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# Tobin & Company

Investment Banking Services

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## Posts

- [Comment on File No. SR-FINRA-2026-004 – Financial Projections and Targeted Returns](https://tobinandco.com/comment-on-file-no-sr-finra-2026-004-financial-projections-and-targeted-returns/) - >> Learn more and view other comments on SEC.gov >> View FINRA's Response Dear Secretary: I am the founder and owner of Tobin & Company Securities LLC, a FINRA-registered broker-dealer headquartered in Charlotte, North Carolina. I have worked in investment banking for more than forty years, advising on mergers and acquisitions, equity offerings, debt financings,
- [Comment on File No. S7-2026-15: <br>Proposed Semi-Annual Reporting](https://tobinandco.com/comment-on-file-no-s7-2026-15-proposed-semi-annual-reporting/) - >> Learn more and view other comments on SEC.gov I oppose the proposed amendments that would allow public companies to replace quarterly reporting with semi-annual reporting. I submit this comment in my personal capacity as an individual trader and investor and as a securities and investment banking professional active in the private and public capital
- [When Should You Sell Your Business?](https://tobinandco.com/when-should-you-sell-your-business/) - Good question.Generally speaking, a good time to sell would be when your business is on the up, revenues are high and are continuing to climb, margins and customer growth are strong and the future looks rosy. Offers will generally be strongest during this period.However, a good sale decision weighs more than just timing and business
- [Contingency Offerings in Private Placements: <br>A Practical Guide for Sponsors, Issuers and Selling Group Members](https://tobinandco.com/contingency-offerings-in-private-placements/) - The market often treats contingencies as benign drafting ornaments, when they are actually operational tripwires. TL;DR - Trust us, it's a great read, but if you don't have time right now, here is a quick summary. Contingency offerings in Reg D private placements sound simple: raise the minimum, break escrow and close. In private placements,
- [The Role of the MBD: Bringing Investors Closer to the Investment](https://tobinandco.com/the-role-of-the-mbd-bringing-investors-closer-to-the-investment/) - The Managing Broker-Dealer as the Regulated ConduitIn today’s regulatory environment, there is a growing tension between how investments are actually evaluated and how information is permitted to be shared. From the perspective of a Managing Broker-Dealer (MBD), that tension shows up in a very specific place: the conversation among investors, sponsors and the registered representatives
- [Outsourcing Your Securities Compliance to a Broker-Dealer: Navigating the Reg D Securities Offering Gauntlet](https://tobinandco.com/outsourcing-your-securities-compliance-to-a-broker-dealer-navigating-the-reg-d-securities-offering-gauntlet/) - The Managing Broker-Dealer’s primary role for a Reg D offering is to ensure compliance with regulatory standards and manage the distribution and sale of securities and related money flows. The MBD’s duties span from regulatory oversight and investor suitability checks to marketing support, capital raising and exceptional record-keeping. By providing these services and safeguards, the
- [Comment on the Proposed Exemptive Order Granting Conditional Exemption from Broker Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934](https://tobinandco.com/comment-on-the-proposed-exemptive-order-granting-conditional-exemption-from-broker-registration-requirements-of-section-15a-of-the-securities-exchange-act-of-1934/) - Dear Ms. Countryman: I am taking the opportunity provided to comment on the Proposed Exemptive Order Granting Conditional Exemption from Broker Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934 for Certain Activities of Finders (the “Proposed Order”). As a licensed broker and the founder and owner of Tobin & Company Securities
- [How Your Business Gets Sold](https://tobinandco.com/how-your-business-gets-sold/) - You decide you want to sell your business. You’re tired of working and want to ride off into the sunset with your pickleball instructor.So, what’s next?Your first thought might be to hire someone to help you out with that. Great idea – find a professional who can handle it for you. Someone who can help
- [Twenty-Five Years of TOBIN](https://tobinandco.com/twenty-five-years-of-tobin/) - In February of 2001, I picked up my first business cards from the printer. They were white cards with my brand-new firm’s name – “Tobin Advisors” – and a yellow sunburst for a logo. I stepped into a world that didn’t expect me, or frankly, didn’t especially want me. In the photograph taken among the
- [Comment on FINRA Regulatory Notice 26-02: Rule Revisions to Help Member Firms Protect Senior Investors From Financial Exploitation and All Investors From Fraud](https://tobinandco.com/comment-on-finra-regulatory-notice-26-02-rule-revisions-to-help-member-firms-protect-senior-investors-from-financial-exploitation-and-all-investors-from-fraud/) - >> Learn more and view other comments on FINRA.org Dear Ms. Mitchell, I submit this comment as an individual industry professional. I am a FINRA-licensed principal and the owner of the broker-dealer in the letterhead. But I am not writing on behalf of my firm. I am writing as a person who, despite decades in
- [Selling a Family Business Is More than Just a Transaction](https://tobinandco.com/selling-a-family-business-is-more-than-just-a-transaction/) - Most family business owners who come to Tobin & Company have essentially already made the decision to sell.They are not tentative about it. They are ready. They have gained enough from their experiences of managing people, carrying operational risk, navigating financial risk, being the person everyone turns to for every decision. They want liquidity, and
- [Securities Laws Can Impact Private Companies, Too](https://tobinandco.com/securities-laws-can-impact-private-companies-too/) - Boards of private companies typically focus on strategic matters such as market forces, competitive dynamics, business continuity and succession. But from time to time all private companies find that they need an infusion of capital to fuel growth, enhance business processes, execute continuity strategies or achieve operational and strategic goals. As a result, directors of
- [Accredited Investors: Who Qualifies & Why It Matters](https://tobinandco.com/accredited-investors-who-qualifies-why-it-matters/) - In my previous musings about private placement fundraising and promoting your private capital offering to a broader audience, we explained the requirement of accepting only accredited investors if you choose the Rule 506(c) option for your fundraising. One reason 506 (c) offerings are limited to accredited investors is to ensure that all participating investors are
- [Hello from Charlotte: <br/>Supporting Registered Representatives Nationwide](https://tobinandco.com/hello-from-charlotte-supporting-registered-representatives-nationwide/) - Hello from ACG Deal Crawl in Charlotte!We’re writing from the heart of Charlotte, North Carolina, where the city’s skyline glows with the energy of dealmakers, bankers, principals and investors attending this year’s ACG Deal Crawl. The two-day conference has once again gathered middle-market professionals from across the country to connect, collaborate, and explore what’s next
- [How to Value a Company: A TOBIN Perspective](https://tobinandco.com/how-to-value-a-company-a-tobin-perspective/) - Introduction: The Art and Discipline of ValuationValuing a company is both a technical exercise and a profound act of discernment. I like to say that the practice is both an art and a science. It requires analytical skills, market fluency, and a disciplined understanding of what drives worth in a dynamic environment. At TOBIN, valuation
- [Comment on SEC Release No. 34-103226, Proposed Rule Changed to Amend FINRA Rule 3220 Influencing Employees of Others](https://tobinandco.com/comment-on-sec-release-no-34-103226-proposed-rule-changed-to-amend-finra-rule-3220-influencing-employees-of-others/) - >> Learn more and view other comments on SEC.gov Dear Madam Secretary, As the founder and principal of one of the only solely female-owned broker-dealers in the United States, I appreciate the opportunity to comment on SEC Release No. 34-103226. TOBIN, together with its parent company, Tobin & Company Investment Banking Group, that has served
- [Jury Duty, Little Sleep, and Work Left Behind](https://tobinandco.com/jury-duty-little-sleep-and-work-left-behind/) - I just finished two weeks of jury duty.I began writing as the trial started last week, after nearly three full days of jury selection. This criminal trial involved a serious vehicle collision in the state of North Carolina. As required by law, I am only sending this newsletter and discussing the circumstances after the conclusion
- [Comments on Electronic Submission of Certain Materials Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report](https://tobinandco.com/comments-on-electronic-submission-of-certain-materials-under-the-securities-exchange-act-of-1934-amendments-regarding-the-focus-report/) - >> View full comment letter on SEC.gov Dear Madam Secretary, As the founder and a principal of one of the only woman-owned broker-dealers in the United States, I appreciate the opportunity to comment on Release No. 34-97208. Tobin & Company Securities LLC (“TOBIN”) is a boutique broker-dealer that has served issuers and sponsors and safeguarded
- [506(b) vs. 506(c): Which One Fits Your Fundraise?](https://tobinandco.com/506b-vs-506c-which-one-fits-your-fundraise/) - Choosing the right Rule 506 option under Regulation D of the Securities Act when raising private capital is often not simple. Rules 506(b) and Rule 506(c), the two most popular Reg D exemptions, have key differences. Your best choice depends on factors such as your targeted investor type, your desired marketing approach, and your determined
- [Liquidity Matters | Ep 6 - A Culture of Compliance<br/> with Zubair Quazi & Justine Tobin](https://tobinandco.com/liquidity-matters-ep-6-a-culture-of-compliance-w-zubair-quazi-justine-tobin/) - In the sixth episode of Liquidity Matters, Liquid Capital's own podcast, our host and CEO Zubair Quazi talks to Justine Tobin, the Founder and CEO of her namesake company Tobin & Company Securities LLC, and a well-known and highly regarded executive in the investment banking, securities, and compliance industries. With over 40 years of experience at companies like Goldman Sachs, Bank of America, and Salomon Brothers, among others, she has gained a deep understanding of securities and private asset marketplaces. Join them as they jump head first into a discussion about building a culture for your company/team to grow into, how it can help you grow, and why compliance is so critical in the world of markets, securities, and private assets!
- [A Resource for Advisors: <br/>Elevating Conversations About Selling a Business](https://tobinandco.com/a-resource-for-advisors-elevating-conversations-about-selling-a-business/) - Helping Clients Explore Business Sales with Foresight and ConfidenceThis month, I had the opportunity to present to a major commercial bank on a topic that has been central to my practice for decades: how to prepare clients mentally, emotionally, and operationally for exploring the sale of their business.While M&A expertise may not be expected of
- [Comment on FINRA Regulatory Notice 25-07: Modernizing FINRA Rules, Guidance, and Processes for the Organization and Operation of Member Workplaces](https://tobinandco.com/comment-on-finra-regulatory-notice-25-07-modernizing-finra-rules-guidance-and-processes-for-the-organization-and-operation-of-member-workplaces/) - >> View full comment letter on Finra.org Dear Ms. Mitchell, As the founder and a principal of one of the only 100% woman-owned broker-dealers in the United States, I appreciate the opportunity to comment on FINRA Regulatory Notice 25-07. Tobin & Company Securities LLC (“TOBIN”) is a boutique broker dealer that has served issuers and
- [Dealmaker's Conference Raises<br/> a Host of Interest in "Making Deals!"](https://tobinandco.com/dealmakers-conference-raises-a-host-of-interest-in-making-deals/) - From "When Should I Sell My Company?" to "How Do I Get Ready to Sell?" Recently I was invited to join a Dealmaker's Conference panel discussion with a team from Charlotte's Womble Bond Dickinson, LLP legal advisors about Sell-Side Mergers & Acquisitions. Our session turned up numerous questions from the 250+ attendees about investment banking,
- [One Way Marketplace Volatility Affects Us All](https://tobinandco.com/one-way-marketplace-volatility-affects-us-all/) - Retirement As Supply Chain Disruption? Three weeks ago, an attorney I've known for a while called me asking about our business valuation services. He said he'd recently attended a trade show scouting companies that might be interested in selling if the price were right. Interestingly, several of the CEOs and board members he approached showed
- [Turning COVID Challenges into Innovation](https://tobinandco.com/turning-covid-challenges-into-innovation/) - As businesspeople we inherently like to go places, meet people, create wealth and . . . be in control. But how do we deal with this new level of out-of-control? At Tobin & Company, we’re making adjustments that may be helpful to you. Cyber-Time With everyone working from home, Zoom has been our go-to meeting
- [Ever Hear Someone Say This?](https://tobinandco.com/ever-hear-someone-say-this/) - At Tobin & Company, business IS personal. That means your assignment is as important to us as it is to you. Consider our Registered Representatives Program. Registered reps must adhere to a maze of FINRA procedures and requirements. Reps hire Tobin & Company to be a Compliance Officer – to keep them out of trouble
- [Lull? Keep Biz Moving. Check Out www.tobinandco.com](https://tobinandco.com/lull-keep-biz-moving-check-out-www-tobinandco-com/) - Tobin & Company is a boutique investment banking firm located in Charlotte with years of Wall Street and independent experience. Click on our specialties – Software & Technology , Financial Services , Consumer , Healthcare , Business Services and Industrial Services – to see how we’ve helped board members, CEOs, attorneys and other professionals just like you. When the time is right, we’d like to show
- [Social Seclusion Sucks. Our New Website Doesn't. Check it out.](https://tobinandco.com/social-seclusion-sucks-our-new-website-doesnt-check-it-out/) - Or peruse our specialties Software & Technology , Financial Services , Consumer , Healthcare , Business Services and Industrial Services . No doubt our proof-of-performance case histories will also interest you. We are a boutique investment banking firm with years of Wall Street experience located in Charlotte. When the time is right, we’d like to show you what we can do for you, your board or
- [The Hidden Risks of Newer Boards—and Why Guardrails Matter](https://tobinandco.com/the-hidden-risks-of-newer-boards-and-why-guardrails-matter/) - Last month, I joined a panel at the Private Company Governance Summit in Washington, D.C., focused on a critical but often-overlooked issue: conflicts of interest on newer private company boards. The conversation, moderated by Bill Hayes and joined by Tom Sween and Jim McHugh, sparked a level of engagement that confirmed what I’ve long believed:
- [Comment on FINRA Regulatory Notice 25-04: Broad Review to Modernize Rules](https://tobinandco.com/comment-on-finra-regulatory-notice-25-04-broad-review-to-modernize-rules/) - >> View full comment letter on Finra.org Dear Ms. Mitchell, As the founder and principal of one of the only woman-owned broker-dealers in the United States, I welcome the opportunity to comment on FINRA Regulatory Notice 25-04. Tobin & Company Securities is a boutique broker dealer that has served issuers and sponsors and safeguarded investors
- [Top Five Trends in (Smaller) M&A](https://tobinandco.com/top-five-trends-in-smaller-ma/) - Or, stated another way….Private Equity is Hungry in 2025: What SMB Founders Need to KnowHow often have you seen a newsletter about the “TOP TRENDS IN M&A” and started reading with excitement, only to find that the author’s content is about large M&A deals and offers little value to founders and owners of smaller companies?
