SERVICES

STRATEGIC ADVISORY

Stock Securities provides independent advice and guidance to private companies’ boards of directors, key shareholders and executive management. Our advisory services include assistance in effecting changes in control, assessing industry forces at work and competitive conditions, profiling markets, identifying growth opportunities, restructuring organizations, and improving the profitability of companies seeking new capital plans and strategic opportunities. Our capabilities are extensive across a broad spectrum of advisory engagements.

• Strategic Plans

• Business Plans

• Capital Plans

• Product/Market Growth Plans

• Compliance Audits and Plans

• Market Opportunity Assessments

• Economic and Financial Projections

• Organization Plans

• Compliance Processes and Procedures

• Governance Assessments

MERGERS & ACQUISITIONS

Stock Securities’ principal-based advisory and investing culture enables us to understand the needs of our clients. Our professionals are capable of connecting our clients with the best capital sources available through Stock Securities’ extensive network of family offices, hedge funds, industry strategic investors, institutional investors, private equity funds, and venture capital funds.

Recognizing that no two businesses are alike, we consider each client’s individual strategic needs, operating model and efficiency, market position and business culture in order to construct and assist in implementing an optimal capital structure for the client. In particular, we recognize the importance of entrepreneurs to focus on the operations of their company and to align processes to ensure the task of finding a merger partner or raising capital is minimally distracting.

Transaction Experience:

• Sell Side Searches and Advisory

• Buy Side Searches and Advisory

• Recapitalizations

• Strategic Mergers

• Management Buy-outs and Buy-ins

• Mergers of Equals

PRIVATE PLACEMENTS

Stock Securities’ capital placement services are specialized in alternative investments including open-ended and closed-end private funds as well as direct investing proprietary opportunities and family office and friends club deals. The Firm’s experience within the alternative asset universe is broad, with a particular emphasis in hedge funds, private credit and equity, agriculture and commercial real estate. Our commitment to excellence is embedded in developing and maintaining a wide range of institutional investor and family office relationships.