Broadstream Capital Partners
Broadstream Capital Partners, LLC is a Los Angeles-based merchant bank founded in 2001. It provides advisory services to and makes investments in lower-middle-market companies.
Broadstream combines M&A and capital-raising advisory services with direct investing.
Its public materials describe a lower-middle-market focus, direct-investment opportunities of up to $10 million of equity, and a preference for California investments while remaining comfortable investing nationwide.[1]
What does Broadstream Capital Partners do?
Broadstream Capital Partners, LLC is a Los Angeles-based merchant bank founded in 2001. The firm states that it provides advisory services to and makes investments in lower-middle-market companies.[1]
Broadstream publicly states that it advises on sales of businesses, dispositions of subsidiaries or significant assets, purchases of businesses and add-on acquisitions, private-capital raising, and financial advisory assignments.[1]
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 Broadstream Capital Partners?
An owner evaluating Broadstream should clarify whether the proposed engagement would involve advisory services, a direct investment by Broadstream, or both. Broadstream publicly describes both advisory work and direct investing, including investments of up to $10 million of equity per opportunity.
The owner should also request dated closed-deal references, transaction roles and sizes, fee and expense terms, exclusivity and termination provisions, the intended buyer universe, and the proposed financing plan. The cited official homepage does not publish several of these details, including transaction values, fee percentages, minimum engagement sizes, or detailed engagement-term provisions.[1]
Would Broadstream act solely as the owner's advisor, or could it also pursue a direct investment in the business
Can Broadstream provide dated references for closed transactions, including its role, sector, and transaction size
What fee percentages, minimum engagement requirements, expenses, exclusivity provisions, termination terms, and tail provisions would apply
What size transactions and clients does Broadstream Capital Partners focus on?
The cited official homepage describes lower-middle-market coverage but does not state a defined industry or sector specialization.[1]
The official homepage names Global Conference Partners, Titan Industries, and Pipedream Products as representative advisory clients. Fenwick & West states that it represented Auburn Audio Technologies, doing business as Antares Audio Technologies, in its acquisition by Broadstream Capital Partners.
The cited official homepage’s Portfolio section does not publish named portfolio companies or a dated transaction archive.[1][3]
Broadstream’s stated advisory work includes sell-side transactions, dispositions of subsidiaries or significant assets, acquisitions and add-on acquisitions, private-capital raising, and financial advisory assignments. Its direct-investment philosophy is described as flexible and opportunistic, including small buyouts, under-performers, turnarounds, complex situations, and corporate divisions or subsidiaries that no longer fit their corporate parents’ strategies.[1]
What does Broadstream Capital Partners publicly disclose about fees, process and engagement terms?
The cited official homepage describes lower-middle-market coverage but does not state a defined industry or sector specialization. Its Portfolio section does not publish named portfolio companies or a dated transaction archive. The same homepage does not disclose transaction values, fee percentages, minimum engagement sizes, or detailed engagement-term provisions.[1]
Broadstream’s official website states that securities are offered through GT Securities, Inc., a member of FINRA and SIPC. FINRA BrokerCheck identifies GT Securities as CRD #116012 / SEC #8-53527 and states that it is regulated by FINRA and registered with the SEC, one self-regulatory organization, and 51 U.S. states and territories.[1][2]
The cited official homepage does not disclose transaction values, fee percentages, minimum engagement sizes, or detailed engagement-term provisions.[1]
Questions to ask before hiring Broadstream Capital Partners
Would Broadstream act solely as the owner's advisor, or could it also pursue a direct investment in the business?
Can Broadstream provide dated references for closed transactions, including its role, sector, and transaction size?
What fee percentages, minimum engagement requirements, expenses, exclusivity provisions, termination terms, and tail provisions would apply?
Would securities-related activities be conducted through GT Securities, Inc.?
If Broadstream proposes a direct investment, what amount of equity would it commit and what role would any partners or co-investors have?
Sources & research notes
- Official website / firm overview
- FINRA regulatory record
- Transaction / portfolio evidence
- Transaction / portfolio evidence
How this profile was researched
Auxo profiles are prepared from publicly available primary and authoritative sources and reviewed for entity identity, factual support and disclosure consistency. When a fact cannot be supported by the reviewed public record, the profile identifies it as something to confirm directly rather than inferring it.
Independent research profile
This profile was prepared by Auxo Capital Advisors from publicly available information believed to be reliable and is provided solely for informational and educational purposes. It is not an endorsement, recommendation, ranking, solicitation, or representation regarding the profiled firm, its services, qualifications, transaction experience, regulatory status, financial condition, or suitability for any particular person, company, transaction, or investment.
Information obtained from third-party and public sources may be incomplete, inaccurate, outdated, or subject to change, and Auxo Capital Advisors makes no representation or warranty, express or implied, as to its accuracy, completeness, or timeliness. Readers should conduct their own independent diligence and consult appropriate professional advisers before engaging any advisor, intermediary, investor, lender, acquirer, or other transaction counterparty.
Broker-dealer and securities disclosure
Auxo Capital Advisors is an affiliate of Weild & Co., Member FINRA | SIPC. Securities-related activities and securities transactions are conducted through Weild & Co.
Nothing contained on this page constitutes an offer to sell, an offer to purchase, or a solicitation of an offer to buy or sell any security, investment product, or financial instrument. Nothing on this page constitutes investment advice, a recommendation regarding any security, or a recommendation to enter into any transaction with the profiled firm or any other party.
Any securities transaction, capital-raising engagement, investment-banking engagement, or other securities-related activity involving Auxo Capital Advisors or Weild & Co. is subject to applicable regulatory requirements, internal review and approval, suitability and other applicable diligence requirements, and the terms of a separate written engagement or transaction agreement, as applicable.
Inclusion of a third-party firm in this directory does not imply affiliation with, sponsorship by, endorsement by, or any other relationship with Auxo Capital Advisors or Weild & Co. unless expressly stated otherwise.