AFFILIATES:
Completed Transactions
Ongoing Engagements
Ongoing Engagement
Capital Markets Advisor
-
Ongoing Engagement
Capital Markets Advisor
-
Ongoing Engagement
Capital Markets Advisor
-
Ongoing Engagement
Capital Markets Advisor
Ongoing Engagement
Capital Markets Advisor
Completed Transactions
Completed Engagement
Capital Markets Advisor
April 2024
$6,600,000
PIPE
Financial Advisor
April 2024
$500,000
Secondary Sale
Introducing Agent
April 2024
$3,000,000
PIPE
Exclusive Placement Agent
April 2024
$50,000,000
PIPE
Financial Advisor
March 2024
-
$75,000,000
Follow-On
Financial Advisor
March 2024
$69,000,000
IPO
Sole Bookrunner
February 2024
Completed Engagement
Capital Markets Advisor
January 2024
$1,100,000
Series A
Exclusive Placement Agent
January 2024
$7,000,000
PIPE
Exclusive Placement Agent
January 2024
$80,000,000
PIPE
Financial Advisor
January 2024
$69,000,000
IPO
Co-Manager
December 2023
$4,500,000
Follow-On
Co-Placement Agent
December 2023
$6,750,000
Secondary Sale
Introducing Agent
December 2023
$60,000,000
IPO
Co-Manager
November 2023
$18,500,000
PIPE
Co-Placement Agent
October 2023
Completed Engagement
Capital Markets Advisor
October 2023
$12,670,000
Secured Note
Sole Placement Agent
October 2023
$69,000,000
IPO
Co-Manager
October 2023
$67,100,000
PIPE
Financial Advisor
October 2023
-
$5,000,000
Registered Direct
Financial Advisor
September 2023
$4,500,000
Follow-On
Co-Placement Agent
September 2023
$4,750,000
Secured Convertible Promissory Note
Co-Placement Agent
September 2023
-
$3,100,000
Series A
Exclusive Placement Agent
September 2023
$335,000,000
Merger
Financial Advisor
September 2023
$25,000,000
Series B
Placement Agent
September 2023
$12,000,000
Registered Direct
Co-Placement Agent
August 2023
$75,000,000
IPO
Co-Manager
August 2023
Completed Engagement
Capital Markets Advisor
August 2023
-
$7,000,000
Follow-On
Co-Placement Agent
July 2023
$149,500,000
IPO
Joint Bookrunner
July 2023
$57,500,000
IPO
Co-Manager
June 2023
$5,500,000
PIPE
Financial Advisor
June 2023
Completed Engagement
Capital Markets Advisor
June 2023
$5,000,000
Follow-On
Lead Manager
May 2023
-
$18,000,000
PIPE
Financial Advisor
May 2023
-
Completed Engagement
Capital Markets Advisor
May 2023
-
Completed Engagement
Capital Markets Advisor
April 2023
$6,500,000
PIPE
Co-Placement Agent
April 2023
-
$15,918,000
IPO
Joint Bookrunner
January 2023
$2,800,000
PIPE
Exclusive Placement Agent
January 2023
-
Completed Engagement
Capital Markets Advisor
December 2022
$31,800,000
Unsecured Convertible Promissory Note
Financial Advisor
December 2022
$14,500,000
Follow-On
Co-Placement Agent
December 2022
-
$7,900,000
PIPE
Sole Placement Agent
December 2022
$65,000,000
Follow-On
Financial Advisor
December 2022
$6,000,000
Follow-On
Co-Placement Agent
December 2022
$555,000,000
Merger
Capital Markets Advisor to AGBA
November 2022
-
Completed Engagement
Capital Markets Advisor
November 2022
Completed Engagement
Capital Markets Advisor
November 2022
-
Completed Engagement
Capital Markets Advisor
September 2022
$4,575,000
Series A Convertible Preferred Stock
Sole Placement Agent
August 2022
$3,300,000
Follow-On
Co-Manager
August 2022
$287,000,000
Merger
Capital Markets Advisor
August 2022
-
Merger
Brookline Capital Holdings, LLC as Sponsor
August 2022
$15,000,000
Registered Direct
Financial Advisor
June 2022
-
$8,500,000
Registered Direct
Financial Advisor
June 2022
$15,000,000
Series C-2 Convertible Preferred Stock
Financial Advisor
June 2022
-
$2,820,000
Convertible Note
Exclusive Placement Agent
June 2022
$936,435,859
Convertible & Derivative Unwind Advisory
100% Unwind of Tax-Integrated Warrant and Bond Hedge & Concurrent 2023 & 2024 Convertible Debt Repurchase
Transaction completed by B. Dyson Capital Advisors, a division of Arcadia Securities, LLC.
