Institutional Sales

What We Do

Ascendiant’s Institutional Sales division supports the efforts of Ascendiant’s Equity Research division, generating investment ideas for the firm’s institutional clients and investment managers.

The members of Ascendiant’s Institutional Sales division average over twenty-five years of experience in all aspects of capital markets, including equity research, institutional sales and trading, syndicate, and corporate access, with bulge-bracket firms as well as boutique investment banks.

Over the years, Ascendiant’s Institutional Sales team has developed relationships with a large network of institutional money managers, asset managers, pension funds, hedge funds, mutual funds, banks, and registered investment advisors, with national coverage of the key financial markets in the U.S. (New York, Midwest, West Coast).

The Institutional Sales team also participates in domestic and international Alpha Capture programs sponsored by leading financial organizations, and has been recognized for the quality and performance of the investment ideas presented.

Tad Dillon III, CFA

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Our Values

About Us

Our Values

01/08

Relationships

We’re in the money business, but we’re really in the people business. Investing in long-term relationships with clients is a fundamental principle of our business strategy, and one of the most rewarding and enjoyable aspects of what we do.

Our Values

02/08

Trust

Trust, along with excellent communication, is essential in any relationship. We value honesty, integrity, transparency, and reliability, and pledge to always do our best to earn your trust.

Our Values

03/08

Highest Standards

We’re not here to sell you, we’re here to serve you. That means doing what is best for your company and your shareholders – based on your needs and objectives, not ours. We’ve run businesses, too, and now we run an investment bank – that will always put you first.

Our Values

04/08

Serve Clients

Our goal is not to be the biggest bank, it’s to be the best – for the clients we serve. Your best financial partner, your best advisor, your best strategist, your best resource, your best sounding board. The best an investment bank has to offer.

Our Values

05/08

Success

Here’s our simple business philosophy and formula for success – maximize relationships, not fees. Success for us is a client achieving its goals and realizing its potential. When our capital is structured in a way that truly meets your needs – and allows you to hire more employees, open a new building, expand R&D, sell more product, or secure a strategic acquisition, that’s our measure of success.

Our Values

06/08

Experience

Most investors and bankers you meet have never run a business, and even fewer have managed a public company. We have unique perspective and insight from your side of the desk because we’ve been there. We appreciate what you do – tackling challenges and pursuing opportunities – and want to do our best to support you. Let our experience and expertise help you make the best decisions for your company.

Our Values

07/08

Freedom

A public company needs support from a lot of sources to achieve success. That means multiple investors, analysts, shareholders, and yes, investment banks. In short, you need a lot of investment bank friends, not just one. When an investment bank requires exclusivity or a right of first refusal following a capital raise, they are leveraging the relationship and limiting your company’s options. When you work with us, you have freedom, and that’s best for your business.

Our Values

08/08

Respect

Some investment banks are run like a money printing machine – deal after deal, and fees on top of fees. You get calls, e-mails, and texts all hours of the day, night, and weekends, pushing you to accept an offer. That’s not our style, and we’re respectful of your time and your life away from the office. We’ll listen to your needs and objectives, present ideas and solutions, and let you make the call.

Ascendiant News

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October 28, 2024

Ascendiant Capital Markets LLC Serves as Sole Sales Agent on $21,340,000 At-the-Market (ATM) Offering for Giftify, Inc. (Nasdaq: GIFT)

October 10, 2024

Ascendiant Initiates Equity Research Coverage on GRI Bio, Inc. (Nasdaq: GRI)

October 7, 2024

Ascendiant Capital Markets LLC Serves as Sole Sales Agent on $6,500,000 At-the-Market (ATM) Offering for Alzamend Neuro, Inc. (Nasdaq: ALZN)

September 30, 2024

Ascendiant Capital Markets LLC announced today the filing of a $1,075,000 At-the-Market (ATM) Offering for Aclarion, Inc. (Nasdaq: ACON) of Broomfield, Colorado

September 16, 2024

Ascendiant Capital Markets LLC Serves as Sole Sales Agent on $2,600,000 At-the-Market (ATM) Offering for Auddia Inc. (Nasdaq: AUUD)

September 12, 2024

Ascendiant Serves as Financial Advisor on $2,510,000 Private Placement for Heart Test Laboratories, Inc. d/b/a HeartSciences (Nasdaq: HSCS)

September 9, 2024

Ascendiant Capital Markets LLC’s At-the-Market (ATM) Offering for Allarity Therapeutics, Inc. (Nasdaq: ALLR) Increased to $50,000,000

September 3, 2024

Ascendiant Completes 23rd Year in Business, Moves Forward Into Year 24

August 26, 2024

Ascendiant Capital Markets LLC Serves as Sole Placement Agent on $3,150,000 Private Placement for Allarity Therapeutics, Inc. (Nasdaq: ALLR)

August 19, 2024

Ascendiant Capital Markets LLC Serves as Sole Placement Agent on $8,250,000 Private Placement for Quantum Computing Inc. (Nasdaq: QUBT)

August 12, 2024

Ascendiant Capital Markets LLC’s At-the-Market (ATM) Offering for The Singing Machine Company, Inc. (Nasdaq: MICS) Increased to $3,100,000

August 5, 2024

Ascendiant Initiates Equity Research Coverage on MIRA Pharmaceuticals, Inc. (Nasdaq: MIRA)

What We Do

Ascendiant Capital Markets, LLC

Institutional Sales