Regiment Securities
Regiment Securities is a FINRA-registered boutique investment bank providing fundraising, advisory, and capital introduction services to lower/middle market companies, family offices, and founder-led businesses, distributing private Reg D 506c placements through its RegimentXpress digital marketplace.
- Company typePrivate
- Founded2021
- HeadquartersNewton, United States
- Headcount11–50
- GTM typeB2B
- OfferingServices
What Regiment Securities does
Regiment Securities is a FINRA-registered broker-dealer and member of SIPC operating as a boutique independent investment bank. The firm provides fundraising, consultative, and marketing services to lower and middle market companies, family offices, and founder-led businesses, generating revenue primarily through advisory fees and transaction-based compensation on completed capital-raising and advisory assignments.
The firm's core distribution channel is RegimentXpress, a digital marketplace platform for Reg D 506c private placements that connects issuers with accredited investors and family offices. The marketplace is powered by Capital Engine technology and supports offerings across venture capital, digital assets, private equity, sports, healthtech, and energy. Active listings span minimum investment thresholds from $25,000 to $350 million, indicating a wide deal-size appetite distributed through a single collaborative platform.
Regiment's go-to-market is sales-led and relationship-driven, combining direct investment banking engagement (e.g., OPUM Technologies, LGX Energy, Foundation Academies) with curated marketplace distribution. The firm is pursuing technology-enabled differentiation through two strategic alliances: Capital Engine for marketplace infrastructure and co-syndication, and Moneyball.ai to integrate an AI Banker agent into regulated investment banking workflows. Headquartered at 420 N Wabash Ave., Suite 500, Chicago, the firm operates with 11-50 employees and is privately held with no disclosed parent company.
Regiment Securities firmographics
Firmographics- Name
- Regiment Securities
- Legal name
- Regiment Securities, LLC
- Website
- https://regimentsecurities.com
- Company type
- Private
- Founded year
- 2021
- Operating status
- Operating
- Headcount range
- 11–50 employees
- Short description
- Regiment Securities is a FINRA-registered boutique investment bank providing fundraising, advisory, and capital introduction services to lower/middle market companies, family offices, and founder-led businesses, distributing private Reg D 506c placements through its RegimentXpress digital marketplace.
- Ownership category
- akta.pro rank
Regiment Securities industry classification
Industry- Product category
- Investment Banking & Capital Markets Advisory
- NAICS
- Other Financial Investment Activities (5239), Portfolio Management and Investment Advice (523940)
- SIC
- Security Brokers, Dealers & Flotation Companies (6211), Security & Commodity Brokers, Dealers, Exchanges & Services (6200)
- akta.pro primary industry
- Securities Borrowing & Lending (Equities/Bonds) (FSACAIAC)
- akta.pro secondary industry
- Sector & Industry Equity ETFs (FSAAAFAC)
Keywords
Where Regiment Securities is headquartered
LocationHeadquarters
- HQ city
- Newton
- HQ country
- United States
- HQ region
- North America
Offices1 record
Markets served
Regiment Securities business model
Business model- GTM type
- B2B
- Offering type
- Services
- Cost components
- Personnel, Technology or R&D, Marketing or Sales, Operations
Revenue model
- Investment Banking Services: Regiment Securities provides investment banking services to the lower and middle market, family offices, and founder-led businesses as a FINRA-registered broker-dealer. Revenue is generated through advisory fees and transaction-based compensation for executed deals.
Pricing tiers
| Model | Billing | Price |
|---|---|---|
| Other | Other | Deal-specific investment minimums ranging from $25,000 to $350,000,000 |
Go-to-market motion1 record
Distribution channels2 records
Marketing channels3 records
Regiment Securities product offering
Product offeringCore offering
Regiment Securities is a FINRA/SIPC-licensed broker-dealer that provides investment banking services—including capital raising, strategic advisory, and deal syndication—to lower and middle-market companies, family offices, and founder-led businesses. It also operates the RegimentXpress digital marketplace, a collaborative platform (powered by Capital Engine technology) that distributes private placement offerings (Reg D 506c) and curated alternative-investment opportunities to accredited investors.
Product overview
Regiment Securities operates as a boutique independent investment bank providing investment banking services to the lower and middle market, family offices, and founder-led businesses. The company offers a unified platform combining the RegimentXpress Marketplace for deal distribution, Capital Introduction services for connecting issuers with investors, and access to private equity and funds offerings. The marketplace is powered by Capital Engine technology and lists various investment opportunities across sectors including technology, venture, digital assets, private equity, sports, healthtech, and energy.
Differentiator
Problem solved
Functional benefit
Brands
- RegimentXpress: A collaborative platform for issuers, partners, and investors to access off-market deals. Powered by Capital Engine technology.
Products and services
- RegimentXpress Marketplace
Companies that use Regiment Securities
Customer profileNamed customers4 records
Segments4 records
Ideal customer profiles3 records
Regiment Securities technology and API
TechnologyTechnology focussed No
API detail
- Has API
- No
- API docs
- API detail
Core technology
AI maturity
App detail
Integration1 record
AI capability3 records
Regiment Securities partnerships and signals
Strategic signalPartnerships
Three partnerships are on record, tiered core.
