Sutter Securities

What Sutter Securities does

Sutter Securities Group, Inc. is a privately held investment banking and broker-dealer firm incorporated in California in 1992, operating through FINRA- and SIPC-registered entities (CRD# 30770 for Sutter Securities, Inc.; CRD# 134742 for Sutter Securities Clearing, LLC). The firm is organized around three core service pillars: Investment Banking (capital raising, private placements, IPOs, secondaries, SPACs), Corporate Advisory (valuations, fairness opinions, expert testimony), and Transactions (private placements, M&A, litigation support). It also operates Sutter Securities Clearing for 15c2-4 separate account services and Sutter Capital Management for blockchain-related co-investments, alongside Sutter Financial Services for valuation and expert testimony work.

The firm serves issuers, high-net-worth individuals and families, and institutional investors, with vertical specialization in electric vehicles, EB-5 immigrant investor programs, digital entertainment, aerospace/defense/government, life sciences, and power/energy infrastructure. All order flow is routed to Pershing LLC under a tri-party clearing arrangement that also includes Lantern Investments Inc. The Sutter family of companies is closely affiliated with Boustead Securities, LLC (domestic broker-dealer), Boustead & Company Limited (international affiliate), and FlashFunders (offering platform), with shared leadership including CEO Lincoln 'Joe' Smith across multiple entities.

Sutter Securities generates revenue through professional services (advisory fees, capital raising fees, valuation and fairness opinion fees) and transaction fees (securities distribution, syndicate participation, clearing services). Headcount is 1-10 employees across offices in Irvine (HQ), New York, San Francisco, and Las Vegas. Pricing is not publicly disclosed and is negotiated per transaction; the firm's distribution model is direct, relationship-based sales to qualified clients, with no disclosed technology platform or app product.

Name

Sutter Securities

Legal name

Sutter Securities Group, Inc.

Website

https://suttersecurities.com

Company type

Private

Founded year

1992

Operating status

Operating

Headcount range

11–50 employees

Short description

Sutter Securities is a privately held, FINRA-registered investment banking and broker-dealer firm providing capital raising, M&A advisory, valuations, and syndicate services to issuer companies, high-net-worth individuals, and institutional clients across niche verticals.

Ownership category

akta.pro rank

Product category

Investment Banking

NAICS

Investment Banking and Securities Intermediation (52315), Investment Banking and Securities Intermediation (523150), Securities, Commodity Contracts, and Other Financial Investments and Related Activities (523)

SIC

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

akta.pro primary industry

Securitized Products Trading Platforms (MBS/ABS/CLO) (FSAFACAK)

Keywords

• Investment banking services
• Mergers and acquisitions advisory
• Private placements
• Capital markets advisory
• Fairness opinions valuations

Headquarters

HQ city

San Francisco

HQ country

United States

HQ region

North America

Offices4 records

Markets served

GTM type

B2B

Offering type

Services

Cost components

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

Revenue model

1. Investment Banking Services: Revenue generated from financial advisory services including private placements, mergers and acquisitions advisory, fairness opinions, and business valuations. The firm also earns fees from capital raising activities and IPO participation.
2. Broker-Dealer Operations: Revenue from securities trading, distribution of syndicate products including IPOs, secondary offerings, SPACs, and private placements. Sutter Securities Clearing handles transmission and maintenance of payments for private placement and registered securities offerings.

Go-to-market motion1 record

Distribution channels1 record

Marketing channels1 record

Core offering

Sutter Securities is an investment banking and broker-dealer firm that provides financial advisory, private placements, mergers and acquisitions, fairness opinions, business valuations, and litigation support to companies and high-net-worth individuals. Through its affiliated Sutter Securities Clearing broker-dealer, the firm distributes IPOs, secondary offerings, SPACs, and private placements, supported by a tri-party clearing arrangement with Pershing LLC and Lantern Investments Inc.

Product overview

Sutter Securities operates as a multi-service investment banking and securities firm organized around three core service pillars: Investment Banking (capital markets and corporate finance), Corporate Advisory (valuations, fairness opinions, expert testimony), and Transactions (private placements, M&A, litigation support). The firm clears through its affiliated Sutter Securities Clearing subsidiary via a tri-party arrangement with Pershing LLC and Lantern Investments Inc. Additional specialized offerings include Sutter Capital Management (blockchain investments) and Sutter Financial Services (expert testimony and valuations). The firm serves sectors including electric vehicles, EB-5 immigrant investors, digital entertainment, aerospace/defense/government, life sciences, and power/energy infrastructure.

