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Brookline Capital Markets
Brookline Capital Markets, a division of Arcadia Securities, LLC, provides a comprehensive suite of capital markets and advisory services to cutting-edge...
Brookline Capital Markets
Brookline Capital Markets, a division of Arcadia Securities, LLC, provides a comprehensive suite of capital markets and advisory services to cutting-edge public and private emerging growth companies. Brookline seeks opportunities to accelerate growth for its client companies while delivering results to the firm’s sophisticated investor base. Brookline has significant experience providing the following services: Pre-IPO Financings IPOs, Secondaries and PIPEs Trade Facilitation for Private Equities Capital Markets Advisory Strategic Advisory Equity Research Brookline differentiates itself through its ability to source capital from traditional institutional investors, as well as from its proprietary network of global family office and high net worth individual investors. For many of the firm’s family office and high net worth clients, Brookline serves as a “curator” of compelling early stage venture and growth equity opportunities. This investor base provides companies access to patient and sophisticated capital. In addition to Brookline’s unique, non-institutional investor network in the U.S., the firm maintains a significant presence internationally. Investors in recent transactions include funds and wealthy individuals located in Canada, China, Hong Kong, Italy, Korea, and the U.K. Brookline is led by seasoned investment banking professionals, each with more than 25 years of capital markets and advisory experience at some of the world’s most prominent financial institutions.
General information
Firm type
Asset Manager
Year founded
2013
Location
Region
North America
Country
United States
City
New York
Corporate office
New York, NY, United States
Additional offices
Iselin, NJ, United States
Principals
William B. Buchanan, Jr.
Chief Executive Officer
Scott A. Katzmann
Co-Founder
Harris R.L. Lydon Jr.
Co-Founder
Graham A. Powis
Managing Partner
Michael Fontaine
Managing Partner
Patrick A. Sturgeon
Managing Partner
Samuel P. Wertheimer, Ph.D.
Managing Partner & Senior Scientific Advisor
Kemp Dolliver, CFA
Director of Research
Sector focus
Frequently asked questions
Who runs investment decisions at Brookline Capital Markets?
William B. Buchanan Jr. serves as CEO. The firm operates with a partnership structure; Graham A. Powis, Michael Fontaine, Patrick A. Sturgeon, and Samuel P. Wertheimer are Managing Partners involved in capital markets and advisory (per firm website).
How does Brookline source its proprietary deal flow?
Brookline maintains a proprietary network of family offices and high-net-worth investors built over a decade of healthcare banking. The firm also collaborates with leading research institutions including Columbia, Harvard, Johns Hopkins, and Stanford (per firm website).
Is Brookline structured as a family office or an investment bank?
Brookline is an independent investment bank, not a family office. However, it differentiates itself by operating a dedicated investor network of family offices and HNWIs, which acts as a capital source for its healthcare clients (per firm website).
Does Brookline participate in fund commitments or only direct deals?
Brookline acts as an underwriter, placement agent, and advisor, not as an LP. It raises capital for healthcare companies through IPOs, PIPEs, private placements, and convertible offerings. It does not manage a permanent capital pool or commit fund capital (per firm website).
What investment stages does Brookline typically target?
Brookline covers both public and private stages — from pre-IPO private placements to public offerings including IPOs, follow-ons, and PIPEs. It also works with SPACs and emerging growth enterprises in healthcare (per firm website).
What is Brookline's relationship with Arcadia Securities and other affiliates?
Arcadia Securities is a FINRA member through which Brookline executes trades. Affiliates also include B. Dyson Capital Advisors, Tiberius Capital Markets, and Hermes Capital Advisors. These entities provide distribution and advisory infrastructure for Brookline's deals (per firm website).
Does Brookline maintain any philanthropic structures?
The firm does not disclose any philanthropic foundations or charitable vehicles. Senior research analyst Leah Cann founded the Hope Funds for Cancer Research, a separate charity (per firm website).
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