-
Completed Engagement
Capital Markets Advisor
May 2022
Completed Engagement
Capital Markets Advisor
May 2022
$45,000,000
Follow-On
Co-Manager
April 2022
Completed Engagement
Capital Markets Advisor
April 2022
Completed Engagement
Capital Markets Advisor
April 2022
$3,000,000
PIPE
Sole Placement Agent
March 2022
Completed Engagement
Capital Markets Advisor
March 2022
$376,867,000
IPO
Co-Manager
February 2022
$165,000,000
IPO
Co-Manager
February 2022
Completed Engagement
Capital Markets Advisor
February 2022
$143,750,000
IPO
Co-Manager
Februrary 2022
$866,000,000
IPO
Co-Manager
January 2022
$15,100,000
Convertible Note
Sole Placement Agent
January 2022
$115,000,000
IPO
Co-Manager
January 2022
$77,700,000
IPO
Co-Manager
December 2021
$115,000,000
IPO
Co-Manager
December 2021
$115,000,000
IPO
Co-Manager
December 2021
-
$15,000,000
Follow-On
Co-Manager
December 2021
$550,000,000
IPO
Co-Manager
December 2021
$103,500,000
IPO
Joint Bookrunner
December 2021
$655,000,000
IPO
Co-Manager
November 2021
$700,000,000
Senior Priority Guaranteed Notes Offering
Transaction completed by B. Dyson Capital Advisors, a division of Arcadia Securities, LLC.
$115,000,000
IPO
Co-Manager
October 2021
$172,500,000
IPO
Co-Manager
October 2021
$15,000,000
Follow-On
Co-Manager
October 2021
$3,825,000
Registered Direct
Financial Advisor
October 2021
$10,000,000
Series A Convertible Preferred Stock
Sole Placement Agent
October 2021
$1,000,000,000
IPO
Co-Manager
October 2021
$2,000,000
IPO
Co-Manager
September 2021
$57,500,000
IPO
Joint Bookrunner
September 2021
$157,600,000
IPO
Joint Bookrunner
August 2021
$18,000,000
IPO
Co-Manager
August 2021
$57,500,000
IPO
Joint Bookrunner
August 2021
Completed Engagegment
Capital Markets Advisor
August 2021
$5,000,000
PIPE
Financial Advisor
July 2021
$580,000,000
IPO
Co-Manager
July 2021
-
$18,850,000
Series A Convertible Preferred Stock
Sub Placement Agent
July 2021
-
$9,500,000
PIPE
Sole Placement Agent
June 2021
-
$2,600,000
Follow-On
Co-Manager
June 2021
-
$551,051,467
Warrant Dividend Distributed to All Holders of Common Stock
3,306,309 Warrants Distributed Exercisable with Cash or Bonds
Transaction completed by B. Dyson Capital Advisors, a division of Arcadia Securities, LLC.
