What Lampert Capital Markets does

Lampert Capital Markets Inc. is a privately held, FINRA-registered broker-dealer and SIPC member founded in 1998 and headquartered in New York City. The firm operates a multi-disciplinary financial services platform organized across three pillars: Securities Services (superior execution, equities sales and trading, fixed income, and the in-development Lampert Debt Xchange venue for illiquid fixed-income securities); Investment Banking (capital markets execution, advisory for M&A and restructurings, and merchant banking co-investment via Lampert Debt Advisors); and Investment Management (wealth management for high-net-worth individuals, institutional asset management, and a family of specific-purpose funds for accredited investors). The firm clears all transactions through Wedbush Clearing Services and overlays third-party trading technology including Sterling Trader Elite, FIX connectivity, OASYS matching, and the mysecuritiesaccount.com client gateway.

The firm's go-to-market is a relationship-driven, senior-led model targeting middle-market companies seeking $25–$250 million in capital, public corporations, financial sponsors, and family-owned businesses on the advisory side, alongside high-net-worth individuals, families, and institutional clients on the wealth and asset management side. Its institutional equities desk operates an agency-only execution model accessing U.S. equities platforms and upwards of 100 international market centers, explicitly positioning against the conflicts of internalized major-firm platforms. Revenue is generated through six streams: investment banking advisory fees, capital markets transaction fees, securities trading commissions, wealth management fees, asset management fees, and merchant banking co-investment returns. Case-study work spans debt restructurings, recapitalizations, time-critical financings, and capital raises across building materials, food retail, equipment rental, manufacturing/technology, telecom, mass transit, and consumer goods.

Leadership is concentrated in long-tenured bankers with pedigree from Salomon Brothers, Nomura Securities, Apax Partners' predecessor firm, Apollo's Opportunistic Credit Group, Merrill Lynch, and Banc of America Securities. S. Randy Lampert as Chairman and CEO has executed nearly $15 billion in debt and equity financings over 30+ years; Director Nelson Ng has executed over $3 billion over 15 years; and Lampert Capital Advisors principals have collectively completed $20 billion+ in financings. The firm maintains affiliated operating entities (Lampert Debt Advisors, Lampert Capital Advisors, Lampert Debt Xchange) and reports active recruitment of registered representatives and capital markets professionals as a capacity-expansion lever.

Name

Lampert Capital Markets

Legal name

Lampert Capital Markets Inc.

Website

https://lampertcm.com

Company type

Private

Founded year

1998

Operating status

Operating

Headcount range

11–50 employees

Short description

Lampert Capital Markets is a privately held, FINRA-registered broker-dealer founded in 1998 in New York City, providing investment banking, securities execution, and investment management services to middle-market corporates, financial sponsors, family-owned businesses, high-net-worth individuals, and institutional clients.

Ownership category

akta.pro rank

Product category

Investment Banking & Securities

NAICS

Investment Banking and Securities Intermediation (523150), Portfolio Management and Investment Advice (523940), Securities and Commodity Contracts Intermediation and Brokerage (5231)

SIC

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

akta.pro primary industry

Capital Raising Advisory (Equity & Equity-Linked) (FSAEAGAC)

akta.pro secondary industries

Capital Markets Advisory (IPO Readiness, SPAC, ECM/DCM Advisory) (BPAHAOAL), Broker-Dealer Affiliated Wealth Advisory (FSAEABAB)

Keywords

• Investment banking services
• Securities trading execution
• Wealth management advisory
• Capital markets financing
• Asset management services

Headquarters

HQ city

New York

HQ country

United States

HQ region

North America

Offices1 record

Markets served

GTM type

B2B and B2C

Offering type

Services

Cost components

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

Revenue model

1. Investment Banking Advisory Fees: Fees from strategic advisory assignments including mergers and acquisitions, divestitures, corporate defense, restructurings, and spin-offs
2. Capital Markets Transaction Fees: Structuring, marketing and execution of financing transactions including debt and equity public offerings, PIPEs, registered direct offerings, and private placements of equity and debt securities
3. Securities Trading and Execution: Commissions from facilitating client transactions in fixed income, equity and options products with institutional and individual investors. Agency-only execution model.
4. Wealth Management Fees: Portfolio management, financial counseling, and brokerage services to high-net-worth individuals and families. Includes access to professional money managers and investment partnerships.
5. Asset Management Fees: Customized portfolio analysis and asset allocation for corporate and institutional clients through separately managed accounts and mutual fund model strategies
6. Merchant Banking Co-Investment: Co-investment capital through Lampert Debt Advisors to facilitate completion of financings where the firm acts as agent, including senior secured notes, subordinated debt, preferred stock, and structured equity instruments

Pricing tiers

Go-to-market motion2 records

Distribution channels5 records

Marketing channels6 records

Core offering

Lampert Capital Markets is a registered broker-dealer and investment banking firm offering three integrated business lines: Investment Banking (capital markets execution, M&A advisory, restructurings, merchant banking co-investment), Securities Services (agency-only equities, fixed income, options execution and Lampert Debt Xchange), and Investment Management (wealth management, asset management, and fund management for accredited investors). The firm focuses on middle market companies raising $25–$250 million in capital, and serves corporations, institutions, and high-net-worth individuals.

