Strategic Plan & Capital Positioning

Investment Banking Consulting

Before you can access capital, you need a clear picture of where you are, where you want to go, and which path makes the most sense to get there. That is where we start.

Our standard engagement is a 12-month term with a 90-day out clause. Twelve months because real capital-markets work — restructuring, shareholder outreach, positioning, and financing introductions — takes time to compound. A 90-day out because if we’re not delivering visible progress in the first quarter, you shouldn’t be locked in.

The first 90 days run flat-out: structural plan, shareholder coordination, capital positioning, and warm introductions to financing partners — all in parallel, not in sequence.

Most Recent Engagement

One-year term with a 90-day out → spanned 13 years → $17 million in capital raised.

The 90-day out is there because we want clients to keep choosing us. So far, they have.

Read the full 13-year story →

Where We Start

Understanding Your Company First

Every engagement begins the same way — we sit down and get to know your business. Are you pre-revenue and building toward your first meaningful milestone? Are you generating revenue but not yet profitable? Or are you an earnings-stage company looking to accelerate growth or tap into larger pools of capital? Where you are today determines what options are realistically available to you, and what approach makes the most sense.

From there, we look at where you want to go — your timeline, your capital requirements, your appetite for dilution, and your long-term objectives. Only once we have a clear picture of both do we begin to develop a roadmap.

Once the strategy is defined, we move into execution — advising on transaction structure, managing the regulatory and reporting requirements that come with operating as a public company, and preparing the financial foundation your company needs to support a successful capital raise.

A pre-revenue company exploring a path to the public markets has a very different set of considerations than an established public company looking to raise growth capital or uplist to a senior exchange. We tailor our approach to your specific situation and work alongside your team at every step.

How We Help

What Investment Banking Consulting Covers

The 90-Day Plan

Four workstreams run in parallel from day one. Structural plan: a review of your cap table, prior financings, and dilution exposure, plus any restructuring needed before new capital comes in. Shareholder coordination: re-engaging your existing investor base in coordination with our awareness team, so they’re allies rather than spectators. Capital positioning: getting your financials, disclosure, and corporate story raise-ready. Warm introductions: beginning conversations with shareholder-friendly financing partners who fit your stage and goals.

Transaction Structuring & Cap-Table Protection

We evaluate which financing path fits — private placements, PIPEs, reverse mergers, S-1 registrations, secondary offerings — and we vet every term sheet against the structures we steer companies away from: floorless convertible debt, excessive cashless warrants, ridiculous reverse splits, and other tactics that extract value rather than build it. The right structure isn’t always the most attractive headline; it’s the one that lets you raise again next year on better terms.

SEC Reporting & Exchange Compliance

Public-company reporting is ongoing and unforgiving — and each exchange (OTC Markets, NASDAQ, NYSE) layers its own obligations on top of SEC requirements. We assist with the preparation and coordination of 8-Ks, 10-Qs, 10-Ks, and S-1 Registration Statements, and we keep you current on the exchange-specific requirements that govern your listing — working directly with your accountants and auditors to keep every filing accurate, timely, and compliant.

Financial Preparation & Audit Coordination

Investors look at your financials first; auditors look at them with a magnifying glass. We work with your finance team and your auditors to make sure statements are properly prepared, audit-ready, and delivered without the surprises that derail capital raises.

OTCQB, NASDAQ & NYSE Listings

Whether you’re applying to the OTCQB for your first public listing or graduating up to NASDAQ or NYSE, the application process is detail-intensive and unforgiving of mistakes. We guide you through eligibility, documentation, financial standards, and ongoing obligations — from initial application through final approval, alongside your team at every step.