities's product category is Institutional Brokerage and Investment Banking. Its primary akta.pro industry code is FSAEAGAJ, Industry-Specialist / Sector-Focused M&A Advisory, with a secondary code of FSAEAGAB, Buy-Side M&A Advisory. Its NAICS code is 5231 and its SIC code is 6211.