Small & Mid Cap Investmentbank AG

What Small & Mid Cap Investmentbank AG does

Small & Mid Cap Investmentbank AG is a Munich-based boutique investment bank (Aktiengesellschaft) founded in 2009, operating as a BaFin-licensed securities institution under § 2 para. 17 of the German Securities Institutions Act (WpIG). The firm specializes in corporate finance advisory and capital markets execution for small and mid-cap issuers across the DACH region (Germany, Austria, Switzerland), with a disclosed track record of approximately 60 transactions per year as lead manager and bookrunner and more than 500 cumulative transactions since inception. Service lines span Equity Capital Markets, Debt Capital Markets, public and private purchase/tender offers, corporate finance advisory, and a distinctive Börsenmantel AG product that facilitates reverse listings for private companies onto the German stock market.

The business model is transaction-fee based, with revenue derived from underwriting fees, advisory retainers, and success fees on capital markets mandates rather than recurring subscription revenue. The team of seven employees collectively brings more than 110 years of investment banking experience, with backgrounds at institutions including Citibank, Merck Finck, Bayerische Landesbank, BHF Bank, Pinsent Masons, and Baker Tilly. Distribution and execution access is established through partnerships with Wiener Börse (Vienna), Euronext, and the major German exchanges (Frankfurt, Munich, Stuttgart, Hamburg, Hanover, Düsseldorf, Berlin, gettex). Notable disclosed mandates include SEMODU AG (€105 million capital increase, 2023), Kontron AG (take-over bid, 2024), and HELIOS SOLAR AG (IPO planned for July 2026 with prospectus approved by BaFin on 2 June 2026).

Beyond execution, the firm operates the SMC Impact Investing Days conference — entering its 11th edition on 28 April 2026 in Bonn with 450+ participants expected — building an ecosystem around sustainability-themed small-cap capital markets. Client logos span industrial (Bauer AG, KATEK SE), technology (Kontron AG, Staige One AG), media (Your Family Entertainment AG), energy (Wolftank-Adisa, HELIOS SOLAR AG), life sciences (ATAI Life Sciences), and financial services (Varengold Bank). The firm is actively hiring corporate finance staff, signaling continued capacity expansion within its boutique footprint.

Name

Small & Mid Cap Investmentbank AG

Legal name

Small & Mid Cap Investmentbank AG

Website

https://smc-investmentbank.de

Company type

Private

Founded year

2009

Operating status

Operating

Headcount range

1–10 employees

Short description

Small & Mid Cap Investmentbank AG is a Munich-based, BaFin-regulated boutique investment bank specializing in equity and debt capital markets execution, corporate finance advisory, tender offers, and reverse IPOs for small and mid-cap issuers across the DACH region.

Ownership category

akta.pro rank

Product category

Investment Banking / Corporate Finance Advisory

NAICS

Portfolio Management and Investment Advice (523940)

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

Capital Raising Advisory (Debt/Equity/Private Capital) (BPAHADAG)

Keywords

• Investment banking services
• Capital markets advisory
• Corporate finance
• IPO advisory
• Equity capital markets

Headquarters

HQ city

Munich

HQ country

Germany

HQ region

Europe

Offices1 record

Markets served

GTM type

B2B

Offering type

Services

Cost components

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

Revenue model

1. Corporate Finance Advisory: Fees for structuring and supporting capital market transactions including capital increases, IPOs, bond issues, listings, delistings, tender offers, and other securities-related transactions.
2. Börsenmantel (Shell Company) Services: Sale of listed shell companies (Börsenmantel AG) for reverse IPO purposes, priced at €250,000 plus cash reserves.
3. Lead Manager and Bookrunner Fees: Revenue from acting as lead manager and bookrunner for approximately 60 capital market transactions per year.

Pricing tiers

Go-to-market motion2 records

Distribution channels1 record

Marketing channels1 record

Core offering

Small & Mid Cap Investmentbank AG is a Munich-based, BaFin-supervised investment bank that advises small and mid-cap companies on capital market transactions. It provides corporate finance advisory and execution services including IPOs, capital increases with or without subscription rights, bond issues, listings, delistings, tender offers, conversions of registered shares, and admissions to the regulated market. The firm also sells listed shell companies (Börsenmantel AG) for reverse IPO transactions and operates the annual SMC Impact Investing Days conference for sustainability-focused issuers and investors.

