Four Points Capital Partners

What Four Points Capital Partners does

Four Points Capital Partners, LLC is a privately held, FINRA/SIPC/MSRB-member registered broker-dealer headquartered in Ridgewood, NJ with its primary office at 99 Park Avenue, New York. Founded in 1997, the firm employs 101–250 people and operates across three service lines: Investment Banking (Reg D placements, equity and debt financing, M&A, buy- and sell-side advisory, and best-efforts IPOs), Institutional Trading (high-touch execution in equities, options, and specialized strategies for professional clients), and Strategic Advisory. Strategic Advisory is delivered with sector specialization in Healthcare, via the Quartz Advisory sub-brand, and in Sports, via the Greenwich Advisory Co sub-brand — both addressing industries undergoing regulation-driven and technology-driven transformation. Client coverage spans institutional accounts and individual high-net-worth investors, reached through a relationship-driven, high-touch sales model rather than mass marketing.

The firm generates revenue primarily through transaction commissions and advisory fees. The Terms & Conditions disclose a $49.95 fixed firm commission per transaction (with carve-outs for mutual funds, fixed income, syndicates, and sub-$5,000 trades), layered on top of representative-level commissions, with a portion routed to its clearing firm StoneX Group, Inc. Advisory revenue flows from episodic mandates across capital raises and M&A, while the institutional trading desk monetizes execution spread and commissions. Operational infrastructure is built on third-party platforms rather than proprietary technology: client identity and trading access run through StoneX's Vulcan platform with Okta SSO, while secure document exchange runs through ShareFile. There is no disclosed proprietary technology platform, no AI/ML capability, and no API or SDK surface.

Four Points is independently owned with no disclosed parent company or institutional investors, and operates under CEO Mike Martino with CCO Joseph Tooke named in supervisory and privacy disclosures. The firm has no disclosed subsidiaries beyond its two advisory sub-brands, no disclosed funding rounds, no public-company aspirations, and no disclosed M&A history. Geographic reach is strictly domestic (Ridgewood + New York), and customer logos, deal lists, and revenue figures are not publicly disclosed, limiting external visibility into client concentration and deal velocity.

Name

Four Points Capital Partners

Legal name

Four Points Capital Partners, LLC

Website

https://4pointscapital.com

Company type

Private

Founded year

1997

Operating status

Operating

Headcount range

101–250 employees

Short description

Four Points Capital Partners is a FINRA/SIPC/MSRB-registered broker-dealer (founded 1997) offering investment banking, institutional trading, and strategic advisory to institutional and HNW individual clients across the U.S. from offices in Ridgewood, NJ and New York, NY, with sector specialization in healthcare and sports.

Ownership category

akta.pro rank

Product category

Investment Banking

NAICS

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 industries

Capital Raising Advisory (Equity & Equity-Linked) (FSAEAGAC), Corporate Finance Advisory (Strategic Finance, Capital Structure & Recaps) (FSAEAGAE)

Keywords

• Investment banking services
• Institutional trading
• Strategic financial advisory
• Mergers and acquisitions
• Capital markets advisory

Headquarters

HQ city

Ridgewood

HQ country

United States

HQ region

North America

Offices2 records

Markets served

GTM type

B2B

Offering type

Services

Cost components

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

Revenue model

1. Transaction Commissions: Four Points charges a $49.95 fixed firm commission on each transaction, in addition to the commission charged by the representative on a trade-by-trade basis. The $49.95 firm fixed commission does not apply to mutual fund transactions, fixed income transactions, syndicate transactions, and transactions under $5,000. A portion of this commission is paid to their clearing firm StoneX Group, Inc., and the remaining amount is retained by Four Points as firm compensation.

Pricing tiers

Go-to-market motion1 record

Distribution channels2 records

Marketing channels2 records

Core offering

Four Points Capital Partners is a FINRA/SIPC-registered broker-dealer providing investment banking, institutional trading, and strategic advisory services to institutional and individual clients. Investment banking covers Reg D placements, equity and debt financing, M&A advisory, buy- and sell-side advisory, and best efforts IPOs. Institutional trading delivers execution-focused equities, options, and specialized strategies. Strategic Advisory provides insight-driven counsel on growth, capital structure, and operational pivots, with specialized Healthcare (Quartz Advisory) and Sports (Greenwich Advisory Co) sub-verticals.

