# Craig-Hallum

Craig-Hallum is an Asset Manager based in New York, United States.

## Overview

- **Organization type:** Asset Manager
- **Headquarters:** New York, United States
- **Region:** North America
- **Address:** Minneapolis, MN, United States
- **Founded:** 1997
- **Assets under management:** Undisclosed
- **Website:** craig-hallum.com
- **LinkedIn:** https://www.linkedin.com/company/craig-hallum-capital-group

## Regulatory record

- **CRD number:** 326968
- **Registration status:** Registered
- **Reports private funds:** No
- **IAPD record:** https://adviserinfo.sec.gov/firm/summary/326968

## About

Craig-Hallum provides Research, Sales & Trading, and Investment Banking. Its platform is anchored by tailored market insights and differentiated research, which is the basis of the business rather than a cost center. The firm has been 100% employee-owned since its founding and brings a client-first, ownership mindset to transactions.

## Sectors

- Enterprise Software
- AI/ML
- Robotics & Automation
- Digital Health
- Media & Entertainment
- Consumer
- Industrial Tech
- Energy Transition & Renewables

## Offices

- New York, NY
- Chicago, IL
- San Francisco, CA
- Boston, MA
- Atlanta, GA
- Dallas, TX
- Delray Beach, FL

## People

- Bradley H. Baker — CEO
- Kevin Harris — Head of Institutional Equities & Research
- George Sutton — Director of Research
- Mike Malouf — President, Craig-Hallum Capital Group

## Questions

### Who runs investment decisions at Craig-Hallum?

Craig-Hallum is not an allocator or fund manager—it is a broker-dealer and investment bank. Investment banking mandates are led by sector heads reporting to President Mike Malouf and CEO Bradley Baker. Institutional equity research and trading decisions fall under Kevin Harris and Director of Research George Sutton. The firm does not deploy proprietary capital in a traditional investment committee structure.

### How does Craig-Hallum source banking mandates?

Craig-Hallum's deal flow is principally research-driven. Its equity analysts maintain active coverage on over 800 companies, the vast majority small- and mid-cap names with limited sell-side attention. Investment banking teams originate mandates from within this research universe, approaching companies whose equity stories the firm's institutional sales force is already distributing to buy-side clients. This closed loop—research coverage feeding into deal origination—is the firm's core sourcing mechanism.

### Which sectors does Craig-Hallum explicitly target for equity research and banking?

The firm's research coverage concentrates on technology, healthcare, consumer, and industrial growth companies. Within technology, covered sub-sectors include enterprise software, cybersecurity, semiconductors, AI/ML infrastructure, and industrial technology. The banking franchise has recently added resources in software and internet infrastructure, signaling deepening coverage of those verticals specifically.

### Who founded Craig-Hallum and what was the original business proposition?

Bradley Baker and a cohort of institutional equities traders founded the firm in Minneapolis in 1997. The original proposition was providing institutional investors with specialized sales, trading, and research on small- and mid-cap growth companies that larger broker-dealers systematically under-covered. Investment banking capabilities were added later, evolving the firm into a full-service platform centered on the same issuer segment.

### Is Craig-Hallum a registered broker-dealer, and where is it regulated?

Yes. Craig-Hallum Capital Group LLC is a registered broker-dealer with the SEC and a member of FINRA and SIPC. The firm operates under standard U.S. broker-dealer regulation with no unusual regulatory posture. All trading, research distribution, and investment banking activities are conducted through the registered entity.

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Last updated: 2026-08-11T15:06:27.647Z

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