- [Comment on FINRA Regulatory Notice 25-05: Outside Business Activities and Private Securities Transactions](https://tobinandco.com/comment-on-finra-regulatory-notice-25-05-outside-business-activities-and-private-securities-transactions/) - >> View full comment letter on Finra.org Dear Ms. Mitchell, Thank you for the opportunity to comment on FINRA Regulatory Notice 25-05, which proposes a revised framework for Outside Business Activities (OBAs) and Private Securities Transactions (PSTs). I write on behalf of TOBIN, a boutique, woman-owned broker-dealer, to offer our direct perspective. While we appreciate
- [Chaperoning Broker-Dealer Engagements – <br/>How Do They Work?](https://tobinandco.com/chaperoning-broker-dealer-engagements-how-do-they-work/) - If you are a foreign broker dealer – that is, a broker-dealer NOT registered with the U.S. Securities & Exchange Commission (SEC) – you can still conduct securities business in the United States. Fortunately, you are not required to become a licensed U.S. broker dealer. Instead, you can partner with TOBIN and be “chaperoned” under
- [About Google’s IPO Auction Plans: We should all hope it works](https://tobinandco.com/about-googles-ipo-auction-plans-we-should-all-hope-it-works/) - CHARLOTTE - Earlier this week, Amalie Tuffin gave LTW’s readers the scoop on Google’s IPO auction plans. She explained, with the help of related SEC filings created by Google and its advisors, what an auction process is and the risks of such an auction. Importantly, Ms. Tuffin’s article focused on the risks and disadvantages of
- [In our defense - Why you need a Managing Broker-Dealer](https://tobinandco.com/in-our-defense-why-you-need-a-managing-broker-dealer/) - If you’re a Sponsor selling private placements, are you trying to figure out if you should engage a Managing Broker-Dealer (MBD)? Have you learned about the SEC’s Rule 3a4-1, but when you ask your attorneys what you should do to comply with US securities laws, they give you different answers? At TOBIN, we get it.
- [Common Pitfalls in M&A – and How to Avoid Them](https://tobinandco.com/common-pitfalls-in-ma-and-how-to-avoid-them/) - It’s an understatement to say that delving into a merger with, or the sale or purchase of, a company is a momentous business move. It makes sense that the M&A journey can be fraught with pitfalls. These are the hazards that I, with my decades of M&A experience, find to be quite common and that
- [Issuing Securities? Beware SEC Rule 3a4-1!](https://tobinandco.com/issuing-securities-beware-sec-rule-3a4-1-2/) - When issuing securities, navigating all SEC rules without risking regulatory intervention can be difficult and intimidating. Tobin & Company has been managing securities offerings for 20 years and our clients who issue securities tell us that SEC Rule 3a4-1 causes them the most concern because of its broad broker definition and its seemingly ambiguous legalistic
- [Mergers and Acquisitions: Key Steps and Strategies for Success](https://tobinandco.com/mergers-and-acquisitions-key-steps-and-strategies-for-success/) - Growth through M&A is never accidental. It’s the result of deliberate strategic alignment, exhaustive planning and experienced execution. At TOBIN, we understand that pursuing a merger or acquisition isn’t about volume or vanity—it’s about precision, insight and value creation.Understanding the Difference: Merger vs. AcquisitionA merger typically joins two companies of comparable size and capability to
- [Maximizing Value: Why TOBIN is the Right Investment Banker for Your Small-Company Business Sale](https://tobinandco.com/maximizing-value-why-tobin-is-the-right-investment-banker-for-your-small-company-business-sale/) - Embarking on the journey of selling your business is a monumental decision, one that necessitates an advisor who not only comprehends the intricacies of mergers and acquisitions (M&A) but also tailors its approach to the unique aspects of your company.For sellers with revenues of $25 million or less, who may be feeling a bit lost
- [Know the Difference—Choosing between 506(b) and 506(c)](https://tobinandco.com/know-the-difference-choosing-between-506b-and-506c/) - KNOW THE DIFFERENCE – EDUCATE YOURSELF! Your Reg D Private Placement Offering:Choosing between 506(b) and 506(c) for your Registration ExemptionLast month I wrote to you about your registration exemptions when you sell a Reg D private placement. Generally, the exemptions that we choose from are 506(b) or 506(c):506(b) – Old fashioned, been-around-forever private placement offering
- [Your Private Placement Offering: Choosing between 506(b) and 506(c) for your Registration Exemption](https://tobinandco.com/your-private-placement-offering-choosing-between-506b-and-506c-for-your-registration-exemption/) - (This newsletter is not intended to provide legal or investment advice and no legal or business decision should be based on its content. FYI.) I don’t get it. As an experienced Managing Broker-Dealer and financial professional, I just don’t get it. I don’t get why 506(b) private placements are more popular than 506(c) private placements.
- [A New Era for Private Capital Markets and the Path Forward](https://tobinandco.com/a-new-era-for-private-capital-markets-and-the-path-forward/) - With this month’s election results, the United States enters a new phase, one that will undoubtedly bring shifts in the regulatory and economic landscape. As we navigate these developments, TOBIN’s focus remains resolute in providing unparalleled client service, unwavering regulatory expertise, seamless advisory services and rock-solid operational support for our partners and clients. As a
- [Outsourcing Your Securities Compliance to a Broker-Dealer](https://tobinandco.com/outsourcing-your-securities-compliance-to-a-broker-dealer/) - Navigating the Reg D Securities Offering Gauntlet Tobin & Company has served as a Managing Broker-Dealer (MBD) for private placement offerings for more than twelve years, bringing a wealth of experience in regulatory compliance and distribution support to sponsors creating QOF, DST and other offerings for their investors. When you engage TOBIN as your Managing
- [Issuing Your Opportunity Zone Fund](https://tobinandco.com/issuing-your-opportunity-zone-fund/) - What are Opportunity Zones and Qualified Opportunity Funds? Opportunity Zones (OZs) are geographic areas identified by the U.S. federal government as target areas for economic development. They were designated by the Tax Cuts and Jobs Act of 2017, which offers tax incentives for investments in developing these areas to drive capital to them that would
- [Not a Good Time for a Cruise, Unless You're Cruising Our New Website!](https://tobinandco.com/not-a-good-time-for-a-cruise-unless-youre-cruising-our-new-website/) - Click on our specialties - Software & Technology , Financial Services , Consumer , Healthcare , Business Services and Industrial Services – to see our Tombstones and learn how we’ve helped board members, CEOs, attorneys . . . people just like you. We’re a boutique investment banking firm located in Charlotte with years of Wall Street and independent experience. When the time is right, we’d like
- [Compliance with Confidence](https://tobinandco.com/compliance-with-confidence/) - Ever wonder who helps a company or fund maintain integrity and credibility when selling private securities? The answer is a managing broker-dealer like Tobin & Company Securities LLC. When a company issues a security offering without the assistance of a licensed finder, TOBIN can help ensure regulatory compliance with the myriad of our country’s securities laws
- [Three Ways to Beat Pandemic Fatigue](https://tobinandco.com/three-ways-to-beat-pandemic-fatigue/) - We are ALL adapting, coping and rising to the challenges of our current chaotic work environment. After nine (NINE!!) months of this, we at TOBIN continue to innovate, adapt and solve new problems. We received enthusiastic feedback from our last round of helpful ideas for working in 2020, so we thought we’d continue by sharing
- [Celebrating TOBIN's 20th Anniversary](https://tobinandco.com/celebrating-tobins-20th-anniversary/) - Super Surprised! That’s how I felt last week when I looked at my calendar and realized that February 17, 2021 is the 20th Anniversary of Tobin & Company. When I think back on the 20 years TOBIN has been around, I must admit that while it has been challenging at times, I cherish each past
- [Charlotte's First Woman-Owned Investment Banking Group Marks 20 Years in Business](https://tobinandco.com/charlottes-first-woman-owned-investment-banking-group-marks-20-years/) - Charlotte, NC – February 17, 2021 – Twenty years ago, on February 17, 2001, seven months before 9/11, Justine Tobin started Tobin Advisors, a firm that has evolved into Tobin & Company Investment Banking Group, LLC in Charlotte. Today the firm serves a variety of clients with a broad array of investment banking services including mergers &
- [How Much is Your Business Worth Today?](https://tobinandco.com/how-much-is-your-business-worth-today/) - If you don’t know, it’s a good idea to find out. Because navigating business is like navigating geography you can’t get where you want to go if you don’t know where you are! The process for conducting a business valuation depends in large part on what kind of company is being valued. Companies that issue
- [Tobin & Company Investment Banking Group Welcomes New Associate](https://tobinandco.com/tobin-company-investment-banking-group-welcomes-new-associate/) - Charlotte, NC – August 18, 2021 – The most recent associate to join Tobin & Company Investment Banking Group, LLC will no doubt be a perfect fit for the 20-year-old Charlotte-based, female-owned investment banking and securities firm. A perfect fit because he has long had the name to go along with the firm. Jon Tobin, the elder
- [Tobin & Company Paves Way for Acquisition of Thermcraft, Inc.](https://tobinandco.com/tobin-company-paves-way-for-acquisition-of-thermcraft-inc/) - Charlotte, NC – Tobin & Company Investment Banking Group has announced that the firm served as the exclusive investment bank and financial advisor for Thermcraft, Incorporated, in its recent sale to Alloy Engineering. Thermcraft was referred to TOBIN by Wells Fargo. Thermcraft chose TOBIN because of its skill in conducting a deep initial valuation analysis, its
- [What To Do When Unexpected Events Prompt a Company Sale?](https://tobinandco.com/what-to-do-when-unexpected-events-prompt-a-company-sale/) - It May Seem Trite But No One Lives Forever It was a shock to the patient, the family, employees, and friends, when the business owner's oncologist delivered the leukemia diagnosis. The President and CEO of the 50-year-old, international manufacturer of thermal processing equipment, Thermcraft, Inc., had worked hard his whole life nurturing and growing the business
- [Acquisition Accelerates Growth . . . If You Can Find Eligible Candidates](https://tobinandco.com/acquisition-accelerates-growth-if-you-can-find-eligible-candidates/) - Most companies that seek growth through acquisition have a firm foundation from which to spring. In today's market however, finding eligible candidates to buy is hard demand is high, supply is low, eligible candidates are not cheap and competition is fierce. Most businesses are doing great regardless of how tenuous our economy and international forces
- [Buy Side Acquisition Advisory: Why You Need an Expert](https://tobinandco.com/buy-side-acquisition-advisory/) - Your success rate in acquiring a company depends on your expertise in handling valuations, negotiations, and analysis. The process takes time and challenges often occur. However, hiring a buy-side acquisition advisory expert will save you time and money. In addition, you will have access to different company acquisition methods that can be tailored to suit
- [Merger vs. Acquisition: 9 Critical Differences You Need to Understand for Business Growth](https://tobinandco.com/merger-vs-acquisition-9-critical-differences/) - Definition: What are Mergers and Acquisitions? A merger occurs when two companies combine forces to become one company. This usually happens when both companies believe they can do more jointly than separately. With a merger, both companies involved often maintain their autonomy and operate as separate divisions within the new company. On the other hand,
- [Check Out New Videos](https://tobinandco.com/check-out-new-videos/) - As we continue to expand the online presence of Tobin & Company Investment Banking Group and Tobin & Company Securities, I am delighted to inform you that we have updated our website, TobinandCo.com, with some new videos about our services. This past summer, we created six videos that speak generally about the firm and each
- [Selling Your Company? This Option May Reduce Your Capital Gains Taxes.](https://tobinandco.com/selling-your-company-this-option-may-reduce-your-capital-gains-taxes/) - Qualified Opportunity Zone Funds are Worth Investigating While Tobin & Company is not a tax advisor, nor do we profess to be, we do on occasion encounter strategies that our mergers and acquisitions clients might want to investigate with their tax advisors. Those who have owned their companies for years and decide to sell, often
