Private Capital
Fund Distribution
Private Capital
We guide founders and fund managers through the full lifecycle of private capital raises—from investor targeting and pitch refinement to regulatory filings and closing. Our team ensures your offering is positioned for traction, structured for compliance, and executed with precision.
LP Secondaries
Fund Distribution
Private Capital
We help funds and institutional LPs unlock liquidity through strategic secondary transactions. From pricing guidance and buyer outreach to transfer execution and regulatory compliance, our team ensures every sale is discreet, efficient, and aligned with fund terms.
Fund Distribution
Fund Distribution
Fund Distribution
We support fund managers and administrators in executing compliant, transparent distributions to LPs. From waterfall modeling and tax-efficient structuring to investor communications and regulatory filings, we ensure every dollar is delivered with clarity and precision.
Real Estate
Pre-IPO Stock
Fund Distribution
We support real estate sponsors and fund managers with capital structuring, investor onboarding, and compliant liquidity solutions. Whether you're raising for a new asset, executing a 1031 exchange, or managing LP secondaries, our team ensures every transaction is tax-aware, transparent, and aligned with investor goals.
Pre-IPO Stock
Pre-IPO Stock
Pre-IPO Stock
We facilitate discreet access to private market shares and institutional liquidity via the FNEX dark pool network. Whether you're acquiring pre-IPO equity or divesting private holdings, our team ensures compliant execution, verified counterparties, and strategic positioning ahead of public market events.
M&A
Pre-IPO Stock
Pre-IPO Stock
We advise founders, funds, and strategic buyers through the full M&A lifecycle—from deal sourcing and valuation to negotiation, diligence, and close. Whether you're acquiring, divesting, or merging, our team ensures every transaction is structured for alignment, executed with discretion, and compliant from LOI to final close
IPOs
PIPEs
IPOs
We prepare companies for public market entry with precision and foresight. From audit prep and S-1 drafting to banker selection and investor roadshows, our team ensures your IPO is structured for success, compliant with SEC standards, and positioned to resonate with institutional investors.
DPOs
PIPEs
IPOs
We help founders and fund managers navigate alternative paths to public capital through compliant, investor-driven DPOs. From SEC filings and investor onboarding to platform selection and communications strategy, we ensure your offering is transparent, accessible, and aligned with long-term growth.
PIPEs
PIPEs
Due Diligence
We advise public companies and institutional investors on structuring and executing PIPE transactions with speed, discretion, and regulatory clarity. From investor targeting and term negotiation to compliance and closing, we ensure capital is raised efficiently—without disrupting market dynamics.
Due Diligence
Due Diligence
Due Diligence
We conduct rigorous financial, operational, and regulatory diligence to support capital raises, acquisitions, and secondary transactions. From data room audits and investor materials to compliance checks and risk assessments, our team ensures every deal is grounded in clarity, credibility, and institutional-grade review.
vCFO Services
Due Diligence
vCFO Services
We provide fractional CFO support for founders, funds, startups and growth-stage companies navigating complex financial decisions. From capital sourcing, revenue modeling, investor reporting to audit prep and strategic planning, our vCFO service delivers institutional-grade insight—without the full-time overhead.
Chaperoning
Due Diligence
vCFO Services
We provide comprehensive SEC 15a-6 chaperoning services to foreign broker-dealers, third-party marketers, and financial institutions seeking access to U.S. capital markets. From call monitoring and pre-approval protocols to recordkeeping and regulatory filings, our team ensures seamless, compliant engagement with U.S. institutional investors.
Raising Capital
If you're raising private capital for growth, acquisitions, or any major transition—whether through private investors, venture funding, PIPEs, private equity, or strategic partnerships—Stapleton Advisors is your preferred financial partner.
We deliver high-impact financial expertise to help you navigate investor conversations, build robust financial models, manage due diligence, and structure deals with confidence.
