Guzman & Company
Guzman & Company combines investment-banking services with institutional brokerage. Its public offering includes underwriting, structured finance, corporate advisory, equity and debt capital-markets services, and agency brokerage.
What stands out about Guzman & Company
The public record establishes Guzman & Company as a boutique investment bank and institutional brokerage firm with global client and market coverage. Its disclosed services include institutional brokerage and corporate finance-related services, while its identified recent assignments are primarily debt, IPO, and other capital-markets assignments; the cited investment-banking page does not state a dedicated lower-middle-market private-company M&A mandate or published sell-side criteria.[1][2][3][4][9]
What does Guzman & Company do?
Guzman & Company describes itself as a boutique investment bank and institutional brokerage firm providing capital-market solutions to targeted corporate, governmental, and institutional clients across the globe.
Florida corporate records identify GUZMAN & COMPANY as an active Florida profit corporation filed January 28, 1987, with a principal address in Coral Gables, Florida.[1][2]
Its publicly listed investment-banking services include fixed-income underwriting and analytics, corporate share repurchases, equity underwriting, IPOs, secondary-market offerings, specialized structured finance, and corporate advisory.
Institutional-brokerage services include global equity program and block trading, electronic execution, index research, CSA/CCA and commission-recapture programs, deal distribution, and corporate buybacks.[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 Guzman & Company?
An owner evaluating Guzman & Company should distinguish among an M&A advisory engagement, a capital-markets assignment, a placement-agent role, and broker-dealer services. The firm’s public materials establish substantial underwriting and institutional-brokerage activity, but do not establish a dedicated lower-middle-market private-company M&A mandate or published sell-side criteria.
Before engagement, the owner should request relevant closed-sale references, confirm whether the firm handles the company’s size, sector, and geography, clarify the legal entity and role providing the service, and obtain the proposed fee, expense, exclusivity, termination, tail, conflict, and compensation terms.[3][4][9]
What percentage of current work is sell-side M&A versus underwriting, syndicate, brokerage, and corporate advisory
What are the firm’s minimum revenue, EBITDA, enterprise-value, or transaction-size criteria for a private-company sale mandate
Which recent private-company sale or acquisition assignments can be provided as references
What size transactions and clients does Guzman & Company focus on?
Guzman & Company states that it has invested in energy transition for the past decade. Its corporate-responsibility materials describe work involving utilities, municipalities, cooperatives, tribes, and clean-energy opportunities.
The cited materials do not present a conventional exhaustive industry-vertical list for advisory engagements.[3][5]
- Guzman & Company was listed as a Joint Book Lead Manager in Wells Fargo & Company’s $1.5 billion notes offering priced September 8, 2025.
- It was listed as a Co-Manager in PECO Energy Company’s $1.05 billion bond offering dated September 3, 2025.
- It was listed among the agents in HSBC Holdings plc’s May 8, 2025 offering of $2.25 billion, $2.0 billion, and $1.25 billion senior notes.
- The firm’s official news archive identifies an NIQ Intelligence IPO among recent client assignments, with assignments listed between May and September 2025.
These public examples are capital-markets and syndicate assignments. The cited news archive does not disclose Guzman & Company’s fees, economics, allocation, or compensation terms for those assignments.[6][7][8][9]
The publicly described transaction and service focus centers on debt and equity underwriting, IPOs, secondary-market offerings, specialized structured finance, corporate advisory, share repurchases, deal distribution, and institutional brokerage.
The cited investment-banking page describes capital-markets and corporate-advisory services but does not state a dedicated lower-middle-market private-company M&A mandate or a published list of sell-side transaction criteria.[3][4]
What does Guzman & Company publicly disclose about fees, process and engagement terms?
The cited investment-banking page does not state a universal minimum revenue, EBITDA, enterprise-value, or transaction-size threshold for advisory or underwriting engagements.
The cited official news archive lists assignment names and dates but does not disclose Guzman & Company’s fees, economics, allocation, or compensation terms for those assignments.
The cited investment-banking page does not state a dedicated lower-middle-market private-company M&A mandate or a published list of sell-side transaction criteria.[3][9]
FINRA BrokerCheck identifies GUZMAN & COMPANY as a corporation with CRD #21013 and SEC #8-38646, formed in Florida on January 28, 1987. The report states that the firm is registered with the SEC, two self-regulatory organizations, and 25 U.S. states and territories.
BrokerCheck identifies the firm as an SEC-registered broker-dealer and government-securities broker or dealer. Guzman & Company’s compliance page states that it is a Member of FINRA and SIPC and describes processes covering trade review, anti-money-laundering, customer due diligence, enhanced due diligence, and registered-representative supervision.[10][11]
For electronic program and block trading, Guzman & Company states that its institutional-brokerage model is agency-only and conflict-free, with no proprietary trading and no internal dark pool.
The cited investment-banking page does not state a dedicated lower-middle-market private-company M&A mandate or a published list of sell-side transaction criteria.[3][4]
Questions to ask before hiring Guzman & Company
What percentage of current work is sell-side M&A versus underwriting, syndicate, brokerage, and corporate advisory?
What are the firm’s minimum revenue, EBITDA, enterprise-value, or transaction-size criteria for a private-company sale mandate?
Which recent private-company sale or acquisition assignments can be provided as references?
Would the engagement be conducted by Guzman & Company as broker-dealer, investment banker, placement agent, or another legal entity?
How are conflicts, underwriting relationships, and potential principal or agency activities handled?
What are the success fee, retainer, expense, exclusivity, termination, and tail provisions?
Sources & research notes
- Official website / firm overview
- Identity / organization record
- Services / capabilities
- Services / capabilities
- Industry / market focus
- SEC filing / regulatory record
- SEC filing / regulatory record
- SEC filing / regulatory record
- Transaction / portfolio evidence
- FINRA regulatory record
- Structure / regulatory context
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.