- [The Only Constant in Life and Business: Change!](https://tobinandco.com/the-only-constant-in-life-and-business-change/) - One day last month I was reviewing our newsletter archive on the TOBIN website and this newsletter caught my attention - "Acquisition Accelerates Growth ... if You Can Find Eligible Candidates." It was published March 17th of this year. Back then, a mere nine short months ago, it was hard to find candidate companies to buy
- [What is a 409A Valuation?](https://tobinandco.com/what-is-a-409a-valuation/) - For a variety of reasons, business owners need to obtain a valuation of their company's shares from time to time. But this is especially the case if your company offers employee stock options. Since the early 2000's, after the Enron debacle, the IRS began requiring companies that offer stock options to conduct a 409A valuation
- [Being a Family Business](https://tobinandco.com/being-a-family-business/) - Gratitude is essential to success. I try to take time every week to recognize and acknowledge the things that I am grateful for. Present on my list of things for which I am grateful is my business, which has evolved to be a family business. While not everyone in my family is actively involved in
- [Raising Private Capital? Regulation D Offers Options](https://tobinandco.com/raising-private-capital-regulation-d-offers-options/) - Regulation D offers an avenue for securities issuers to raise funds without registering with state securities agencies or with the Securities and Exchange Commission (SEC). Registering with the SEC can be a time-consuming and costly process. Regulation D provides private companies with a cost-effective means of raising outside capital. Two Options Under Regulation D: Rule
- [TOBIN Expands Broker-Dealer Services Internationally](https://tobinandco.com/tobin-expands-broker-dealer-services-internationally/) - Tobin & Company Securities LLC has announced a new service-line representing broker-dealers from other countries around the world who want to raise capital for their issuer clients by selling securities in the United States. The move means foreign broker-dealers outside the U.S. can access U.S. investment capital and, in turn, institutional U.S. investors can access global
- [TOBIN Expands Broker-Dealer Services Internationally](https://tobinandco.com/tobin-securities-expands-broker-dealer-services-internationally/) - Tobin & Company Securities LLC has announced a new service-line representing broker-dealers from other countries around the world who want to raise capital for their issuer-clients by selling securities in the United States. The move means foreign broker-dealers outside the U.S. can access U.S. investment capital and, in turn, institutional U.S. investors can access global investment
- [New SEC Rules Signal Greater Transparency for $20 Trillion Industry](https://tobinandco.com/new-sec-rules-signal-greater-transparency-for-20-trillion-industry/) - The Securities and Exchange Commission (SEC) has approved new rules that will usher in sweeping changes for how private equity and hedge funds operate. One substantial rule change prohibits private fund managers from providing preferential treatment to Limited Partner (LP) investors involved in the funds. The new rules also require private funds to issue quarterly
- [A Heartfelt Message from a Former TOBIN Intern](https://tobinandco.com/a-heartfelt-message-from-a-former-tobin-intern/) - It is always a delight to receive emails from the young women and men who have been Tobin & Company Intern Analysts through the years. One such email arrived in my mailbox three weeks ago. The message was from a former analyst intern who is now a consultant at one of the “Big Four” consulting
- [Announcement of TOBIN’s New Updated Website](https://tobinandco.com/announcement-of-tobins-new-updated-website/) - Tobin & Company Launches New Website for 2024 Tobin & Company Investment Banking Group has launched a brand-new upgraded website for 2024. The new site deploys a variety of features including enhanced graphics and motion to make visits more enjoyable and efficient. It also includes a special focus on high-quality investment banking information, and resources
- [Unlocking US Private Capital Markets with TOBIN's Chaperoning Broker-Dealer Services](https://tobinandco.com/unlocking-us-private-capital-markets-with-tobins-chaperoning-broker-dealer-services/) - Expanding Opportunities for International Broker-Dealers At TOBIN, we understand the growing demand for international investment diversification. Institutional investors are constantly seeking new avenues for growth and higher returns, often looking beyond traditional markets. This presents a unique opportunity for international broker-dealers with qualified issuers seeking capital within the US private capital markets. However, navigating the
- [Tobin & Company: Navigating the 506(b) to 506(c) Exemption Switch for DST and Other Private Placement Offerings](https://tobinandco.com/tobin-company-navigating-the-506b-to-506c-exemption-switch-for-dst-and-other-private-placement-offerings/) - Maximizing Capital Formation in the Current Market At Tobin & Company, we understand the importance of navigating the ever-evolving regulatory landscape within the private placement offering space. When it comes to raising capital, Regulation D's 506 exemptions offer issuers flexibility. However, with DST and other private placement offerings experiencing extended timelines for full subscription, a
- [Why Private Company Directors Must Engage with AI](https://tobinandco.com/why-private-company-directors-must-engage-with-ai/) - As published in Private Company DirectorThe most transformative force shaping the business landscape today is AI. While AI’s reality and potential are widely discussed, I have found that its practical implications and applications are less well understood. It is supercritical that directors not only comprehend AI conceptually but also engage with it personally. To ignore
- [The Imperative of Exit Planning](https://tobinandco.com/the-imperative-of-exit-planning/) - Owners may not like talking about their exit, but by helping them do so, boards can ensure the long-term health of their businesses.
- [TOBIN is Embracing AI Now](https://tobinandco.com/tobin-is-embracing-ai-now/) - I am always looking for ways to improve the services and experience that TOBIN provides to our clients. When the revolutionary new technology of AI leaped onto the scene, I knew that it was crucial to join in and discover ways to implement AI within our firm. In this spirit, I recently found myself on

## Pages

- [Home](https://tobinandco.com/) - In a world rife with financial opportunity and volatility, Tobin & Company provides a comforting combination of knowledge, experience, confidence and proven results to help you make the right investment banking decisions for your specific objectives.
- [Mergers & Acquisitions](https://tobinandco.com/services/mergers-acquisitions/) - Mergers & Acquisitions Advancing Strategic & Financial Objectives Our M&A experience and expertise allows the owners and executives of small and middle-market companies to achieve their financial and business objectives from the sale of their company. Clients of Tobin & Company work directly with senior dealmakers with years of M&A experience. We are skilled at
- [Valuation & Strategic Advisory](https://tobinandco.com/services/valuation-strategic-advisory/) - Valuation & Strategic Advisory Financial Valuations and Fairness Opinions Boards of directors, business owners, professional advisors, clients and even competitors have lauded Tobin & Company for the Firm’s expertise in business valuations and fairness opinions. Our experience spans from working with privately held companies to public corporations. We help clients determine which valuation service best
- [Managing Broker-Dealer Operations](https://tobinandco.com/services/managing-broker-dealer-operations/) - Managing Broker-Dealer Operations Worry-Free Compliance Facilitates Offerings Tobin & Company Securities LLC offers exacting managing broker-dealer services for your private placement offerings. If your company is issuing securities without the assistance of a licensed finder, you may need the services of a Managing Broker-Dealer. A Managing Broker-Dealer helps you comply with all federal and state securities
- [Registered Representatives Program](https://tobinandco.com/services/registered-representatives-program/) - Registered Representatives Program Facilitating FINRA Compliance With Confidence Tobin & Company Securities LLC offers a securities licensing platform for individuals who provide M&A and private placement services and who execute securities transactions. We bring Wall Street expertise, native integrity, vast skill sets and inherent professionalism to our registered representatives who demand quality of service in order
- [Our People](https://tobinandco.com/our-people/) - Our People Make the Difference Our professional, experienced staff drives our exceptional performance and makes each Tobin & Company engagement unique. First we focus on understanding our client’s individual, and corporate, objectives while we work to develop innovative exit and financing strategies that maximize the valuation of their business. We provide the same level of
- [Investment Banking Analyst Program](https://tobinandco.com/investment-banking-analyst-program/) - TOBIN Investment Banking Analyst Program Our analyst program serves as a bridge into investment banking, providing the foundational skills needed to move up the career ladder. The vast majority of our analysts have transitioned to positions outside the Firm while participating in the program. With an eye toward your career progression, we expect each analyst
- [FAQ](https://tobinandco.com/frequently-asked-questions-managing-broker-dealers-in-private-placements/) - Frequently Asked Questions Managing Broker-Dealers in Private Placements Private placement offerings rely on trust, structure and clear communication. Sponsors need to present investment opportunities responsibly. Investors need enough information to evaluate those opportunities thoughtfully. Selling brokers need a supervised framework for engaging with prospective investors. The Managing Broker-Dealer sits at the center of that process.This
- [Tobin-at-a-Glance](https://tobinandco.com/tobin-at-a-glance/) - About Us Tobin & Company - Knowledgeable, Experienced, Proficient, Pro-Active and Professional. Capital Raised $ 1 B+ Number of alternative Asset Issuers 0 + Registered Reps Hosted 0 Analysts Trained Through Internship Program 0 Number of Strategic Advisory Clients 0 + Years in Business 0 5 Values of TOBIN Responsiveness Strong Ethics Humility Superior Client
- [Tobin Experience](https://tobinandco.com/tobin-experience/) - TOBIN Experience Tobin & Company’s 39 years of comprehensive investment banking experience is gleaned from our active engagement on Wall Street with Goldman Sachs, Salomon Brothers and Bank of America, and from our 24 years serving the financial middle-market in the United States from Charlotte, one of the leading financial capitals in the country. Private
- [Software & Technology](https://tobinandco.com/tobin-experience/software-technology/) - TOBIN Experience Software & Technology Tobin & Company’s 39 years of comprehensive investment banking experience is gleaned from our active engagement on Wall Street with Goldman Sachs, Salomon Brothers and Bank of America, and from our 24 years serving the financial middle-market in the United States from Charlotte, one of the leading financial capitals in
- [Real Estate](https://tobinandco.com/tobin-experience/real-estate/) - TOBIN Experience Real Estate Tobin & Company’s 39 years of comprehensive investment banking experience is gleaned from our active engagement on Wall Street with Goldman Sachs, Salomon Brothers and Bank of America, and from our 24 years serving the financial middle-market in the United States from Charlotte, one of the leading financial capitals in the
- [Industrial Services & Products](https://tobinandco.com/tobin-experience/industrial-services-products/) - TOBIN Experience Industrial Services & Products Tobin & Company’s 39 years of comprehensive investment banking experience is gleaned from our active engagement on Wall Street with Goldman Sachs, Salomon Brothers and Bank of America, and from our 24 years serving the financial middle-market in the United States from Charlotte, one of the leading financial capitals
- [Healthcare Services & Products](https://tobinandco.com/tobin-experience/healthcare-services-products/) - TOBIN Experience Healthcare Services & Products Tobin & Company’s 39 years of comprehensive investment banking experience is gleaned from our active engagement on Wall Street with Goldman Sachs, Salomon Brothers and Bank of America, and from our 24 years serving the financial middle-market in the United States from Charlotte, one of the leading financial capitals
