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    • Services
      • Capital Raising
      • LP Secondaries
      • Fund Distribution
      • Real Estate Funds
      • Pre-IPO Stock
      • M&A Services
      • IPOs
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      • vCFO Services
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  • Home
  • Services
    • Capital Raising
    • LP Secondaries
    • Fund Distribution
    • Real Estate Funds
    • Pre-IPO Stock
    • M&A Services
    • IPOs
    • Due Diligence
    • vCFO Services
    • Consultation
  • Templates
    • Template Store
    • Price List
  • Knowledge
    • Blog & News
    • Resources
    • Regulation D Overview
    • Regulation A+ Overview
    • EDGAR Filings
  • Company
    • About Us
    • Contact Us
    • Ethos
    • Careers
    • Payments

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IPO Readiness & Execution

We prepare companies for public market entry with institutional-grade rigor—from audit prep and S-1 drafting to banker selection and investor roadshows. Whether you're targeting Nasdaq, NYSE, or a cross-border listing, we ensure your IPO is structured for success and built to resonate.

Consultation

Precision. Compliance. Market Momentum.

What We OffeR

  • Audit Preparation & Financial Modeling
    GAAP-compliant statements, forecasting, and readiness for underwriter diligence. 


  • S-1 Drafting & SEC Coordination
    Support across legal, financial, and narrative components of your registration statement.


  • Banker Selection & Syndicate Strategy
    Guidance on lead underwriter selection, pricing strategy, and institutional outreach.


  • Investor Roadshows & Messaging
    Pitch refinement, presentation materials, and strategic positioning for public market investors.


  • Post-IPO Liquidity & Compliance Planning
    Ongoing support for insider sales, Form 4 filings, and investor communications.

Who We Serve

  • Growth-stage companies preparing for IPO 
  • Founders and CFOs navigating public market entry
  • Funds supporting portfolio company exits
  • Legal and financial advisors seeking IPO infrastructure

Why Stapleton Advisors?

  • Boutique investment banking focus
  • FNEX-backed Broker/Dealer infrastructure
  • Deep compliance and regulatory expertise
  • Transparent, ethical deal execution
  • Proprietary access to LP and buyer networks

Why It Matters

An IPO is more than a transaction—it’s a transformation. We help you navigate every step with clarity, compliance, and strategic momentum.

How We Get Paid

Our compensation structure varies based on the scope and terms of each engagement. Common payment types include:


  • Monthly Retainer – for ongoing advisory and support


  • Success Fee – tied to the completion of capital raises or transactions


  • Commission – based on specific deal structures or outcomes, or Dark Pool market transactions.


  • Due Diligence Fee – for upfront analysis and preparation work

Consultation

Get Started

Contact Us and get started!


Contact Us

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.


401 E. Jackson St., Suite 2340 • Tampa, FL 33602 • (813) 736-2422


Open Monday through Friday, 9:00am - 5:00pm, EST.


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