416 Capital

What 416 Capital does

414 Capital is a privately held, boutique investment banking and financial advisory firm founded in 2009 in New York and operating across the Americas (US, Mexico, Spain, Chile, Colombia, Peru) with 50+ professionals. The firm delivers five integrated service lines: Mergers & Acquisitions advisory (buy-side and sell-side mandates including cross-border deals, MBOs, auctions, leveraged recapitalizations, and distressed sales); Valuation (independent portfolio valuations for alternative asset managers covering private equity, venture capital, debt, infrastructure, energy, real estate, and natural resources); Debt Advisory Group (revolving credit, term loans, syndicated facilities, structured debt, mezzanine, and project finance, formalized in March 2025); Institutional Investment Solutions (placement agent services for Mexican CKDs and CERPIs and securitization programs with Mexican pension funds — Afores — plus South American institutional investors); and Consulting Services (balance sheet optimization, insolvency, and regulatory advisory). The firm has executed 300+ M&A transactions, 28,000+ valuations across 150+ funds and 900+ assets in 13+ countries, and 70+ fundraisings since 2015 totaling USD 20 BN+ raised and structured. Securities offerings are distributed through a partnership with Finalis Securities LLC, a registered FINRA/SIPC broker-dealer, since 414 Capital itself is not a registered broker-dealer.

The firm monetizes exclusively through professional services fees — advisory fees on M&A and capital raising mandates, valuation fees for portfolio and fairness opinions, placement and structuring fees on alternative investment vehicles, debt advisory fees, and consulting engagements — with no disclosed proprietary technology platform or standardized pricing. Customer segments are horizontal across the enterprise market, split between multinational corporates and private equity funds (for M&A and valuation) and alternative investment funds and asset managers (for placement agent services), with a particularly deep franchise in Mexican institutional capital (Afores). The firm's primary differentiators are its role in shaping the Mexican alternative investment regulatory regime, longstanding Afore distribution relationships, a founding team drawn from Goldman Sachs, J.P. Morgan, and BankBoston, and recognition from recurring managers as the best local fundraising partner. Recent moves — the 2024 acquisition of RIóN, the 2025 launch of the Debt Advisory Group, COO and CGO hires, and Senior Advisor additions in Argentina, Colombia, Spain, and Canada/Mexico — indicate a firm scaling platform capacity rather than sustaining a static boutique footprint.

Name

416 Capital

Legal name

414 Capital Advisory LLC

Website

https://414c.com

Company type

Private

Founded year

2009

Operating status

Operating

Headcount range

11–50 employees

Short description

414 Capital is a privately held, US-founded boutique investment bank serving multinational corporates, private equity funds, and alternative asset managers across the Americas via five service lines: M&A advisory, valuation, debt advisory, Mexican and South American institutional investment solutions, and consulting.

Ownership category

akta.pro rank

Product category

Investment Banking & Financial Advisory

NAICS

Investment Banking and Securities Intermediation (523150)

SIC

Investment Advice (6282)

akta.pro primary industry

Equity Capital Advisory (Private Equity Placements, Growth Capital) (BPAHAOAE)

akta.pro secondary industries

Corporate Finance & Capital Advisory (BPAHADAB), Capital Raising Advisory (Debt/Equity/Private Capital) (BPAHADAG), Portfolio Valuation (PE/VC funds, LP reporting) (FSAEAHAH)

Keywords

• Mergers and acquisitions advisory
• Portfolio valuation services
• Debt advisory
• Private fund placement agent
• Alternative investments advisory

Headquarters

HQ city

West New York

HQ country

United States

HQ region

North America

Offices3 records

Markets served

GTM type

B2B

Offering type

Services

Cost components

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

Revenue model

1. Investment Banking Advisory: Advisory fees from M&A transactions, capital raising mandates, and strategic advisory engagements for multinational corporates and private equity funds
2. Valuation Services: Independent valuation services for alternative asset managers and corporate clients, including portfolio valuations, fairness opinions, and expert testimony
3. Placement Agent / Structuring Fees: Fees from structuring and placing alternative investment vehicles (CKDs, CERPIs, securitizations) for domestic and international investment funds with Mexican institutional investors
4. Debt Advisory: Advisory fees for tailored debt financing solutions including revolving credit, term loans, structured debt, and private placements
5. Consulting Services: Balance sheet optimization, insolvency situations, and regulatory/policy advisory services

Go-to-market motion2 records

Distribution channels3 records

Marketing channels4 records

Core offering

414 Capital is a global financial advisory and investment banking firm providing five integrated service lines: Mergers & Acquisitions advisory (buy-side and sell-side mandates including MBOs, auctions, leveraged recapitalizations), independent Valuation services for alternative asset managers, Debt Advisory (revolving credit, term loans, structured debt, mezzanine), Institutional Investment Solutions (placement agent for CKDs, CERPIs, and securitizations in Mexico and South America), and Consulting Services (fairness opinions, balance sheet optimization, insolvency).

Product overview

414 Capital is a global financial advisory and investment banking platform offering five integrated service lines: Mergers & Acquisitions (advisory for buy-side and sell-side transactions), Valuation (independent valuation services for alternative asset managers), Debt Advisory Group (tailored debt financing solutions), Institutional Investment Solutions (placement agent services for CKDs, CERPIs, and securitizations in Mexico and South America), and Consulting Services (fairness opinions, balance sheet optimization, and restructuring advisory). The firm also structures and places financial instruments including CKDs, CERPIs, and various securitization programs.

