Unrivalled Expertise, Premier Financial Guidance with Access to Global Pools of Institutional, Family Office, Hedge Fund and Retail Capital
About Us
ArcStone Securities and Investments Corp. is an employee-owned financial services firm focused on providing bespoke financial solutions and advice tailored to our clients’ unique needs.
We have a proprietary equity capital markets franchise that includes global institutions, accredited investors, family offices, providing unparalleled access and facilitation to the equity markets for venture companies.
Our History
ArcStone Securities and Investments Corp. (ASIC) has acquired an interest in a FINRA broker-dealer (via ArcStone US Corp.) with access to US retail investors and registrations in 33 US states for Reg D, Reg CF, and Reg A+ transactions, including private placements and IPO advisory.¹ Additionally, ArcStone Securities and Investments Corp. is currently has a strategic partnership with Gilford Capital Inc., through ArcStone Canada Inc.²
Recent legislative changes in Canada provide enhanced opportunities for EMDs. The new EMD regime, Listed Issuer Financing Exemption (LIFE), offers a more efficient method of capital raising for reporting issuers. This includes issuers with securities listed on a Canadian Stock Exchange (CSE) that have filed all timely and periodic disclosure documents required under Canadian securities legislation.
The exemption relies on the issuer’s continuous disclosure record, supplemented with a short offering document, allowing issuers to distribute freely tradable listed equity securities to the public. Issuers will generally be limited to raising the greater of $5,000,000 or 10% of the issuer’s market capitalization, up to a maximum of $10,000,000. To use the exemption, the issuer must have been a reporting issuer in a Canadian province for at least 12 months.
These recent regulatory changes in Canada will provide ArcStone Securities and Investments Corp. with significant opportunities as a North-South financial services firm. ArcStone Securities and Investments Corp. is also considering CIRO (formerly IIROC) registration should its clients demand additional services, including bought equity offerings going forward.
We get deals done.
The ArcStone North & South Unique Platform for Growth Industries
ArcStone Securities and Investments Corp. is a boutique financial services firm focused on diversified and high-growth industries with a unique North-South platform. This platform provides mid-cap growth clients unprecedented access to both Canadian and American capital markets, bridging a critical gap in the market. Many Canadian boutique investment banks are restricted to Canadian markets only, lacking licenses or the necessary reach to American investors. Conversely, many larger financial institutions are strictly focused on large-cap clients, and smaller growth-oriented companies do not receive the premium services of their platforms.
At ArcStone, our initiative aims to fill this void, providing our clients with a seamless gateway to the much larger and more diverse US market.
The US GDP is almost twelve times larger than Canada’s, indicating a much bigger and more dynamic economy.
The US capital market is much larger than Canada’s in terms of scale, risk appetite, and opportunity.
In 2022, the US had over 15,114 registered investment advisor firms, while Canada had fewer than 140 licensed asset managers and only several hundred single-family offices.
The US market has a larger number of accredited investors and around 3,000 to 6,000 family offices.
The US had approximately 24 million individuals who qualified as accredited investors in 2022, while Canada had an estimated 900,000 accredited investors.
Sectors such as AI, crypto, and electric vehicles, which are strong in the US, present attractive opportunities for cross-border investment.
By creating a full suite of Reg A+, Reg D, and Reg CF platforms that enable access to a larger untapped investor base, corporate clients can be connected to opportunities that were previously not available.
ArcStone US Corp, a wholly owned subsidiary of ASIC, is currently in the process of undergoing a CMA (Change in Membership Application) review with FINRA from acquiring ArcStone Securities LLC. ArcStone US Corp. is prohibited from conducting registerable activities until it secures CMA review and approval from FINRA/SEC.
ArcStone Canada Inc, a wholly owned subsidiary of ASIC.
“ArcStone Securities and Investments’ recent industry report, "The Third Wave Opportunity of Drug Reform," is a testament to the unmatched depth and quality of their research, and their foresighted leadership in embracing and exploring new and exciting sectors. They have an unparalleled commitment to innovation, and I always look forward to their invaluable perspectives that are both insightful and actionable.”
— Nicholas Fozard, Vice President, Finance, Organigram Inc.
