What Dominari Securities does

Dominari Securities LLC is a New York-based, SEC-registered full-service broker-dealer and registered investment advisor founded in April 2023 as a wholly-owned subsidiary of Dominari Holdings Inc. (Nasdaq: DOMH). The firm is organized around five service lines: Investment Banking (capital raising via private placements, IPOs, PIPEs, follow-on offerings, M&A advisory, and structured SPVs), Wealth Management (financial planning, portfolio management, and pre-IPO alternative-asset access for HNW individuals), Corporate Executive Services (Form 4/13D filings, 10b5-1 plans, buybacks, hedging), Insurance Solutions (group medical, P&C, and Private Placement Life Insurance), and an Independent Channel that recruits third-party advisors onto its platform. Client operations run out of a single Manhattan headquarters at 725 Fifth Avenue with reported headcount in the 11–50 range, including 34+ strategic banking professionals.

The technology stack is largely third-party: the firm integrates RBC Investor Connect, Charles Schwab, and Wedbush for trading, custody, and account access rather than operating proprietary infrastructure. There is no documented AI/ML, public API, or developer portal; products are delivered through human-advisor-led relationships, with the firm emphasizing CEO Kyle Wool's personal oversight on most transactions and a 'white-glove' service model. Strategic-banking deal flow is the principal growth engine, concentrated in defense-tech/drones (Unusual Machines, JFB/XTEND, Powerus, Aureus Greenway), AI/data (xAI, Cerebras pre-IPO allocations, Datacentrex, Gravity AI), digital assets (Hemi Bitcoin partnership, MMA Group Web3), and emerging-market issuers (Skyline Builders, C2 Capital). The firm has access to a $200M SpaceX-linked SPV and reports $1.4B+ year-to-date in capital markets activity.

Revenue is generated primarily through transaction-based fees (underwriting, placement, and M&A advisory) on a deal-by-deal basis, supplemented by recurring wealth management advisory fees, corporate-executive professional service fees, and insurance commissions. The pricing model is bespoke and not publicly disclosed, with multi-year contracts customized to transaction size and complexity. Distribution is exclusively direct, enterprise-field relationship-driven, with no self-serve or channel partnerships beyond the Independent Channel and select financial partnerships (American Ventures LLC, Hemi). Customer concentration skews toward small-cap and pre-IPO issuers, with a meaningful share of deal flow originating from the Trump family's American Ventures ecosystem.

Name

Dominari Securities

Legal name

Dominari Securities LLC

Website

https://dominarisecurities.com

Company type

Private

Founded year

2023

Operating status

Operating

Headcount range

11–50 employees

Short description

Dominari Securities LLC is a New York-based, SEC-registered broker-dealer and investment advisor providing investment banking, wealth management, corporate executive services, insurance solutions, and independent-advisor channel services to small-cap issuers, entrepreneurs, HNW individuals, and corporate executives, with significant deal flow tied to Trump-family-linked ventures and defense-tech, AI, and digital-asset issuers.

Ownership category

akta.pro rank

Product category

Investment Banking and Broker-Dealer Services

NAICS

Investment Banking and Securities Intermediation (523150), Investment Banking and Securities Intermediation (52315), Portfolio Management and Investment Advice (523940), Portfolio Management and Investment Advice (52394), Securities, Commodity Contracts, and Other Financial Investments and Related Activities (523)

SIC

Security Brokers, Dealers & Flotation Companies (6211), Investment Advice (6282), Security & Commodity Brokers, Dealers, Exchanges & Services (6200)

akta.pro primary industry

Capital Markets Advisory (Equity Placement, JV & Recapitalization) (BPAJABAL)

akta.pro secondary industry

Private Client Custody & Brokerage (Execution, Reporting, Safekeeping) (FSAAABAN)

Keywords

• Investment banking services
• Wealth management advisory
• Capital markets underwriting
• Broker-dealer services
• Corporate executive services

Headquarters

HQ city

New York

HQ country

United States

HQ region

North America

Offices1 record

Markets served

GTM type

B2B

Offering type

Services

Cost components

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

Revenue model

1. Investment Banking Fees: Revenue generated from underwriting IPOs, private placements, PIPEs, follow-on offerings, and M&A advisory services. Dominari serves as lead underwriter, co-underwriter, exclusive placement agent, and financial advisor on various capital markets transactions.
2. Wealth Management Advisory Fees: Financial planning, investment management, and advisory services for high-net-worth individuals, business owners, and corporate executives, including tailored investment portfolios, alternative assets access, and estate planning.
3. Corporate Executive Services Fees: Services including cash management, Form 4 filings, Schedule 13D disclosures, Rule 10b5-1 planned sales, corporate buybacks, and hedging strategies for corporate insiders.
4. Insurance Solutions: Insurance products including group medical, property & casualty, and private placement life insurance (PPLI) for wealth preservation and estate planning.

Pricing tiers

Go-to-market motion3 records

Distribution channels3 records

Marketing channels4 records

Core offering

Dominari Securities LLC is a full-service broker-dealer and SEC-registered investment advisor offering investment banking (private placements, IPOs, PIPEs, M&A advisory, SPVs), wealth management (financial planning, portfolio management, alternative assets, estate planning), corporate executive services (Form 4 filings, 10b5-1 plans, buybacks, hedging), and insurance solutions (group medical, P&C, private placement life insurance). The firm targets early-stage and small companies needing capital markets access as well as high-net-worth individuals and corporate executives.

