Gar Wood Securities, LLC
Gar Wood Securities, LLC combines agency brokerage, prime-brokerage infrastructure, and a Private Capital Group that provides capital-raising services to private companies. Its investment-banking page states that most private-company situations it considers have a capital need in the $5-$50 million range and lists sectors including healthcare, fintech, life sciences, SaaS, and technology.
What stands out about Gar Wood Securities, LLC
Gar Wood publicly describes an agency broker-dealer that does not trade on a proprietary basis, alongside prime-brokerage and private-capital services. Its Private Capital Group states that it works with private companies throughout the United States and generally considers capital needs in the $5-$50 million range. The cited investment-banking page does not identify completed transactions by client or deal name.[1][2][3][4][6][8]
How is Gar Wood Securities, LLC structured?
Gar Wood Securities, LLC is a Delaware limited liability company formed on February 20, 2004. FINRA identifies the firm as CRD #138033 and SEC #8-67143, with a principal office in Naperville, Illinois.
The firm publicly presents several service lanes: agency trade execution and clearing, prime brokerage, securities custody and settlement, securities lending, capital introduction, third-party marketing, and investment-banking services for private companies. Its Private Capital Group states that it provides early-stage funding, growth capital, recapitalization, refinancing, and special-situation funding.[1][2][3]
Gar Wood describes itself as an agency broker-dealer that does not trade on a proprietary basis. It states that its execution-only and clearing-supported services operate through relationships with clearing firms.
The platform combines brokerage and prime-brokerage capabilities with a private-capital offering. The prime-brokerage service includes clearance, settlement and custody, securities lending, direct market access, capital introduction, third-party marketing, and portfolio and performance reporting.[2][4]
Publicly stated prime-brokerage services include clearance, settlement and custody, client performance and analysis reporting, securities lending, introductions to fund-administration, legal and accounting services, portfolio management, direct market access, third-party marketing, capital introduction, and portfolio and performance reporting.
The Private Capital Group states that it provides capital-raising services to private companies seeking early-stage funding, growth capital, recapitalization, refinancing, or special-situation funding. The firm’s investment-banking page also states that its team has experience in M&A, capital raising, and restructuring transactions.[2][3]
Owners comparing advisory models can review Auxo’s advisor-model comparison, advisor-selection guide, and sell-side advisor diligence questions.
Published criteria: Gar Wood states that most private-company situations it considers have a capital need in the $5-$50 million range. It also states that generally well-managed growth companies with revenues greater than $5 million and some EBITDA or a clear path to profitability are well received by its investor base.[3]
What should an advisor or business owner evaluate about Gar Wood Securities, LLC?
For an owner evaluating a capital raise or strategic engagement, Gar Wood’s public criteria point to private-company situations with capital needs in the $5-$50 million range, generally well-managed growth companies with revenues greater than $5 million and some EBITDA or a clear path to profitability. The firm also identifies early-stage funding, growth capital, recapitalization, refinancing, and special-situation funding as service areas.
Because the cited investment-banking page does not name completed transactions or counterparties, an owner should request comparable engagements that can be identified subject to confidentiality, along with current execution-team credentials and evidence of the proposed investor channels. The stated success-fee and initial-fee model also makes the detailed fee mechanics, expenses, and any applicable termination or tail provisions important points to clarify.[3]
Which recent private-company capital raises, M&A engagements, or restructuring assignments can be identified by client or sector, subject to confidentiality
What portion of the proposed engagement would be a success fee versus an initial diligence or marketing fee, and what additional fee mechanics would apply
What platform and representative structure does Gar Wood Securities, LLC publicly describe?
The sources cited for this profile do not establish a detailed advisor, representative, or deal-team structure for a proposed engagement. FINRA’s firm report identifies Robert S. Jersey as president and chief executive officer of Gar Wood and as manager of GW Asset Management LLC, which FINRA identifies as under common control with Gar Wood.[1]
FINRA’s current firm report lists Gar Wood Securities, LLC as SEC-registered, with registration effective February 16, 2006, and as a FINRA member, with membership effective February 16, 2006. The SEC’s annual audited report for the period January 1, 2025 through December 31, 2025 identifies Gar Wood as a broker-dealer and lists its principal place of business in Naperville, Illinois.
Gar Wood’s current website states that the firm is also a futures introducing broker and a member of NFA and SIPC. The specific registrations and disclosures applicable to a proposed service should be confirmed directly for that engagement.[1][4][7]
What is not clear from Gar Wood Securities, LLC's public regulatory and engagement materials?
The cited official investment-banking page does not identify completed transactions by client or deal name, transaction counterparties, deal consideration, or a named transaction archive. The cited official about page does not publish employee-count, revenue, assets, trading-volume, or client-count metrics. The cited official contact page identifies service contacts and branch locations but does not publish quantitative firm-size metrics or completed transaction examples.[3][6][8]
Gar Wood states that its private-capital model primarily uses a success fee, together with a small initial fee for internal diligence and marketing. The same page states that typical due diligence and approval can be completed in under 4 weeks and that a typical capital raise can be completed in well under 6 months depending on size and scope.[3]
Questions to ask before engaging with Gar Wood Securities, LLC
Which recent private-company capital raises, M&A engagements, or restructuring assignments can be identified by client or sector, subject to confidentiality?
What portion of the proposed engagement would be a success fee versus an initial diligence or marketing fee, and what additional fee mechanics would apply?
Which specific registrations and regulatory disclosures apply to the proposed services?
Sources & research notes
- FINRA regulatory record
- Services / capabilities
- Services / capabilities
- Investment approach
- Geography / market coverage
- Geography / market coverage
- SEC filing / regulatory record
- Public disclosure information
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.
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