The CastleOak Advantage

New York
Headquartered in New York City, the firm specializes in primary and secondary sales and trading of fixed income, equity, and money market securities.
NMSDC
National Minority Supplier Development Council (NMSDC) certification
MWOB
CastleOak has been a top-ranked MWOB Lead Manager of Agency, Corporate & ABS securities; top 35 underwriter overall.
Growth
Since it’s founding in 2006, CastleOak has assisted its clients on public offerings totaling over $3.6 trillion
CastleOak Securities L.P., is a boutique investment bank focused on the capital markets serving a broad array of corporate, governmental and institutional clients.
The firm has grown to approximately 50 professionals, with an average of 24 years of experience, across 6 offices.
Facts at a Glance:
Majority minority owned
National Minority Supplier Development Council (NMSDC) certification 
CastleOak Securities focuses on institutional investors – covering a network of over 500 active accounts
Over 95% of our buy-side accounts are U.S.-based, and include asset managers, money market funds, public pension funds, federal agencies, local governments, corporations and depository institutions
Our sales & trading platform includes 6 trading desks and over 30 sales people who transact in fixed income and equity products in 6 offices throughout the U.S.
CastleOak Complementary Distribution

CastleOak’s distribution network helps issuers diversify their order book with Tier II-IV. These tiers are often overlooked due to their smaller size or more restrictive trading styles. CastleOak specializes in delivering issuers differentiated distribution through unparalleled ties to unique investors who are minority-owned, public and emerging investment managers. We proactively target long-term holders to help issuers meet their investor diversification objectives and complement our bulge-bracket peers’ focus. Due to our strong ties to the top ranked bookrunners and advisors, execution in tandem with your lead managers is seamless.

History & Milestones
2006
  • Founded by David Jones (President & CEO), Nathaniel Christian (General Counsel) and Philip Ippolito (CFO)
  • Broker-Dealer approved by FINRA; formed a strategic partnership with Cantor Fitzgerald
  • Approved as underwriter for the Federal Home Loan Banks and Freddie Mac
2007
  • Expanded into equities with the hiring of an experienced sales & trading team of professionals
  • Received first share repurchase mandate
  • First lead-managed corporate underwriting
2009
  • Named by the Federal Reserve Bank of NY as 1 of 4 non-primary dealer TALF Agents
2010
  • Approved as underwriter for Fannie Mae and Farmer Mac
  • Hired a leading Treasuries, Agencies and Money Market team
2011
  • Established money market fund portal, Money Fund Access in partnership with State Street Global Markets
2012
  • NASDAQ Closing Bell ceremony commemorating milestone of assisting clients in raising over $1 trillion in securities
2013
  • Became the first and only minority-owned underwriter of IFC debt; became an underwriter of TVA debt
2015
  • Surpassed $2.0 trillion mark in underwriting
2016
  • Launched electronic bond trading platform (DirectPool) in partnership with Bloomberg, L.P.
  • Added Quantitative Program Trading in Equities
2017
  • Launched International Trading in Equities
2018
  • Advisory Assignment from Fortune 500 company  to evaluate strategic alternatives for non-core business
2020
  • Became fully independent firm, owned by partners
  • Surpassed $3.0 trillion mark in underwriting
Our Team >