$170,000,000
IPO
Co-Manager
June 2021
$57,500,000
IPO
Co-Manager
June 2021
$1,000,000,000
IPO
Co-Manager
June 2021
$1,500,000,000
IPO
Co-Manager
May 2021
$46,000,000
IPO
Joint Bookrunner
April 2021
$575,000,000
IPO
Co-Manager
April 2021
$13,200,000
Follow-On
Co-Manager
April 2021
$575,000,000
IPO
Co-Manager
April 2021
$6,100,000
Series A Convertible Preferred Stock
Exclusive Placement Agent
March 2021
$14,500,000
Follow-On
Co-Manager
March 2021
$4,400,000,000
IPO
Co-Manager
March 2021
-
Completed Engagement
Capital Markets Advisor
March 2021
-
$15,000,000
Registered Direct
Co-Placement Agent
March 2021
$51,750,000
Follow-On
Co-Manager
February 2021
$115,000,000
Follow-On
Co-Manager
February 2021
-
$20,000,000
ATM
Joint Sales Agent
February 2021
Completed Engagement
Capital Markets Advisor
February 2021
$46,000,000
IPO
Joint Bookrunner
February 2021
$10,000,000
Series B Convertible Preferred Stock
Exclusive Placement Agent
February 2021
$440,000,000
IPO
Co-Manager
February 2021
$23,000,000
IPO
Co-Manager
January 2021
$75,600,000
Follow-On
Co-Manager
January 2021
$42,607,394
Follow-On
Financial Advisor
January 2021
-
$35,000,000
Registered Direct
Co-Placement Agent
January 2021
Completed Engagement
Capital Markets Advisor
January 2021
Completed Engagement
Capital Markets Advisor
January 2021
-
Completed Engagement
Capital Markets Advisor
January 2021
$2,000,000,000
IPO
Co-Manager
January 2021
$18,000,000
Convertible Note
Exclusive Placement Agent
January 2021
$115,000,000
IPO
Co-Manager
January 2021
-
$85,000,000
Follow-On
Co-Manager
December 2020
$10,500,000
Registered Direct
Financial Advisor
December 2020
-
$8,500,000
Registered Direct
Financial Advisor
December 2020
$34,500,000
Follow-On
Co-Manager
December 2020
$1,000,000,000
IPO
Co-Manager
November 2020
$8,000,000
Follow-On
Co-Manager
November 2020
$28,000,000
Public Convertible Debt Exchange
Immediately Redeemable
*B. Dyson Capital Advisors acted as sole financial advisor
Transaction completed by B. Dyson Capital Advisors, a division of Arcadia Securities, LLC.
$1,250,000,000
IPO
Co-Manager
October 2020
$46,000,000
Follow-On
Co-Manager
October 2020
-
$7,800,000
Follow-On
Co-Manager
September 2020
$2,400,000,000
IPO
Co-Manager
September 2020
CAD $6,500,000
PIPE
Lead US Placement Agent
August 2020
-
$15,000,000
Follow-On
Co-Manager
August 2020
$780,000,000
IPO
Co-Manager
August 2020
$198,900,000
Follow-On
Financial Advisor
July 2020
$40,000,000
IPO
Joint Bookrunner
July 2020
$80,500,000
Follow-On
Co-Manager
July 2020
$134,800,000
Follow-On
Co-Manager
July 2020
$43,700,000
Follow-On
Co-Manager
July 2020
$10,000,000
Registered Direct
Financial Advisor
July 2020
-
$80,000,000
PIPE
Financial Advisor
July 2020
$177,000,000
IPO
Co-Manager
July 2020
-
CAD $10,100,000
PIPE
Co-Placement Agent
June 2020
-
$11,500,000
Follow-On
Co-Manager
June 2020
$100,000,000
IPO
Co-Manager
June 2020
-
Completed Engagement
Capital Markets Advisor
June 2020
Completed Engagement
Capital Markets Advisor
June 2020
-
Completed Engagement
Capital Markets Advisor
June 2020
$665,000,000
IPO
Co-Manager
June 2020
$1,130,000
Series C Convertible Preferred Stock
Exclusive Placement Agent
May 2020
$4,300,000
Registered Direct
Co-Placement Agent
May 2020
-
$5,000,000
