What does Castle Placement do?

Castle Placement is a FINRA/SIPC-registered boutique investment bank that raises capital and finds loans for middle-market companies and alternative asset managers, ranging from $5 million to $1 billion.

What sectors does Castle Placement cover?

Castle Placement covers real estate, specialty finance, technology, fintech, life sciences, healthcare, consumer, retail, energy, infrastructure, manufacturing, artificial intelligence, e-commerce, ad-tech, ag-tech, gaming, esports, digital health, and pet care.

How large is Castle Placement's investor network?

Castle Placement maintains a network of over 110,000 institutional investors and 600,000 accredited investors including private equity, venture capital, family offices, pension funds, endowments, sovereign wealth funds, hedge funds, and lenders.

CPGO is Castle Placement's proprietary AI-powered platform that identifies, ranks, and matches deals with the most relevant institutional investors from their network of 110,000+.

What is Castle Placement's typical deal size?

Castle Placement works on capital raises ranging from $5 million to $1 billion for middle-market companies and alternative asset managers.

Is Castle Placement a registered broker-dealer?

Yes. Castle Placement, LLC is a registered broker-dealer and member of FINRA and SIPC, headquartered at 1460 Broadway, Suite 400, New York, NY 10036.

Who are the Managing Partners of Castle Placement?

Castle Placement's Managing Partners are Ken Margolis and Richard Luftig, both experienced investment bankers with backgrounds at top-tier global financial institutions.

Where is Castle Placement located?

Castle Placement is headquartered in New York City with offices in Boston, Dallas, Detroit, Houston, Los Angeles, Miami, and Washington DC.

How is Castle Placement different from other placement agents?

Castle Placement combines 40+ senior investment bankers with a proprietary AI platform (CPGO) that actively matches issuers with the right investors from a network of 110,000+. Every deal is led end-to-end by senior bankers with no junior handoffs.

What types of capital does Castle Placement raise?

Castle Placement raises equity, debt, mezzanine, and structured capital via Reg D, Reg A+, and Regulation Crowdfunding for private companies and funds.

How long does a capital raise take with Castle Placement?

Timing varies by sector and structure. A Reg D raise can go to market in approximately 3 weeks, while Reg A+ takes around 6 months. Castle's disciplined process and prepared materials help shorten outreach and negotiation cycles.

Does Castle Placement work with early stage companies?

Yes. Castle Placement works with companies at various stages including early stage, growth stage, and established middle-market companies across all sectors.

How does Castle Placement find the right investors for a deal?

Castle uses its proprietary CPGO AI platform to identify and rank investors by sector, stage, check size, and historical transactions. Senior bankers then refine the list, lead outreach, and manage investor engagement through closing.

When was Castle Placement founded?

Castle Placement was founded in 2009, formerly known as StoneCastle Placement, and has since completed over 169 transactions across all sectors.

About-Menu | Castle Placement®

Castle Placement

Broker-Dealer · FINRA / SIPC Member

Castle Placement®

Founded in 2009*, Castle Placement® raises capital and arranges loans for your private company.

Over 100,000 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 Placement® understands the challenges you face, and provides you with a world-class team of professionals from top-tier global investment banks.

Castle Placement® is a broker-dealer and a member of FINRA and SIPC. Racial Equity Capital

* Castle Placement Group, LLC, the parent company of Castle Placement, LLC, changed its name (from StoneCastle Placement) in 2015. StoneCastle Placement deals were placed through StoneCastle Securities, LLC.

Our Team

Leadership

Your capital raising team will be led by Ken Margolis and Richard Luftig, Managing Partners.

Each has over 35 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 Placement®. 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 35 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 Reach

Our Investor Network

Over 60,000 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

100K+

Investors

Platform

Our Technology

Castle Placement's proprietary CPGO® 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

CPGO® 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

CPGO® 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 100,000 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

Interactive Platform

CPGO V 3.0

CPGO®, an interactive platform for companies to access capital and investors to find innovative companies.

For Investors

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

For Issuers

See the status and interact with all of the investors interested in your transaction, in real-time

You and Castle Placement® are completely coordinated on, and aware of, all interaction/follow-up/status changes with investors

Get detailed description and contact info for each investor

The Difference

Why Castle Placement®

Castle Placement® Difference

Focused and Aligned

Private placements for private companies

Deep access to over 100,000 investors - private equity, venture capital, strategic, family offices, pension funds, foundations, endowments, sovereign wealth funds, hedge funds and lenders

Experienced

Bulge bracket capabilities and approach

Understand transaction strengths and challenges

Unique credit and structuring capabilities

Trustworthy

Confidentiality always maintained

No hidden agenda

Team Oriented

Understand time constraints

Flexible in approach and process

Lean and nimble

What We Offer

Our Services

Services tailored to achieve best execution

Castle Placement® 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 companies seeking to raise capital.

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.

How We Work

Our Process

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.

Our transaction process is carefully orchestrated to package, create and maintain a competitive environment, minimize demands on management, assist in negotiating with investor(s), and ultimately securing capital that best fits your needs and objectives.

We provide you with objective advice, guidance, and realistic expectations for transaction terms and timing.