What Andes Capital Group does

Andes Capital Group, LLC is an SEC-registered broker-dealer and member of FINRA, SIPC, and MSRB, headquartered at 205 West Wacker Drive, Suite 610, Chicago, Illinois. The firm operates a web-based broker-dealer platform that facilitates private securities offerings under Regulation D, Regulation A+, Regulation CF (Regulated Crowdfunding), and Regulation S, connecting businesses seeking capital with accredited and non-accredited investors, venture funds, and institutional capital. Beyond private placements, Andes Capital Group provides investment banking services including M&A advisory, strategic financial advisory, and financial structuring through a three-stage engagement model: consultation and strategy, preparation and compliance, and closing and growth execution.

The firm generates revenue primarily through transaction-based fees on purchases and sales in client accounts, third-party payments and selling group compensation from product sponsors, and ongoing trail compensation based on invested assets. Its go-to-market combines a self-serve digital channel (the andescap.com website with an investor portal at portal.andescap.com) with enterprise field sales where senior bankers conduct direct consultation and strategy sessions. With 1-10 employees, the firm is small in scale; its leadership team consists of CEO George O'krepkie, President Curtis Spears (with prior senior roles at Fifth Third Asset Management, Northern Trust, Gardner Rich, and Gray & Company), and Vice President Taylor Poole. Notably, the About page on the firm's website contains placeholder content referencing 'Luminu' rather than Andes Capital Group, suggesting templated website infrastructure. No funding rounds, M&A activity, or disclosed financial figures were found in the source materials.

Name

Andes Capital Group

Legal name

Andes Capital Group, LLC

Website

https://andescap.com

Company type

Private

Founded year

2004

Operating status

Operating

Headcount range

1–10 employees

Short description

Andes Capital Group is a Chicago-based, SEC-registered broker-dealer (FINRA/SIPC/MSRB member) operating a web platform that facilitates Regulation D, A+, CF, and S private securities offerings and provides M&A and capital advisory services to businesses and investors.

Ownership category

akta.pro rank

Product category

Investment Banking / Broker-Dealer Services

NAICS

Investment Banking and Securities Intermediation (523150)

SIC

Security Brokers, Dealers & Flotation Companies (6211)

akta.pro primary industry

Introducing Broker (IB) (FSAEACAE)

Keywords

• Private placement services
• Broker-dealer services
• Capital raising advisory
• Investment banking
• Securities offerings

Headquarters

HQ city

Chicago

HQ country

United States

HQ region

North America

Offices1 record

Markets served

GTM type

B2B

Offering type

Services

Cost components

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

Revenue model

1. Transaction-based fees: The firm charges transaction-based fees for purchases or sales executed in accounts. Financial professionals are compensated based on a percentage of revenue generated from the sales of products and services to clients, with compensation varying by product.
2. Third-party payments and selling group compensation: Third-party payments may be based on sales of investment products. Revenue sharing includes selling group compensation when the firm or its affiliate receives compensation from product sponsors.
3. Trail compensation: Ongoing compensation from product sponsors typically paid from the assets of an investment product based on an annual percentage of invested assets and varies by product. The firm has an incentive to recommend products that pay higher trails.

Go-to-market motion2 records

Distribution channels2 records

Marketing channels3 records

Core offering

Andes Capital Group is an SEC-registered broker-dealer providing private placement solutions, strategic capital advisory, and investment banking services. The firm connects businesses raising capital with accredited and non-accredited investors, venture funds, and institutional capital via Regulation D, A+, CF, and S offerings, and provides M&A advisory, exit planning, and financial structuring support.

Product overview

Andes Capital Group operates as a single unified broker-dealer platform providing end-to-end investment banking services. The core offering encompasses private placements and capital raising, securities offerings with compliance support (Reg D, A+, CF, S), and strategic financial advisory including M&A guidance. The platform facilitates connections between businesses seeking capital and investors through a structured three-step process: consultation and strategy, preparation and compliance, and closing and growth execution. Investment offerings hosted on the platform include Regulation Crowdfunding (RegCF) and Regulation A+ opportunities.

Differentiator

Problem solved

Functional benefit

Products and services

• Private Placements & Capital Raising Helps businesses raise capital by structuring private placement deals and connecting issuers with accredited and non-accredited investors, venture funds, and institutional capital.
• Securities Offerings & Compliance Support Guides businesses through Regulation D, A+, CF, and S securities offerings, ensuring SEC and FINRA regulatory compliance while optimizing investor outreach strategies.
• Strategic Financial Advisory (M&A and Exit Planning) Investment banking advisory covering M&A advisory, growth strategies, exit planning, and financial structuring to align with long-term business goals.
• Andes Capital Group Investor Portal Investor-facing web portal that allows investors to register accounts, review securities offerings, and participate in Regulation Crowdfunding and other private placement offerings.

Segments3 records

Ideal customer profiles3 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Scale indicators1 record

Recent moves3 records

Expansion highlights3 records

Direct peers

• EF Hutton (EF Hutton America): Broker-dealer offering investment banking, capital markets, and equity research services to small and mid-cap companies. Overlaps with Andes' private placement and advisory capabilities.
• Alexander Capital Group: Small/mid-market broker-dealer offering private placements, capital raising, and investment banking services to emerging and middle-market companies. Highly comparable to Andes Capital Group's Reg D/A+/CF offering focus and boutique BD model.
• Westpark Capital: FINRA-registered broker-dealer providing investment banking and private placement services to small and mid-cap issuers. Comparable boutique model with overlapping capital-raising and advisory offerings.
• Axiom Capital Management: Boutique broker-dealer specializing in private placements, public offerings, and investment banking for small-cap companies. Direct competitor in the same niche as Andes.
• Dawson James Securities: Broker-dealer focused on healthcare and small-cap investment banking, including private placements and capital raising. Comparable boutique BD with similar regulatory footprint.
• National Securities Corporation: Full-service broker-dealer providing investment banking, equity research, and institutional sales across small/mid-cap issuers. Comparable registered BD with similar service mix.
• Aegis Capital Corp. Broker-dealer offering investment banking, institutional sales/trading, and private placement services for small-cap and emerging growth companies. Directly comparable boutique BD peer.

Emerging players

• StartEngine Primary (StartEngine Capital): FINRA-regulated funding portal/broker-dealer enabling Reg CF and Reg A+ offerings. Comparable in Reg CF/A+ execution, though more tech-platform-centric than Andes' traditional BD model.
• tru Independence: Provides back-office, regulatory, and broker-dealer infrastructure for advisors and wealth managers. Adjacent in enabling capital-raising compliance, though oriented toward RIA/BD infrastructure rather than direct deal execution.

Broad incumbents

• Charles Schwab (Brokerage & Capital Markets): Large incumbent retail/institutional broker-dealer with capital markets and trading capabilities. Represents the scaled incumbent counterpart that Andes competes against for issuer and investor relationships.

Market position

Strengths4 records

Weaknesses4 records

Competitive moat3 records

Key risks5 records

Key highlights5 records

Customer concentration

Compliance4 records

Revenue estimate

Valuation estimate

Number of profiles

Profiles3 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 Andes Capital Group