Investment Banking

As a boutique investment banking firm, Joseph Stone Capital provides value-added service to a select group of corporate, individual and institutional clients.

While our capabilities are broad, our key focus areas include public offering, IPO, private placement, strategic corporate advisory, and merger and acquisition advisory services for growth companies in broad industries including, but not limited to, healthcare, technology and digital media sectors etc.. We seek companies with innovative technologies and intellectual capital as well as strong growth potential, and in keeping with our firm’s philosophy, we forge long-term relationships. This includes guiding them through all cycles of growth.

"Our corporate finance team of seasoned business and financial professionals provides industry expertise and ensures that clients executing an investment banking transaction are well prepared. By applying high-end transactional expertise, we maximize deal terms and protect the client’s interest. Our commitment guarantees that our clients receive the individual attention and direction they need."

Our suite of investment banking services includes:

  • Corporate finance, including underwriting companies through initial public offering, reverse mergers, secondary and convertible debt offerings, as well as private placements, registered direct offerings, and at-the-marketing offerings.
  • Financial advisory services, including mergers and acquisitions, corporate restructuring, strategic advisory, and fairness opinions.

Corporate Finance

Public Offerings & IPOs

Joseph Stone Capital provides highly professional investment banking services for companies seeking capital to implement well-defined growth plans.

Private Placements and Registered Direct Offerings

Joseph Stone Capital assists both public and private companies in raising private capital for all phases of growth. We help you to save time and money and remain in control of your business.

SPAC (Special Purpose Acquisition Company)

A SPAC (Special Purpose Acquisition Company) is a publicly-traded vehicle that has been formed to facilitate a business combination. SPAC enables a company to go public through mergers & Acquisition process.

Bridge Loans

Joseph Stone Capital provides customized bridge loans to satisfy short- and medium-term capital requirements for stabilizing or growing your business. A bridge loan can be an excellent solution for financing specific projects.

Syndicate Offerings

Joseph Stone Capital works with an extensive network of national and regional investment banking firms on a variety of corporate finance deals.

Fixed Income Offerings

Joseph Stone’s fixed income experts will guide you on structuring an advantageous transaction for a capital raise based on your goals, credit and current market conditions.

Secondary Offerings

Whether you need to refinance or raise capital to grow your company underwriters will guide you to get the best deal.

At-the-Market Offering (ATM)

Joseph Stone facilitates ATM offering to provide an efficient means of raising measured amounts of equity capital over time.

Debt Capital Market

Convertible Issues

Private Placements

Debt Financing

Advisory Services

Mergers and Acquisitions

Joseph Stone Capital provides mergers and acquisitions advisory services to small and mid-sized companies looking to expand operations, increase long-term profitability and add shareholder value.

Reverse Merger

Our team insists with the acquisition of a public company by a private company so that the private company can bypass the lengthy and complex process of going public.

Valuation and Fairness Opinions

Whether buying or selling, we provide detailed analysis and valuation for your transaction. Our goal is to provide you with an advantageous decision-making tool that will get the deal done.

Corporate Restructuring

Joseph Stone Capital provides complete advisory services related to business restructuring and recapitalization. We know how to help you improve your company and profitability.

Financial Advisory

Joseph Stone Capital offers strategic advice and process execution that is focused on results and based on knowledge and vision. By combining a deep understanding of your objectives, your industry, and securities markets, we will help you navigate the short- and long-term opportunities and challenges facing your organization.

Asset Divestitures

Whether it’s for strategic, financial or operational reasons we can help you get the best deal on an asset sale. Our experts will guide you through the process, help with strategy, analysis and finding the best buyer or a group of buyers.

"Your net worth to the world is usually determined by what remains after your bad habits are subtracted from your good ones."

- Benjamin Franklin

Joseph Stone Capital Advantage

  • Extensive experience in assisting emerging or growth companies raise capital
  • Investment Banking service center
  • Great record of success in raising capital for growing companies
  • Extended network of potential investors
  • Marketing and regulatory expertise to help you succeed

Contact Investment Banking Division:


29 Broadway, 18th FL
New York, NY, 10006

Cathy Cao, Head of Investment Banking
Direct: 646-666-5623