Differentiator

Problem solved

Functional benefit

Products and services

• Mergers & Acquisitions Advisory Advisory services for buy-side and sell-side M&A transactions including management buyouts, auctions, leveraged recapitalizations, business separations, and distressed sales. Targeted at multinational corporates, private equity funds, and middle-market companies across the Americas.
• Valuation Services Independent valuation services for private capital funds across all alternative asset classes, including portfolio valuations, event-driven valuations, fairness opinions, solvency opinions, and expert testimony. Covers PE, VC, debt, infrastructure, energy, real estate, natural resources, and agribusiness.
• Debt Advisory Group (DAG) Specialized debt financing solutions including revolving credit, term loans, syndicated facilities, structured debt, mezzanine finance, and project financing. Serves companies across sectors seeking to optimize debt structures through a broad network of commercial banks, debt funds, and development banks.
• Institutional Investment Solutions (Placement Agent) Placement agent and structuring services for alternative investment funds seeking access to Mexican and South American institutional investor capital, specializing in CKDs (local listed vehicles), CERPIs (international listed vehicles), and securitization programs. Serves both domestic and international investment funds.
• Consulting Services Complementary consulting services including valuation opinions, balance sheet optimization, and insolvency/restructuring advisory.

Quantifiable outcome

• 70+ fundraisings completed since 2015
• +7 more outcomes

Named customers29 records

Segments5 records

Ideal customer profiles4 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Partnerships

Three partnerships are on record, tiered regional expansion, core and support.

• Strategic Alliance Partners in Chile, Colombia, and Peruregional expansionChannel Partner/ Reseller/ Distributor · 1 January 2020In 2020, 414 Capital expanded its distribution capabilities to include institutional investors in Chile, Colombia, and Peru through a strategic alliance. This allows the firm to serve as placement agent for alternative investment products across South America beyond Mexico.
• Finalis Securities LLCcoreChannel Partner/ Reseller/ DistributorSecurities are offered through Finalis Securities LLC, a registered broker-dealer and member of FINRA/SIPC. 414 Capital is not a registered broker-dealer and Finalis Securities LLC and 414 Capital are separate, unaffiliated entities. This partnership enables 414 Capital to offer securities-related services to clients.
• Diligentia PartnerssupportImplementation/ SI/ Consulting PartnerDiligentia Partners is a leading anti-corruption practices firm that manages 414 Capital's compliance function and hotline. Compliance Officer Agustín Vázquez is managed by Diligentia Partners, providing independent compliance oversight.

Scale indicators11 records

Recent moves6 records

Expansion highlights6 records

Regional players

• LarrainVial: Chilean-based investment bank with strong institutional presence across Chile, Colombia, Peru, and broader LatAm. Comparable given similar institutional client base, capital markets capabilities, and cross-border LatAm M&A and equity placement activities.
• Monex Grupo Financiero: Mexican financial group providing treasury, foreign exchange, brokerage, and investment banking services. Comparable as a Mexican financial services platform addressing corporate and institutional clients with cross-border transactional needs.

Direct peers

• Seale & Associates: Cross-border M&A advisory boutique with strong US/Mexico/LatAm coverage. Comparable to 414 Capital given similar mid-market cross-border focus, deal scope (buy-side, sell-side, valuations, capital raising), and integration of cross-border execution.
• CI Banco (formerly Corporativa Intercapital / Iberia Capital): Mexican investment bank offering M&A advisory, debt capital markets, equity capital markets, and asset management. Highly comparable to 414 Capital given overlapping Mexican institutional client base and similar full-service IB product set including Afore-related capital raising.
• Houlihan Lokey: Global independent investment bank with leading valuation and financial advisory practices. Highly comparable on the independent valuation and fairness opinion services side of 414 Capital's business, with strong PE/VC client base.
• Compass Lexecon: Global expert services firm focused on valuation, damages quantification, and expert testimony in litigation/arbitration. Comparable given 414 Capital's valuation and fairness opinion practice alongside expert testimony mentioned in its services.
• GBM (Grupo Bursatil Mexicano): Independent Mexican broker-dealer and investment bank with M&A advisory, equity capital markets, and wealth management. Comparable given Mexican capital markets focus, Afore client relationships, and middle-market advisory business.

Broad incumbents

• BTG Pactual: Major Brazilian/LatAm investment bank with full-service M&A, capital markets, and asset management. A broader incumbent competing for similar mid- and large-cap mandates and alternative-investment placements across LatAm.
• Actinver: Mexican financial group offering brokerage, asset management, investment banking, and private banking. Comparable given overlapping Mexican institutional clients, broker-dealer capability, and IB advisory product set.

Others

• KPMG Corporate Finance (Mexico): Big Four M&A advisory and valuation practice operating in Mexico. Adjacent and partially overlapping on valuation, fairness opinions, and corporate finance advisory work for mid-market and large-cap clients in Mexico.

Market position

Strengths5 records

Weaknesses5 records

Competitive moat5 records

Key risks6 records

Key highlights7 records

Customer concentration

• LinkedInlinkedin.com/company/414-capital-inc-

Revenue estimate

Valuation estimate

Number of profiles

Profiles11 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 416 Capital