Auxo Firm Directory · Independent Research Profile

CastleOak Securities, L.P.

CastleOak Securities, L.P. is an independently owned boutique investment bank serving corporate, governmental, and institutional clients. Its M&A bankers focus exclusively on middle-market transactions valued below $1 billion, with publicly stated capabilities spanning acquisitions, mergers, divestitures, strategic alternatives, valuations, fairness opinions, and capital raising.

Key takeaway

What stands out about CastleOak Securities, L.P.

CastleOak publicly describes an M&A practice focused exclusively on middle-market transactions valued below $1 billion. Its stated completed M&A sectors include Information Technology; Communications, Media and Entertainment; Consumer Products and Retail; Industrial; and Financial Services.[1][2][3]

What does CastleOak Securities, L.P. do?

CastleOak Securities, L.P. describes itself as an independently owned boutique investment bank focused on capital markets and serving corporate, governmental, and institutional clients. The firm states that it was founded in 2006 and has approximately 75 professionals.

Its M&A bankers focus exclusively on middle-market transactions valued below $1 billion. CastleOak states that its M&A team advises Fortune 500 companies, SPACs, private-equity firms, and privately held companies.[1][2]

CastleOak’s Financial Advisory group advises corporations, financial sponsors, and institutional investors on mergers and acquisitions, liquidity solutions for general and limited partners, portfolio and fund-level advisory, and primary capital raising.

Its stated M&A services include acquisitions, mergers and divestitures, core-versus-non-core asset evaluation, capital raising for acquisitions, leveraged recapitalizations, take-private transactions, strategic-alternatives evaluation, business valuations, fairness opinions, PIPEs, and private capital raising. Its PCA team advises general partners and limited partners on liquidity transactions involving direct assets, fund investments, or fund portfolios, as well as primary capital raising, structured solutions, and direct placements.[2]

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.

Public size / criteria information
CastleOak states that it has approximately 75 professionals and that its M&A bankers focus exclusively on middle-market transactions valued below $1 billion. The firm also states that its M&A team advises Fortune 500 companies, SPACs, private-equity firms, and privately held companies.[2]

What should a business owner evaluate before hiring CastleOak Securities, L.P.?

For an owner evaluating a sale or strategic transaction, CastleOak’s stated scope includes middle-market transactions valued below $1 billion, divestitures, core-versus-non-core asset evaluation, strategic alternatives, valuations, fairness opinions, and capital raising. Its disclosed M&A sector experience covers Information Technology; Communications, Media and Entertainment; Consumer Products and Retail; Industrial; and Financial Services.

The cited Financial Advisory page does not publish a universal fee schedule, termination fee, or tail period, and it does not identify the individual mandates underlying the reported aggregate of over $79 billion in completed transactions. An owner should confirm the proposed transaction team, buyer outreach plan, valuation and fairness-opinion scope, conflicts, fee structure, process, and the precise role CastleOak would undertake.[2]

01

What is the proposed transaction team, and what is each person’s directly relevant completed-deal experience

The firm publicly states that its M&A team advises multiple client types and has completed over $79 billion of transactions, while the cited Financial Advisory page does not identify the individual mandates underlying that aggregate figure.[2]
02

Which buyer universe and outreach strategy would be used

CastleOak publicly describes acquisition, merger, divestiture, and strategic-alternatives services, but the cited Financial Advisory page does not identify individual M&A mandates or buyer and seller names for its aggregate transaction figure.[2]
03

How does CastleOak determine valuation and define the scope of any fairness opinion

Business valuations and fairness opinions are among the firm’s stated M&A services.[2]

What size transactions and clients does CastleOak Securities, L.P. focus on?

CastleOak states that, within the past decade, its team completed M&A transactions in Information Technology; Communications, Media and Entertainment; Consumer Products and Retail; Industrial; and Financial Services.[2]

CastleOak’s official Media Center lists the following capital-markets transactions:[3]

  • JPMorgan Chase & Co. — January 14, 2026; $6,000,000,000 issuance; CastleOak Securities, L.P. listed as Co-Manager.
  • Principal Life Global Funding II — January 6, 2026; $700,000,000 issuance; CastleOak Securities, L.P. listed as Co-Manager.
  • Public Service Electric and Gas Co. — January 5, 2026; $1,000,000,000 issuance; CastleOak Securities, L.P. listed as Co-Manager.

