Boustead Securities

What Boustead Securities does

Boustead Securities, LLC is a US-licensed boutique investment bank founded in 2006 and headquartered at 6 Venture, Suite 395, Irvine, California. The firm is a FINRA member, SIPC member, and SEC-registered broker-dealer (CRD 141391), and is a majority-owned subsidiary of Boustead & Company Limited, a diversified non-bank financial institution. Through the Boustead ecosystem — which also includes affiliated Sutter Securities (FINRA member, San Francisco), Sutter Securities Clearing, and the FlashFunders Funding Portal — the firm provides a multi-service platform spanning Corporate Finance, Capital Market Services, Mergers & Acquisitions, Valuations/Opinions/Testimony, Fund Manager Placement, EB-5 Program advisory, Sales & Trading, Structured Tax Solutions, and Special Situations. Underlying technology is limited to the Sutter Securities Group online securities platform, which enables Reg D, Reg A+, Reg S, Reg CF, and S-1/F-1 IPO issuance infrastructure used by Boustead and affiliates.

The firm's client base is concentrated in emerging-growth and small/micro-cap issuers across healthcare, biotechnology, medical diagnostics, cannabis, electric vehicles, satellite/defense technology, sports/media, and cross-border (notably US–China) transactions. Visible mandates include sole-underwritten Nasdaq IPOs for Flora Growth Corp. (cannabis) and Jiuzi Holdings ($26M, China EV), the lead-managing-underwritten NYSE IPO for Kairos Pharma ($6.2M), exclusive placement agent roles for Know Labs ($14.2M) and Resonate Blends, and joint financial and listing advisor roles alongside Fosun Hani Securities for G Medical Innovations. The firm monetizes via three fee streams — investment banking advisory fees, underwriting/IPO transaction fees, and placement agent fees — with pricing not publicly disclosed and typically quote-based per transaction. Distribution is built on a syndicate model with Sutter Securities, EF Hutton, and Fosun Hani, combined with a direct enterprise sales motion targeting issuers rather than buy-side accounts.

Headcount is reported as 11–50 professionals across the United States, led by Founder/CEO Keith Moore and a senior bench that includes Dan McClory (Head of China & Equity Capital Markets), Robert N. Rubin (Senior Managing Director, DC-based, Aerospace/Defense M&A), Eli Ansari (Head of Blockchain Investment Banking), and Pete Conley (Head of IP Banking). The firm operates a horizontal segmentation strategy, prioritizing emerging-growth issuers and cross-border mandates over sector concentration, and positions itself as a full-stack small-cap capital markets partner rather than a single-product advisor.

Name

Boustead Securities

Legal name

Boustead Securities, LLC

Website

https://boustead1828.com

Company type

Private

Founded year

2006

Operating status

Operating

Headcount range

11–50 employees

Short description

Boustead Securities is a US boutique investment bank (FINRA/SIPC, Irvine, CA) advising emerging-growth and small-cap issuers on IPOs, M&A, and capital raises across healthcare, biotech, cannabis, EVs, defense, and US–China cross-border transactions.

Ownership category

akta.pro rank

Product category

Investment Banking

NAICS

Investment Banking and Securities Intermediation (52315), Investment Banking and Securities Intermediation (523150)

SIC

Security Brokers, Dealers & Flotation Companies (6211)

akta.pro primary industry

Equity Capital Advisory (Private Equity Placements, Growth Capital) (BPAHAOAE)

akta.pro secondary industry

Capital Raising Advisory (Debt/Equity/Private Capital) (BPAHADAG)

Keywords

• Investment banking
• IPO underwriting
• Mergers acquisitions
• Capital raises
• Private placements

Headquarters

HQ city

El Segundo

HQ country

United States

HQ region

North America

Offices1 record

Markets served

GTM type

B2B

Offering type

Services

Cost components

Personnel, Operations, Marketing or Sales, Infrastructure, Others

Revenue model

1. Investment Banking Advisory Fees: Fees for advising clients on mergers and acquisitions, capital raises and restructuring assignments across various industries and transaction types.
2. Underwriting Revenue: Revenue from acting as lead managing underwriter, co-underwriter, or placement agent for IPOs and capital raises. Includes fees for firm commitment IPOs and best efforts offerings.
3. Placement Agent Services: Placement agent fees for private placements, convertible note offerings, and other capital raise transactions for institutional and accredited investors.

Go-to-market motion1 record

Distribution channels3 records

Marketing channels5 records

Core offering

Boustead Securities is an investment banking firm that advises clients on mergers and acquisitions, capital raises, and restructuring assignments across healthcare, biotech, cannabis, electric vehicles, satellite technology, real estate, and other emerging growth sectors. The firm acts as lead managing underwriter, co-managing underwriter, or placement agent for IPOs (NYSE/Nasdaq), follow-on offerings, Regulation D/A+/CF/S private placements, and convertible note offerings through its affiliated FINRA member broker-dealer Sutter Securities and its FlashFunders Funding Portal.

Product overview

Boustead Securities is an investment banking firm that provides a comprehensive suite of financial advisory and transaction execution services. The firm operates as a multi-service investment bank offering Corporate Finance, Capital Market Services, Valuations/Opinions/Testimony, Mergers & Acquisitions, Fund Manager Placement Services, EB-5 Program, Sales & Trading, Structured Tax Solutions, and Special Situations services. The firm is affiliated with Sutter Securities and is a majority-owned subsidiary of Boustead & Company Limited, a diversified non-bank financial institution. Boustead focuses on serving clients across diverse industries with experienced professionals in the United States, executing IPOs, capital raises, and restructuring assignments.