- [Financial Services](https://tobinandco.com/tobin-experience/financial-services/) - TOBIN Experience Financial Services Tobin & Company’s 39 years of comprehensive investment banking experience is gleaned from our active engagement on Wall Street with Goldman Sachs, Salomon Brothers and Bank of America, and from our 24 years serving the financial middle-market in the United States from Charlotte, one of the leading financial capitals in the
- [Business Services](https://tobinandco.com/tobin-experience/business-services/) - TOBIN Experience Business Services Tobin & Company’s 39 years of comprehensive investment banking experience is gleaned from our active engagement on Wall Street with Goldman Sachs, Salomon Brothers and Bank of America, and from our 24 years serving the financial middle-market in the United States from Charlotte, one of the leading financial capitals in the
- [Valuation & Strategic Advisory](https://tobinandco.com/tobin-experience/valuation-strategic-advisory/) - TOBIN Experience Valuation & Strategic Advisory Tobin & Company’s 39 years of comprehensive investment banking experience is gleaned from our active engagement on Wall Street with Goldman Sachs, Salomon Brothers and Bank of America, and from our 24 years serving the financial middle-market in the United States from Charlotte, one of the leading financial capitals
- [Mergers & Acquisitions](https://tobinandco.com/tobin-experience/mergers-acquisitions/) - TOBIN Experience Mergers & Acquisitions Tobin & Company’s 39 years of comprehensive investment banking experience is gleaned from our active engagement on Wall Street with Goldman Sachs, Salomon Brothers and Bank of America, and from our 24 years serving the financial middle-market in the United States from Charlotte, one of the leading financial capitals in
- [Managing Broker-Dealer Operations](https://tobinandco.com/tobin-experience/managing-broker-dealer-operations/) - TOBIN Experience Managing Broker-Dealer Operations Tobin & Company’s 39 years of comprehensive investment banking experience is gleaned from our active engagement on Wall Street with Goldman Sachs, Salomon Brothers and Bank of America, and from our 24 years serving the financial middle-market in the United States from Charlotte, one of the leading financial capitals in
- [Consumer Services & Products](https://tobinandco.com/tobin-experience/consumer-services-products/) - TOBIN Experience Consumer Services & Products Tobin & Company’s 39 years of comprehensive investment banking experience is gleaned from our active engagement on Wall Street with Goldman Sachs, Salomon Brothers and Bank of America, and from our 24 years serving the financial middle-market in the United States from Charlotte, one of the leading financial capitals
- [formcrs](https://tobinandco.com/formcrs/) - Customer Relationship Summary (Form CRS) Download Form [pdf-embedder url="https://tobinandco.com/wp-content/uploads/2025/09/TOBIN-Form-CRS-September-24-2025-PUBLISHED.pdf"] Why contact Tobin & Company? Most websites deploy “contact us” and then companies are disappointed when no one does.Contact Tobin & Company and here’s what you get – we’ll listen. And we will giveyou our opinion about whether our services might be a good fit for
- [Publications](https://tobinandco.com/publications/) - Publications Reflections on a Board Journey: Justine Tobin Since being named a Director to Watch, I’ve become much more aware of the heightened interest of prospective directors in board roles, especially among my colleagues and peers navigating forced corporate exits and early retirement. There’s an unsated appetite for purpose and relevance among these professionals. Read
- [Contact Us](https://tobinandco.com/contact-us/) - Contact Us Name* First Last Email* Phone*Area of Interest*--Select--Managing Broker-Dealer OperationsRegistered Representatives ProgramMergers & AcquisitionsValuation & Strategic AdvisoryChaperoning Broker-DealerPrivate PlacementsGeneral InquiryCommentsSubscribe to Our Newsletter? Yes Δ Charlotte Office: 101 South Tryon Street, Suite 2700 Charlotte, NC 28280 New York City Office: 356 Wythe Avenue, Third FloorBrooklyn, NY 11249 Mailing Address: Post Office Box 30486 Charlotte,
- [Services for any challenge](https://tobinandco.com/services-for-any-challenge/) - Services for any Challenge Mergers & Acquisitions Valuation & Strategic Advisory Managing Broker-Dealer Operations Registered Representatives Program Chaperoning International Broker-Deaker Tobin & Company offers a broad array of investment banking services to meet every client need. Start Investing Our ValuesUnique in the InvestmentBanking Landscape TOBIN TutorialsEssential InvestmentBanking Information Investment Banking Analyst ProgramRecruits Launch Their Careers
- [Meet Jon Tobin](https://tobinandco.com/meet-jon-tobin/) - Meet Jon Tobin About me, Jon Tobin Jon is one of a three-member leadership team at Tobin & Company that also includes his mother, Founder/CEO Justine Tobin, and Operations Manager Judi House. As a vice president of the Firm, Jon leads client projects and orchestrates client due diligence in all areas, including mergers and acquisitions
- [How to get your Business ready to sell](https://tobinandco.com/how-to-get-your-business-ready-to-sell/) - TOBIN TUTORIAL How to get your business ready to sell Selling a business can be a long process that, without wise guidance, can often be fraught with pitfalls and frustration. It can be exceptionally difficult to sell a business, unless you have enough foresight to: identify and assign a group of trusted advisors, plan the
- [Privacy Policy](https://tobinandco.com/privacy-policy/) - Last updated: March 17, 2025 This Privacy Policy describes our policies and procedures on the collection, use, and disclosure of your information when you use our services and informs you about your privacy rights and how the law protects you. We use your personal data to provide and improve our services. By using our services,
- [Chaperoning International Broker-Dealers](https://tobinandco.com/services/chaperoning-international-broker-dealers/) - Chaperoning International Broker-Dealers With years of experience successfully supporting issuers and sponsors throughout the United States, it is a natural extension for Tobin & Company to expand its managing broker-dealer services internationally in the form of chaperoning broker dealer services. For those who wish to participate in the wealth, investors and superior capital markets of
- [Meet Justine Tobin](https://tobinandco.com/meet-justine-tobin/) - Meet Justine Tobin About me, Justine Tobin As the founder of TOBIN—one of the only woman-owned broker-dealers in the United States—I bring a bold and professional approach. My 40-year career in the securities industry has been defined by adaptability, innovation, and an unwavering commitment to client service. My leadership is rooted in collaboration and the
- [Attorneys](https://tobinandco.com/attorneys/) - Tobin & Company In a world rife with financial opportunity and volatility, Tobin & Company provides a comforting combination of knowledge, experience, confidence. Contact Us Our People About Us Tobin & Company Tobin & Company specializes is a variety of investment banking services that meet the needs of our growing clientele, adapting as changes in
- [Newsletters](https://tobinandco.com/newsletters/) - Newsletters June 18, 2026 Jon Tobin When Should You Sell Your Business? Read More May 21, 2026 Justine Tobin Contingency Offerings in Private Placements: A Practical Guide for Sponsors, Issuers and Selling Group Members Read More April 23, 2026 Justine Tobin The Role of the MBD: Bringing Investors Closer to the Investment Read More March
- [Real Estate](https://tobinandco.com/industries/real-estate/) - Real Estate Our focus in the real estate industry centers around our managing broker-dealer service offerings. We help our clients raise capital to fund their development and acquisition activities, whether for newly constructed multifamily complexes serving growing suburban communities or acquisition of office buildings to be transformed into multi-use residential and work centers that reduce
- [Financial Services](https://tobinandco.com/industries/financial-services/) - Financial Services Tobin & Company supports and services financial services companies who deploy unique products and services to meet unfilled needs in the marketplace. As the financial services industry rapidly evolves and changes, both new companies and mature clients alike seek out TOBIN to help them meet their strategic objectives.The financial services industry has become
- [Consumer Services and Products](https://tobinandco.com/industries/consumer-services-and-products/) - Consumer Services and Products Tobin & Company has a long history in serving the retail and consumer industry, through Justine Tobin’s experience in serving these industries at Goldman Sachs, Salomon Brothers and Bank of America. While many investment banks eschew clients serving the individual consumer, TOBIN relishes getting its hands dirty and sorting through the
- [Healthcare Services and Products](https://tobinandco.com/industries/healthcare-services-and-products/) - Healthcare Services and Products The healthcare industry has finally boarded the train of software and technology implementation which has led the Firm to recently take on a number of healthcare services and products companies as our clients. While we serve physician practices and medical device developers, we also serve technology companies who “have an app
- [Software & Technology](https://tobinandco.com/industries/software-technology/) - Software & Technology TOBIN started as a firm focused solely on the software and technology industries. While our practice and experience has diversified into other industries at the request of our clients, we still emphasize this exciting and dynamic space. The Firm tends to specialize in serving smaller software companies that have transitioned from client
- [Industrial Products and Services](https://tobinandco.com/industries/industrial-products-and-services/) - Industrial Products and Services Today, industrial products and services companies are honing their competitive positions and winning more customers by incorporating digital components to their operations. TOBIN serves its clients by deeply understanding these improvements in operations and performance.We maintain contacts in the buyer and investor community who are eager to gain access to industrial
- [Business Services](https://tobinandco.com/industries/business-services/) - Business Services Our initial specialization in software and technology has led us to also serve the business services industry. Business services companies now deploy a wide array of software and technology in providing services to their customers. Buyers and investors who may shy away from software companies often light up and eagerly express an interest
- [TOBIN Tutorials](https://tobinandco.com/tobin-tutorials/) - TOBIN Tutorials We believe the best way to select an investment banking partner is to understand the services provided, what those services entail and how you can be ready to work with an investment banker to get the maximum utility from those services. So, we have compiled a library of documents detailing the intricacies of
- [Private Placements](https://tobinandco.com/tobin-experience/private-placements/) - TOBIN Experience Private Placements Tobin & Company’s 39 years of comprehensive investment banking experience is gleaned from our active engagement on Wall Street with Goldman Sachs, Salomon Brothers and Bank of America, and from our 24 years serving the financial middle-market in the United States from Charlotte, one of the leading financial capitals in the
- [Services](https://tobinandco.com/services/) - Services Tobin & Company offers a broad array of investment banking services to meet every client need. Services for any Challenge Managing Broker-Dealer Operations Registered Representatives Program Mergers & Acquisitions Valuation & Strategic Advisory Chaperoning International Broker-Dealer Mergers & Acquisitions Our M&A experience and expertise allows the owners and executives of small and middle-market companies
- [TOBIN Investment Banking Analyst Program](https://tobinandco.com/tobin-investment-banking-analyst-program/) - TOBIN Investment Banking Analyst Program Our Investment Banking Analyst Program provides young professionals a platform on which to develop their skill sets and augment their education in the financial services industry to further their careers. Available to professionals with graduate or undergraduate degrees, or students currently in college, participants in the program receive invaluable insight
- [Case Study Registered Representative](https://tobinandco.com/case-study-registered-representative/) - Case Study: Registered Representative Investment Banking Experience, Blended with Compliance Skill, Strikes the Right Balance Situation Throughout a Registered Representative’s career, knowledge and experience evolves. Often along with it, their view of what makes an “ideal” compliance officer, also evolves. After a few years with a top tier financial institution, one Tobin & Company’s current