Product overview

Four Points Capital Partners operates as a unified financial services platform combining three core offerings: Investment Banking (covering capital raises via Reg D placements, equity/debt financing, M&A, buy/sell-side advisory, and best efforts IPOs), Institutional Trading (high-touch execution across equities, options, and specialized strategies), and Strategic Advisory (sector-focused guidance in Healthcare via Quartz Advisory and Sports via Greenwich Advisory Co). The firm functions as a registered broker-dealer with a high-touch advisory model rather than a technology product company.

Differentiator

Problem solved

Functional benefit

Products and services

• Investment Banking
• Institutional Trading
• Strategic Advisory
• Reg D Placements
• Equity Financing
• Debt Financing
• Merger and Acquisitions
• Sell and Buy Side Advisory
• Best Efforts IPO
• Healthcare Advisory (via Quartz Advisory)
• Sports Advisory (via Greenwich Advisory Co)

Segments4 records

Ideal customer profiles4 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Integration2 records

Partnerships

One partnership is on record.

• StoneX Group, Inc.coreTechnology or IntegrationStoneX Group, Inc. serves as the clearing firm for Four Points Capital Partners. A portion of commissions is paid to StoneX as clearing firm compensation. Clients can access their accounts through StoneX authentication (Okta-based SSO). StoneX also handles emergency contact for clients needing access to funds and securities if Four Points is unable to continue business.

Scale indicators1 record

Recent moves5 records

Expansion highlights5 records

Direct peers

• Maxim Group: Mid-sized U.S. broker-dealer and investment bank providing institutional trading, capital markets, and advisory services to institutional and high-net-worth clients. Highly comparable in scale, service mix, and client segments to Four Points Capital Partners.
• Aegis Capital: New York-based FINRA-registered broker-dealer offering investment banking, institutional sales and trading, and equity research. Comparable mid-market broker-dealer competing in similar institutional and retail brokerage segments.
• WestPark Capital: Los Angeles-based full-service investment bank and broker-dealer providing capital markets, institutional trading, and advisory services to small and mid-cap companies. Closely comparable business model and client base to Four Points.
• National Securities Corporation: Established U.S. broker-dealer offering investment banking, institutional trading, and wealth management to institutional and retail clients. Similar three-pillar service architecture and FINRA-regulated operating model.
• Dawson James Securities: Boutique investment bank and broker-dealer specializing in healthcare and life sciences capital markets and advisory. Strongly comparable vertical focus to Four Points' Quartz Advisory healthcare franchise.
• EF Hutton: Re-launched full-service investment bank and broker-dealer offering capital markets, M&A advisory, and institutional trading. Comparable mid-market positioning and multi-service platform.
• ThinkEquity: U.S. broker-dealer focused on institutional investment banking, equity research, and capital markets for small and mid-cap issuers. Comparable service mix and institutional orientation.
• Lake Street Capital Markets: Mid-sized investment bank and broker-dealer providing equity research, institutional sales and trading, and corporate advisory. Comparable scale and full-service brokerage model.
• Joseph Gunnar & Co. FINRA-registered broker-dealer offering investment banking, institutional trading, and wealth management services. Comparable operating profile and client segments.

Broad incumbents

• Jefferies Financial Group: Major global investment bank and broker-dealer offering capital markets, M&A advisory, and trading across multiple sectors and geographies. Represents the larger, incumbent competitor set against which Four Points competes on smaller, mid-market mandates.

Market position

Strengths4 records

Weaknesses4 records

Competitive moat4 records

Key risks6 records

Key highlights6 records

Customer concentration

• LinkedInlinkedin.com/company/four-points-capital-partners-llc
• Xx.com/4pointscapital
• Facebookfacebook.com/fourpointscapitalpartners

Compliance3 records

Revenue estimate

Valuation estimate

Number of profiles

Profiles1 record

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 Four Points Capital Partners