Product overview

Dominari Securities operates as a full-service broker-dealer and registered investment advisor offering a unified platform of financial services. The core offering consists of Investment Banking (capital raising via private placements, IPOs, PIPEs, M&A advisory, and structured products including SPVs), Wealth Management (financial planning, portfolio management, alternative assets, tax optimization, and estate planning), Corporate Executive Services (cash management, regulatory filings, buybacks, hedging), Insurance Solutions (medical, property/casualty, PPLI), and an Independent Channel for advisors. Recent transactions include the American Ventures Opportunity QP Series IV – SpaceX Fund (a $200M investment fund), XWELL private placement ($31.3M), multiple Skyline Builders offerings, and IPO/follow-on offerings for clients including Unusual Machines, C2 Capital Group, and Gravity AI. The firm also offers access to pre-IPO unicorns such as SpaceX and Cerebras.

Differentiator

Problem solved

Functional benefit

Products and services

• Investment Banking Services Capital raising services including private placements, IPOs, PIPEs, secondary offerings, M&A advisory, and structured products such as Special Purpose Vehicles (SPVs), providing access to global capital markets including Asian markets for early-stage and small companies.
• Wealth Management Financial planning, tailored investment advisory and portfolio management, access to alternative assets including pre-IPO unicorns, proactive tax optimization, generational wealth strategies, estate planning, and philanthropic planning for high-net-worth individuals, entrepreneurs, and corporate executives.
• Corporate Executive Services Services for corporate leaders including cash management, Form 4 filings, Schedule 13D disclosures, Rule 10b5-1 planned sales, corporate buybacks, and tailored hedging and monetization strategies.
• Insurance Solutions Insurance products including group medical insurance, property and casualty coverage, and Private Placement Life Insurance (PPLI) for wealth preservation and tax efficiency.
• Independent Channel Platform for independent advisors offering technology, back-office support, and investment products with flexibility and autonomy, available for wealth management, investment banking, and private equity practices.
• DOMINARI MASTER SPV Special Purpose Vehicle offerings as part of the firm's structured products and innovative fundraising beyond traditional methods, facilitating capital raising for clients.
• American Ventures Opportunity QP Series IV – SpaceX Fund Private markets investment fund that raised approximately $200 million to acquire 1,481,481 IPO shares of SpaceX at $135 per share, representing one of Dominari's largest private markets offerings.

Quantifiable outcome

• Over $1.4 billion raised year-to-date in capital markets activity
• +3 more outcomes

Named customers8 records

Segments4 records

Ideal customer profiles3 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Partnerships

One partnership is on record.

• HemicoreStrategic or Co-development Partner · 10 October 2025Dominari Securities partnered with Bitcoin project Hemi to develop a digital asset treasury and ETF platform. The partnership is part of Dominari's broader strategy to expand adoption of Bitcoin-based financial products and accelerate integration of Bitcoin and Ethereum networks. Dominari has committed significant capital toward Bitcoin ETFs and has strategic ties to high-profile figures.

Scale indicators6 records

Recent moves6 records

Expansion highlights6 records

Direct peers

• Aegis Capital Corp. A boutique broker-dealer with a comparable focus on small-cap IPOs, PIPEs, and private placements for emerging growth companies. Multiple Dominari executives (Michael Siek, Anthony Genovese) previously worked at Aegis, confirming direct role equivalence in underwriting and private equity placements.
• EF Hutton: Re-launched boutique broker-dealer with a strong focus on small-cap and micro-cap IPOs, PIPEs, and private placements. Highly comparable in deal profile and target issuers, particularly for emerging growth companies Dominari underwrites.
• Paulson Investment Company: Small-cap focused broker-dealer providing private placements, IPOs, and wealth management. VP Michael Nadler was previously a Senior Investment Associate at Paulson's NYC flagship, and the firm occupies an almost identical niche in micro/small-cap equity capital markets.
• Ladenburg Thalmann: Independent broker-dealer and investment banking firm serving middle-market and emerging growth companies with capital raising, advisory, and wealth management services. Comparable in service mix and target client profile to Dominari's investment banking and wealth management franchise.
• Maxim Group: Boutique broker-dealer with strong small/mid-cap investment banking franchise including IPOs, follow-ons, PIPEs, and M&A advisory. Highly comparable in product mix and target issuer profile to Dominari Securities.
• Revere Securities: A small broker-dealer offering investment banking and wealth management services to entrepreneurs and high-net-worth individuals. Soo J. Yu, Jerome Niles, Joshua Shipley, Larry LaVoice and Jay Yu all moved directly from Revere to Dominari, evidencing near-identical client franchise and product mix.
• National Securities Corporation: Boutique broker-dealer specializing in retail brokerage and investment banking for small-cap issuers. EVP Eric Newman previously served as Managing Director of Investments and Branch Manager there, indicating overlapping coverage of the same retail and small-cap institutional client base.

Broad incumbents

• Oppenheimer & Co. Large full-service broker-dealer with investment banking, wealth management, and capital markets divisions. CEO Kyle Wool spent nearly a decade at Oppenheimer, and several Dominari executives also originated there — a clear lineage, although Oppenheimer operates at significantly greater scale and breadth.

Emerging players

• Spencer Trask Ventures: Specialty investment bank focused on private placements for early-stage technology and life-science issuers. Michael Siek previously served as President and raised $250M+ for 75+ portfolio companies — directly analogous to Dominari's emerging-growth placement agent business.

Regional players

• American Ventures Acquisition Corp. I: Blank-check SPAC affiliated with the same Trump-family-linked American Ventures vehicle that produces deal flow for Dominari. While not a direct competitor, it is the most adjacent entity — sharing deal sourcing, principals (Anthony Hayes), and political/brand association that defines Dominari's franchise.

Market position

Strengths5 records

Weaknesses5 records

Competitive moat4 records

Key risks6 records

Key highlights7 records

Customer concentration

Revenue estimate

Valuation estimate

Number of profiles

Profiles13 records

Funding overview

Funding rounds

Investors

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

M&A

Investments11 records

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

Frequently asked questions about Dominari Securities