- [Issuing Securities? Beware SEC Rule 3a4-1!](https://tobinandco.com/issuing-securities-beware-sec-rule-3a4-1/) - Issuing Securities? Beware SEC Rule 3a4-1! When issuing securities, navigating all SEC rules without risking regulatory intervention can be difficult and intimidating. Tobin & Company has been managing securities offerings for 20 years and our clients who issue securities tell us that SEC Rule 3a4-1 causes them the most concern because of its broad broker
- [Four Reasons to Hire Woman-Owned Firms](https://tobinandco.com/four-reasons-to-hire-woman-owned-firms/) - Four Reasons to Hire Woman-Owned Firms 1) Less Ego, More Progress Women are not reluctant to address valid concerns, facing difficult issues head-on. They understand that listening skills and honest communications are the fastest path to equitable solutions. Ego can indicate strong will, which might serve some purposes well, but it takes more time and
- [Resources](https://tobinandco.com/resources/) - Resources TOBIN Tutorials Newsletters Investment Banking Analyst Program News Releases Publications Why contact Tobin & Company? Most websites deploy “contact us” and then companies are disappointed when no one does.Contact Tobin & Company and here’s what you get – we’ll listen. And we will giveyou our opinion about whether our services might be a good
- [News Releases](https://tobinandco.com/news-releases/) - News Releases June 23, 2026 Justine Tobin Comment on File No. S7-2026-15: Proposed Semi-Annual Reporting Read More March 19, 2026 Justine Tobin Comment on File No. SR-FINRA-2026-004 – Financial Projections and Targeted Returns Read More January 15, 2026 Justine Tobin Comment on FINRA Regulatory Notice 26-02: Rule Revisions to Help Member Firms Protect Senior Investors
- [Industries](https://tobinandco.com/industries/) - Industries Our expertise spans a broad range of products and services in a wide collection of business sectors from technology to healthcare, real estate, financial, consumer and industrial. Because Tobin & Company has a storehouse of knowledge from years of experience we’re able to immediately focus on specific client needs, without wasting time getting up
- [Due Diligence Download](https://tobinandco.com/due-diligence-download/) - Download Our In-Depth Guide on Due Diligence "(Required)" indicates required fields Name(Required) First Last Phone(Required)Email(Required) Justine Contact I want to be contacted by Justine Tobin How would you like to be contacted? Phone Email Both Comments Δ Why contact Tobin & Company? Most websites deploy “contact us” and then companies are disappointed when no one
- [9 Critical Differences You Need to Understand for Business Growth](https://tobinandco.com/9-critical-differences-you-need-to-understand-for-business-growth/) - Tobin Tutorial Merger vs. Acquisition: 9 Critical Differences you need to understand for business growth When it comes to growing your business, you may be wondering whether a merger or an acquisition is the right move. While both can be beneficial, there are crucial differences between them that you should consider before developing and executing
- [Investment Banking Tombstones](https://tobinandco.com/investment-banking-tombstones/) - Investment Banking Tombstones For over 20 years Tobin & Company has helped many businesses, in a variety of industry sectors, achieve their goals. Below are a number of our clients and transactions. Click each tombstone for details. Why contact Tobin & Company? Most websites deploy “contact us” and then companies are disappointed when no one
- [Disclosure](https://tobinandco.com/disclosure/) - Disclosure of Business Continuity Plan Tobin & Company has developed a business continuity plan on how we will respond to events which could significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in
- [Due Diligence Part 1](https://tobinandco.com/due-diligence-part-1/) - Due Diligence Part 1 Issuing and Codifying Securities Offerings It is not an over-exaggeration to say that securities offerings, in particular private placements, involve thousands of entries; (i.e., documents, verifications, certifications, background checks, commission payments, reports to regulators, etc.) The volume depends on the offering, the issuer and many other factors, but it is safe
- [Due Diligence Part 2](https://tobinandco.com/due-diligence-part-2/) - Due Diligence Part 2 After a Private Placement Offering Goes Live After a private placement offering is approved for selling, the role of the Managing Broker-Dealer becomes even more important, if not vital, to the success of the offering. An important responsibility of the Managing Broker-Dealer is to assure that all participants – issuers, investors and
- [Newsletter Archive](https://tobinandco.com/newsletter-archive/) - Newsletter Archive Social Seclusion Sucks. Our New Website Doesn’t. Check it out. April 2020 | Newsletter Tobin & Co. Investment Banking Group LLC – Investment Banking Guide – 2019 October 2019 | Presentation | 20 Pages Tobin & Co. Investment Banking Group LLC – Street Wise Newsletter – Summer 2019 Summer 2019 | Monthly Review | 1
- [Thank you!](https://tobinandco.com/thank-you/) - Thank you! Thanks for contacting us! Our team will be in touch shortly. Post Office Box 30486 Charlotte, NC 28230 p. 704-334-2772 e. tobin@tobinandco.com Facebook-f Linkedin Why contact Tobin & Company? Most websites deploy “contact us” and then companies are disappointed when no one does.Contact Tobin & Company and here’s what you get – we’ll listen.
- [Breaking into Investment Banking](https://tobinandco.com/breaking-into-investment-banking/) - Breaking into Investment Banking Download Form [pdf-embedder url="http://tobinandco.com/wp-content/uploads/2023/11/Breaking-into-Investment-Banking-Guide-Recruiting-Resource.pdf"] Why contact Tobin & Company? Most websites deploy “contact us” and then companies are disappointed when no one does.Contact Tobin & Company and here’s what you get – we’ll listen. And we will giveyou our opinion about whether our services might be a good fit for your

## Tiles

- [Grubb Southeast Value-Add Apartment Fund, LLC](https://tobinandco.com/tile/grubb-southeast-value-add-apartment-fund-llc/) - Tobin & Company Securities LLC (TOBIN) served as the exclusive Managing Broker-Dealer for Grubb Southeast Value-Add Apartment Fund, LLC, a $30,000,000 private placement offering sponsored by Charlotte-based Grubb Properties. The offering represented another important milestone in the longstanding relationship between TOBIN and Grubb Properties, a relationship built upon securities regulatory guidance, disciplined due diligence, strong
- [Physicians Choice Laboratory Services, LLC](https://tobinandco.com/tile/physicians-choice-laboratory-services-llc/) - Tobin & Company Investment Banking Group LLC served as financial advisor and valuation consultant to Physicians Choice Laboratory Services, LLC (PCLS), a rapidly growing toxicology and diagnostic laboratory company navigating a period of substantial industry disruption, operational distress and strategic transition. The engagement involved a series of complex valuation assignments, strategic advisory discussions and fairness
- [Grubb Southeast Real Estate Fund V, LLC](https://tobinandco.com/tile/grubb-southeast-real-estate-fund-v-llc/) - TOBIN served as the exclusive Managing Broker-Dealer for Grubb Southeast Real Estate Fund V, LLC, a private real estate fund focused on acquiring, improving, and operating a diversified portfolio of assets across the Southeastern United States. Fund Strategy and Investment Profile Grubb designed Fund V as a disciplined real estate private equity vehicle, targeting a
- [FCP Glen Lennox, LLC](https://tobinandco.com/tile/fcp-glen-lennox-llc/) - TOBIN served as the Managing Broker-Dealer (MBD) in connection with a private placement supporting a joint venture investment in the redevelopment of Glen Lennox, a large-scale, multi-phase residential and mixed-use community in Chapel Hill, North Carolina. The transaction was structured as a joint venture alongside an institutional capital partner, with proceeds deployed toward the continued
- [Canyon FundCo QOZ, LLC](https://tobinandco.com/tile/canyon-fundco-qoz-llc/)
- [Pickleball at Riverwalk FundCo, LLC](https://tobinandco.com/tile/pickleball-at-riverwalk-fund-llc-2/) - Pickleball at Riverwalk FundCo, LLC provides a direct investment structure for qualified investors seeking project-level participation in the Pickleball at Riverwalk development outside of the PPM-based fund offerings. This structure complements the Pickleball at Riverwalk Opportunity Zone Fund, LLC and Pickleball at Riverwalk Fund, LLC offerings, demonstrating flexibility in accommodating investor preferences while maintaining consistent
- [Pickleball at Riverwalk Opportunity Zone Fund, LLC](https://tobinandco.com/tile/pickleball-at-riverwalk-opportunity-zone-fund-llc/) - TOBIN serves as the Managing Broker-Dealer for the ongoing private placement of equity interests in Pickleball at Riverwalk Opportunity Zone Fund, LLC, a Caliber-sponsored real estate offering formed to develop a premier indoor pickleball facility within the Riverwalk master-planned development in Scottsdale, Arizona. The project contemplates the development of an approximately ±186,423 square foot, fully
- [Pickleball at Riverwalk Fund, LLC](https://tobinandco.com/tile/pickleball-at-riverwalk-fund-llc/) - TOBIN serves as the Managing Broker-Dealer for the private placement of equity interests in Pickleball at Riverwalk Fund, LLC, a Caliber-sponsored real estate offering providing non-Opportunity Zone access to the Pickleball at Riverwalk development in Scottsdale, Arizona. The offering provides exposure to the same underlying project, development plan, and operating strategy as the Opportunity Zone
- [SP 10 Preferred Equity, LLC](https://tobinandco.com/tile/sp-10-preferred-equity-llc/) - TOBIN served as Managing Broker-Dealer for the private placement of preferred equity interests in SP 10 Preferred Equity, LLC, a Caliber-sponsored real estate offering formed to support a multifaceted residential development and adaptive reuse project in Phoenix, Arizona. The offering contemplated investment in a planned multi-family residential community combined with the adaptive reuse of an
- [Caliber Core+ Growth](https://tobinandco.com/tile/caliber-core-growth/) - Overview Caliber Core+ Growth & Income Fund, LLC is a diversified, evergreen real estate investment vehicle designed to balance current income with long-term capital appreciation. The Fund invests across a broad mix of stabilized and lightly value-enhanced real estate assets, REIT interests, and real estate-related securities, with exposure to multifamily, industrial, retail, and commercial properties.
- [Caliber Hospitality Trust, Inc.](https://tobinandco.com/tile/caliber-hospitality-trust-inc/) - Caliber Hospitality Trust, Inc. (“CHT”) is a diversified, externally advised hospitality platform formed by CaliberCos Inc. to pursue opportunistic acquisitions of middle-market hotel assets across the United States. The strategy targets full-service, select-service, extended-stay, and lifestyle hotels in attractive geographic markets, emphasizing portfolio diversification across brands, segments, and regions. At the initiation of the offering,
- [Caliber Opportunistic Growth Fund, LLC](https://tobinandco.com/tile/caliber-opportunistic-growth-fund-llc/) - Caliber Opportunistic Growth Fund, LLC (the “Fund”) is a diversified private real estate investment vehicle pursuing a growth-oriented, opportunistic strategy across development, adaptive reuse, value-add, and distressed real estate investments. Leveraging Caliber’s experience managing prior multi-asset platforms, the Fund was structured to invest across multiple property types—including multifamily, commercial, medical, hospitality, and mixed-use assets—primarily throughout
- [CaliberCos Inc. - Series AA Cumulative Redeemable Preferred Stock](https://tobinandco.com/tile/calibercos-inc-series-aa-cumulative-redeemable-preferred-stock/) - Caliber Series AA Cumulative Redeemable Preferred Stock is a public, SEC-qualified Regulation A+ offering issued by CaliberCos Inc. and designed to provide investors with access to a fixed-income-oriented security backed by Caliber’s operating platform. The offering was structured as a non-traded preferred equity security, eligible for investment by both accredited and non-accredited investors, and distributed
- [Boardwalk MezzCo, LLC](https://tobinandco.com/tile/boardwalk-mezzco-llc/) - TOBIN served as Managing Broker-Dealer for the private placement of unsecured promissory notes in Boardwalk MezzCo, LLC, a Caliber-sponsored real estate offering formed to support the development of an attainable housing community in Casa Grande, Arizona. The offering contemplated mezzanine financing for a large-scale, master-planned residential development focused on innovative construction methods and community-centered design.
