‍Recent Closed Transactions and Developments

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March 2024

First Liberties Securities, Inc. engaged as exclusive placement agent for $5 million Series A capital raise for EaaS (energy-as-a-service) sponsor. Company designs, builds, finances, manages, operates and maintains microgrid assets for global microgrid utility sponsors.

February 2024

First Liberties Securities, Inc. engaged as exclusive placement agent for $4 million Series A capital raise for public company subsidiary with unique cannabinoid prodrug for GI targeted anti-inflammatory benefits with no psychoactivity.

January 2024

First Liberties Securities acted as ongoing Placement Agent, most recently for $4 million Reg A financing for Vivos Inc. [OTCQB: RDGL] RadioGel™ is an yttrium-90 (90Y) based injectable Precision Radionuclide Therapy (PRnT) device for the treatment of cancerous tumors in animals (IsoPet®) and humans (RadioGel™).

First Liberties Securities, Inc. engaged as exclusive Placement Agent for $6 million Series A raise for company developing innovative medical device for glaucoma patients.

First Liberties Securities, Inc. is ongoing strategic M&A advisor to a US leader in the Home Spa consumer products manufacturing space. The company is uniquely positioned with diverse product coverage, multi-sales channel distribution and disruptive IP portfolio.

First Liberties Securities, Inc. is ongoing strategic partner to a US leader in the SaaS Whole Loan trading space. The client’s product is reshaping the current opaque whole trading process providing banks and credit unions unique advantages through analytics, data and transparency.

December 2023

First Liberties Securities, Inc. is ongoing strategic M&A advisor in the Assisted Living Facilities (ALF) space for their real estate and operational investing.

November 2023

First Liberties Securities, Inc. is engaged as exclusive placement agent for 3.5 million Series A capital raise for emergent Mexican Whisky brand after introducing their first product to market in September 2023.

September 2023

First Liberties Securities, Inc. is engaged by a fast-growing multi-specialty human pathology group to assess several testing laboratories for strategic purchases.

July 2023

First Liberties Securities, Inc. is ongoing exclusive placement agent for Bermuda based Reinsurance company for issuance of preferred stock for Catastrophe Loss events for US based Institutional Investor.

May 2023

First Liberties Securities, Inc. acted as exclusive placement agent for $100 million Offshore Reinsurance offering to US domiciled institution for Pacific RIM Sponsors.

First Liberties Securities, Inc. is engaged as a strategic placement advisor to minority real estate developer with commercial muti-family projects in the Midwest, South and Northeast.

April 2023

First Liberties Securities, Inc. is ongoing M&A strategic advisor to SaaS-based communications and collaborations platform providing video-based language interpreting using any access device from anywhere and any communications protocol via live online interpreters.

March 2023

First Liberties Securities, Inc. is ongoing strategic M&A advisor to luxury glass and mirror contractor with in-house production and design capabilities in high-end glass products.

February 2023

First Liberties Securities, Inc. is an ongoing strategic advisor for ESPP (Employee Stock Purchase Provider) assisting public companies with increasing employee access to stock ownership plan participation.

January 2023

First Liberties Securities, Inc. is ongoing exclusive placement agent for Fortune 200 company for Seed and Series A investments into early-stage alcohol and non-alcohol beverage companies. Total invested since 2017 over $ 200 million.

‍December 2022

First Liberties Securities, Inc. acted as exclusive Placement Agent and completed $1.3 million seed round for Mexican Whiskey start-up.

July 2022

First Liberties Securities, Inc. acted as exclusive Placement Agent for Bermuda based Reinsurance company for issuance of preferred stock for Catastrophe Loss events on 4 separate offerings purchased by US based Institutional Investor.

May 2022

First Liberties Securities, Inc. acted as exclusive Placement Agent for $5MM Seed Raise for Innovative Cardiac Medical Device.

January 2022

First Liberties Securities, Inc. acted as exclusive Placement Agent for $100 million Offshore Reinsurance offering to US domiciled institution for Pacific RIM Sponsor(s).

December 2021

Placement Agent for $500K separate "SAFE" investments into four minority owned alcohol beverage start-ups.

Placement Agent for $750K Seed Round for Mexican Whiskey proof of concept.

Capital Advisory Mandate for $9 Billion AUM Registered Investment Advisor.

October 2021

Capital Advisory Mandate for minimally invasive body sculpting Pre-IPO company.

