Alexander Capital

What Alexander Capital does

Alexander Capital L.P. is a privately held, full-service broker-dealer and investment banking firm founded in 1995 and headquartered in Red Bank, New Jersey (with a historical New York City presence). The firm operates three core business lines: Investment Banking & Advisory (capital raising through public and private offerings, M&A advisory, board placement, fairness opinions, and restructuring services targeted at small-cap and mid-cap issuers), Equity Sales & Trading (institutional execution and capital markets coverage across U.S., Europe, and Asia), and Wealth Management (portfolio management, estate planning, insurance, and alternative investments for high net worth individuals, family offices, and institutions). The firm clears all transactions through RBC Correspondent Services, holds FINRA, SIPC, and MSRB registrations, and has raised more than $2.0 billion cumulatively for clients across 30+ years of operation.

The firm's underlying technology stack is conventional broker-dealer infrastructure: clearing, custody, execution, and SIPC coverage are provided through RBC Capital Markets, with cash sweep and FDIC protection delivered via the RBC Insured Deposits Program. The sole proprietary technology is ArlingtonEconometrics, a quantitative market analytics tool created by Chief Investment Strategist Scotty George and used for market analysis and investment strategy development. The firm's product surface spans investment banking (IPOs, follow-ons, registered directs, ATMs, SPACs, PIPEs, private placements, fixed income), advisory services (M&A, board placement, fairness and solvency opinions, restructuring, NYSE/NASDAQ listing guidance), institutional sales and trading, and wealth management services delivered through affiliates including Alexander Capital Wealth Management and Alexander Capital Insurance Agency.

Alexander Capital makes money primarily through transaction-based fees, including underwriting and placement fees on capital raises, brokerage commissions on securities transactions, principal trading markups and markdowns on fixed income, account maintenance and inactivity fees, third-party revenue sharing (12b-1 fees, trail compensation, sweep float), and placement fees from affiliated private placement activity through Alexander Capital Ventures, LLC. GTM is entirely relationship-driven: institutional sales teams cover money managers, hedge funds, family offices, and high net worth investors in the U.S., Europe, and Asia, while investment banking coverage originates small-cap and mid-cap mandates through referral networks, industry events, and direct outreach rather than digital marketing. Customer segments are concentrated in three primary buckets: institutional investors, high net worth individuals and family offices, and corporate clients (small- and mid-cap issuers seeking capital markets access).

Name

Alexander Capital

Legal name

Alexander Capital, L.P.

Website

https://alexandercapitallp.com

Company type

Private

Founded year

1995

Operating status

Operating

Headcount range

51–100 employees

Short description

Alexander Capital L.P. is a privately held, full-service broker-dealer and investment bank founded in 1995, serving small-cap and mid-cap issuers with capital raising, advisory, and institutional sales and trading, plus wealth management for high net worth clients and family offices.

Ownership category

akta.pro rank

Product category

Investment Banking

NAICS

Securities, Commodity Contracts, and Other Financial Investments and Related Activities (523), Portfolio Management and Investment Advice (523940), Miscellaneous Intermediation (52391)

SIC

Security Brokers, Dealers & Flotation Companies (6211), Investment Advice (6282)

akta.pro primary industry

Capital Raising Advisory (Equity & Equity-Linked) (FSAEAGAC)

akta.pro secondary industries

Corporate Finance & Capital Advisory (BPAHADAB), Equity Capital Advisory (Private Equity Placements, Growth Capital) (BPAHAOAE), Fairness Opinions & Independent Board Advice (FSAEAGAF), Institutional Capital Introduction (LP/Family Office/Endowment Matching) (FSAEALAI)

Keywords

• Investment banking services
• Capital markets advisory
• Equity sales trading
• Wealth management advisory
• Broker-dealer 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, Technology or R&D, Marketing or Sales, Infrastructure

Revenue model

1. Transaction-based commissions: Fees charged to clients whenever they buy or sell investments, including commission-based compensation for securities transactions.
2. Principal trading markups/markdowns: Revenue generated from price differentials on debt securities traded on agency or principal basis for corporate, U.S. Government, and Municipal bonds.
3. Account maintenance fees: Administrative fees for account maintenance, inactivity, custodian fees, and other account-level charges.
4. Third-party compensation: Revenue sharing from clearing firm (RBC), mutual fund companies, product sponsors including 12b-1 fees, trail compensation, margin compensation, and sweep/bank deposit float compensation.
5. Placement fees: Fees received from Alexander Capital Ventures, LLC for private placement securities offerings.
6. Investment banking fees: Capital raising, advisory, and underwriting fees from public offerings, private placements, M&A transactions, and other investment banking services.

Pricing tiers

Go-to-market motion2 records

Distribution channels3 records

Marketing channels4 records

Core offering

Alexander Capital, L.P. operates as a full-service broker-dealer providing investment banking and advisory (public and private capital raising, IPOs, follow-on offerings, PIPEs, private placements, M&A advisory, fairness opinions, restructuring), institutional equity sales and trading covering small-cap and mid-cap sectors globally, and wealth management services for high net worth individuals, family offices, foundations, and institutions. Transactions are cleared and custodied through RBC Correspondent Services, with private placement offerings routed through affiliate Alexander Capital Ventures, LLC.