The firm’s M&A bankers focus exclusively on middle-market transactions valued below $1 billion. The stated advisory scope includes acquisitions, mergers, divestitures, core-versus-non-core asset evaluation, leveraged recapitalizations, take-private transactions, strategic alternatives, valuations, fairness opinions, PIPEs, and private capital raising.

CastleOak states that its M&A Advisory team has successfully executed over $79 billion of completed transactions on both the buy-side and the sell-side.[2]

What does CastleOak Securities, L.P. publicly disclose about fees, process and engagement terms?

The cited Financial Advisory page does not publish a universal advisory-fee schedule, minimum fee, success-fee percentage, termination fee, or tail period.

The same Financial Advisory page reports over $79 billion of completed M&A transactions but does not identify individual M&A mandates, transaction dates, transaction-specific consideration values, or buyer and seller names for that aggregate figure.

The cited Media Center transaction entries identify issuers, dates, issuance amounts, and CastleOak’s listed underwriting role, but do not publish complete engagement letters, fee terms, or full transaction economics for the listed transactions.[2][3]

FINRA’s firm-level BrokerCheck report identifies CastleOak Securities, LP as a Delaware partnership formed on July 1, 2004, with CRD #125334 and SEC #8-65786.

The report states that CastleOak is currently registered with the SEC, one self-regulatory organization, and 50 U.S. states and territories. It lists the firm as an SEC-registered broker-dealer with SEC registration effective July 24, 2003 and FINRA registration effective July 24, 2003, and states that the firm is regulated by FINRA’s New York office.[4]

CastleOak’s official disclosures state that clients may direct complaints to the firm’s Chief Compliance Officer at its New York headquarters. The disclosures also describe business-continuity and order-routing processes.[1][5]

Questions to ask before hiring CastleOak Securities, L.P.

What is the proposed transaction team, and what is each person’s directly relevant completed-deal experience?
The firm publicly states that its M&A team advises multiple client types and has completed over $79 billion of transactions, while the cited Financial Advisory page does not identify the individual mandates underlying that aggregate figure.[2]
Which buyer universe and outreach strategy would be used?
CastleOak publicly describes acquisition, merger, divestiture, and strategic-alternatives services, but the cited Financial Advisory page does not identify individual M&A mandates or buyer and seller names for its aggregate transaction figure.[2]
How does CastleOak determine valuation and define the scope of any fairness opinion?
Business valuations and fairness opinions are among the firm’s stated M&A services.[2]
What are the success fee, retainer, minimum fee, expense reimbursement, termination fee, and tail provisions?
The cited Financial Advisory page does not publish a universal advisory-fee schedule, minimum fee, success-fee percentage, termination fee, or tail period.[2]
What conflicts may arise from the firm’s capital-markets, trading, underwriting, and private-capital advisory activities?
CastleOak’s Financial Advisory group advises on M&A and private capital, and its public Media Center lists transactions where CastleOak is identified as Co-Manager; the cited Media Center entries do not publish complete engagement letters or fee terms.[2][3]
For a sale or divestiture, will CastleOak provide a formal buyer list, management-presentation process, indications-of-interest timeline, and financing support?
The firm publicly lists mergers, divestitures, strategic-alternatives evaluation, and capital raising among its M&A services, but the cited Financial Advisory page does not identify individual M&A mandates or complete transaction economics.[2]

Sources & research notes

Public-source research
  1. Official website / firm overview
  2. Services / capabilities
  3. Transaction / portfolio evidence
  4. FINRA regulatory record
  5. Public Process
Prepared and reviewed by: Auxo Capital AdvisorsEvidence standard: Public-source verification

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 profile & regulatory context

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.

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