Product overview

Lampert Capital Markets is an investment banking, securities, and investment management firm providing a unified platform of financial services. The core offering comprises Securities Services (superior execution, equities trading, fixed income, and the Lampert Debt Xchange™ platform), Investment Banking (capital markets, advisory, and merchant banking through its Lampert Capital Advisors affiliate), and Investment Management (wealth management, asset management, and fund management). Supplementary services include Research reports and Master Limited Partnership products. The firm serves corporations, institutions, and high-net-worth individuals.

Differentiator

Problem solved

Functional benefit

Brands

• Lampert Debt Xchange: Provides a venue for price discovery and liquidity for privately held, illiquid fixed income securities and helps form execution strategies for institutional clients.
• Lampert Debt Advisors
• Lampert Capital Advisors

Products and services

• Superior Execution Services
• Equities Trading and Sales
• Fixed Income Services
• Investment Banking Advisory
• Capital Markets Financing
• M&A and Restructuring Advisory
• Merchant Banking Co-Investment
• Wealth Management
• Asset Management
• Fund Management
• Master Limited Partnerships (MLPs)

Quantifiable outcome

• Debt reduction of nearly 70% for distressed clients
• +5 more outcomes

Named customers7 records

Segments6 records

Ideal customer profiles4 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Integration5 records

Feature5 records

Partnerships

Three partnerships are on record, tiered core.

• Wedbush Securities Inc.coreTechnology or IntegrationWedbush Securities is LCM's clearing broker, carrying customer accounts on a fully disclosed basis. Wedbush provides trading technology including Sterling Trader Elite, OASYS matching, ALERT system, and online gateway access. They also provide industry-leading research to LCM clients.
• Lampert Debt AdvisorscoreStrategic or Co-development PartnerAffiliate firm specializing in debt capital markets financing and advisory services. Founded by S. Randy Lampert. Publishes the Debt Capital Markets Newsletter providing market insights. Provides merchant banking co-investment capital through access to capital for debt and equity instruments.
• Lampert Capital AdvisorscoreStrategic or Co-development PartnerAffiliate focused on companies seeking to raise $25-$250 million of capital. Principals have completed over $20 billion in financings across a broad range of industries and financial structures.

Scale indicators6 records

Recent moves6 records

Expansion highlights6 records

Direct peers

• Maxim Group LLC: Small-cap focused broker-dealer with comparable investment banking, equity research, and institutional trading capabilities. Both firms target emerging growth and middle market companies seeking capital markets execution.
• Aegis Capital Corp: Mid-sized New York broker-dealer offering investment banking, equity research, and institutional sales/trading similar to Lampert's integrated platform. Both firms focus on small/mid-cap issuers and use a boutique-style senior-banker delivery model.
• National Securities Corporation: Independent broker-dealer providing investment banking, institutional execution, and wealth management services. Comparable to Lampert across IB advisory, agency trading, and retail/wealth offerings.
• Spartan Capital Securities LLC: Small-cap and middle market focused broker-dealer with investment banking, institutional sales, and trading divisions. Similar scale and business mix to Lampert Capital Markets.
• Rodman & Renshaw (now part of Aegis): Historically a small/mid-cap investment bank focused on capital raising, PIPEs, and equities research. Highly comparable in deal-size sweet spot and boutique IB delivery model.

Broad incumbents

• B. Riley Financial: Diversified financial services firm offering investment banking, wealth management, brokerage, and asset management. Overlaps with Lampert across IB, wealth, and trading but operates at substantially greater scale.
• Ladenburg Thalmann Financial Services: Diversified financial services holding company combining investment banking, wealth management, and retail brokerage. Comparable integrated platform model though larger and with heavier retail-broker focus.
• Oppenheimer & Co. Inc. Full-service middle market broker-dealer offering investment banking, institutional equities, fixed income, and wealth management. Operates the same integrated platform as Lampert but at significantly larger scale and broader sector coverage.
• Cowen Inc. (now part of TD Securities): Was a middle market investment bank with institutional trading and equities research prior to acquisition. Comparable client mix and product breadth as a larger middle-market IB peer.

Emerging players

• EF Hutton (formerly KCG Holdings affiliate): Re-launched independent investment bank and brokerage targeting middle market clients. Shares the boutique small-cap and middle market IB orientation though at an earlier operational stage than Lampert.

Market position

Strengths4 records

Weaknesses5 records

Competitive moat5 records

Key risks5 records

Key highlights6 records

Customer concentration

• LinkedInlinkedin.com/company/lampert-capital-markets

Compliance3 records

Revenue estimate

Valuation estimate

Number of profiles

Profiles1 record

Subsidiaries3 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 Lampert Capital Markets