CastleOak
CastleOak's Services

Equity Capital Markets
CastleOak provides full service Equity Capital Markets capabilities to our clients.  Our Equity Capital Markets group oversees the firm's activities in the new issue equity and equity-linked markets. Our role encompasses origination, execution and after-market services.  Our focus is solely on delivering superior investment ideas, creative strategies, exceptional market intelligence and outstanding execution to our clients.
Our capabilities include:

  • Initial public offerings
  • Follow on offerings
  • Non-Deal Roadshows
  • Private investment in public equity (PIPEs)
  • Private Placements

Equity Sales & Trading
Our Equity Sales & Trading team possesses a broad base of trading experience, enabling them to effectively execute trades on our client’s behalf with minimal market impact.  We are dedicated to developing customer relationships for the long term, allowing us to develop a vast network of institutional accounts.
CastleOak Securities has institutional sales offices located in New York, Atlanta, Chicago and Memphis servicing:

  • Corporations
  • Hedge Funds
  • Insurance Companies
  • Investment Advisors
  • Mutual Funds
  • Pension Funds
  • Public Funds

Our Equity Sales & Trading team employs a suite of proprietary algorithms that achieve optimal execution capabilities by reducing market impact.
State of the Art Infrastructure
Our trading desk has the capacity to monitor multiple program trading strategies simultaneously and to set parameters for execution strategies in multiple asset classes.  Our infrastructure allows execution of pairs, market-neutral and dollar neutral strategies with access to major ECNs, exchanges and Alternative Trading Systems (ATS). Orders are electronically traded to blend anonymously into the overall trading flow, resulting in a reduced footprint in the marketplace.
 CastleOak Sales & Trading team expertise includes: 

  • Algorithmic & Program Trading
  • Corporate Buybacks
  • Domestic/Global Execution & Strategy
  • Options Execution & Strategy
  • Pre-Trade & Post-Trade Analytics
  • Transition Management

 Debt Capital Markets
CastleOak provides full service debt capital markets capabilities to our clients.  CastleOak Securities underwrites, distributes, and trades a full range of credit fixed income products.  The strength of our firm lies in our strong capital position coupled with excellent underwriting and distribution capabilities. As active players in various credit products our debt capital markets team links the firm’s Corporate Finance clients with a broad array buy-side clients who invest in their securities. 
CastleOak’s Debt Capital Markets presents clients with the most appropriate financing solutions for their specific needs.  We also provide market intelligence to clients through a regularly-published newsletter highlighting recent trends and transactions.  CastleOak takes a proactive approach by analyzing information and credit statistics for each client to better provide timely and relevant solutions.  This value added approach positions CastleOak as lead manager or co-manager in clients’ bond offerings. 
CastleOak Recent Transaction here

Fixed Income Sales & Trading
Our Fixed Income Sales and Trading team’s expertise is deep and is devoted to the distribution of a full array of fixed income products and ideas to our clients. 
The group also engages in secondary market transactions across products and ratings spectrum including:

  • Asset Backed including Credit Cards, Student Loans, Autos, Dealer Floorplans, etc.
  • CMBS
  • CMO/pass throughs
  • Corporate Bonds
  • Government/Agencies
  • Mortgage Backed Securities

Our Fixed Income Sales & Trading professionals have an average of over 15 years of experience covering a wide range of clients including:

  • Banks
  • Corporations
  • Hedge Funds
  • Insurance Companies
  • Investment Advisors
  • Mutual Funds
  • Pension Funds
  • Public Funds

Financial Advisory
CastleOak’s Advisory practice combines the transaction experience, industry expertise and capabilities of a bulge-bracket investment bank with the focus, dedication, and senior level attention of a boutique practice.
CastleOak leverages the strong relationships with many of our capital market clients, the Fortune 500 companies and bulge bracket firms, providing our Advisory team access to our niche of lower middle market assignments within their portfolios. Additionally, our partnership gives us the ability to leverage the existing infrastructure to limit costs & administrative expenses to devote front office talent and resources to client services.
Our cohesive group of professionals has more than 80 years of collective experience and more than $200 billion of financial and strategic transactions executed by members of the CastleOak team over the past decade.
Our advisory team possesses deep domain experience in industrial/infrastructure, media and communications, and financial services.  Our partnership adds global reach and expertise in additional industries that complements CastleOak’s ability to successfully complete transactions for our clients.
CastleOak is uniquely qualified to execute complex Buy and Sell assignments for small to middle market companies. With a typical transaction size of deals (e.g., sweet spot) with Enterprise Value less than $100 million, CastleOak’s Advisory team is prepared to assist its clients’ sourcing and execution of bolt-on acquisitions on an on-call adjunct basis.

  • Mergers, Acquisitions, and Divestitures
  • Leveraged Buyouts / Management Buyouts
  • Specialty Financings
  • Restructuring
  • Strategic Reviews
  • Fairness Opinions