Tobin & Company

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

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

• Boutique investment banking
• Mergers acquisitions advisory
• Managing broker-dealer
• Private placement services
• Business valuation advisory

Headquarters

HQ city

Charlotte

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, Infrastructure

Revenue model

1. 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.
2. 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.
3. Valuation & Strategic Advisory: Business valuation services and strategic advisory for companies preparing to sell or make strategic decisions.
4. 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

Core 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.

Named customers2 records

Segments3 records

Ideal customer profiles3 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Partnerships

Two partnerships are on record, tiered core and minor.

• Roberts PropertiescoreStrategic or Co-development Partner · 25 July 2025Long-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.
• IndustriousminorOthersCo-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

Broad 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

• LinkedInlinkedin.com/company/tobin-co-investment-banking-group
• Xx.com/tobinandco_ibg
• Facebookfacebook.com/TobinandCo

Revenue estimate

Valuation estimate

Number of profiles

Profiles2 records

Funding overview

Funding rounds

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 Tobin & Company