StockBlock
StockBlock (Stockblock Securities, LLC) is an SEC-registered broker-dealer operating an electronic Equity Capital Markets (eECM) platform that connects publicly listed companies with institutional investors for primary securities transactions, charging issuer-side transaction fees.
- Company typePrivate
- Founded-
- HeadquartersNew York, United States
- Headcount1–10
- GTM typeB2B
- OfferingServices
What StockBlock does
StockBlock (legally Stockblock Securities, LLC, a Delaware LLC) is a registered broker-dealer that operates an electronic Equity Capital Markets (eECM) platform connecting publicly listed companies (Issuers) with institutional investors for primary securities transactions. The platform is designed to provide primary market connectivity to secondary market demand, enabling issuers to present securities offerings and institutional investors to participate in them through electronic transaction capabilities rather than through traditional investment banking intermediaries. The core product is a single unified eECM platform with 24/7 access, a membership-gated onboarding flow, and a demo-request funnel.
The company targets two primary customer segments: publicly listed company issuers seeking to raise capital through securities offerings, and institutional investors as defined in 17 CFR § 240.15a-6(b)(7) seeking access to primary market opportunities. Its revenue model is transaction-based, with fees collected from issuers in connection with securities offerings rather than direct investor charges; associated persons are compensated solely on the successful completion of an offering. The firm is registered with the SEC, is a member of FINRA and SIPC, and maintains a clearing relationship with Mirae Asset Securities (USA) Inc. for business continuity.
The management team draws from members of a previously #1 ranked investment banking team by deal volume (per Sagient Research Systems, based on total CMPO, RD, and PIPE transactions for publicly listed companies cumulatively since 1998), with over 100 years of combined investment banking and capital markets experience. StockBlock's stated value proposition is the automation of traditional, often outdated, investment banking practices through technological innovation, with low transaction fees replacing traditional IB fees. Operations are headquartered at 600 Lexington Avenue, 32nd Floor, New York, NY 10022, and service is restricted to US residents and compliant jurisdictions.
StockBlock firmographics
Firmographics- Name
- StockBlock
- Legal name
- Stockblock Securities, LLC
- Website
- https://stockblock.com
- Company type
- Private
- Operating status
- Operating
- Headcount range
- 1–10 employees
- Short description
- StockBlock (Stockblock Securities, LLC) is an SEC-registered broker-dealer operating an electronic Equity Capital Markets (eECM) platform that connects publicly listed companies with institutional investors for primary securities transactions, charging issuer-side transaction fees.
- Ownership category
- akta.pro rank
StockBlock industry classification
Industry- Product category
- Capital Markets Brokerage Platform
- NAICS
- Investment Banking and Securities Intermediation (523150), Securities and Commodity Contracts Intermediation and Brokerage (5231)
- SIC
- Security Brokers, Dealers & Flotation Companies (6211)
- akta.pro primary industry
- Block Trades & Accelerated Bookbuilds (ABB) (FSACAAAE)
Keywords
Where StockBlock is headquartered
LocationHeadquarters
- HQ city
- New York
- HQ country
- United States
- HQ region
- North America
Offices1 record
Markets served
StockBlock business model
Business model- GTM type
- B2B
- Offering type
- Services
- Cost components
- Personnel, Operations, Technology or R&D, Marketing or Sales, Others
Revenue model
- Broker-Dealer Transaction Fees: The Firm receives fees, expenses, or other compensation from Issuers in connection with their securities offerings at the time of investment or on a periodic basis. The Firm is compensated for acting as a broker-dealer for such investments. Associated persons (APs) are compensated solely on the successful completion of an offering.
- Platform Access: There is no charge to access and browse the website or use the Services. Revenue is generated through issuer-side fees rather than direct investor charges.
Pricing tiers
| Model | Billing | Price |
|---|---|---|
| Transaction based/ take rate | Pay-as-you-go | No platform access fees for investors |
Go-to-market motion1 record
Distribution channels2 records
Marketing channels3 records
StockBlock product offering
Product offeringCore offering
StockBlock operates a proprietary eECM (electronic Equity Capital Markets) platform that connects publicly listed companies (Issuers) with Institutional Investors, enabling electronic primary market securities transactions. As a registered broker-dealer (SEC, FINRA, SIPC), the firm receives transaction-based fees from Issuers for facilitating these offerings, while investors access the platform at no direct cost. The platform automates traditional investment banking workflows and provides 24/7 access.
Product overview
StockBlock operates as a single unified product—a proprietary eECM (electronic Equity Capital Markets) platform that connects publicly listed companies with Institutional Investors. The platform enables Issuers to present potential investment opportunities in the form of securities offerings and provides direct connectivity to Institutional Investors' demand. StockBlock's key differentiator is its automation of traditional investment banking practices through technology innovation, replacing high investment banking fees with low transaction fees. The platform provides 24/7 seamless access and allows users to transact on their own terms and timeline.
