Underwriting – Wolfe Capital Markets and Advisory serves as a value-added, active co–manager on securities offerings including primary equity offerings (IPOs), secondary equity offerings, preferred stock offerings and private placements. In this capacity, we are often invited into an offering for the industry expertise and sector thought leadership we bring to the underwriting syndicate. Our goal is to participate in 1-2 transactions per quarter, ensuring firm-wide senior level support on all transactions. For those underwritings in which we choose to participate, our involvement is often predicated upon the extent to which we can play a meaningful role supporting and advancing management’s objectives. We bring a different perspective to an underwriting syndicate group through a strong client-centric approach and a unique knowledge of the institutional investor client base.


Debt Underwriting – In addition to equity offerings, Wolfe Capital Markets and Advisory serves as co–managers in a broad array of debt instruments for corporations, including:

- Fixed and Floating Instruments,
- Secured and Unsecured Debt
- Short, Medium, and Long-Term Debt
- Taxable and Tax-Exempt Debt
- Senior, Subordinated, and Convertible Debt.


Share Repurchases – Wolfe Capital Markets and Advisory offers a superior program for share repurchase mandates from trade execution through trade settlement. Wolfe brings a “White Glove Service” to share repurchases through a focus that limits mandates as to focus on each transaction. Executions are overseen by a highly specialized team in trading, operations and compliance comprised of 20+ year industry veterans with deep experience in our covered sectors. Our relatively small but exceptionally experienced desk assures discretion and professionalism at all times.


Capital Markets Advisory – In addition to our underwriting and share repurchase capabilities, our team assists corporate clients as a value-added advisor on capital markets transactions, offering unbiased perspectives on upcoming debt and equity issuances. While we always serve as an advisor when acting as an underwriter, some issuers choose us in an advisory capacity only, acting alongside the underwriters.  In these cases we offer perspectives on valuation, specific investor targets, marketing documents and messaging, roadshow itinerary and underwriting deal-team composition.  Historically, WCMA has also acted in a middle market M & A advisory capacity. While less active in this line of business today, our experienced team has deep relationships and can identify merger targets, management candidates and other repositioning opportunities.

For more information on our services, please Contact Us


Disclosure of Order Routing Information
The U.S. Securities and Exchange Commission’s client disclosure rule, SEC Rule 606, requires all broker/dealers that route orders in equity securities to make quarterly reports available that present a general overview of their routing practices. The reports must identify the significant venues to which the client orders were routed for execution during the applicable quarter and disclose the material aspects of the broker/dealer’s relationship with such venues. The most recent such quarterly report for Wolfe Research Securities may be found by accessing the following link:

Wolfe Capital Markets and Advisory is a registered broker dealer and member of FINRA and SIPC.