Boustead Securities, LLC

What does Boustead Securities, LLC do?

Boustead Securities, LLC was established in 2006, is headquartered in Irvine, California, and describes itself as a middle-market investment bank serving private and public companies.

The firm’s public services span M&A advisory, corporate finance, capital-markets support, valuations, and securities-related activities.[1][2][3][4]

Boustead publicly lists corporate sales and divestitures, acquisition advisory, going-private transactions, activist shareholder advisory, fairness opinions, and expert testimony and valuation as M&A services.

Its corporate-finance materials describe debt and equity capital raising for privately held and publicly held lower-middle-market companies, including IPOs, senior revolvers and term debt, mezzanine debt, PIPE equity offerings, project financing, shareholder liquidity situations, valuations, EB-5, and ESOPs.

Its capital-markets services include IPO support, research coverage, disclosure and reporting guidance, investor-activity calendars, conference support, and issuer-to-client communications.[2][3][4]

Owners comparing advisory firms can also review Auxo’s M&A advisor vs. business broker vs. investment bank comparison, advisor-selection guide, and sell-side advisor evaluation framework.

What should a business owner evaluate before hiring Boustead Securities, LLC?

For an owner considering a sale, Boustead publicly positions itself to advise on corporate sales, divestitures, acquisition processes, valuations, fairness opinions, and cross-border transactions. Its stated criteria include valuation exceeding $10 million, revenues up to $1 billion, commercial viability, proven management, and proven intellectual property.

Because the firm also describes capital raising, underwriting, private placements, trading, valuation, and other broker-dealer activities, an owner should clarify the legal entity providing the advice, the proposed buyer universe, conflicts, any financing or securities component, and whether the assignment is a sale mandate, capital raise, or broader strategic-advisory engagement.

The official M&A services page does not publish a universal success-fee percentage, minimum fee, expense policy, termination schedule, or tail-period policy, so those engagement terms should be requested directly.[2][3][7][12]

What size transactions and clients does Boustead Securities, LLC focus on?

Boustead & Company’s official investment-banking materials list expertise in business services, real estate, power and energy, software and telecommunications, consumer goods, green technology, healthcare, government and business services, and infrastructure and industrial technology.[5]

Boustead’s official transactions archive lists Molecular Data Inc. with a $61,870,000 IPO, Aerkomm with a $43,500,000 IPO, and Know Labs with a $9,800,000 PIPE.

Boustead announced that it closed the NYSE IPO for client Kairos Pharma in a $6.2 million initial public offering on September 18, 2024.

In another 2024 announcement, Boustead identified itself as adviser to Brera Holdings PLC in connection with the company’s September 26, 2024 exclusive letter of intent to acquire an Italian Serie B football club. The announcement described confirmatory due diligence and preparation of a share purchase agreement; it did not establish that the acquisition had closed.[8][9][10]

The firm’s stated transaction work includes corporate sales and divestitures, acquisition advisory, going-private transactions, activist shareholder advisory, fairness opinions, valuations, IPOs, private placements, debt financing, project financing, and shareholder liquidity situations.

Boustead and its affiliates state that they are active in small-cap and mid-cap markets. The stated capital-market transaction ranges are $5 million–$250 million for equity and $5 million–$500 million for debt.[2][3][7]

What does Boustead Securities, LLC publicly disclose about fees, process and engagement terms?

The official Boustead transactions page lists named transactions and, for many entries, transaction type and amount, but does not state a closing date, buyer identity, consideration structure, or complete engagement description for each listed example.

The official M&A services page lists service categories but does not publish a universal success-fee percentage, minimum fee, expense policy, termination schedule, or tail-period policy.[2][8]

Boustead Securities, LLC states in its Form CRS that it is registered with the SEC as a broker-dealer and is a member of FINRA and SIPC.

An SEC-filed financial statement states that the company was formerly known as Monarch Bay Securities, LLC, was incorporated in California in 2006, and is registered with the SEC and FINRA as a broker-dealer. The filing describes activities including underwriting, private placements, mergers and acquisitions, research distribution and creation, proprietary trading, and other advisory services.[11][12]

Boustead Securities states that its transaction page includes certain transactions completed by Boustead Securities professionals while at other firms. Owners evaluating an engagement can therefore ask which transactions were completed by the current team and which were completed at prior firms.[13]

Questions to ask before hiring Boustead Securities, LLC

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