Product overview

Small & Mid Cap Investmentbank AG operates as a specialized investment bank focused on the small and mid-cap segment in the DACH region. The company offers a unified suite of capital markets services centered around Corporate Finance advisory, Equity & Debt Capital Markets execution, and Purchase Offer/tender offer services. The portfolio includes Börsenmantel AG services for reverse IPO transactions and the SMC Impact Investing Days annual conference for sustainability-focused companies. These services are designed to connect SMEs with the capital market, providing transaction security and discretion for clients including listed companies, entrepreneurs, family offices, and institutional investors.

Differentiator

Problem solved

Functional benefit

Products and services

• Corporate Finance

Named customers10 records

Segments5 records

Ideal customer profiles3 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Partnerships

Six partnerships are on record, tiered supporting and core.

• EuronextsupportingOthersStock exchange partnership for listings and trading of securities on Euronext markets.
• Deutsche BörsecoreOthersPrimary exchange partnership for listings on Frankfurt Stock Exchange, including General Standard and regulated market listings.
• Börse München (Munich Stock Exchange)supportingOthersRegional exchange partnership for listings on Munich Stock Exchange.
• Börse Düsseldorf (Düsseldorf Stock Exchange)supportingOthersRegional exchange partnership for listings on Düsseldorf Stock Exchange.
• Börse Hamburg-HannoversupportingOthersRegional exchange partnership for listings on Hamburg-Hannover Stock Exchange.
• Wiener Börse (Vienna Stock Exchange)supportingOthersAustrian exchange partnership for listings on Vienna Stock Exchange.

Scale indicators4 records

Recent moves6 records

Expansion highlights5 records

Direct peers

• ICF BANK AG: ICF BANK is a Frankfurt-based small/mid-cap focused bank providing capital markets, corporate finance and structuring services to German issuers, including IPO advisory and stock exchange transactions - an overlapping niche competitor in lead-managed transactions.
• mwb fairtrade Wertpapierhandelsbank AG: mwb fairtrade is a Munich-based securities trading bank specializing in capital markets services for German small-cap and mid-cap issuers, including designated sponsoring, IPO advisory and corporate finance - a directly comparable niche competitor in the same geography.
• Quirin Privatbank AG: Quirin Privatbank is a Berlin-based German private bank offering mid-cap corporate finance, IPO advisory and capital markets services for SME issuers, with a comparable DACH mid-market orientation.
• Baader Bank AG: Baader Bank is a leading DACH-focused securities and investment bank with strong mid-cap capital markets, brokerage, and corporate finance capabilities, including lead-management of IPOs and capital increases for German small and mid-cap issuers - directly competing with SMC in the same client segment.
• Hauck & Aufhäuser Lampe Privatbank AG: Hauck & Aufhäuser Lampe is a German mid-market investment bank and private bank offering corporate finance, capital markets, and IPO advisory for small and mid-cap companies, with significant overlap to SMC's lead-management and bookrunning business for DACH issuers.

Regional players

• Erste Group Bank AG: Erste Group is a leading Austrian banking group with strong corporate finance and capital markets capabilities for Austrian and CEE mid-cap issuers via its Wiener Börse listings and ECM franchise - a regional peer overlapping with SMC's DACH Austrian footprint.

Broad incumbents

• Stifel Germany (formerly Close Brothers Seydler): Stifel Germany (acquired Close Brothers Seydler in 2022) is a DACH-focused mid-market capital markets and corporate advisory firm offering IPO advisory, ECM execution and M&A services to small-cap issuers - competing as part of the broader Stifel global platform.
• LBBW (Landesbank Baden-Württemberg): LBBW is one of Germany's largest Landesbanken with a full-service capital markets and corporate finance franchise covering small and mid-cap issuers in DACH through its BW-Bank and LBBW Markets units - offering overlapping capabilities but as part of a much wider product portfolio.

Emerging players

• BankM - Repräsentanz der flatexDEGIRO Bank AG: BankM is a German small/mid-cap focused banking representative providing capital markets and corporate finance services to SMEs, including IPOs and capital increases - a direct niche competitor in the DACH mid-cap segment.
• GBC AG: GBC AG is a German investment research and corporate finance boutique focused on small-cap and mid-cap companies in the DACH region, providing research, IPO advisory and capital markets services - an adjacent niche player overlapping with SMC's issuer base.

Market position

Strengths5 records

Weaknesses5 records

Competitive moat5 records

Key risks7 records

Key highlights7 records

Customer concentration

• LinkedInlinkedin.com/company/smc-investmentbank

Revenue estimate

Valuation estimate

Number of profiles

Profiles9 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 Small & Mid Cap Investmentbank AG