Differentiator

Problem solved

Functional benefit

Products and services

• Investment Banking Core service providing financial advisory, capital raising, and transaction support for clients across multiple sectors including electric vehicles, EB-5 immigrant investors, digital entertainment, aerospace/defense, life sciences, and power/energy infrastructure.
• Corporate Advisory Advisory services including valuations, fairness opinions, expert testimony, and strategic guidance for corporate transactions and disputes.
• Transactions Transaction services encompassing private placements, mergers and acquisitions, fairness opinions, business valuations, and litigation support.
• Sutter Securities Clearing Affiliated FINRA-registered broker-dealer (CRD# 134742) providing 15c2-4 separate account services for transmission and maintenance of payments for private placement and registered securities offerings, part of a tri-party clearing relationship with Pershing LLC and Lantern Investments Inc.
• Sutter Capital Management Affiliate investment vehicle that makes senior and co-investments in blockchain-related opportunities.
• Sutter Financial Services Affiliate providing valuations, fairness opinions, and expert testimony services to the industry.

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

Five partnerships are on record, tiered core and minor.

• Boustead Securities, LLCcoreChannel Partner/ Reseller/ DistributorBoustead Securities, LLC is an affiliated broker-dealer. Lincoln 'Joe' Smith serves as CEO of both Boustead Securities and Sutter Securities. Multiple team members are registered with both firms including Satya Chillara, Greg Yankovsky, Philip Peredo, Frank Sorbara, and others.
• Boustead & Company LimitedcoreStrategic or Co-development PartnerInternational affiliate of the Sutter family of companies. Chris Parrington serves as Chief Legal Officer and General Counsel of Boustead & Company Limited.
• FlashFundersminorChannel Partner/ Reseller/ DistributorListed as an affiliate in the Sutter family of companies, providing platform services for investment offerings.
• Pershing LLCcoreTechnology or IntegrationClearing broker providing order routing and clearing services. Sutter Securities routes all order flow to Pershing LLC and adopts their SEC Rule 606 order routing reporting. Part of the tri-party clearing relationship.
• Lantern Investments Inc.coreTechnology or IntegrationClearing broker in the tri-party clearing relationship with Sutter Securities and Pershing LLC. Previously known as Herold & Lantern Investments.

Scale indicators1 record

Recent moves6 records

Expansion highlights5 records

Direct peers

• Westpark Capital, Inc. Los Angeles-based small/mid-cap investment bank and broker-dealer focused on IPOs, secondaries, PIPEs, and SPACs. Several Sutter team members (Frank Sorbara, Gus Rodrigo III, Sean Mollard, James Munro) previously worked at Westpark, indicating directly comparable business mix.
• Boustead Securities, LLC: Closely affiliated broker-dealer sharing the same CEO (Lincoln "Joe" Smith) and multiple registered representatives. Operates in the same small/mid-cap IPO, SPAC, and private placement market with overlapping clients and producers.
• Aegis Capital Corp. New York-based broker-dealer in small/mid-cap equity capital markets and investment banking. Sean Mollard held a Senior VP role at Aegis before joining Sutter, reflecting direct overlap in syndicate/placement services.
• Dawson James Securities: Florida-based boutique investment bank focused on small-cap IPOs, secondaries, and healthcare/life sciences placements. Sean Mollard's prior SVP role there underscores product-market overlap with Sutter's life sciences and small-cap coverage.
• Newport Coast Securities: Small/mid-cap broker-dealer providing investment banking and capital markets services. Henry "Jay" Gurley established Newport Coast's first New York branch, evidencing overlapping talent and service lines.
• Maxim Group: Mid-sized full-service broker-dealer offering investment banking, institutional sales, and trading focused on small/mid-cap healthcare, technology, and consumer names. Comparable diversified mid-market IB footprint.
• Roth Capital Partners: Investment bank focused on small/mid-cap companies, with particular strength in IPOs, follow-ons, and SPACs across growth sectors. Strong overlap with Sutter's small-cap capital markets focus.
• EF Hutton: Re-launched boutique investment bank and broker-dealer serving small/mid-cap issuers across multiple sectors. Comparable in scale and product mix to Sutter, with active SPAC and capital markets operations.
• ThinkEquity (a division of Fordham Financial Management): Small/mid-cap investment bank focused on IPOs, PIPEs, and secondaries with sector breadth across technology, healthcare, energy, and consumer. Direct overlap in placement-driven product mix.

Emerging players

• Boustead & Company Limited: International affiliate of the Sutter family of companies providing cross-border advisory and capital-raising services. Comparable as an emerging cross-border boutique serving US-Asia and US-Europe mid-market mandates.

Market position

Strengths4 records

Weaknesses5 records

Competitive moat3 records

Key risks6 records

Key highlights6 records

Customer concentration

• LinkedInlinkedin.com/company/sutter-securities-group

Compliance4 records

Revenue estimate

Valuation estimate

Number of profiles

Profiles23 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 Sutter Securities