Registered Direct
Co-Placement Agent
April 2020
-
$20,000,000
Follow-On
Co-Placement Agent
April 2020
-
$80,500,000
Follow-On
Financial Advisor
April 2020
$500,000,000
IPO
Co-Manager
March 2020
$110,000,000
IPO
Co-Manager
March 2020
$920,000,000
IPO
Co-Manager
February 2020
$10,000,000
Registered Direct
Co-Placement Agent
February 2020
-
$4,800,000
Registered Direct
Financial Advisor
February 2020
-
$13,000,000
Series A Convertible Preferred Stock
Sole Placement Agent
February 2020
$4,000,000
Series A Convertible Preferred Stock
Financial Advisor
February 2020
-
$2,100,000,000
IPO
Co-Manager
January 2020
$7,000,000
Follow-On
Co-Manager
January 2020
$4,400,000
Registered Direct
Sole Placement Agent
January 2020
$10,200,000
IPO
Co-Manager
December 2019
$7,100,000
Convertible Note
Sub Placement Agent
December 2019
-
$40,300,000
Follow-On
Co-Manager
December 2019
-
Completed Engagement
Capital Markets Advisor
December 2019
$11,000,000
Convertible Note
Placement Agent
December 2019
-
$40,250,000
Follow-On
Co-Manager
December 2019
-
Completed Engagement
Capital Markets Advisor
November 2019
-
$114,300,000
Public Convertible Debt Exchange
Immediately Redeemable
Transaction completed by B. Dyson Capital Advisors, a division of Arcadia Securities, LLC.
-
Completed Engagement
Capital Markets Advisor
November 2019
$365,000,000
IPO
Co-Manager
November 2019
$615,000,000
IPO
Co-Manager
October 2019
$200,000,000
IPO
Co-Manager
October 2019
$810,000,000
IPO
Co-Manager
September 2019
Acquisition
"Seller's Choice"
Buy-Side Advisor
September 2019
$7,500,000
Series A Convertible Preferred Stock
Exclusive Placement Agent
September 2019
-
$8,700,000
Follow-On
Co-Manager
September 2019
-
$10,500,000
Follow-On
Co-Manager
August 2019
$365,000,000
IPO
Co-Manager
July 2019
-
$55,900,000
Follow-On
Co-Manager
July 2019
$1,400,000,000
IPO
Co-Manager
June 2019
-
$15,600,000
Follow-On
Co-Placement Agent
June 2019
-
$143,700,000
IPO
Co-Manager
June 2019
$8,000,000
PIPE
Co-Placement Agent
June 2019
-
$215,000,000
IPO
Co-Manager
May 2019
$10,000,000
Registered Direct & PIPE
Financial Advisor
May 2019
-
$9,300,000
Follow-On
Co-Manager
April 2019
-
$2,100,000
Follow-On
Co-Placement Agent
April 2019
$260,000,000
IPO
Co-Manager
March 2019
-
$3,000,000
Registered Direct
Co-Placement Agent
March 2019
$57,500,000
IPO
Co-Manager
March 2019
-
$34,500,000
Follow-On
Co-Manager
March 2019
$485,000,000
Merger
M&A Advisor
March 2019
$57,500,000
IPO
Co-Manager
February 2019
$25,000,000
Series B Convertible Preferred Stock
Exclusive Placement Agent
February 2019
$5,000,000
Series B Convertible Preferred Stock
Sole Placement Agent
February 2019
$850,000,000
IPO
Co-Manager
January 2019
$8,600,000
Follow-On
Co-Manager
January 2019
$25,000,000
PIPE
Financial Advisor
January 2019
-
$5,700,000
Series C Convertible Note
Co-Placement Agent
January 2019
$70,000,000
IPO
Co-Manager
December 2018
-
$13,800,000
Follow-On
Financial Advisor
November 2018
$17,000,000
Follow-On
Financial Advisor
November 2018
$127,000,000
IPO
Co-Manager
October 2018
$10,900,000
Follow-On
Co-Manager
September 2018
-
$10,000,000
Follow-On
Co-Manager
September 2018
$4,000,000
PIPE
Financial Advisor
September 2018
$46,000,000
Follow-On
Co-Manager
August 2018
$75,000,000
Follow-On
