Moody Capital Solutions, Inc.
Moody Capital Solutions operates publicly as Moody Capital, an independent, advisory-focused investment bank and registered, non-carrying broker-dealer. Its stated practice includes M&A advisory, capital raising, public-market advisory, and debt advisory for small-cap, micro-cap, lower-middle-market, public, and private companies.
What stands out about Moody Capital Solutions, Inc.
Moody Capital Solutions provides sell-side and buy-side M&A advice, strategic alternatives reviews, financing and capital-markets advisory, and related services. The firm states that small-cap and lower-middle-market companies comprise its entire M&A practice and that clients work directly with senior management through closing.[1][2][3][4][5][7]
What does Moody Capital Solutions, Inc. do?
Moody Capital Solutions, Inc. operates publicly under the Moody Capital brand and lists offices in Alpharetta, Georgia and New York, New York. The firm describes itself as an independent, advisory-focused investment bank providing investment banking and corporate finance services.[1][3][8]
Moody Capital publicly lists sell-side M&A advisory, including valuation analysis, business positioning, marketing materials, confidential outreach to strategic and financial buyers, negotiation, and diligence management through closing. Its M&A services also include buy-side advisory, strategic alternatives reviews, fairness opinions, joint ventures, management buyouts, and acquisition financing.
Additional services include IPO feasibility and public-offering advice, pre-IPO crossover financing, underwriter selection, roadshows, reverse mergers, Regulation A offerings, direct listings, ATM programs, registered rights offerings, private placements, and debt advisory. The debt practice covers secured and unsecured financing, refinancing, recapitalizations, lender processes, covenants, and capital solutions involving institutional lenders, private-credit funds, and family offices.[2][3][4][5]
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 Moody Capital Solutions, Inc.?
For an owner considering a sale, Moody Capital states that small-cap and lower-middle-market companies comprise its entire M&A practice and describes a sell-side process covering valuation analysis, positioning, confidential buyer outreach, negotiation, and diligence management through closing. The firm also offers strategic alternatives, acquisition financing, private placements, public-market advisory, recapitalizations, and debt advisory.
The cited official M&A, public-offerings, and contact pages do not provide a representative completed transaction list, standard fee schedule, minimum mandate size, or standard engagement terms. An owner should therefore confirm recent completed sell-side mandates, comparable sector and size experience, the prospective buyer universe, conflicts associated with the firm’s financing and broker-dealer activities, proposed economics and termination provisions, confidentiality arrangements, and the extent of direct senior-banker involvement.[1][2][3][5][7]
Which recent sell-side transactions has Moody Capital completed, and can it provide references from owners in a comparable size range and sector
How does the firm manage conflicts when it also provides financing, placement-agent, or broker-dealer services
What size transactions and clients does Moody Capital Solutions, Inc. focus on?
A current company announcement states that Moody Capital provides capital raising, M&A, and advisory services to public and private companies, with a focus on life sciences, technology, healthcare, and other growth industries.[6]
Publicly disclosed engagements include a January 26, 2026 placement-agency agreement with AmpliTech Group, Inc. for a registered direct offering of up to 2,230,000 units at $4.055 per unit; a February 18, 2026 engagement by 1606 Corp. as sole exclusive placement agent and/or financial advisor for capital-markets and financing matters; and a HeartCore Enterprises engagement as placement agent in connection with an equity purchase and securities purchase financing arrangement. Liberty Star Uranium & Metals Corp. also identified Moody Capital as placement agent in a September 2024 offering engagement.[10][11][12][13]
The firm’s stated transaction work spans sell-side and buy-side M&A, strategic alternatives, fairness opinions, joint ventures, management buyouts, acquisition financing, public offerings, private placements, rights offerings, recapitalizations, and debt financing. The firm also states that it does not underwrite IPO transactions.[2][3][5]
What does Moody Capital Solutions, Inc. publicly disclose about fees, process and engagement terms?
The official M&A service page does not identify completed client transactions, transaction values, buyer or counterparty identities, or closing dates. The official public-offerings page does not publish a universal fee schedule, minimum transaction size, or standard engagement terms. The official contact page provides contact details but does not disclose a standard fee schedule, minimum mandate size, or representative completed transaction list.[2][3][7]
FINRA’s current firm report states that Moody Capital Solutions, Inc. is registered with the SEC, one self-regulatory organization, and nine U.S. states and territories. The report lists SEC registration effective January 3, 1985 and FINRA registration effective February 11, 1985. An SEC filing describes the company as a registered, non-carrying broker-dealer. The firm’s website identifies it as a member of FINRA/SIPC.[8][9]
Moody Capital states that every client works directly with senior management, including the President and CEO, on every transaction from the first conversation through closing. Its M&A page states that senior bankers have advised companies in more than $11 billion of M&A transactions during their careers.[1][2]
Questions to ask before hiring Moody Capital Solutions, Inc.
Which recent sell-side transactions has Moody Capital completed, and can it provide references from owners in a comparable size range and sector?
What are the proposed retainer, success fee, expense reimbursement, exclusivity, termination, and tail provisions?
How does the firm manage conflicts when it also provides financing, placement-agent, or broker-dealer services?
Which strategic and financial buyers would likely be contacted, and how is confidentiality protected?
What portion of the work will be performed directly by senior bankers?
Sources & research notes
- Official website / firm overview
- Services / capabilities
- Services / capabilities
- Services / capabilities
- Services / capabilities
- Industry / market focus
- Geography / market coverage
- SEC filing / regulatory record
- FINRA regulatory record
- SEC filing / regulatory record
- SEC filing / 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.
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