5 Tips When Meeting With An Investment Bank


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Lauren LeibowitzPrincipal at 1st BridgeHouse Securities, LLC, CrowdfundBeat Sr. Guest editor,

If you are meeting with an Investment Bank then your company has the need to raise capital from outside investors to fuel its growth. An Investment Bank is the intermediary between your company and investors through a capital raise process.  Having an Investment Bank handle your capital raise allows for an independent party to structure a viable transaction that is fair and balanced for the you, the Issuer, and Investors.







Investment Bankers are knowledgeable and experienced in outlining the necessary supporting due diligence, analyzing the company’s financial model and valuation and recommending a practical transaction structure. Investment Banks are FINRA members which indicate that a public record of the firm and its registered persons is available on FINRA’s Broker Check. The Investment Bankers that participate in structuring and marketing of the transaction need to have passed the Series 79, Investment Banking Limited Representative exam at a minimum.

Here are 5 tips to make your meeting with an investment bank successful:


  • Know the history and deal type parameters of the investment bank you are meeting with.
  • Know your numbers!
  • Have clear answers for the questions below.



When meeting with the Investment Bankers listen to their advice and constructive criticism. You may not agree with all of their comments but it’s important to comprehend what they are saying in order to keep refining and improving your pitch, model or plan.



  • Where are you today?
  • Where do you see your company in 3-5 years?
  • What is your exit strategy?
  • What does your current cap table look like?
  • What intellectual property do you have?
  • Know your numbers!
  • Explain your capital needs
    • How much capital are you seeking? Be specific with the use of proceeds.
    • Why are you seeking this capital?
    • What is your capital needs timeline?



  • Passion
  • Dedication
  • Growth
  • Value



  • Ask about their background and relative experiences.
  • Ask for a basic plan as to how, where and in what form they think funding will come.
  • If appropriate, ask about fees to be prepared.


Hiring a qualified Investment Bank can be one of the smartest decisions an entrepreneur can make. The bankers will teach and guide Issuers based on their experience. While there is a cost to hire professionals, the savings derived by delivering an efficient raise and avoiding regulatory pitfalls are immeasurable.

If you have a questions about any of the items on the Capital Raise Assessment then contact 1st BridgeHouse Securities at Info@1stBridgehouse.com or (786) 375-5644.






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