Continuing our Leaderboard Series on exempt financing, CPE Media is pleased to release our second Leaderboard: Top Exempt Fee Earners – Exempt Market Dealers (EMDs).
In January 2019, 466 financings, private and public alike, were reported for $5.55 billion, 448 of which were exempt-type financings which raised $3.53 billion. Among the exempt financings, 151 financings were reported to be assisted with investment dealers or exempt market dealers (EMDs) or others; those financings paid out $11.38 million in fees in aggregate.
The following is the top tend fee earning exempt market dealers (EMDs) for January 2019.
Pinnacle Wealth Brokers Inc. led with over $200,000 in fees earned, followed by Raintree Financial Solutions Inc., Tri View Capital Ltd., Westcourt Capital Corporation, Fisgard Asset Management Corporation, Ardenton Financial Inc., Capital Street Group Investment Services, Inc., Enoch Wealth Inc., Waverley Corporate Financial Services Ltd., and Keira Capital Partners inc.
On Friday we will release our third Leaderboard – exempt financing lead law firms.
Only exempt type financings are included in the fee calculation
Most of the public offering by way of bought deal or prospectus offering were not exempt financings and are not included
Listing/ranking subject to change as new information becomes available
photo credit: Giglio_di_mare via pixabay
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