Differentiator

Problem solved

Functional benefit

Brands

• Sutter Securities: Affiliated FINRA member and SEC-registered broker-dealer headquartered in San Francisco.

Products and services

• Corporate Finance Investment banking advisory services for capital raises, restructuring, and financial transactions across various industries and circumstances. For corporate clients needing structured finance solutions.
• Capital Market Services Advisory and execution services for capital market transactions including IPOs, follow-on offerings, and debt placements. For issuers and corporate clients seeking public or private market capital.
• Valuations, Opinions & Testimony Corporate valuation services, fairness opinions, and expert testimony for transactions and litigation purposes. For corporate clients, law firms, and parties involved in corporate transactions or disputes.
• Mergers & Acquisitions Advisory services for M&A transactions including buy-side and sell-side mandates, divestitures, and strategic advisory. For corporate buyers, sellers, and boards evaluating strategic transactions.
• Fund Manager Placement Services Assistance in raising capital for investment funds from institutional and accredited investors. For emerging and established fund managers seeking LP capital.
• EB-5 Program Advisory services related to the EB-5 Immigrant Investor Program for foreign investment and U.S. residency. For developers, regional centers, and foreign investors pursuing U.S. permanent residency through investment.
• Sales & Trading Equity capital markets distribution capabilities and sales trading services for listed and private securities. For issuer clients needing distribution and for institutional investors trading securities.
• Structured Tax Solutions Tax-advantaged investment structures and solutions for wealth management and capital formation. For high-net-worth individuals and issuers seeking tax-efficient capital structures.
• Special Situations Advisory services for complex, non-traditional transactions including distressed assets, turnaround situations, and unique capital structure challenges. For corporate clients facing complex or non-standard financial situations.

Named customers10 records

Segments2 records

Ideal customer profiles3 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Feature1 record

Partnerships

Six partnerships are on record, tiered minor and core.

• Viasat, Inc.minorStrategic or Co-development Partner · 19 September 2024Boustead client Reticulate Micro joined Viasat's ELEVATE growth program to bring its VAST video encoding and compression technology to new markets through Viasat's partner ecosystem.
• EF Hutton LLCminorChannel Partner/ Reseller/ Distributor · 18 September 2024EF Hutton LLC acted as co-managing underwriter alongside Sutter Securities for Kairos Pharma's $6.2M NYSE IPO.
• Sutter Securities, Inc.coreChannel Partner/ Reseller/ Distributor · 18 September 2024Sutter Securities, Inc. acted as co-managing underwriter for Kairos Pharma's $6.2M NYSE IPO alongside lead managing underwriter Boustead Securities.
• Fosun Hani Securities LimitedminorChannel Partner/ Reseller/ Distributor · 27 April 2020Fosun Hani Securities Limited engaged as joint financial and listing advisor alongside Boustead for G Medical Innovations' planned NASDAQ IPO. Fosun Hani is a wholly-owned subsidiary of Fosun International Limited and participant member of Hong Kong Stock Exchange.
• Sutter SecuritiescoreTechnology or IntegrationBoustead is affiliated with Sutter Securities, a longstanding FINRA member and SEC-registered broker-dealer headquartered in San Francisco. Sutter Securities Group operates a U.S.-based online securities platform enabling Regulation D, Reg A+, Reg CF, and S-1/F-1 IPO offerings.
• Alleon HealthcareminorStrategic or Co-development PartnerAlleon Healthcare, a division of Alleon Capital Partners, partnered with Boustead to provide a $2.5M debt facility for CareAccess MSO. Alleon is a specialty finance company focused on medical receivables financing.

Scale indicators2 records

Recent moves6 records

Expansion highlights5 records

Direct peers

• The Benchmark Company: Institutional broker-dealer and investment bank providing research, sales, trading, and corporate advisory services, with substantial overlap in small/mid-cap equity offerings and private placements.
• Roth Capital Partners: One of the largest US boutique investment banks dedicated to small-cap and micro-cap equity offerings, M&A advisory, and follow-on financings - the most direct scale competitor to Boustead in the emerging growth company ECM space.
• Dawson James Securities: Specialized boutique investment bank focused on small-cap and micro-cap equity offerings, particularly in life sciences, comparable to Boustead's biotech and emerging growth IPO franchise.
• Maxim Group: Full-service boutique investment bank and broker-dealer focused on small/mid-cap healthcare, technology, and consumer issuers, with overlapping ECM, capital raising, and M&A capabilities.
• Aegis Capital Corp: Full-service broker-dealer and investment bank underwriting and placing micro-cap and small-cap equity offerings, with similar clientele and ECM profile.
• ThinkEquity (a division of Fordham Financial Management): Investment bank focused on IPOs and capital raises for emerging growth companies, with comparable small-cap underwriting and equity placement offerings.
• EF Hutton LLC: Full-service broker-dealer and investment bank that co-managed the Kairos Pharma NYSE IPO with Boustead and Sutter Securities, operating in the same small-cap/Mid-cap underwriting and ECM niche across emerging growth issuers.
• Sutter Securities Group: Fellow FINRA-member broker-dealer affiliated with Boustead; operates the online securities platform and co-managed the Kairos IPO, providing closely aligned equity capital markets, placement agent, and crowdfunding infrastructure.

Market position

Strengths4 records

Weaknesses4 records

Competitive moat5 records

Key risks5 records

Key highlights6 records

Customer concentration

• Facebookfacebook.com/boustead1828
• LinkedInlinkedin.com/company/bousteadsecurities
• Xx.com/mbsecurities

Compliance3 records

Revenue estimate

Valuation estimate

Number of profiles

Profiles5 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 Boustead Securities