July 2021

Valuation and Assessment services for Toxicology Laboratory specializing in company sponsored employee drug and pandemic related PCR testing.

Placement Agent for Offshore Reinsurance Sponsor on 8 distinct Bermuda Stock Exchange Listed Note offerings for Catastrophe Loss events.

June 2021

Placement Agent for Offshore Reinsurance issuance for Catastrophe Loss events on 6 separate offerings purchased by US based Institutional Investor.

March 2021

Placement Agent for $1 Million Convertible Note offering for Biotechnology company in the Life Science Drug Discovery and Diagnostics category.

January 2021

Placement agent for $4 million Preferred Series A Shares in Distributed Private Utility Sponsor to own and operate Microgrid systems in North America.

December 2020

Ongoing Real Estate Capital Advisory Mandate. Due diligence and analysis on behalf of SEC Registered Investment Advisor for their $3.0 Billion real estate portfolio.

March 2020

Client Connectivity acquires Para-Plus Translations Inc. to add 3,000 more interpreters to their live, video-enabled, on demand language interpretation platform and fill 2 key management positions during the height of the COVID-19 pandemic.

September 2019
First Liberties Financial acted as Placement Agent for $250,000 Convertible Note financing for Vivos Inc. (RDGL)

July 2019
First Liberties Financial participated as a co-manager in an $800 million IPO for a healthcare technology firm. Deal was led by JP Morgan, Goldman Sachs, and Blackstone Group.

​First Liberties Financial acted as the investment banker in capital raises for two more facilities in the growing portfolio of a private firm that makes real estate investments in Assisted Living Facilities, including taking an active role in the operational aspects of the properties.

June 2019
First Liberties Financial completed $35 million second round of financing as a follow up to initial raise in December 2018 for an LLC sponsor focused on the single family real estate conversion industry.

​May 2019
First Liberties Financial acted as a Placement Agent for Offshore Re-insurance firm on a $20 million Catastrophe Note offering providing Earthquake risk offset for State of California.

December 2018
First Liberties Financial is acting as exclusive financial advisor to raise capital for a company that focuses their resources on transforming single family real estate assets from distressed to institutional quality rentals. The security is a $50 million Convertible Note of which a $15 million first tranche was completed in December.

October 2018
Client Lazarus 3D wins NASA iTech Competition
We are proud to announce that on October 26th our client, Lazarus 3D was one of three winners selected in the 2018 NASA iTech competition.
Congratulations to Dr. Jacques Zaneveld and his team at Lazarus 3D on a well earned recognition!

​June 2018
​​​​Recapitalization and Financial Advisory Assignment for Canadian Specialty Lender

As a follow-up to the initial advisory assignment, FLF and West End Capital Advisory have been retained to advise the Company on an upsizing of the senior credit facility to C$250 million. We led a successful negotiation with the existing senior lender; in addition to increasing the size of the credit facility, we achieved a reduction in pricing and an increase in the borrowing base advance rate. The new facility is targeted to close in July, 2018.

​May 2018
Tax Credit Financing and Financial Advisory Assignment for Puerto Rican Film Lender

$18 million was raised as part of an overall $50 million capital raising assignment for Blue Rider San Juan (“BRSJ”), a licensed lender in Puerto Rico that makes investments and loans to fund the production costs of motion pictures produced in Puerto Rico.

Led by FLF investment banker Eileen M. Burke and her advisory company West End Capital and Advisory, Eileen and her team advised the client on the optimal capital structure to finance the production of the motion picture Primal, starring Nicolas Cage. As Exclusive Financial Advisor, we managed the capital raising process, created the necessary analysis and investment materials for new investors to evaluate the investment, and managed negotiations on deal terms and legal documentation on behalf of the client. Our goal was to attract a sophisticated institutional investor that would be able to move quickly to meet a tight table required by the film’s producers, appropriately assess the risks of lending in Puerto Rico given the current economic climate and recent hurricanes, and would also be able to support the client’s future capital needs.

The $18 million first-lien loan arranged by Eileen and her team comprised the largest part of the capital structure for the Primal production. The loan is secured by tax credits issued under the Puerto Rico Film Industry Economic Incentives Act, a tax credit program designed to attract film and television productions to Puerto Rico by providing generous tax credits for amounts spent on Puerto Rican film productions, thereby contributing to local employment and economic activity.