- [Avistone Tulsa, LLC](https://tobinandco.com/tile/avistone-tulsa-llc/) - TOBIN served as Managing Broker-Dealer for the private placement of limited liability company interests in Avistone Tulsa, LLC, a value-add industrial real estate equity offering sponsored by Avistone. The offering was intentionally modest in size, reflecting a focused, asset-specific strategy centered on hands-on execution rather than scale. TOBIN welcomes engagements of this nature and values
- [Rifle Storage FundCo, LLC](https://tobinandco.com/tile/rifle-storage-fundco-llc/) - TOBIN served as Managing Broker-Dealer for the private placement of tenant-in-common interests in Right Move Storage – Rifle, a Caliber-sponsored real estate offering involving a TIC structure and direct ownership interests in income-producing commercial real estate. The engagement required an experienced Managing Broker Dealer capable of supervising a tenant-in-common offering where investors acquire undivided fractional
- [Seertech Corporation](https://tobinandco.com/tile/seertech-corporation/)
- [Montclair Financial Technology, Inc.](https://tobinandco.com/tile/montclair-financial-technology-inc/)
- [Nutech Solutions, Inc.](https://tobinandco.com/tile/nutech-solutions-inc/)
- [R.W. Wiesener, Inc.](https://tobinandco.com/tile/r-w-wiesener-inc/)
- [Ambassador, Inc.](https://tobinandco.com/tile/ambassador-inc/)
- [AYM Technologies, LLC](https://tobinandco.com/tile/aym-technologies-llc/)
- [Artisan Apartments, LLC](https://tobinandco.com/tile/artisan-apartments-llc/) - Tobin & Company Securities LLC (“TOBIN”) served as Managing Broker-Dealer for Artisan Apartments, LLC, a $24 million 506(c) private placement sponsored by Roberts Properties. This offering marked the sixth successful capital raise TOBIN has managed for Roberts, underscoring a trusted and proven partnership built on regulatory rigor, precise execution, and unparalleled client service. The offering
- [Commons FundCo, LLC](https://tobinandco.com/tile/commons-fundco-llc/) - TOBIN served as Managing Broker-Dealer for the private placement of equity interests in Commons FundCo, LLC, an offering sponsored by Caliber to finance the ground-up development of a workforce multifamily community in Mesa, Arizona. The engagement required an experienced Managing Broker Dealer capable of supervising a construction-stage real estate offering with layered risk, multiple equity
- [Caliber Pima Center Fundco, LLC](https://tobinandco.com/tile/caliber-pima-center-fundco-llc/) - TOBIN served as Managing Broker-Dealer for the private placement of equity interests in Pima Center FundCo, LLC, a Caliber-sponsored commercial real estate equity offering involving ground-up development, Opportunity Zone considerations and a single-tenant net lease structure. The engagement required an experienced Managing Broker Dealer capable of supervising a development-stage offering through construction, lease commencement and
- [Grubb Southeast Real Estate Fund VI, LLC](https://tobinandco.com/tile/grubb-southeast-real-estate-fund-vi-llc/) - TOBIN served as Managing Broker-Dealer for the private placement of interests in Grubb Southeast Real Estate Fund VI, LLC, a multi-year discretionary private equity real estate fund sponsored by Grubb Properties. The fund was structured to invest in moderate-priced multifamily housing and value-oriented office assets across select high-growth markets in the Southeastern United States, with
- [Riverwalk Developments FundCos 1, 2, 3, 4, and 5](https://tobinandco.com/tile/riverwalk-developments-fundcos-1-2-3-4-and-5/) - TOBIN served as Managing Broker-Dealer for the private placement of equity interests in Riverwalk Developments FundCos, a Caliber-sponsored equity offering structured through multiple FundCos and HoldCos to acquire ground lease interests across the Riverwalk master-planned development in Scottsdale, Arizona. In its role as Managing Broker Dealer, TOBIN acted as the supervising Broker-Dealer responsible for regulated
- [Riverwalk Land MezzCo, LLC](https://tobinandco.com/tile/riverwalk-land-mezzco-llc/) - TOBIN served as Managing Broker-Dealer for the private placement of unsecured promissory notes issued by Riverwalk Land MezzCo, LLC, an offering structured to finance the acquisition of leasehold interests within the Riverwalk master-planned development in Scottsdale, Arizona. The offering related to two parcels of land totaling approximately ±19.233 acres, each subject to a ground lease
- [Encore on the Green, LLC](https://tobinandco.com/tile/encore-on-the-green-llc/) - Tobin & Company Securities LLC (TOBIN), led by Justine Tobin, has proudly served as the Managing Broker-Dealer (MBD) for the fifth consecutive offering with Roberts Properties, showcasing a longstanding and successful partnership. This collaboration, marked by exemplary service, responsiveness, and meticulous attention to detail, culminated in the latest project, Encore on the Green, LLC. This
- [Canyon FundCo, LLC](https://tobinandco.com/tile/canyon-fundco-llc/)
- [Medical Investments Solutions LLLP](https://tobinandco.com/tile/medical-investments-solutions-lllp/)
- [Caliber Tax Advantaged Opportunity Zone Fund II, LLC](https://tobinandco.com/tile/caliber-tax-advantaged-opportunity-zone-fund-ii-llc/) - In the realm of sophisticated investment opportunities, Tobin & Company Securities, LLC (TOBIN) assumed a pivotal role as a Selling Group Member in the offering of Caliber Tax Advantaged Opportunity Zone Fund II, LLC. This distinctive position tasked us with the stewardship of retail investors—individuals, each with unique financial landscapes and aspirations, distinct from institutional
- [Glen Lennox, LLC](https://tobinandco.com/tile/glen-lennox-llc-2/) - Tobin & Company Securities LLC served as the managing broker-dealer for Glen Lennox, LLC ensuring compliance with securities laws and industry requirements, while providing a regulatory safe harbor through the capital raising process. Glen Lennox, LLC is managed by Grubb Properties, Inc. Tobin & Company Securities LLC acted as the managing broker-dealer in the company’s offering which the company used
- [Glen Lennox, LLC](https://tobinandco.com/tile/glen-lennox-llc/) - Tobin & Company Securities LLC served as the managing broker-dealer for Glen Lennox, LLC ensuring compliance with securities laws and industry requirements, while providing a regulatory safe harbor through the capital raising process. Glen Lennox, LLC is managed by Grubb Properties, Inc. Tobin & Company Securities LLC acted as the managing broker-dealer in the company’s offering which the company used
- [Grubb Fitzsimons Side-Car QOF, LLC](https://tobinandco.com/tile/grubb-fitzsimons-side-car-qof-llc-2/)
- [Glen Lennox Phase One, LLC](https://tobinandco.com/tile/glen-lennox-phase-one-llc/)
- [VeriTest, A Business of Lionbridge](https://tobinandco.com/tile/veritest-a-business-of-lionbridge/) - Tobin & Company Investment Banking Group (TOBIN) served as the exclusive buy-side M&A advisor to VeriTest, a business of Lionbridge Technologies. Lionbridge Technologies provides multilingual Internet services and testing services to leading global technology companies. Its VeriTest laboratories located in Los Angeles, Tokyo, Paris, and Ballina, Ireland, perform compatibility, functionality, and localization testing for software,
- [Grubb Real Estate Fund VII, LLC](https://tobinandco.com/tile/grubb-real-estate-fund-vii-llc/) - Tobin & Company Securities LLC (TOBIN) has served as the exclusive Managing Broker-Dealer for Grubb Properties since 2012. This longstanding partnership has been marked by a series of successful offerings, including the significant Grubb Real Estate Fund VII, LLC, which targeted a substantial $400,000,000 in capital commitments. Overview of Grubb Real Estate Fund VII, LLC
- [Caliber Fixed Income Fund III LP](https://tobinandco.com/tile/caliber-fixed-income-fund-iii-lp/) - Tobin & Company Securities LLC (TOBIN), one of the few woman-owned broker-dealers in the United States, assumed the role of Managing Broker-Dealer for Caliber Fixed Income Fund III LP, showcasing its reputation in excellent client service and its commitment to aiding sponsors with rigorous securities regulation in the United States. Overview of Caliber Fixed Income
- [Caliber Diversified Opportunity Fund II LP](https://tobinandco.com/tile/caliber-diversified-opportunity-fund-ii-lp/) - Tobin & Company Securities LLC (TOBIN), one of the only woman-owned broker-dealers in the United States, assumed the role of Managing Broker-Dealer for Caliber Fixed Income Fund III LP, reflecting its unparalleled client service and robust regulatory framework. Overview of Caliber Diversified Opportunity Fund II LP Launched by Caliber, a leader in alternative asset management,
- [United Mortgage & Loan Investment Corporation](https://tobinandco.com/tile/united-mortgage-loan-investment-corporation/) - TOBIN delivered a Fairness Opinion for the benefit of the Employee Stock Ownership Plan in a highly complex transfer of subsidiaries and various forms of consideration within this financial services company, United Mortgage & Loan Investment Company. Tobin & Company conducted an extensive technical valuation analysis of the underlying subsidiaries value and the related forms
- [Airimba Wireless, Inc](https://tobinandco.com/tile/airimba-wireless-inc/) - TOBIN acted as the strategic merger and acquisition advisor to Airimba, the venture-backed systems integrator and service provider based in Atlanta. Our client provides wireless mesh infrastructure solutions to municipalities and comprehensive converged communications services to multi-unit developments. Harbert Management Corporation was the majority investor in the selling entity. Tobin & Company contacted more than
- [Design Public](https://tobinandco.com/tile/design-public/) - TOBIN served as the exclusive merger and acquisition advisor to S2D2, LLC, doing business as Design Public, in its search for an acquirer. Design Public is a modern design and home furnishings consumer ecommerce site based in New York City. Tobin & Company represented Design Public in its search for an acquirer. The founders grew
- [Kewaunee Scientific Corporation](https://tobinandco.com/tile/kewaunee-scientific-corporation/) - Tobin & Company Investment Banking Group LLC acted as financial advisor to Kewaunee Scientific Corporation at the referral of Bank of America Merrill Lynch. Tobin & Company developed an assessment and report of the fair market value of the stake not owned by the parent company in order to create a basis for negotiating the
- [Boyd & Royster Funeral Services Inc.](https://tobinandco.com/tile/boyd-royster-funeral-services-inc/) - Tobin served as the advisor to Boyd & Royster Funeral Services’ majority stakeholder in their potential purchase of the remaining equity held. Tobin & Company developed an assessment and report of the fair market value of the stake not owned by the majority stake holder in order to create a basis for the negotiation. Our
- [Southridge Mezzco, LLC](https://tobinandco.com/tile/southridge-mezzco-llc/) - Tobin & Company Securities LLC (TOBIN), a distinguished woman-owned broker-dealer, once again showcased its expert managing broker-dealer capabilities in overseeing the Southridge MezzCo, LLC offering. Partnering with its client, CaliberCos Inc, a NASDAQ-listed entity under ticker CWD, TOBIN successfully supported a $4,810,000 best-efforts raise, with a meticulously monitored contingency minimum of $2,935,000, demonstrating an exceptional
- [Park Charlotte, LLC](https://tobinandco.com/tile/park-charlotte-llc/) - Tobin & Company Securities LLC (TOBIN), a distinguished woman-owned broker-dealer, showcased its expert managing broker-dealer capabilities in overseeing the Park Charlotte, LLC offering. This private equity offering, totaling $1,375,000, marked the commencement of what has become a fruitful and ongoing collaboration with Grubb Properties. This partnership has since spearheaded numerous other ambitious real estate developments,
