Founded in 2009*, Castle PlacementSM raises capital and arranges loans for your early-stage or middle market company.
Over 64,500 institutional, private equity, venture capital and strategic investors, family offices, pension funds, foundations, endowments, sovereign wealth funds, hedge funds and lenders.
We are experienced investment bankers with significant personal relationships. Robust, data driven, technology platform. Innovative features that enhance the overall experience for investors - delivering transparent, quicker and easier access to relevant investment information.
Castle PlacementSM understands the challenges you face, and provides you with a world-class team of professionals from top-tier global investment banks.
Castle PlacementSM is a broker-dealer and a member of FINRA and SIPC.
* Castle PlacementSM Group, LLC, the parent company of Castle PlacementSM, LLC, changed its name (from StoneCastle Placement) in 2015. StoneCastle Placement deals were placed through StoneCastle Securities, LLC.
Your capital raising team will be led by Ken Margolis and Richard Luftig, Managing Partners.
Each has over 25 years of experience in investment banking, capital markets, real estate and fixed income at bulge bracket investment banks and asset managers.
Ken Margolis, Managing Partner
In 2007, Ken created a well-respected platform providing advisory and capital formation services to financial institutions and private equity funds which was ultimately merged into and benefits from the resources, infrastructure and financial services expertise of Castle PlacementSM. Ken has raised equity and debt capital for companies in fintech/financial services, business services, consumer/retail and other industries.
From 1999 to 2007, Ken’s responsibilities at Merrill Lynch included co-head of the 50+ person global structured credit products banking group, head of structured credit sales/syndicate and capital raising for alternative investment funds in financial services and asset management.
From 1991 to 1999, Ken was at Credit Suisse First Boston as a senior trader on a principal transaction desk responsible for managing a proprietary position of credit sensitive RMBS, ABS and CMBS subordinated securities. Prior to this position, he was head of CSFB’s new issue whole loan and agency CMO desk.
Ken began his career in 1985 at Arthur Andersen where he was instrumental in creating and managing their structured finance group consulting on ground breaking securitizations of residential mortgages, credit cards, auto loans, corporate loans and other financial assets.
Ken holds FINRA Series 7, 24, 63, and 79 licenses.
Richard Luftig, Managing Partner
Co-founded Castle Placement in 2009, providing investment banking services and raising private equity/debt capital for early-stage and middle market companies across a wide range of industries including financial services/fintech, real estate, technology, business services, energy/real assets and consumer/retail.
Over 25 years of experience in investment banking, capital markets, real estate, proprietary investing, and alternative investments, and has completed several successful advisory, capital formation, and financing transactions.
Managing Director at Ivy Asset Management Corp., a leading alternative investment asset management firm, responsible for investment strategy, risk management, and portfolio construction, and a member of the firm’s Investment Risk Management Committee. Managing Director-Principal at Bear, Stearns & Co., where he was the head of North American Structured Credit Distribution, responsible for structuring and distributing complex structured finance products in North America, and executing debt capital markets transactions for large financial institutions. Client base included insurance companies, banks, private equity firms, hedge funds, and structured vehicles. Director in the Principal Transactions Group at Credit Suisse First Boston, responsible for investing the firm's proprietary capital through the origination, structuring, and purchasing of debt secured by various asset classes and commercial mortgage backed securities.
Bachelor of Science in Economics from the Wharton School of the University of Pennsylvania, and a J.D. and L.L.M. (in Taxation) from the New York University School of Law. FINRA Series 7, 24, 63, and 79 licenses.
Our Investor Network
- Over 27,000 private equity and venture capital investors in the Castle Placement network that invest in start-up, early stage and middle market companies
- Over 10,000 mezzanine and subordinated debt lenders
- Over 30,000 senior loan and warehouse lenders
- Credit lines
- Accounts receivable financing
- Commercial real estate lending
- Equipment financing
- Growth financing
- M&A financing
- Project financing
- SBA lending
- Working capital loans
Castle Placement'sSM proprietary CRM technology combines our extensive relationships and deal flow process into one end-to-end platform
- Castle Placement uses sophisticated technology, including artificial intelligence and machine learning, to accurately match investors with prospective transactions
- Proprietary technology combines extensive relationships and deal flow process into one robust, data-driven, scalable, end-to-end platform - track unlimited number of capital raises seamlessly
- Integrates multiple dimensions - companies, company information, company contacts, investors, investor information, investor contacts, deals, deal information, reps, notes, information requests, NDAs, VDRs, marketing materials, etc.
- Target capital raise by filtering from over 64,500 institutional investors and lenders.
- Easily journal/access interaction with investors.
- Track multiple capital raises seamlessly.
- Create initial/follow-up email campaigns and track responses.
- Create meetings and manage client calendars.
- Comprehensive reporting to client.
- Investors can access Castle Placement's current capital raises, investor presentations, NDAs, etc.
- Issuers can see the status and interact with all of the investors interested in your transaction, in real-time.
CPGO V 3.0
Castle Placement recently launched CPGO V 3.0, an interactive platform for companies to access capital and investors to find innovative companies.
- Access Castle Placement's current capital raises, investor presentations, NDAs, etc.
- Create and view notes among you, the issuer(s) and Castle Placement
- Update the status of your interest in each capital raise
- Communicate directly with the issuer and/or Castle Placement
- See the status and interact with all of the investors interested in your transaction, in real-time
- You and Castle are completely coordinated on, and aware of, all interaction/follow-up/status changes with investors
- Update the status of your interest in each investor
- Get detailed description and contact info for each investor
Castle Placement Difference
Focused and Aligned
- Private placements for private companies
- Deep access to over 17,000 investors and 10,000 lenders
- Fee payable only upon successful transaction
- Bulge bracket capabilities and approach
- Understand transaction strengths and challenges
- Unique credit and structuring capabilities
Long term and recent successful deal experience
- Confidentiality always maintained
- No hidden agenda
- Not positioning for a sell-side mandate
- Understand time constraints
- Flexible in approach and process
- Lean and nimble
Services tailored to achieve best execution
Castle PlacementSM is dedicated to providing middle market companies with best-of-breed strategic access to the private equity and debt capital markets.
- Create best execution solutions based on our clients' specific needs.
Our world-class professionals from top-tier global investment banks provide expertise that had been previously unattainable by medium sized financial institutions.
Deep investor base combines both the larger institutions, typically associated with bulge bracket investment banks, and medium to smaller investors, typically associated with regional investment banks, creating unprecedented access for middle market companies.
Capital Raising Process
We become part of your capital raising team, and are involved throughout the entire process - from the initial strategic and financial review to a successful close.
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