Co-Manager
August 2018
-
$7,600,000
Series A-1 Convertible Preffered Stock
Sole Placement Agent
August 2018
$1,440,000
Warrant Exchange
Sole Solicitation Agent
August 2018
-
$16,560,000
Follow-On
Co-Manager
July 2018
-
$74,000,000
IPO
Financial Advisor
July 2018
$27,600,000
Series C Convertible Preferred Stock
Placement Agent
July 2018
-
$20,700,000
Follow-On
Co-Manager
May 2018
-
$5,000,000
PIPE
Sole Placement Agent
April 2018
-
$30,000,000
Follow-On
Co-Manager
March 2018
-
$115,000,000
IPO
Lead Manager
February 2018
-
$6,000,000
Convertible Note
Sole Placement Agent
February 2018
$9,820,000
PIPE
Co-Placement Agent
February 2018
-
$5,500,000
Follow-On
Co-Lead Placement Agent
January 2018
$23,000,000
Series B Convertible Preferred Stock
Sole Placement Agent
December 2017
$140,000,000
IPO
Co-Manager
November 2017
-
$6,000,000
Series A Convertible Preferred Stock
Sole Placement Agent
November 2017
$216,000,000
IPO
Co-Manager
October 2017
-
$3,000,000
PIPE
Sole Placement Agent
August 2017
-
$35,000,000
Series B Convertible Preferred Stock
Sole Placement Agent
August 2017
$13,300,000
PIPE
Co-Placement Agent
May 2017
$5,000,000
Convertible Note
Sole Placement Agent
May 2017
$5,300,000
Series B Convertible Preferred Stock
Sole Placement Agent
May 2017
$52,500,000
IPO
Financial Advisor
March 2017
$5,600,000
PIPE
Co-Placement Agent
February 2017
-
$7,000,000
Series A Convertible Preferred Stock
Sole Placement Agent
February 2017
-
$8,000,000
Series B Convertible Preferred Stock
Sole Placement Agent
December 2016
-
$23,000,000
Series B Convertible Preferred Stock
Co-Placement Agent
November 2016
-
$6,000,000
PIPE
Sole Placement Agent
August 2016
$35,000,000
PIPE
Financial Advisor
July 2016
-
$12,000,000
PIPE
Co-Placement Agent
June 2016
$22,000,000
PIPE
Co-Placement Agent
April 2016
-
$3,100,000
Convertible Sub Note
Sole Placement Agent
February 2016
-
$5,300,000
PIPE
Sole Placement Agent
December 2015
-
$56,000,000
Series A Convertible Preferred Stock
Sole Placement Agent
October 2015
-
$6,900,000
Convertible Sub Note
Sole Placement Agent
July 2015
-
$20,000,000
PIPE
Co-Placement Agent
June 2015
-
$10,000,000
Series A Convertible Preferred Stock
Sole Placement Agent
March 2015
-
$10,000,000
PIPE
Sole Placement Agent
December 2014
$4,000,000
Convertible Note
Sole Placement Agent
November 2014
$27,000,000
Series B Convertible Preferred Stock
Co-Placement Agent
September 2014
-
$10,000,000
Series A Convertible Preferred Stock
Sole Placement Agent
May 2014
$20,000,000
PIPE
Co-Placement Agent
April 2014
-
$4,000,000
Secured Note & Warrants
Sole Placement Agent
March 2014
$2,500,000
PIPE
Sole Placement Agent
March 2014
-
$4,000,000
Convertible Note
Sole Placement Agent
November 2013
-
$150,000,000
Registered Direct New Issue Convertible Debt
Immediately Redeemable
Transaction completed by B. Dyson Capital Advisors, a division of Arcadia Securities, LLC.
All figures include transactions conducted through CIM Securities, LLC.
Brookline Capital Markets was a division of CIM Securities, LLC from January 2016 through May 2019.
LINKS
Arcadia Securities LLC Form CRS
Order routing information can be accessed through the following link by inputting Arcadia Securities: https://www.orderroutingdisclosure.com/.