The Special Equities Group

A Division of Bradley Woods & Co. Ltd.

25+ Years of Micro-Cap Advisory Work & Investing

SEG Strategy

Unique Companies with Strong Leadership

SEG partners with select companies that have disruptive technologies, products and/or services, matched with committed, passionate management teams. This approach has proven to be a successful formula for our corporate clients, SEG, and our investors.

A Commitment to Success

The typical micro-cap company needs many years to be successful. This requires access to capital and expertise in navigating the capital markets. SEG has over 25+ years of experience focusing exclusively on the micro-cap sector.

Investment in our Clients

We make principal investments in companies we love; we nurture our clients, advise them, provide them bridge capital and, when necessary, guide them through the up-list process and beyond.

SEG Up-List Expertise

SEG has successfully executed up-lists for the past decade. Our deep-rooted experience and network of dedicated investors are a critical asset in the up- list and capital raising process. An up-list is pivotal for attracting institutional and retail investors, who often cannot purchase OTCBB stocks.

The up-list is the culmination of a lengthy process, in which SEG works alongside the company to tackle issues throughout the process and beyond, such as:
  • Restructuring the cap table

  • Satisfying minimum bid requirements

  • Meeting minimum net equity requirements

  • Strategic introductions to Board members, C-suite executives, and IR/PR firms

  • Increase investor awareness

  • Capital raises post up-list

SEG Up-Lists:

Up-list to Nasdaq

June 2013

Up-list to Nasdaq

March 2014

Up-list to NYSE AMEX

March 2014

Up-list to Nasdaq

July 2014

Up-list to Nasdaq

October 2016

Up-list to Nasdaq

November 2016

Up-list to Nasdaq

November 2018

PIPE Transaction Activity – 2002 to Present

Rank Placement Agent Total Number Total Dollars ($M) Avg. per Placement ($M)
1 HCW - Rodman & Renshaw, LLC 1013 $10,440 $10.31
2 Roth Capital Partners, LLC 446 $5,230 $11.73
3 The Special Equities Group 233 $2,379 $10.21
4 Maxim Group, LLC 232 $1,649 $7.11
5 Cowen and Company, llc. 188 $5,622 $29.90
6 Ladenburg Thalmann & Co., Inc. 130 $1,400 $10.77
7 Merriman Capital 122 $1,622 $13.30
8 Dawson James 117 $678 $5.79
9 Laidlaw & Company 83 $495 $5.96
10 Aegis Capital Corp. 77 $343 $4.45

**All transactions executed through The Special Equities Group affiliated broker dealer

*** All Data Excludes Con:identially Marketed Public Offerings (CMPOs) and ATM's

The SEG Team

Joe Reda


Jonathan Schechter


Andrew Arno

Vice Chairman/Partner

Tyler Berry

Senior VP - Capital Markets

Michael Scrobe

VP - Capital Markets

Linda Mackay

Senior VP - Corporate Client Services

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