Ceiba Financial

What Ceiba Financial does

Ceiba Financial, LLC is a privately held, SEC-registered broker-dealer and boutique investment banking firm headquartered at 1831 Lexington Drive, Fullerton, California (Orange County), with branch offices across the United States. Founded in 2019 and operating with a lean team (1-10 employees), the firm is led by CEO and Chief Compliance Officer Carlos Lane, a licensed attorney with 20 years of M&A and securities regulation experience; FINOP Walter Costenbader, with 28 years of broker-dealer compliance experience; and Compliance Associate Rachel Taylor Lane, with 25 years in investment banking and accounting. The firm is a member of FINRA and SIPC.

The firm operates two integrated business lines. The Broker Dealer Platform provides FINRA securities licensing sponsorship (SIE, Series 7, 24, 63, 79, and 82) and ongoing compliance services to independent investment bankers and boutique M&A firms, including email archiving and review, Written Supervisory Procedures implementation, AML procedures, continuing education, and deal document review. Underlying technology is built on an SEC Rule 17a-4(f) compliant data platform with dual-factor authentication and automated email archiving/review systems. The Investment Banking Services division serves middle market companies with M&A advisory (divestitures and acquisitions), private placement of debt and equity (acting as placement agent to traditional and non-traditional capital partners), strategic advisory, and fairness opinions.

Ceiba Financial generates revenue through three streams: (1) recurring fixed-fee subscriptions from independent bankers using the broker dealer platform, with flexible month-to-month contracts; (2) professional services fees for M&A advisory billed hourly, via retainer, and through success, break-up, and tail fees; and (3) transaction-based placement agent fees disclosed in offering documents upon closing of private placements. The firm is management and founder-controlled, with no disclosed external parent company, institutional investors, or funding rounds, and maintains a direct, relationship-driven go-to-market motion via its website, phone, email, and FINRA BrokerCheck verification.

Name

Ceiba Financial

Legal name

Ceiba Financial, LLC

Website

https://ceibafin.com

Company type

Private

Founded year

2019

Operating status

Operating

Headcount range

1–10 employees

Short description

Ceiba Financial is an SEC-registered broker-dealer and boutique investment banking firm that provides FINRA licensing sponsorship and ongoing compliance services to independent investment bankers while offering M&A advisory and private placement services to middle market companies.

Ownership category

akta.pro rank

Product category

Investment Banking Services

NAICS

Securities, Commodity Contracts, and Other Financial Investments and Related Activities (523)

SIC

Security Brokers, Dealers & Flotation Companies (6211)

akta.pro primary industry

Capital Markets Advisory (IPO Readiness, SPAC, ECM/DCM Advisory) (BPAHAOAL)

akta.pro secondary industry

Financial Services & Insurance (FINRA, CFP, IAR, Insurance CE) (EDAAALAJ)

Keywords

• Investment banking services
• Broker dealer platform
• M&A advisory
• Securities licensing sponsorship
• Private placement advisory

Headquarters

HQ city

Fullerton

HQ country

United States

HQ region

North America

Offices2 records

Markets served

GTM type

B2B

Offering type

Services

Cost components

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

Revenue model

1. M&A Advisory Services: Ceiba Financial earns fees through hourly charges for advisory services, retainer arrangements, and success fees contingent on transaction closing. Additional fees such as break-up fees or tail fees may apply if a transaction closes within a defined period after the engagement.
2. Private Placement Placement Agent Fees: The firm acts as a placement agent to facilitate private placement of debt and equity, earning placement agent fees disclosed in respective offering documents upon successful transaction completion.
3. Broker Dealer Platform Services: Provides securities licensing sponsorship and compliance services to independent investment bankers with fixed and variable cost structures, offering affordable fixed fees compared to owning and operating a private broker dealer.

Pricing tiers

Go-to-market motion2 records

Distribution channels3 records

Marketing channels3 records

Core offering

Ceiba Financial operates as a boutique investment banking firm providing M&A advisory and private placement services to middle market companies globally. It also runs a broker dealer platform offering securities licensing sponsorship and compliance support to independent investment bankers and boutique M&A firms seeking FINRA registration.

