Investment Banking

As a full-service investment bank specializing in healthcare, biotechnology, technology and clean tech, we provide one of the highest levels of expertise available combined with responsive personal service and integrity.

By investing the time required to completely understand your business, we’re able to provide an appropriate capital transaction structure and strategy. Our team will assist in crafting your vision and shaping your message for the capital markets.

Our goal is to enable your transaction to be completed quickly and efficiently, regardless of the complexity of your business or underlying technology

Even after closing, Dawson James Securities remains a partner in providing continuous support and getting you to the next level of success. Call us today to find out how we can fulfill your next capital transaction.

Dawson James Securities utilizes its unique Diversified Investor Offering™ (DIO) strategy for Capital Raising

Our DIO process provides a combination of capital market benefits for our clients that can enhance competitive pricing in equity financing, and a potentially stronger share price at issuance.

The DIO provides customized concurrent access to both retail and institutional investors and positions the issuer for the best offering terms depending on where the stronger interest exists.

The DIO process targets completion with a larger number of investors rather than the typical small number of institutional investors, thus typically increasing the number of trading shareholders often helping the Issuer to meet the requirements to Uplist to a higher exchange.

We offer a full range of corporate financial services including:


  • Follow-ons
  • IPOs
  • Secondaries
  • Rights

Strategic Advisory

  • Buy-side / sell-side advisory
  • Restructuring
  • Valuations / fairness opinion

Private Placements

  • Common stock / convertible notes
  • Registered directs
  • Preferred stock
  • Units (common stock / warrants)
  • Bridge loans