Private Equity, Venture CAPITAL, REAL Estate & Hedge Funds
Fund DistrIBUTION
Stapleton Advisors provides tailored fund distribution services designed to help asset managers expand their reach and connect with the right investors. From strategic positioning to targeted outreach, we support every stage of the fundraising cycle—ensuring your fund gets the visibility and traction it deserves.
LP Secondaries
Stapleton Advisors provides strategic services for Limited Partner (LP) Secondaries transactions, helping clients unlock liquidity, optimize portfolios, and navigate complex deal structures. Whether you're buying or selling, we offer tailored services to ensure transparency, efficiency, and value throughout the process.
Bypass the IPO complexities...
Direct Public Offering (DPO) Services?
A Direct Public Offering (DPO) enables businesses to raise capital directly from investors, bypassing traditional underwriters and investment banks. Compared to a conventional IPO, a DPO offers a more streamlined, cost-effective route to public funding. Stapleton Advisors specializes in helping companies navigate DPOs.
PIPEs (PRIVATE INVESTMENT IN PUBLIC EQUITY)
What We Offer
- Transaction Structuring & Term Negotiation
Guidance on pricing, dilution, and investor rights tailored to your capital needs.
- Investor Targeting & Counterparty Validation
Access to verified institutional buyers and strategic investors across sectors.
- Regulatory Filings & Broker/Dealer Coordination
Full support for Form D, 8-K, and other SEC disclosures, plus integration with registered intermediaries.
- Execution & Settlement Infrastructure
Secure documentation, audit trails, and post-close reporting workflows.
- Liquidity Planning & Insider Coordination
Strategies for managing insider sales, lock-up periods, and investor communications
BUYING OR SELLING YOUR BUSINESS?
MERGERS & ACQUISITIONS
Buying or selling a business is one of the most complex decisions an owner faces. It demands more than financial savvy—it requires timing, strategy, and execution. Most owners excel at running their business, but few have the bandwidth to manage a transaction without disruption. That’s where we're indispensable.
Blog & Articles
Reg D & Reg A+
Stapleton Advisors helps CFOs, attorneys and businesses raise capital through SEC-compliant exempt offerings under Regulation D and Regulation A+. These tools provide access to private and public investors—without the cost and complexity of a traditional IPO. Start your raise today using one of our PPM templates.
Private Placement Templates (PPM)
Financial Services in Alabama, Alaska, American Samoa, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Guam, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Minor Outlying Islands, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Northern Mariana Islands, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, U.S. Virgin Islands, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, and Wyoming. We also work with clients in: Barbados, Bermuda, Brazil, the British Virgin Islands, Canada, the Cayman Islands, the Cook Islands, Costa Rica, Europe, Greenland, Hong Kong, Iceland, Japan, Singapore, South Africa, South Korea, Taiwan, the Bahamas, the United Kingdom, and the U.S. Virgin Islands.
The information in this material is not intended as investment, tax or legal advice. The opinions expressed and material provided are for general information and should not be considered a solicitation for the purchase or sale of any security. Links are provided for informational purposes only. The links should not be considered a solicitation, sponsorship, affiliation or endorsement of any third-party website, or the company operating such website. Stapleton Advisors, Inc., has not reviewed the content of any third-party website and is not responsible for the content thereof. No advice may be rendered by Stapleton Advisors, Inc. unless a client service agreement is in place. A portion of this material was provided by Artificial Intelligence Systems. Products sold by Stapleton Advisors, Inc. are not intended as a substitute for an attorney or CPA. You should consult an attorney, CPA and/or an investment banker before conducting a securities offering.
Investment Banking Services provided by our subsidiary Stapleton Frost Capital, LLC. Mike Stapleton is a FINRA Registered Principal, holding Series 24, 7, 65 and 63 licenses. Securities offered by FNEX Capital, LLC, member FINRA/SIPC. FINRA BrokerCheck. FNEX Capital - Client Relationship Summary.
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