Celadon Financial Group
Celadon Financial Group, LLC is a broker-dealer and capital-markets platform headquartered in Morristown, New Jersey. Its publicly stated services include capital raising, equity offerings, municipal underwriting, debt capital markets, private securities transactions, acquisition financing, and special situations.
What stands out about Celadon Financial Group
Celadon publicly combines capital-markets advisory and intermediary services with trading, private-securities, financing, and municipal-underwriting capabilities. Its public materials report more than $20 billion in municipal underwritings over the stated period, but the cited Capital Markets page does not identify named recent transactions, counterparties, dates, or transaction values.[1][2][3][4]
What does Celadon Financial Group do?
Celadon Financial Group, LLC is a broker-dealer and capital-markets platform headquartered at 89 Headquarters Plaza North, PMB 1483, Morristown, New Jersey 07960.
The firm publicly describes capabilities spanning public and private capital raising, equity offerings, municipal underwriting, debt capital markets, private securities transactions, acquisition financing, and special situations.[1][2][3]
Celadon states that its Capital Markets division supports public and private capital raising, equity offerings, municipal underwriting, debt capital markets, and special situations.
Its private-securities team states that it confidentially matches buyers and sellers of illiquid and non-listed securities and covers acquisition financing, private placements, senior credit facilities, unitranche loans, venture capital, and related instruments.[2][3]
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 Celadon Financial Group?
Owners considering a sale, recapitalization, private placement, acquisition financing, or other liquidity event should clarify the precise mandate, Celadon’s capacity in the engagement, compensation structure, and any applicable exclusivity, termination, or tail provisions.
Because the cited Capital Markets page does not provide named recent transactions or transaction-size criteria, owners should request directly comparable completed assignments, the relevant buyer or investor universe, and the criteria used to accept an engagement. The cited Form CRS does not publish a universal advisory success-fee percentage, retainer schedule, termination fee, or tail provision for capital-markets or M&A engagements.[2][3][4]
What exact role would Celadon perform in the proposed assignment, including whether it would act as an adviser, placement agent, broker, principal, or another intermediary
Which three to five completed transactions can Celadon provide in the owner's sector and size range
What are the engagement fee, retainer, success fee, expense reimbursement, termination fee, and tail provisions
What size transactions and clients does Celadon Financial Group focus on?
Celadon states that its debt-capital-markets work includes municipal infrastructure transactions involving ports and terminals, docks and wharves, waste-to-energy, affordable housing, workforce housing, and senior or age-restricted living.
Its equity-capital-markets team states that it serves management and owners of undervalued growth companies and has experience with entrepreneurs, family-owned businesses, and private-equity groups.[2]
Celadon states that, after launching its Capital Markets division in late 2021, it and its syndicate partners had underwritten over $20 billion in municipal transactions over the past three years.
The cited Capital Markets page reports aggregate municipal-underwriting activity and transaction categories, but does not identify named recent M&A, capital-raising, or municipal transactions with counterparties, dates, or transaction values.[2]
Publicly listed special-situations capabilities include asset sales, share repurchases, delistings, SPACs, mergers and acquisitions, bankruptcy, distressed assets and debt, regulatory inquiries, litigation, and shareholder activism.
Celadon also identifies acquisition financing, private placements, senior credit facilities, unitranche loans, venture capital, and related instruments within its private-securities offering.[2][3]
What does Celadon Financial Group publicly disclose about fees, process and engagement terms?
The cited Capital Markets page does not identify named recent M&A, capital-raising, or municipal transactions with counterparties, dates, or transaction values.
The cited Capital Markets page also does not state assignment thresholds based on minimum enterprise value, revenue, EBITDA, capital need, or transaction size.
The cited Form CRS describes transaction fees, markups or markdowns, financing costs, and other charges but does not publish a universal advisory success-fee percentage, retainer schedule, termination fee, or tail provision for capital-markets or M&A engagements.[2][4]
Celadon Financial Group, LLC is identified in its Form CRS as a broker-dealer registered with the Securities and Exchange Commission and a member firm of FINRA. FINRA’s current BrokerCheck report lists SEC registration and FINRA membership as effective October 19, 1994.
Celadon’s 2024 SEC financial filing states that the firm entered into a FINRA Letter of Acceptance, Waiver, and Consent in October 2024, consented to a censure and a $195,000 fine, and paid the fine in full on November 26, 2024; the filing states that the matter was concluded.
The SEC also stated that Celadon agreed in a July 27, 2020 settled administrative proceeding to censure, cease and desist, and pay a $125,000 civil penalty concerning Regulation SHO short-sale and suspicious-activity-reporting violations.[4][5][6][7]
Celadon’s public service descriptions combine capital-markets advisory and intermediary activities with private-securities matching, acquisition financing, private placements, and debt structures. The firm states that its private-securities team confidentially matches buyers and sellers of illiquid and non-listed securities.
The cited Capital Markets page does not state minimum enterprise value, revenue, EBITDA, capital-need, or transaction-size criteria for accepting advisory or capital-markets assignments.[2][3]
Questions to ask before hiring Celadon Financial Group
What exact role would Celadon perform in the proposed assignment, including whether it would act as an adviser, placement agent, broker, principal, or another intermediary?
Which three to five completed transactions can Celadon provide in the owner's sector and size range?
What are the engagement fee, retainer, success fee, expense reimbursement, termination fee, and tail provisions?
What valuation, revenue, EBITDA, capital-need, or transaction-size criteria determine whether Celadon accepts an assignment?
Which buyer, investor, financing, and syndicate relationships would be considered for the assignment?
Sources & research notes
- Official website / firm overview
- Services / capabilities
- Services / capabilities
- Transaction size / criteria
- FINRA regulatory record
- SEC filing / regulatory record
- SEC filing / regulatory record
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.