Product overview

Ceiba Financial operates as a unified investment banking platform combining a Broker Dealer Platform with Investment Banking Services. The Broker Dealer Platform provides FINRA licensing sponsorship and compliance supervision for independent investment bankers and M&A boutiques, while the Investment Banking Services division offers M&A Transaction Advisory (including Divestitures and Acquisitions), Private Placement of Debt and Equity (encompassing Project Finance, Growth Capital, and Private Fund Placement Agent), Strategic Advisory, and Fairness Opinions. Additional service modules include Securities License Sponsorship and Compliance and Supervision Services. Together, these offerings enable middle market companies to access transactional M&A advisory, private placement advisory, and regulatory compliance support through a single provider.

Differentiator

Problem solved

Functional benefit

Products and services

• Broker Dealer Platform A compliance-focused broker dealer platform that provides securities licensing sponsorship for independent investment bankers and M&A advisors, enabling them to register with FINRA, SEC, and various U.S. state securities regulators. The platform includes ongoing compliance supervision and is designed as a cost-effective alternative to owning and operating a private broker dealer.
• Investment Banking Services Comprehensive investment banking services for middle market companies across industries globally, encompassing M&A transaction advisory, private placement of debt and equity, strategic advisory, and fairness opinions. Engagements are delivered through direct relationship-driven execution.
• M&A Transaction Advisory Advisory services for mergers and acquisitions including sell-side divestitures, acquisition evaluations, valuation analyses, and transaction structuring from negotiation through closing, serving public and private middle market corporate clients.
• Private Placement of Debt and Equity Placement agent services connecting clients with traditional investors (private equity funds, mutual funds, hedge funds, alternative lenders) and non-traditional capital partners (family offices, pension funds, endowments, sovereign wealth funds, insurance companies, strategic investors) for private debt and equity financing, including project finance and growth capital advisory.
• Strategic Advisory Strategic and tactical advice for public and private companies across industry sectors, including board and management guidance on shareholder relationships and transaction communication.
• Fairness Opinions Objective advice and opinions on corporate transactions for boards of directors, investors, trustees, and corporate leaders, grounded in rigorous analysis to fulfill fiduciary duties and mitigate transaction risk.
• Securities License Sponsorship FINRA licensing sponsorship for investment bankers covering SIE, Series 7, 24, 63, 79, and 82 exam sponsorship, paired with ongoing compliance supervision for registered representatives.
• Compliance and Supervision Services Ongoing compliance services for sponsored registered representatives including email archiving and review, Written Supervisory Procedures implementation, AML procedures, continuing education, and deal document review.

Quantifiable outcome

• Registration onboarding can be completed within a week
• +1 more outcomes

Segments3 records

Ideal customer profiles2 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Feature3 records

Partnerships

Three partnerships are on record, tiered core.

• FINRAcoreOthersCeiba Financial is a member firm of the Financial Industry Regulatory Authority (FINRA). This regulatory membership allows the firm to sponsor securities licenses and provide broker dealer services to independent investment bankers.
• SIPCcoreOthersCeiba Financial is a member of the Securities Investor Protection Corporation (SIPC), providing customer protection in the event of broker-dealer failure.
• SECcoreOthersCeiba Financial, LLC is registered with the Securities and Exchange Commission (SEC) as a broker-dealer, enabling the firm to operate legally and provide investment banking services.

Scale indicators3 records

Recent moves5 records

Expansion highlights4 records

Direct peers

• Maxim Group: Maxim Group is a boutique broker-dealer that both runs an investment banking practice and supports independent representatives through sponsorship and clearing arrangements. Overlaps with Ceiba on the dual platform (in-house IB + external banker sponsorship).
• Aegis Capital Corp. Aegis Capital is a small-cap focused broker-dealer and investment bank that runs equity capital markets, M&A advisory, and provides sponsorship/affiliation for independent representatives. Directly comparable to Ceiba's hybrid platform model.
• Dawson James Securities:
• TriPoint Global Equities: TriPoint is a boutique broker-dealer that, like Ceiba, specializes in providing FINRA sponsorship, supervision, and compliance services to independent investment bankers and capital markets professionals. It is the closest direct analog for Ceiba's sponsorship business model.
• Western International Securities: Western International is an independent broker-dealer that historically provided FINRA sponsorship and supervisory infrastructure to independent advisors and investment bankers. Comparable to Ceiba on the regulatory-sponsorship core offering.

Market position

Strengths5 records

Weaknesses5 records

Competitive moat4 records

Key risks5 records

Key highlights6 records

Customer concentration

• LinkedInlinkedin.com/company/ceiba-financial-llc

Compliance2 records

Revenue estimate

Valuation estimate

Number of profiles

Profiles3 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 Ceiba Financial