Surya Capitale Securities, LLC
Surya Capitale Securities publicly identifies as an independent boutique firm founded in 2010. Its stated services include M&A advisory and private placements of equity and debt, with capital-raising support for growth-company expansion, acquisitions, and shareholder liquidity.
What stands out about Surya Capitale Securities, LLC
Surya Capitale Securities publicly states that it advises on M&A, capital structure, and equity or debt private placements. Its materials state that the firm aims to specialize in solutions for opportunity zone funds and related projects and investments and that it is willing to work on global transactions. The official homepage does not identify a transaction archive, while the official contact page does not publish a portfolio or sold-business archive. Neither page identifies named representative transactions, transaction values, client names, or deal dates.[1][2][4][5]
What does Surya Capitale Securities, LLC do?
Surya Capitale Securities LLC identifies itself as an independent boutique firm founded in 2010. It publicly states that it focuses on M&A advisory and private placements of equity and debt, and that it advises public and private companies on capital structure and fundraising.[1]
The firm states that it provides M&A advisory and private-placement services and is authorized to raise capital for companies in the form of debt or equity. Its current Form CRS states that it acts as a placement agent for Regulation D private placements offered to accredited retail investors and also engages in M&A advisory work.[1][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.
What should a business owner evaluate before hiring Surya Capitale Securities, LLC?
An owner evaluating an engagement can ask Surya to identify representative M&A or capital-raising transactions by sector, transaction type, date, and size, and to explain the buyer, lender, or investor universe it would approach. The owner can also request the proposed valuation methodologies and deliverables, the applicable retainer and success-fee structure, and any minimum fee, expense reimbursement, exclusivity, tail, or termination provisions. Because the current Form CRS does not publish a universal fee percentage, minimum fee, tail period, or termination schedule, those terms should be established specifically for the proposed engagement.[1][2]
Which recent M&A or capital-raising transactions can the firm identify by sector, transaction type, date, and size
What valuation methodologies and deliverables are included in the proposed engagement
What size transactions and clients does Surya Capitale Securities, LLC focus on?
Surya states that it aims to specialize in solutions for opportunity zone funds and related projects and investments. Its website also describes equity or debt fundraising for growth-company clients. The reviewed official homepage does not state a narrower industry-sector specialization.[1]
The official homepage does not identify named representative completed transactions, transaction values, client names, deal dates, or a transaction archive. The official contact page likewise does not publish named representative transactions, transaction values, client names, deal dates, or a portfolio or sold-business archive.[1][5]
The firm’s stated transaction focus includes M&A advisory, private placements of equity and debt, and capital raising for expansion, acquisitions, and shareholder liquidity. It states that its fundraising process runs from initial positioning through final negotiations.[1]
What does Surya Capitale Securities, LLC publicly disclose about fees, process and engagement terms?
The official homepage and official contact page do not publish named representative transactions, transaction values, client names, or deal dates. The official contact page does not publish a portfolio or sold-business archive, while the official homepage does not identify a transaction archive.
The current Form CRS does not state a universal revenue, EBITDA, enterprise-value, or transaction-size threshold for M&A advisory clients.
The current Form CRS states that M&A fees vary by client and may include retainers or success fees, but does not publish a universal fee percentage, minimum fee, tail period, or termination schedule.[1][2][5]
FINRA BrokerCheck identifies Surya Capitale Securities LLC as a Delaware limited liability company formed on July 20, 2010, with CRD #159173 and SEC #8-68968. BrokerCheck states that the firm is currently registered with the SEC, one self-regulatory organization, and six U.S. states and territories. An SEC filing for the period ended December 31, 2025 identifies the firm as a broker-dealer registrant with a principal business address at 55 Wall Street, Suite 530B, New York, New York 10005.[3][4]
The firm states that it manages fundraising processes from initial positioning through final negotiations. Under its current Form CRS, Surya acts as a placement agent for Regulation D private placements offered to accredited retail investors. The issuer has sole discretion over whether to accept a proposed investor commitment, and the investor makes the ultimate investment decision.
The Form CRS states that M&A advisory fees are predetermined and vary by client; certain engagements may include monthly retainers or success fees paid when the engagement is consummated.[1][2]
Questions to ask before hiring Surya Capitale Securities, LLC
Which recent M&A or capital-raising transactions can the firm identify by sector, transaction type, date, and size?
What buyer, lender, or investor universe would be considered for the owner's business?
What valuation methodologies and deliverables are included in the proposed engagement?
Are fees structured as a retainer, a success fee, or both, and are there minimum fees, expense reimbursements, exclusivity, tail, or termination provisions?
Which legal entity performs the advisory services, and how are issuer-paid or fee-sharing conflicts managed?
Sources & research notes
- Official website / firm overview
- FINRA regulatory record
- FINRA regulatory record
- 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.
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