B. Riley FBR, Inc.
B. Riley FBR, Inc. is an investment banking firm focused on providing corporate finance, research, sales and trading services to small-cap companies. Headquartered in Los Angeles, with offices across the United States, the firm offers a full range of investment banking services that include secondary and follow-on offerings, institutional private placements and mergers and acquisitions advisory services.
Founded in 1997, the firm has earned a reputation for providing proprietary, unbiased and often contrarian equity research coverage of companies that are under-followed or misunderstood by Wall Street. The firm’s analysts and research department as a whole have consistently been awarded a number of high-profile awards for their research coverage, most recently being named by TipRanks to the list of Top 100 Wall Street Analysts.
The firm provides access to company management by hosting industry-specific conferences and non-deal road shows that provide opportunities for companies and investors to connect. These events offer premier networking and business opportunities featuring company presentations and one-on-one meetings with high-level decision makers. B. Riley FBR is comprised of dedicated professionals who leverage extensive industry knowledge to deliver a collaborative and positive client experience. Andy Moore is CEO of the firm. He is ably assisted by Mike McCoy as CFO and COO Michael Markunas, who also serves as Deputy General Counsel.
Dawson James Securities, Inc.
Dawson James Securities, Inc. is a securities broker connecting investors and asset holders through stocks, bonds, mutual funds and other investment products. Its operational headquarters is located in Boca Raton, Fla., an upscale community located in the U.S. Southeast’s international access hub of the Palm Beach-Fort Lauderdale-Miami metropolitan area.
Dawson James’ financial services focus on the capital needs of small and microcap companies, particularly in the health care and biomedical life sciences field, as well as in technology and consumer interests. Its annual Small Cap Growth Conference provides the benefits of two decades’ worth of expertise to uplisting clients in the form of a small convention gathering with access to experienced managers.
Dawson James’ research division and innovation acumen underscore its commitment to helping its investment community find the brightest opportunities in broad capital markets through institutional and retail sales as well as execution trading and corporate services. The company’s growth has driven its addition of institutional and securities issuer services within its verticals during recent months.
LD Micro was founded in 2006 with the sole purpose of being an independent resource in the microcap space. What started out as a newsletter highlighting unique companies has vastly expanded into several influential annual events (LD Micro Invitational, Summit and Main Event), which together attract hundreds of public companies and thousands of investors across the country.
In 2015, LD Micro launched a full-featured online portal (ldmicro.com) to provide exclusive intraday information on the entire sector, including the first pure microcap index (LDMi), which covers stocks in North America with market capitalizations between $50 million to $300 million.
National Introducing Brokers Association (NIBA)
NIBA is one of the foremost nationally recognized organizations representing professionals in the futures and options industry and is the united voice for derivatives professionals.
Established in 1991 as a nonprofit association, NIBA helps members find greater success in the derivatives industry through education and networking while providing members with a voice in regulatory and industry matters.
NIBA has grown to include introducing brokers, commodity trading advisors, associated persons, and futures commission merchants, as well as other participants in the futures, options and swaps markets.
Noble Capital Markets
Noble Capital Markets is a research-driven investment bank focused on small cap emerging growth companies in the healthcare, technology, media, transportation and logistics and natural resources sectors. As a full-service broker-dealer, Noble Capital Markets offers the complete suite of services expected by investors and issuers which include investment and merchant banking, mergers and acquisitions advisory, valuations, trading, wealth management and equity research coverage and distribution.
Incorporated in 1984, Noble Capital Markets remains dedicated exclusively to serving underfollowed small cap companies. For more than 35 years, Noble has raised billions of dollars for these companies and published more than 45,000 equity research reports. Over almost four decades, Noble has established distribution to the investment community – institutional and retail – of more than 70,000 contacts. And for the past 16 years, the investment bank has featured a selection of 125 emerging growth companies at its preeminent annual conference, NobleCon, open to investors at all levels, institutions, registered investment advisors, independent brokers and self-directed investors.
Noble Capital Markets firmly believes that insightful advisory and effective capital procurement can change lives. The firm’s priority is empowering clients to create employment, engineer technological and medical breakthroughs, producing products and services that lay the foundation for the future. Accomplishing these goals requires analysts that are qualified and who are respected by other institutions. Nico Pronk, a financial expert with over 25 years of experience in the industry, serves as CEO and president of the firm. He is ably assisted by Mark Pinvidic as Managing Partner and by Director of Research, Michael Kupinski, who also serves as Senior Media and Entertainment Analyst.
Roth Capital Partners
Roth Capital Partners is an investment-banking firm focused on serving small-cap public companies. Based in Newport Beach, California, the firm operates internationally offering a full range of facilities including capital raising; sales, trading and market making; mergers and acquisitions; and research coverage, as well as an extensive suite of corporate access and conference-management services. The firm provides access to company management through road shows and numerous bespoke events.
Roth is particularly well-known for its research acumen. The firm’s analysts have consistently been awarded top rankings from rating providers such as the WSJ and Starmine. The firm covers over 270 growth companies in the United States and abroad, with a median market cap of approximately $250 million. Roth is constantly on the lookout for companies with significant long-term growth prospects. The firm credits its success in the small-cap space with an understanding of the sector derived from maintaining a close relationship with companies it covers. The firm’s equity reports are disseminated to thousands of retail and institutional investors on a daily basis.
Roth’s institutional relationships, formidable research capabilities and ability to attract the most select participants to its forums provides the organization with unmatched capability as a sponsorship platform for growth companies. As a result, the firm has, since 1992, been able to raise more than $60 billion for small-cap companies in the public markets as well as completing over 350 merger, acquisition and advisory assignments.
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