- Capital EnginecoreStrategic alliance enabling co-syndication of private investment opportunities across both firms' curated investor networks. Combines Capital Engine's digital marketplace technology (supporting over $700 million in processed transactions) with Regiment's expertise in investment syndication and network of sophisticated investors. Reflects growing demand for technology-enabled private-market infrastructure driven by regulatory evolution and increasing institutional allocations to alternative assets.
- OPUM TechnologiescoreOPUM Technologies retained Regiment Securities as its investment bank to support strategic growth initiatives for its AI-powered Digital Knee platform. Regiment will provide investment banking services for the company's expansion efforts in orthopedic care and sports performance markets.
- Moneyball.aicorePartnership to integrate AI technology into investment banking services, aiming to streamline processes and expand investor reach. The collaboration leverages AI to automate tasks and connect investor networks, with Moneyball.ai validating its AI Banker in a regulated environment while Regiment Securities enhances its deal distribution capabilities.
Scale indicators2 records
Recent moves4 records
Expansion highlights5 records
Regiment Securities competitors and assessment
Company assessmentDirect peers
- A.G.P. / Alliance Global Partners: Independent boutique investment bank and broker-dealer focused on middle-market and small-cap clients, providing capital raising, advisory, and equity research. Highly comparable to Regiment's lower/middle-market, founder-led focus and FINRA-registered placement activity.
- Maxim Group: Full-service boutique broker-dealer and investment bank serving small- and mid-cap companies with capital markets, advisory, and institutional sales. Comparable to Regiment in targeting growth-stage issuers with Reg D and public/private placement services.
- EF Hutton: Independent boutique investment bank focused on middle-market M&A, capital raising, and advisory services. Highly comparable in scale, target client (lower/middle-market), and FINRA-registered placement capabilities.
- Dawson James Securities: Specialized boutique investment bank focused on healthcare and growth-company capital raising, with private placement and advisory services. Comparable to Regiment's deal-by-deal placement model and FINRA-regulated syndication.
- ThinkEquity: Boutique investment bank providing capital raising, advisory, and equity research to growth-stage and small-cap issuers. Comparable in targeting founder-led and emerging-company placements through Reg D and public offerings.
- Roth Capital Partners: Boutique investment bank focused on small- and mid-cap companies, with private placements, advisory, and institutional sales. Comparable to Regiment in FINRA-regulated middle-market capital raising.
- The Benchmark Company: Full-service boutique broker-dealer and investment bank serving small- and mid-cap clients with capital markets, advisory, and institutional research. Comparable in scale, regulated status, and lower/middle-market focus.
- WestPark Capital: Los Angeles-based boutique investment bank and broker-dealer providing capital raising, advisory, and institutional services to emerging-growth and middle-market companies. Comparable to Regiment's boutique placement model.
Broad incumbents
- B. Riley Financial: Diversified financial services firm with investment banking, capital markets, wealth management, and brokerage. While far larger, it competes with Regiment for middle-market advisory and private placement mandates.
Emerging players
- Republic: Digital private-market investment platform offering Reg D and Reg A+ placements to retail and accredited investors. Comparable to Regiment's marketplace-driven distribution model and accredited-investor onboarding flow.
Market position
Strengths5 records
Weaknesses5 records
Competitive moat4 records
Key risks6 records
Key highlights6 records
Customer concentration
Regiment Securities social profiles
Digital presenceRegiment Securities compliance and trust
Trust signalCompliance2 records
Regiment Securities financial estimates
Financial estimateRevenue estimate
Valuation estimate
Regiment Securities leadership team
Management profileNumber of profiles
Profiles1 record
Regiment Securities funding detail
Funding detailFunding overview
Funding rounds
Investors
Funding detail is available on the Subscription and Enterprise plan.Contact sales →
Regiment Securities M&A and investment
M&A and investmentM&A
Investments
M&A and investment is available on the Subscription and Enterprise plan.Contact sales →
Frequently asked questions about Regiment Securities
What does Regiment Securities do?
Regiment Securities is a FINRA/SIPC-licensed broker-dealer that provides investment banking services—including capital raising, strategic advisory, and deal syndication—to lower and middle-market companies, family offices, and founder-led businesses. It also operates the RegimentXpress digital marketplace, a collaborative platform (powered by Capital Engine technology) that distributes private placement offerings (Reg D 506c) and curated alternative-investment opportunities to accredited investors.
Is Regiment Securities a public or private company?
Regiment Securities is a private company. It is classified as founder individual operated bootstrapped and is currently operating.
When was Regiment Securities founded?
Regiment Securities was founded in 2021. It employs 11 to 50 people.
Where is Regiment Securities based?
Regiment Securities is headquartered in Newton, United States, in the North America region.
How does Regiment Securities make money?
One revenue line is on record: investment Banking Services.
Who are Regiment Securities's main competitors?
Direct peers on record are A.G.P. / Alliance Global Partners, Maxim Group, EF Hutton, Dawson James Securities, ThinkEquity, Roth Capital Partners, The Benchmark Company and WestPark Capital. B. Riley Financial is listed as a broad incumbent. Republic is listed as an emerging player.
Does Regiment Securities have an API?
No public API is recorded for Regiment Securities.
What industry is Regiment Securities in?
Regiment Securities's product category is Investment Banking & Capital Markets Advisory. Its primary akta.pro industry code is FSACAIAC, Securities Borrowing & Lending (Equities/Bonds), with a secondary code of FSAAAFAC, Sector & Industry Equity ETFs. Its NAICS code is 5239 and its SIC code is 6211.