Tobin & Company
- Company typePrivate
- Founded2001
- HeadquartersCharlotte, United States
- Headcount11–50
- GTM typeB2B
- OfferingServices
Tobin & Company firmographics
Firmographics- Name
- Tobin & Company
- Legal name
- Tobin & Company Investment Banking Group LLC
- Website
- https://tobinandco.com
- Company type
- Private
- Founded year
- 2001
- Operating status
- Operating
- Headcount range
- 11–50 employees
- Ownership category
- akta.pro rank
Tobin & Company industry classification
Industry- Product category
- Investment Banking Services
- NAICS
- Securities, Commodity Contracts, and Other Financial Investments and Related Activities (523), Other Financial Investment Activities (5239)
- SIC
- Security Brokers, Dealers & Flotation Companies (6211)
- akta.pro primary industry
- M&A Advisory (Buy-side/Sell-side) (BPAHADAC)
- akta.pro secondary industries
- Corporate Finance & Capital Advisory (BPAHADAB), Capital Markets Advisory (IPO Readiness, SPAC, ECM/DCM Advisory) (BPAHAOAL)
Keywords
Where Tobin & Company is headquartered
LocationHeadquarters
- HQ city
- Charlotte
- HQ country
- United States
- HQ region
- North America
Offices2 records
Markets served
Tobin & Company business model
Business model- GTM type
- B2B
- Offering type
- Services
- Cost components
- Personnel, Operations, Marketing or Sales, Technology or R&D, Infrastructure
Revenue model
- Managing Broker-Dealer Services: Providing regulatory oversight, compliance supervision, and broker-dealer operations for private placement offerings including Reg D offerings, overseeing investor suitability checks, marketing support, capital raising, and record-keeping.
- Mergers & Acquisitions Advisory: Full-service M&A advisory including business valuation, buyer/seller identification, deal structuring, negotiations, and closing support for lower middle market transactions.
- Valuation & Strategic Advisory: Business valuation services and strategic advisory for companies preparing to sell or make strategic decisions.
- Registered Representatives Program: Supervision and licensing services for FINRA-licensed sales forces, including oversight of commissioned salespeople and monitoring of investor interactions.
Go-to-market motion1 record
Distribution channels3 records
Marketing channels6 records
Tobin & Company product offering
Product offeringCore offering
Tobin & Company is a boutique investment banking firm serving the lower middle market, providing managing broker-dealer operations for Reg D private placements, registered representative supervision, mergers and acquisitions advisory, business valuation and strategic advisory, and chaperoning services for international broker-dealers. Securities are offered through its FINRA-registered subsidiary Tobin & Company Securities LLC. The firm also runs an Investment Banking Analyst Program and produces educational content via TOBIN Tutorials.
Product overview
Tobin & Company is a boutique investment banking firm providing advisory and supervisory services to the lower middle market. The firm operates as a single integrated service offering with five core investment banking services: Managing Broker-Dealer Operations (acting as MBD for Reg D private placements), Registered Representatives Program (supervision of licensed sales staff), Mergers & Acquisitions (buy-side and sell-side advisory), Valuation & Strategic Advisory, and Chaperoning International Broker-Dealers. The firm also operates an Investment Banking Analyst Program for career development and maintains an educational resource library called TOBIN Tutorials. Securities are offered through affiliated broker-dealer Tobin & Company Securities LLC, a FINRA/SIPC member. The firm serves multiple industry sectors including Software & Technology, Financial Services, Healthcare, Consumer, Business Services, Industrial, and Real Estate.
Differentiator
Problem solved
Functional benefit
Products and services
- Managing Broker-Dealer Operations
- Registered Representatives Program
- Mergers & Acquisitions Advisory
- Valuation & Strategic Advisory
- Chaperoning International Broker-Dealers
- Investment Banking Analyst Program
- Managing Broker-Dealer Operations Supervision and oversight services for broker-dealer operations in private placement offerings, including regulatory compliance with FINRA and SEC requirements, investor accreditation verification, and coordination of selling group members.
- Registered Representatives Program Supervision and licensing support for FINRA-licensed registered representatives engaged in securities sales, including record-keeping, communication monitoring, and compliance oversight.
- Mergers & Acquisitions Advisory Advisory services for buying and selling businesses, including valuation, buyer identification, due diligence support, negotiation, and transaction execution for middle-market companies.
- Valuation & Strategic Advisory Business valuation services and strategic advisory including financial analysis, market positioning assessment, and guidance on capital structure and transaction timing.
- Chaperoning International Broker-Dealers Supervision services enabling foreign broker-dealers (not SEC-registered) to conduct securities business in the United States under TOBIN's regulatory oversight.
- Investment Banking Analyst Program Training program for aspiring investment bankers including bridge program, summer internships, winter internships, and part-time student positions, with access to Wall Street Prep modeling courses.
Companies that use Tobin & Company
Customer profileNamed customers2 records
Segments3 records
Ideal customer profiles3 records
Tobin & Company technology and API
TechnologyTechnology focussed No
API detail
- Has API
- No
- API docs
- API detail
Core technology
AI maturity
App detail
Tobin & Company partnerships and signals
Strategic signalPartnerships
Two partnerships are on record, tiered core and minor.
