What Novus Capital does

Novus Capital Limited is an Australian investment and financial services firm headquartered in Sydney, founded in March 2001 by Wayne Gooley (with operational genesis dating to the early 1990s). The company operates across three service lines: Corporate Advisory (IPOs, RTOs, capital raisings, placements, and M&A for ASX and NZX small to mid-cap companies with A$5m–A$150m market capitalisation), Share Trading (equities, options and warrants, margin lending, portfolio construction, and Managed Discretionary Accounts for institutional, sophisticated, and private investors), and AFSL Licensee Services (licensing, compliance, training, and professional indemnity coverage for authorised representatives operating under AFSL No. 238168). It also offers At-the-Market (ATM) Equity Facilities as a flexible capital-raising product for listed issuers.

The business model is fee-based across four streams: corporate advisory fees (transaction-linked and retainers), brokerage and trading fees, ATM facility fees (brokerage on capital raised plus establishment and monthly retainers), and AFSL licensee services revenue. Distribution is relationship-driven through 8 offices across Australia (Sydney, Melbourne x2, Cairns, Perth, Unley) plus international partner relationships in Hong Kong, Singapore, and London. Underlying technology relies on third-party clearing, settlement, margin lending, and research providers rather than proprietary platforms, consistent with a relationship-led mid-market adviser model.

Since 2007, the firm has participated in 586+ corporate transactions and over A$5.0 billion in deal value, with a client roster that spans mining/resources, technology, healthcare, and energy issuers. Recent mandates include participation in placements and ATMs for companies such as Unisys Corporation, Xenitra Limited, American West Metals, Terrain Minerals, Locate Technologies, Control Bionics, and Janus Electric. The firm remains privately held with Wayne Gooley as founding shareholder and Managing Director, The Honourable George Gear as Chairman, and a board of senior industry veterans.

Name

Novus Capital

Legal name

Novus Capital Limited

Website

https://novuscapital.com.au

Company type

Private

Founded year

2001

Operating status

Operating

Headcount range

101–250 employees

Short description

Novus Capital Limited is an Australian investment banking and financial services firm offering corporate advisory (IPOs, RTOs, M&A, capital raisings), share trading, ATM equity facilities, and AFSL licensee services for small to mid-cap companies and private investors across Australia and select international markets.

Ownership category

akta.pro rank

Product category

Investment Banking & Corporate Advisory

NAICS

Investment Banking and Securities Intermediation (52315), Investment Banking and Securities Intermediation (523150), Portfolio Management and Investment Advice (523940)

SIC

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

akta.pro primary industry

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

akta.pro secondary industries

Debt & Capital Advisory (Debt Raising, Refinancing, Private Credit) (BPAHAOAD), Capital Markets Advisory (IPO Readiness, SPAC, ECM/DCM Advisory) (BPAHAOAL)

Keywords

• Investment banking services
• Corporate advisory services
• Share trading services
• Capital raising services
• AFSL licensee services

Headquarters

HQ city

Sydney

HQ country

Australia

HQ region

Oceania

Offices6 records

Markets served

GTM type

B2B

Offering type

Services

Cost components

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

Revenue model

1. Corporate Advisory Fees: Revenue generated from providing corporate advisory services including capital raisings, IPOs, RTOs, and M&A transactions. Fees are typically structured as a percentage of transaction value, establishment fees, and monthly retainers for ongoing advisory mandates.
2. Brokerage and Trading Fees: Revenue from equity trading services including brokerage fees on share trades, margin lending arrangements (facilitated through third parties), and portfolio management services including Managed Discretionary Accounts.
3. ATM Facility Fees: Fees from At-the-Market equity facilities including brokerage fees (percentage of gross capital raised), establishment fees, and monthly retainers for facility management and execution support.
4. AFSL Licensee Services: Revenue from providing the framework for advisers and advisory companies to operate under Novus Capital's Australian Financial Services Licence, including compliance support, infrastructure access, and professional indemnity coverage.