We brought the opportunity to a range of specialty lenders, and completed the financing with a well-established specialty lender that had not previously completed a film financing of this type, and who relied heavily on the industry expertise that Eileen and her team brought to completing the transaction.

March 2018
FLF acted as the investment banker for a portion of a follow-on offering of Series A shares issued pursuant to Section 506b for a medical device manufacturer.  The company company’s innovative products are used in neurosurgery, pain management, plastic surgeries and other areas.

September 2017
FLF raised $45MM from a $6B fund of funds for hedge fund Endeavour Capital Advisors.

August 2017
FLF acted as Selected Dealer for IPO.
Chicken Soup for the Soul Entertainment, Inc. (“CSS Entertainment”) closing its $30 million Reg A+ IPO.  A total of 2,500,000 shares of Class A common stock were sold at $12 per share.  Chicken Soup for the Soul Entertainment, Inc. is a fast-growing provider of positive and entertaining video content that brings out the best of the human spirit. CSSE is aggressively growing its business through a combination of organic growth, licensing and distribution arrangements, acquisitions, and strategic relationships, and expanding our partnerships with sponsors, television networks and independent producers.  They make their video content available to consumers globally through television and online networks, including online affiliate APlus.com.

June 2017
FLF engaged as placement agent for Regulation D Offering for US-based importer and international wine producer.

May 2017
FLF opens Kansas City office. Expanding offices into the center of America's heartland, FLF stands ready to serve individuals and companies locally and globally. The new office is located at 7301 Mission Road, Prairie Village, KS 66208.

March 2017
FLF engaged as placement agent for Regulation D Offering for a US-based 3D printing firm focused on specialty medical devices.

January 2017
Recapitalization and Financial Advisory Assignment. C$129.5 million raised for the recapitalization of a Canadian consumer finance company. Led by FLF investment banker Eileen M. Burke and her advisory company West End Capital and Advisory, Eileen and her team advised the client in a range of strategic alternatives. As Exclusive Financial Advisor, our goal was to provide the client with multiple options to fund its future growth, ranging from a complete recapitalization of the balance sheet to a sale of the business.

In addition to advising the client in its exit negotiations with its then current lender, we designed the optimal capital structure to fund future growth; created the necessary analysis and investment materials for investors to evaluate an investment; managed multiple third-party service providers and due diligence firms on the client’s behalf; brought the opportunity to a range of PE firms, specialty lenders, and strategic investors; and assisted the client in its negotiations with multiple interested parties. The recapitalization was completed with two major institutions, a leading PE firm that made a C$26.5 million common equity investment, and a well-established specialty lender that provided a C$103 million senior revolving credit facility.
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January 2017
First Liberties welcomed Phil Owens, Robert Levey, and Sean Keating to the FLF Fixed Income Group. These veterans bring deep knowledge and experience in municipal bond inter-dealer brokerage. From Phil Owens: “we were attracted by the deep and broad expertise of management, strong relationship with RBC and 35 years of industry experience”.  They have established offices in Jupiter, Florida and Savannah, Georgia.

January 2017
First Liberties Financial acted as placement agent for $10mm in preferred equity securities for approximately 100 entities formed by various premier real estate sponsors, so as to meet a key criteria to qualify the companies as REITs.

October 2016
Gonzalo de la Pezuela and Frank Lampen become registered representatives of FLF supporting the activities of their entity, Distill Ventures. They bring deep marketing experience in M&A for Fortune 500 companies.  Distill Ventures provides support for entrepreneurs who want to create the craft spirits brands of the future. The independent accelerator offers a combination of cash investment from Diageo, a world leader in the global wine and spirits industry, access to specialized expertise, and mentoring.

September 2016
Tom Carstens, the CIO of Pelion Investment Advisors (PIA) expanded PIA onto the TD Ameritrade custodian platform, to broaden and enhance the service offerings.

April 2016
First Liberties Financial participated as a selected dealer in the initial public offering (IPO) of units (stock and warrants) for PAVmed Inc. FLF placed approximately $4.1 million of the $5.3 million offering.
(Nasdaq: PAVMU), a multi-product medical device company bringing innovative medical technologies from concept to commercialization with unprecedented speed and capital efficiency.  PAVmed is building a deep pipeline of products encompassing a broad spectrum of clinical areas possessing attractive regulatory pathways and market opportunities currently exceeding $4 billion.