25+ Years of Micro-Cap Advisory Work & Investing
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.
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.
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 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.
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
June 2013
March 2014
March 2014
July 2014
October 2016
November 2016
November 2018
| Rank | Placement Agent | Total Number | Total Dollars ($M) | Avg. per Placement ($M) |
|---|---|---|---|---|
| 1 | H.C. Wainwright | 132 | $1,279 | $9.6 |
| 2 | Maxim Group, LLC | 53 | $383 | $7.10 |
| 3 | A.G.P./Alliance Global Partners | 39 | $386 | $9.91 |
| 4 | Roth Capital Partners, LLC | 21 | $555 | $26.42 |
| 5 | The Special Equities Group | 19 | $221 | $11.63 |
| 6 | Ladenburg Thalmann & Co., Inc. | 12 | $112 | $9.33 |
| 7 | Kingswood Holdings | 11 | $87 | $8.75 |
| 8 | Fordham Financial Management | 7 | $278 | $29.50 |
| 9 | Aegis Capital | 6 | $62 | $10.33 |
| 10 | JonesTrading Institutional Services | 5 | $48 | $9.71 |
**All transactions executed through The Special Equities Group affiliated broker dealer
*** All Data Excludes Confidentially Marketed Public Offerings (CMPOs) and ATM's
Founder/Partner
Partner
Vice Chairman/Partner
Senior VP - Capital Markets
VP - Capital Markets
Senior VP - Corporate Client Services