Pricing tiers

Go-to-market motion3 records

Distribution channels5 records

Marketing channels4 records

Core offering

Novus Capital Limited is an Australian investment and financial services company specialising in Investment Banking, Corporate Advisory and Share Trading services for Australian corporate and private clients, and overseas corporate clients. The firm focuses on small to mid-cap companies with A$5 million to A$150 million market capitalisation, delivering services including IPOs, reverse takeovers (RTOs), mergers and acquisitions, capital raisings, equity trading, and AFSL licensee services to advisory firms.

Product overview

Novus Capital Limited is an investment and financial services company offering three main areas of service: Corporate Advisory Services, Share Trading Services, and AFSL Licensee Services. The Corporate Advisory Services division provides specialized advisory for capital raisings, IPOs, M&A transactions, and corporate governance, complemented by the At-the-Market (ATM) Equity Facilities for flexible equity raises and an ASX Listing Guide for companies seeking to list. Share Trading Services caters to institutional and private investors through equities trading, options and warrants, margin lending, portfolio structuring, and Managed Discretionary Accounts (MDA). AFSL Licensee Services provides the framework for advisers to operate under Novus's Australian Financial Services Licence. The company also facilitates current investment opportunities including pre-IPO offerings for companies like Hill Tops Gold, StanAurum, and Transition Resources.

Differentiator

Problem solved

Functional benefit

Products and services

• Corporate Advisory Services
• Share Trading Services

Quantifiable outcome

• Over A$5.0 billion in corporate transactions completed since founding
• +2 more outcomes

Named customers10 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

Partnerships

Two partnerships are on record, tiered core and minor.

• Partners & Associates in Hong Kong, Singapore, LondoncoreStrategic or Co-development PartnerNovus Capital has established partnerships and associations with firms in global capitals including Hong Kong, Singapore, and London to support their international reach for corporate advisory and capital raising services.
• Active Accountants (Cairns)minorStrategic or Co-development PartnerNovus Cairns office has partnered with Scott Lawrence of Active Accountants to provide accounting, tax and asset management services to clients.

Scale indicators5 records

Recent moves7 records

Expansion highlights5 records

Broad incumbents

• Canaccord Genuity Australia: Australian arm of global mid-market investment bank. Larger, broader incumbent with overlapping small-mid cap advisory and capital markets capabilities but wider product range and institutional footprint.

Direct peers

• PAC Partners Securities: Boutique Australian securities and advisory firm focused on small to mid-cap ASX companies. Comparable target market and IPO/capital raising service offering.
• Bell Potter Securities: Long-standing Australian full-service stockbroker offering retail trading, corporate advisory, and institutional research. Overlaps with Novus on ASX advisory and equity capital markets execution.
• Hartleys Limited: Perth-based Australian stockbroking and corporate advisory firm with strong small-mid cap focus. Russell Krause, a Novus director, previously headed Corporate Finance & Investment Banking at Hartleys' predecessor, illustrating direct career overlap.
• Blue Ocean Equities: Sydney-based boutique broker and corporate adviser focused on small-mid cap ASX stocks. Closely comparable in corporate advisory, equity capital markets, and private client trading mix.
• Morgans Financial Limited: Australian stockbroking and wealth advisory group with national branch network. Comparable model combining private client trading with corporate finance and capital raising services.
• Shaw and Partners: Australian private wealth management and investment bank with offices across the country. Directly comparable in combining share trading for private clients with corporate advisory for ASX small-mid cap issuers.
• Wilsons Advisory and Stockbroking: Australian private stockbroking and corporate advisory firm offering wealth management and ASX corporate finance. Comparable integrated model combining institutional/private clients with small-mid cap advisory.
• Ord Minnett Limited: Australian private stockbroking and corporate advisory firm with a strong focus on small to mid-cap companies. Closely comparable to Novus in target market, AFSL licensee structure, and wealth/advisory crossover model.
• Peloton Capital Management: Australian small-mid cap focused advisory and capital markets firm. Overlaps with Novus on placements, IPOs, and corporate advisory for emerging ASX-listed companies.

Market position

Strengths5 records

Weaknesses5 records

Competitive moat5 records

Key risks6 records

Key highlights7 records

Customer concentration

Revenue estimate

Valuation estimate

Number of profiles

Profiles8 records

Funding overview

Funding rounds

Investors

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A

Investments4 records

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about Novus Capital