Stapleton Advisors
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      • Capital Raising
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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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Pre-IPO Stock & Dark Pool Trading

We facilitate institutional access to private market shares and secondary liquidity through the trusted FNEX dark pool network—positioning clients ahead of public market events with precision and compliance.

Contact Us

Discreet Access. Verified Counterparties. Strategic Liquidit

What We OffeR

  • Pre-IPO Equity Sourcing & Acquisition
    Access vetted opportunities in late-stage private companies through verified counterparties. 


  • Secondary Liquidity for Private Holdings
    Discreet divestment of private shares with full compliance and buyer validation.


  • Dark Pool Execution & Counterparty Matching
    Institutional-grade matching across trusted networks, with secure documentation and audit trails.


  • Regulatory Filings & Broker/Dealer Coordination
    Full support for Form D filings, transfer protocols, and SEC/FINRA compliance.


  • Investor Onboarding & Transaction Monitoring
    Integrated workflows for KYC, suitability, and post-trade visibility

Who We Serve

  • Institutional investors and family offices 
  • Founders and early employees seeking liquidity
  • Broker/dealers and secondary platforms
  • Funds acquiring strategic pre-IPO positions

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

Private market access is opaque by design. We bring clarity, compliance, and confidence to every transaction—so you can move ahead of the curve, not behind it.

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 sign up to trade!


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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