- [Grubb Unit Offering](https://tobinandco.com/tile/grubb-unit-offering/) - Tobin & Company Securities LLC (TOBIN), a distinguished woman-owned broker-dealer, played a pivotal role as the Managing Broker-Dealer in the Grubb Unit Offering, an early and strategic private funding initiative by Grubb Properties. This offering successfully raised $1,450,120, marking one of the initial steps in Grubb Properties' expansive journey into the private capital markets. This
- [Live Venue Recovery Fund, LLC](https://tobinandco.com/tile/live-venue-recovery-fund-llc/) - Tobin & Company Securities LLC (TOBIN), often lovingly referred to as "Tobin and Co," served as the Managing Broker-Dealer for the innovative Live Venue Recovery Fund, LLC, an initiative launched by Grubb Properties. This fund was established as a response to the severe impacts of the COVID-19 pandemic on the live music industry, particularly independent
- [Encore MezzCo, LLC](https://tobinandco.com/tile/encore-mezzco-llc/) - Tobin & Company Securities LLC (TOBIN), under the leadership of Justine Tobin, has once again demonstrated its proficiency in managing complex financial undertakings as the Managing Broker-Dealer for Encore MezzCo, LLC. This partnership marked the initiation of a prestigious collaboration with CaliberCos Inc, a NASDAQ-listed entity recognized under the ticker CWD. The initial tranche of
- [Tauxbe Data](https://tobinandco.com/tile/tauxbe-data/) - Situation Tauxbe Data is a leading provider of software and data processing services for enterprise business applications with an expertise in data mining, ETL data pipelines, artificial intelligence and machine learning. Looking to streamline operations, Tauxbe began looking for solutions and settled on divesting a joint venture business – a criminal database software and a
- [Tapestry Park Apartments, LLC](https://tobinandco.com/tile/tapestry-park-apartments-llc/) - Tobin & Company Securities LLC (TOBIN) served as the Managing Broker-Dealer for the Tapestry Park Apartments, LLC offering, a strategic initiative by Roberts Properties to develop a $10,725,000 upscale residential community in Garden City, Georgia. The success of this offering, which was oversubscribed, reflects the strong investor confidence and the appeal of the burgeoning community
- [Brookside Heights Apartments, LLC](https://tobinandco.com/tile/brookside-heights-apartments-llc/) - Tobin & Company Securities LLC (TOBIN) once again served as the Managing Broker-Dealer (MBD) for a successful offering by Roberts Properties, LLC, this time for the Brookside Heights Apartments, LLC. The offering, aimed at raising $10,000,000, was a testament to the robustness of Roberts Properties’ investor relationships, as it not only reached its target but
- [SouthPointe Mezzco, LLC](https://tobinandco.com/tile/southpointe-mezzco-llc/) - Tobin & Company Securities LLC (TOBIN), a distinguished woman-owned broker-dealer, has once again collaborated with CaliberCos Inc, a NASDAQ-listed entity (CWD), as the Managing Broker-Dealer (MBD) for the SouthPointe MezzCo, LLC offering. This partnership underscores TOBIN's ongoing commitment to facilitating complex financial undertakings with precision and regulatory acumen, particularly in managing $5,600,000 worth of Unsecured
- [Link Apartments 8 Carlisle](https://tobinandco.com/tile/link-apartments-8-carlisle/) - Tobin & Company Securities LLC (TOBIN), as the Managing Broker-Dealer, has proudly partnered with Grubb Properties to facilitate the offering for Link Apartments 8 Carlisle Side-Car LLC, targeting $50 million in commitments from accredited investors. This endeavor is particularly noteworthy as it represents TOBIN's longstanding relationship with Grubb Properties, a partnership that dates back to
- [Encore MezzCo, LLC (Second Tranche)](https://tobinandco.com/tile/encore-mezzco-llc-second-tranche/) - Tobin & Company Securities LLC (TOBIN), in its esteemed role as the Managing Broker-Dealer, proudly oversees the ongoing offering of Encore MezzCo, LLC, aimed at raising $15,000,000. This significant endeavor represents the second tranche of securities issued by the firm, featuring Unsecured Convertible Promissory Notes set to mature on December 21, 2024. The proceeds from
- [Decision Support](https://tobinandco.com/tile/decision-support/) - Tobin & Company Investment Banking Group LLC acted as the exclusive financial advisor to Decision Support LLC in its objective to sell its subsidiary, Secure Elections Management. Decision Support LLC provides data management, process management, and reporting software products for its customers in the elections, ad-hoc reporting, and data integration markets. Its subsidiary, Secure Elections Management, provides the
- [Bradley Park Apartments, LLC](https://tobinandco.com/tile/bradley-park-apartments-llc/) - Tobin & Company Securities LLC (TOBIN) proudly served as the Managing Broker-Dealer (MBD) for Bradley Park Apartments, LLC, marking the initiation of a fruitful and ongoing partnership with Atlanta-based Roberts Properties. This collaboration began with TOBIN successfully navigating an extensive Request for Proposal (RFP) process, demonstrating its comprehensive capabilities and expertise in managing complex financial
- [Grubb Qualified Opportunity Fund, LLC](https://tobinandco.com/tile/grubb-qualified-opportunity-fund-llc-3/) - Tobin & Company Securities LLC (TOBIN) continued its role as the Managing Broker-Dealer in Grubb Properties' ongoing initiative within Opportunity Zones through the 2021 Grubb Qualified Opportunity Fund, LLC. This strategic fund aimed to raise significant capital, successfully gathering $152 million, of which TOBIN facilitated $142 million, aligning with its expertise in managing and overseeing
- [Grubb Qualified Opportunity Fund, LLC](https://tobinandco.com/tile/grubb-qualified-opportunity-fund-llc-2/) - For the 2020 Grubb Qualified Opportunity Fund, LLC, Tobin & Company Securities LLC (TOBIN) played a pivotal role as the exclusive managing broker-dealer, a testament to its longstanding partnership with Grubb Properties. This collaboration leveraged TOBIN's extensive experience and expertise in managing substantial and complex offerings to ensure stringent compliance with securities laws and regulatory
- [BreakFront, Inc.](https://tobinandco.com/tile/breakfront-inc/) - Tobin & Company Investment Banking Group LLC acted as a sell side advisor to BreakFront which was acquired by an undisclosed buyer. BreakFront provides marketing and software services to cabinet dealers and remodelers throughout North America. We assisted our client in the negotiations among the prospective buyers and successfully closed the transaction. SITUATION Few CEO’s
- [Exervio, Inc.](https://tobinandco.com/tile/exervio-inc/) - Tobin & Company Investment Banking Group LLC acted as the exclusive financial advisor to the founder and president of Exervio Consulting Management. TOBIN advised its client in the sale of his ownership stake to the senior management team. Exervio is a management consulting firm that provides process improvement, business and operations analysis, and information technology
- [Thermcraft Incorporated](https://tobinandco.com/tile/thermcraft-incorporated/) - It was a shock to the patient, the family, employees, and friends, when the business owner’s oncologist confirmed the leukemia diagnosis. He only had months to live. The President and CEO of 50-year-old, international manufacturer of thermal processing equipment, Thermcraft, Inc., had worked hard his whole life nurturing and growing the business started by his
- [Relativity Technologies, Inc.](https://tobinandco.com/tile/relativity-technologies-inc/) - Tobin & Company Investment Banking Group LLC acted as strategic advisor to Relativity Technologies, Inc. Tobin & Company provided a fairness opinion for a change in control transaction. Relativity Technologies, Inc. offers enterprise application modernization and application portfolio management software. It offers Modernization Workbench, which creates business intelligence for application portfolios; Analyzer Express that offers eclipse-based business intelligence
- [Quaero Corporation](https://tobinandco.com/tile/quaero-corporation/) - Tobin & Company Investment Banking Group LLC issued a review letter evaluating Quaero Corporation’s historical valuation analyses of common stock to assess the reasonableness and appropriateness of such analyses in light of IRS Code Section 409A for a pending change of control transaction. Quaero Corporation is an interactive media and entertainment company providing various marketing and
- [Acquisition of Princeton Softech, Inc.](https://tobinandco.com/tile/acquisition-of-princeton-softech-inc/) - Tobin & Company Investment Banking Group LLC acted as financial advisor to Princeton Softech, Inc. Princeton Softech was acquired by Aionex, a healthcare solutions company. Princeton Softech, Inc. provided enterprise data archiving and test data management software. The company offers Princeton Data Ace, a data management tool that accelerates testing, as well as Version Merger, an intelligent version
- [Paragon 28, Inc.](https://tobinandco.com/tile/paragon-28-inc/) - Tobin & Company Investment Banking Group LLC has performed several valuations for Paragon 28, Inc. in order to provide continual bases for equity capital raises and equity investments. The Firm has also performed a valuation of the client’s stock options. Paragon 28 strives to provide value-driven surgical solutions by specializing in the design and manufacture
- [Nexus Consulting Group LLC](https://tobinandco.com/tile/nexus-consulting-group-llc/) - Tobin & Company Investment Banking Group LLC acted as strategic merger and acquisition advisor to Nexus Consulting Group LLC. Nexus is a unique information technology services Firm based in Chicago that provides business intelligence solutions to companies throughout the Midwest and in the Carolinas. The company sold to Project Leadership Associates, Inc. (“PLA”), a leading provider of technology
- [MobileSmith Health](https://tobinandco.com/tile/mobilesmith-health/) - Tobin & Company Investment Banking Group LLC assisted the client through a significant strategic review, helping the company to build an offering document that encompassed a business plan and a “whole company” financial model. The Firm worked closely with the CEO and CFO of the client, helping to establish strategies for growth and success. MobileSmith
- [Instantel, Inc.](https://tobinandco.com/tile/instantel-inc/) - Tobin & Company Investment Banking Group LLC acted as strategic merger and acquisition advisor to Instantel, Inc. The company was sold to a financial buyer based in Chicago. Instantel is the leader in the newborn abduction-prevention marketplace for hospitals. The client also provides tracking products for the nursing industry and vibration monitoring products for the construction and
- [Grubb Southeast Real Estate Fund IV, LLC](https://tobinandco.com/tile/grubb-southeast-real-estate-fund-iv-llc/) - Tobin & Company Securities LLC served as the managing broker-dealer for Grubb Properties’ offering of Fund IV. The fund was among the first in which our client engaged a Managing Broker-Dealer in order to meet regulatory requirements of this prolific fundraiser. Our team conducted due diligence to confirm the offering documents and to establish reasonable-basis
- [GreenWizard, Inc.](https://tobinandco.com/tile/greenwizard-inc/) - Company Investment Banking Group LLC was retained by GreenWizard as the exclusive investment banker in the potential sale of the company’s assets. TOBIN contacted 74 prospective buyers and brought four of them to the table for negotiations with the client. The assets of the GreenWizard were acquired by UL. GreenWizard provides a software as a
- [DealerWire](https://tobinandco.com/tile/broadsource-inc-2/) - Tobin & Company Investment Banking Group LLC represented WiredLogic, doing business as DealerWire, in the M&A sale process and ultimate acquisition by DealerTrack Holdings. DealerWire provided inventory management solutions to the automotive industry. Tobin & Company worked with DealerWire to represent it to prospective acquirers and to communicate the successes of the company since its founding.