Differentiator
Problem solved
Functional benefit
Products and services
- StockBlock Platform (eECM Platform)
Quantifiable outcome
- No traditional Investment Banking fees - Low transaction fees
- +1 more outcomes
Companies that use StockBlock
Customer profileSegments2 records
Ideal customer profiles2 records
StockBlock technology and API
TechnologyTechnology focussed Yes
API detail
- Has API
- No
- API docs
- API detail
Core technology
AI maturity
App detail
Feature1 record
StockBlock partnerships and signals
Strategic signalPartnerships
One partnership is on record.
- Mirae Asset Securities (USA) Inc.criticalMirae Asset Securities serves as StockBlock's clearing firm for business continuity purposes. In the event of a significant business disruption, clients are directed to contact Mirae for instructions on obtaining prompt access to funds and securities, entering orders, and processing trade-related transactions.
Scale indicators2 records
Recent moves5 records
Expansion highlights4 records
StockBlock competitors and assessment
Company assessmentDirect peers
- Roth Capital Partners: Registered broker-dealer focused on small and mid-cap equity capital markets, IPOs, and follow-on offerings. Comparable broker-dealer model intermediating primary securities transactions for publicly listed companies.
- Nasdaq Private Market: Operates an electronic platform for primary and secondary securities transactions between private and public companies and institutional investors. Most direct comparable given the regulated marketplace intermediation model connecting issuers with institutional demand.
- ThinkEquity: Registered broker-dealer providing investment banking and capital markets services to small and mid-cap publicly listed companies. Comparable broker-dealer model intermediating primary securities transactions for similar issuer client base.
- EF Hutton: Registered broker-dealer offering capital markets and investment banking services with focus on small and mid-cap issuers. Comparable registered broker-dealer model facilitating primary securities transactions.
- Boustead Securities: Registered broker-dealer specializing in small and mid-cap equity capital markets and IPO advisory. Directly comparable as a broker-dealer facilitating primary securities offerings for publicly listed companies with similar target issuer profile.
- Maxim Group: Full-service broker-dealer providing investment banking, equity research, and capital markets services to small and mid-cap companies. Comparable registered broker-dealer facilitating primary securities offerings for similar issuer client base.
- D. Boral Capital: Investment banking and broker-dealer firm focused on small and mid-cap equity capital markets and corporate advisory. Comparable registered broker-dealer intermediating primary securities offerings for similar issuer profile.
- Aegis Capital Corp: Registered broker-dealer providing investment banking and capital markets services focused on small-cap equity offerings. Comparable broker-dealer model intermediating primary securities transactions between issuers and institutional investors.
- Forge Global: Electronic marketplace platform for private securities transactions between issuers and investors. Directly comparable operating model as a regulated marketplace intermediary, though focused on private rather than publicly listed issuers.
Emerging players
- EquityZen: Operates an electronic platform facilitating primary and secondary transactions in private company shares with institutional investors. Comparable platform-based intermediation model serving similar institutional investor demand for primary market access.
Market position
Strengths5 records
Weaknesses5 records
Competitive moat4 records
Key risks6 records
Key highlights6 records
Customer concentration
StockBlock social profiles
Digital presenceStockBlock financial estimates
Financial estimateRevenue estimate
Valuation estimate
StockBlock leadership team
Management profileNumber of profiles
StockBlock funding detail
Funding detailFunding overview
Funding rounds
Investors
Funding detail is available on the Subscription and Enterprise plan.Contact sales →
StockBlock 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 StockBlock
What does StockBlock do?
StockBlock operates a proprietary eECM (electronic Equity Capital Markets) platform that connects publicly listed companies (Issuers) with Institutional Investors, enabling electronic primary market securities transactions. As a registered broker-dealer (SEC, FINRA, SIPC), the firm receives transaction-based fees from Issuers for facilitating these offerings, while investors access the platform at no direct cost. The platform automates traditional investment banking workflows and provides 24/7 access.
Is StockBlock a public or private company?
StockBlock is a private company. It is classified as founder individual operated bootstrapped and is currently operating.
When was StockBlock founded?
StockBlock was founded in -1. It employs 1 to 10 people.
Where is StockBlock based?
StockBlock is headquartered in New York, United States, in the North America region.
How does StockBlock make money?
Two revenue lines are on record. Broker-Dealer Transaction Fees are the primary driver. The others are platform Access.
Who are StockBlock's main competitors?
Direct peers on record are Roth Capital Partners, Nasdaq Private Market, ThinkEquity, EF Hutton, Boustead Securities, Maxim Group, D. Boral Capital, Aegis Capital Corp and Forge Global. EquityZen is listed as an emerging player.
Does StockBlock have an API?
No public API is recorded for StockBlock.
What industry is StockBlock in?
StockBlock's product category is Capital Markets Brokerage Platform. Its primary akta.pro industry code is FSACAAAE, Block Trades & Accelerated Bookbuilds (ABB). Its NAICS code is 523150 and its SIC code is 6211.