- Roberts PropertiescoreLong-standing strategic partnership where TOBIN serves as Managing Broker-Dealer for Roberts Properties' private placement offerings. TOBIN has successfully managed six capital raises for Roberts Properties, including the $24M Artisan Apartments 506(c) offering. Partnership built on regulatory rigor, precise execution, and unparalleled client service.
- IndustriousminorCo-working partnership providing Tobin & Company analysts with memberships to Industrious co-working spaces if they wish to use this resource during their program tenure.
Scale indicators4 records
Recent moves6 records
Expansion highlights5 records
Tobin & Company competitors and assessment
Company assessmentBroad incumbents
- Houlihan Lokey: Large global middle-market investment bank with dedicated M&A, capital markets, and financial restructuring advisory. Comparable to Tobin's M&A and valuation practice but operating at materially greater scale and sector breadth.
- D.A. Davidson: Full-service middle-market investment bank with M&A, capital markets, and equity research. Comparable to Tobin's M&A and capital advisory work but with broader geographic reach and sector coverage.
Direct peers
- Capstone Partners: Middle-market investment banking advisory specializing in M&A, debt advisory, and fairness opinions for lower middle market companies. Closely comparable in client segment, deal size, and service mix to Tobin's advisory practice.
- Cascadia Capital: Middle-market investment bank providing M&A and capital raising advisory across technology, healthcare, consumer, and industrial sectors. Comparable boutique model serving similarly sized lower middle market clients.
- PMCF (P&M Corporate Finance): Middle-market M&A advisory firm serving industrial, business services, and consumer companies. Comparable boutique IB model with similar deal size and client profile to Tobin.
- Brentwood Capital Advisors: Lower middle market M&A advisory firm. Highly comparable to Tobin in target client segment, deal size range, and full-service sell-side and buy-side advisory orientation.
- Alexander Hutton: Lower middle market investment bank providing M&A and capital raising advisory. Closely comparable boutique model targeting similar entrepreneur and family-owned business clients.
- Benchmark International: Lower middle market M&A advisory firm with global footprint. Comparable transaction size range and client profile, though Benchmark focuses more on cross-border deals and auctions.
Emerging players
- SCS Financial Services: Securities and broker-dealer services firm focused on private placements and managing broker-dealer functions. Directly comparable to Tobin's MBD and Reg D supervision offering.
Regional players
- WFG Investments: Independent broker-dealer and RIA support platform. Overlaps with Tobin's Registered Representatives Program and managing broker-dealer supervision services for representatives and small firms.
Market position
Strengths5 records
Weaknesses5 records
Competitive moat4 records
Key risks6 records
Key highlights7 records
Customer concentration
Tobin & Company social profiles
Digital presenceTobin & Company financial estimates
Financial estimateRevenue estimate
Valuation estimate
Tobin & Company leadership team
Management profileNumber of profiles
Profiles2 records
Tobin & Company funding detail
Funding detailFunding overview
Funding rounds
Investors
Funding detail is available on the Subscription and Enterprise plan.Contact sales →
Tobin & Company 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 Tobin & Company
What does Tobin & Company do?
Tobin & Company is a boutique investment banking firm serving the lower middle market, providing managing broker-dealer operations for Reg D private placements, registered representative supervision, mergers and acquisitions advisory, business valuation and strategic advisory, and chaperoning services for international broker-dealers. Securities are offered through its FINRA-registered subsidiary Tobin & Company Securities LLC. The firm also runs an Investment Banking Analyst Program and produces educational content via TOBIN Tutorials.
Is Tobin & Company a public or private company?
Tobin & Company is a private company. It is classified as founder individual operated bootstrapped and is currently operating.
When was Tobin & Company founded?
Tobin & Company was founded in 2001. It employs 11 to 50 people.
Where is Tobin & Company based?
Tobin & Company is headquartered in Charlotte, United States, in the North America region.
How does Tobin & Company make money?
Four revenue lines are on record. Managing Broker-Dealer Services are the primary driver. The others are mergers & Acquisitions Advisory, valuation & Strategic Advisory and registered Representatives Program.
Who are Tobin & Company's main competitors?
Broad incumbents on record are Houlihan Lokey and D.A. Davidson. Direct peers are Capstone Partners, Cascadia Capital, PMCF (P&M Corporate Finance), Brentwood Capital Advisors, Alexander Hutton and Benchmark International. SCS Financial Services is listed as an emerging player. WFG Investments is listed as a regional player.
Does Tobin & Company have an API?
No public API is recorded for Tobin & Company.
What industry is Tobin & Company in?
Tobin & Company's product category is Investment Banking Services. Its primary akta.pro industry code is BPAHADAC, M&A Advisory (Buy-side/Sell-side), with a secondary code of BPAHADAB, Corporate Finance & Capital Advisory. Its NAICS code is 523 and its SIC code is 6211.