- [BroadSource, Inc.](https://tobinandco.com/tile/broadsource-inc/) - TOBIN & Company Investment Banking Group LLC acted as the exclusive strategic merger and acquisition advisor to BroadSource, Inc. in a sell-side engagement. TOBIN & Company brought four Letters of Intent to the client at the valuation predicted by the Firm after contacting over 100 prospective buyers, which were sourced by TOBIN and approved by
- [AccessOne](https://tobinandco.com/tile/accessone/) - Tobin & Company Investment Banking Group LLC was retained by AccessOne Medcard, Inc. to complete a number of valuation projects over the life of the company before it was acquired by a private equity group. The Firm also helped the client assess various options around mergers and acquisitions. AccessOne is a leading provider of patient financing solutions
- [Knightsbridge Solutions, LLC](https://tobinandco.com/tile/knightsbridge-solutions-llc/) - Tobin & Company Investment Banking Group LLC acted as strategic merger and acquisition advisor to Knightsbridge Solutions, LLC in its search for acquisition candidates in the data-warehousing consulting field. Knightsbridge was the largest independent data-warehousing services provider in the marketplace. Knightsbridge was acquired by HP in 2007. Knightsbridge made itself known to over 550 companies in the
- [Roberts Capital Partners, LLC](https://tobinandco.com/tile/roberts-capital-partners-llc-2/) - Tobin & Company Securities LLC served as the managing broker-dealer for Roberts Properties Innovation Lofts and Indigo Hotel, LLC, ensuring compliance with securities laws and requirements and providing a safe harbor throughout the capital raising process. Our team conducted due diligence to confirm the offering documents and to establish suitability of the offering. Tobin & Company also
- [Grubb Real Estate Investment Company, LLC](https://tobinandco.com/tile/grubb-real-estate-investment-company-llc/) - Tobin & Company Securities LLC served as the managing broker-dealer for Grubb Real Estate Investment Company, LLC, ensuring compliance with securities laws and industry requirements, while providing a regulatory safe harbor through the capital raising process. Grubb Real Estate Investment Company, LLC is managed by Grubb Properties, Inc. Tobin & Company Securities LLC acted as the managing broker-dealer in the
- [Grubb Real Estate Investment Company](https://tobinandco.com/tile/grubb-real-estate-investment-company/)
- [Caliber Tax Advantaged Opportunity Zone Fund, LLC](https://tobinandco.com/tile/caliber-tax-advantaged-opportunity-zone-fund-llc/) - Tobin & Company Securities LLC, as the Managing Broker-Dealer, spearheaded the $250,000,000 equity offering for Caliber Tax Advantaged Opportunity Zone Fund, LLC, exemplifying our commitment to meticulous oversight and investor protection. Our initial engagement involved comprehensive due diligence, ensuring that every investment met our stringent criteria for investor benefit. We meticulously reviewed and refined the
- [Adventure Forest LLC](https://tobinandco.com/tile/adventure-forest-llc/) - Tobin & Company Investment Banking Group LLC server as the exclusive M&A advisor to the Adventure Forest, LLC,, doing business as GoApe, in its search for an acquirer. Adventure Forest LLC is the U.S. subsidiary of Adventure Forest Limited based in the UK and operates more than a dozen zip line adventure parks throughout the United States. Tobin
- [Grubb Qualified Opportunity Fund, LLC](https://tobinandco.com/tile/grubb-qualified-opportunity-fund-llc/) - Tobin & Company Securities LLC served as the managing broker-dealer for Grubb Properties’ first Qualified Opportunity Fund, ensuring compliance with securities laws and requirements and providing a safe harbor through the capital raising process. Grubb Properties has been a pioneer in Qualified Opportunity Zones and has long been a leader in meeting the market opportunity created
- [Water Valve Capital LLC dba Acquaflow](https://tobinandco.com/tile/water-valve-capital-llc-dba-acquaflow/) - Tobin & Company was referred to AcquaFlow by a boutique investment bank based in New York City. The Firm was retained to assist the owners in the sale of the company. The Firm created an extensive buyers list and assisted the client in the creation of an Executive Summary and a Confidential Information Memorandum. The
- [CASS Information Systems, Inc.](https://tobinandco.com/tile/cass-information-systems-inc/) - Tobin & Company Investment Banking Group acted as strategic merger and acquisition advisor to Cass Information Systems, Inc. in its search for acquisition candidates in the outsourced financial exchange, business intelligence and data processing services spaces. Cass is one of the largest, most reliable and flexible processing services Firms, specializing in payments and data. Tobin
- [Charles & Colvard, LTD](https://tobinandco.com/tile/charles-colvard-ltd/) - Tobin & Company Investment Banking Group LLC provided a valuation assessment of the client’s shareholder rights plan. Tobin & Company delivered a recommendation on the continuation of the plan as well as the exercise price for the new term. Tobin & Company worked with the client to assess the current environment around poison pills and to
- [Thermcraft Incorporated](https://tobinandco.com/tile/thermcraft-incorporated-2/)
- [Quantum Clinical Navigation System](https://tobinandco.com/tile/quantum-clinical-navigation-system/) - Tobin & Company Investment Banking Group LLC acted as financial advisor to Quantum Clinical Navigation System, a subsidiary of Southeast Anesthesiology Consultants, P.A. Quantum Clinical Navigation System is a perioperative quality measurement and outcomes reporting tool with both web and paper input capabilities. The tool allows clients to measure over fifty quality indicators (efficiency, practitioner performance,
- [Micro D Inc.](https://tobinandco.com/tile/micro-d-inc/)
- [Makr, LLC](https://tobinandco.com/tile/makr-llc/)
- [Entrinsik, Inc.](https://tobinandco.com/tile/entrinsik-inc/)
- [Smarter Systems, LLC](https://tobinandco.com/tile/smarter-systems-llc/)
- [Cox Technologies, Inc.](https://tobinandco.com/tile/cox-technologies-inc/) - Tobin & Company Investment Banking Group LLC developed and executed a Fairness Opinion for the Board of Directors of this publicly-traded company in a private placement transaction with company insiders. Details of the fairness opinion were filed in publicly disclosed financial statements with the Securities and Exchange Commission. Tobin & Company was successful in winning the
- [Adaptivity, Inc.](https://tobinandco.com/tile/adaptivity-inc/)
- [Aceyus, Inc.](https://tobinandco.com/tile/aceyus-inc/) - Tobin & Company Investment Banking Group LLC performed 409A valuations for Aceyus, Inc. for over ten years on an annual basis. A 409A valuation is the process of valuing a company in order to assist the company in setting the strike price for its employee stock options. The strike price must be set at or above the
- [PMG Research, Inc.](https://tobinandco.com/tile/pmg-research-inc/) - Tobin & Company Investment Banking Group LLC performed a valuation to mark to market for the owner of PMG Research, Inc. PMG Research, Inc. is an integrated network of clinical research facilities in the southeast region of the United States, and has conducted 6,800 research studies for hundreds of pharmaceutical sponsors and contract research organizations since 1979.
- [Kalhealth, LLC](https://tobinandco.com/tile/kalhealth-llc/)
- [Benchmark Urgent & Family Care](https://tobinandco.com/tile/benchmark-urgent-family-care/)
- [Perry’s Jewelry Emporium, Inc.](https://tobinandco.com/tile/perrys-jewelry-emporium-inc/) - Tobin & Company Investment Banking Group LLC acted as a sell-side advisor for Perry’s Jewelry TV, a subsidiary of Perry’s Jewelry Emporium, Inc. Perry’s Jewelry specializes in fine antique, estate, wedding and one of a kind vintage jewelry. Perry’s Jewelry also buys, sells and trades vintage, antique and estate jewelry, gold, diamonds, coins, silver and platinum.

## Tutorials

- [Strengthening the Private Placement Offering Process](https://tobinandco.com/tutorial/strengthening-the-private-placement-offering-process/) - **Originally prepared for a Managing Broker-Dealer client. Adapted for educational purposes. Launching and maintaining a private placement offering is an exercise in discipline. The strongest offerings are not simply well-marketed; they are well-documented, continuously monitored, and deliberately governed over time. Execution Principles for Private Placement Sponsors Below are five practical execution principles that TOBIN regularly
- [Raising Private Capital?<br>Regulation D Offers Options](https://tobinandco.com/tutorial/raising-private-capital-regulation-d-offer-options/) - Regulation D offers an avenue for securities issuers to raise funds without registering with state securities agencies or with the Securities and Exchange Commission (SEC). Registering with the SEC can be a time-consuming and costly process. Regulation D provides private companies with a cost-effective means of raising outside capital. Two Options Under Regulation D: Rule
- [Merger vs.  Acquisition: 9 Critical Differences You Need to Understand for Business Growth](https://tobinandco.com/tutorial/merger-vs-acquisition-9-critical-differences-you-need-to-understand-for-business-growth/) - Tobin Tutorial Merger vs. Acquisition: 9 Critical Differences you need to understand for business growth When it comes to growing your business, you may be wondering whether a merger or an acquisition is the right move. While both can be beneficial, there are crucial differences between them that you should consider before developing and executing
- [The First Six Benefits of Hiring a Managing Broker-Dealer to Supervise Your Private Capital Raises](https://tobinandco.com/tutorial/the-first-six-benefits-of-hiring-a-managing-broker-dealer-to-supervise-your-private-capital-raises/) - (This is the first of a two-part examination of the benefits of hiring a Managing Broker-Dealer (MBD) to handle capital raises. Part One addresses six benefits, Part Two will explain the remaining seven. Both will be able to be found under “TOBIN Tutorials.”)Every issuer that raises funds through private placements wants to have a successful
- [Maximizing Your Value: A Guide to Selling Your Business with Tobin & Company](https://tobinandco.com/tutorial/maximizing-your-value-a-guide-to-selling-your-business-with-tobin-company/) - All of our Mergers & Acquisition (M&A) clients ask, “What does the sales process look like? What are the actual steps?” The M&A process generally involves the same basic steps, which have similarities from one investment bank to another. TOBIN differentiates itself through its higher level of personalized service in the M&A process for both
- [Compliance With Confidence](https://tobinandco.com/tutorial/compliance-with-confidence/) - Ever wonder who helps a company or fund maintain integrity and credibility when selling private securities? The answer is a managing broker-dealer like Tobin & Company Securities LLC. When a company issues a security offering without the assistance of a licensed finder, TOBIN can help ensure regulatory compliance with the myriad of our country's securities laws
- [Most asset values are rising . . . what about your business?](https://tobinandco.com/tutorial/most-asset-values-are-rising-what-about-your-business/) - How much is your business worth today? If you don’t know, it’s a good idea to find out. Because navigating business is like navigating geography – you can’t get where you want to go if you don’t know where you are! The process for conducting a business valuation depends in large part on what kind
- [SEC Rule 3a4-1 Causes the Most<br>Anxiety and Risk](https://tobinandco.com/tutorial/sec-rule-3a4-1-causes-the-most-anxiety-and-risk-for-issuers-of-securities/) - When issuing securities, navigating all SEC rules without risking regulatory intervention can be difficult and intimidating. Tobin & Company has been managing securities offerings for 20 years and our clients who issue securities tell us that SEC Rule 3a4-1 causes them the most concern because of its broad broker definition and its seemingly ambiguous legalistic
- [Acquisition Accelerates Growth . . . If You Can Find Eligible Candidates](https://tobinandco.com/tutorial/acquisition-accelerates-growth-if-you-can-find-eligible-candidates/) - Most companies that seek growth through acquisition have a firm foundation from which to spring. In today’s market however, finding eligible candidates to buy is hard – demand is high, supply is low, eligible candidates are not cheap and competition is fierce. Most businesses are doing great regardless of how tenuous our economy and international
- [Selling Your Company? This Option May Reduce Your Capital Gains Taxes.](https://tobinandco.com/tutorial/selling-your-company-this-option-may-reduce-your-capital-gains-taxes/) - Qualified Opportunity Zone Funds are Worth Investigating While Tobin & Company is not a tax advisor, nor do we profess to be, we do on occasion encounter strategies that our mergers and acquisitions clients might want to investigate with their tax advisors. Those who have owned their companies for years and decide to sell, often
- [What is a 409A Valuation?](https://tobinandco.com/tutorial/what-is-a-409a-valuation/) - For a variety of reasons, business owners need to obtain a valuation of their company's shares from time to time. But this is especially the case if your company offers employee stock options. Since the early 2000's, after the Enron debacle, the IRS began requiring companies that offer stock options to conduct a 409A valuation
- [New SEC Rules Signal Greater Transparency for $20 Trillion Industry](https://tobinandco.com/tutorial/new-sec-rules-signal-greater-transparency-for-20-trillion-industry/) - The Securities and Exchange Commission (SEC) has approved new rules that will usher in sweeping changes for how private equity and hedge funds operate. One substantial rule change prohibits private fund managers from providing preferential treatment to Limited Partner (LP) investors involved in the funds. The new rules also require private funds to issue quarterly
- [Five Questions to Ask Before<br>You Sell Your Business](https://tobinandco.com/tutorial/five-questions-to-ask-before-you-sell-your-business/) - First Things First: Have a Meeting with Yourself! Many business owners started their business and have worked tirelessly to make it grow into what it is today. For these business owners, selling their company is not unlike driving away after dropping their youngest child off at their chosen university. Such an event magnifies a new
- [How To Get Your Business<br>Ready to Sell](https://tobinandco.com/tutorial/how-to-get-your-business-ready-to-sell/)
- [Part Two: 13 Benefits of Hiring a Managing Broker-Dealer  to Supervise your Private Capital Raises](https://tobinandco.com/tutorial/part-two-13-benefits-of-hiring-a-managing-broker-dealer-to-supervise-your-private-capital-raises/) - (This is the second of our two-part examination of the benefits of hiring a Managing Broker-Dealer to handle capital raises. Part Two outlines the remaining seven benefits, Part One explained the first six. Both will be able to be found under “TOBIN Tutorials.”) In Part One of this two-part examination of benefits provided by Managing

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