Product overview

Alexander Capital L.P. is a full-service investment bank and brokerage firm established in 1995, headquartered in New York City. The firm operates three core business lines: Investment Banking & Advisory (offering capital raising through public/private offerings, M&A advisory, and restructuring services), Equity Sales & Trading (providing institutional execution and capital markets services across global markets), and Wealth Management (delivering portfolio management, estate planning, and insurance through affiliated services). The firm leverages proprietary analytics (ArlingtonEconometrics) and maintains affiliations with RBC Capital Markets for clearing/custody and Alexander Capital Ventures for private placement offerings. Alexander Capital has raised more than $2.0 billion for clients through its investment banking operations, serving small-cap and mid-cap companies across Technology, Healthcare, Energy, Consumer, and other sectors.

Differentiator

Problem solved

Functional benefit

Products and services

• Investment Banking & Advisory Full-service investment banking and advisory offering for small-cap and mid-cap issuers, spanning public capital raising (IPOs, follow-on offerings, secondary offerings, registered directs, at-the-market offerings, SPACs, PIPEs), private placements, fixed income offerings, M&A advisory, board placement, corporate fairness opinions, balance sheet and debt restructuring, solvency opinions, and NYSE/NASDAQ listing guidance.
• Equity Sales & Trading Institutional and retail equity execution, sales, and trading services covering capital markets, small-cap and mid-cap sectors, and investor outreach with global reach spanning U.S., Europe, and Asia.
• Wealth Management Wealth management services for high net worth individuals, family offices, foundations, and institutions, delivered through Alexander Capital Wealth Management and including private banking via RBC, portfolio modeling, direct trading, access to over 2,000 managed funds, alternative assets advisory, private company investing, insurance, credit solutions, and estate planning.
• ArlingtonEconometrics Proprietary quantitative market analytics tool used by Alexander Capital for market analysis and investment strategy development, supporting the firm's investment banking, sales and trading, and wealth management practices.
• Insurance and Private Placement Services Insurance products offered through affiliated Alexander Capital Insurance Agency and private placement securities offerings routed through affiliated Alexander Capital Ventures, LLC, supporting wealth management and corporate capital raising mandates respectively.

Named customers9 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

Integration2 records

Feature1 record

Partnerships

One partnership is on record.

• Alexander Capital Ventures, LLCcoreStrategic or Co-development PartnerAffiliate company through which registered representatives may offer private placement securities to clients, creating a conflict of interest disclosure requirement and generating placement fee revenue for the firm.

Scale indicators2 records

Recent moves6 records

Expansion highlights4 records

Direct peers

• Aegis Capital Corp. Full-service broker-dealer and investment bank focused on small-cap and micro-cap equity offerings, including IPOs, follow-ons, PIPEs, and private placements. Closely comparable to Alexander Capital in deal size profile, target issuer segment, and transaction mix.
• Maxim Group LLC: Small-cap and mid-cap focused investment bank and broker-dealer offering equity research, institutional sales & trading, and capital markets execution. Directly comparable in mandate type and issuer profile.
• EF Hutton (Division of Dominari Holdings): Full-service broker-dealer specializing in small-cap and mid-cap IPOs, follow-ons, and advisory mandates. Highly comparable in transaction mix, deal size range, and target issuer segment.
• ThinkEquity (a division of Fordham Financial Management): Small-cap focused investment bank acting as underwriter and placement agent for IPOs, follow-ons, and PIPEs. Comparable mandate profile and issuer segment.
• Roth Capital Partners: Investment bank focused exclusively on small-cap and mid-cap companies with capital markets, research, sales & trading, and corporate advisory. Directly comparable in business mix, though typically larger in scale.
• The Benchmark Company: Small-cap institutional broker-dealer offering equity research, sales & trading, and investment banking for micro-cap and small-cap issuers. Comparable in deal size and issuer profile.
• Lake Street Capital Markets: Small-cap focused investment bank with research-driven institutional sales and capital markets execution. Comparable in target issuer segment and equity-focused mandate mix.
• Dawson James Securities: Small-cap focused investment bank specializing in healthcare and growth-company capital raising through IPOs, follow-ons, and private placements. Comparable mandate profile, with overlapping issuer segment.
• Joseph Gunnar & Co. Small-cap and mid-cap broker-dealer and investment bank providing capital markets services and institutional sales. Closely comparable in size profile and target issuer segment.

Broad incumbents

• B. Riley Financial: Diversified financial services firm with significant small-cap and mid-cap investment banking, wealth management, and capital markets capabilities. Overlapping mandate profile but at materially greater scale and breadth than Alexander Capital.

Market position

Strengths3 records

Weaknesses4 records

Competitive moat5 records

Key risks5 records

Key highlights7 records

Customer concentration

• LinkedInlinkedin.com/company/alexander-capital-lp1

Compliance3 records

Revenue estimate

Valuation estimate

Number of profiles

Profiles3 records

Subsidiaries3 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 Alexander Capital