Chatsworth Securities LLC · FINRA Member · SEC Registered Broker-Dealer · Greenwich, CT · Est. 1996
Global Investment Banking: M&A, Private Placements, and Strategic Transactions.
Chatsworth Securities is a FINRA-member, SEC-registered boutique investment bank, founded in 1996 and headquartered in Greenwich, Connecticut, advising companies, boards, sponsors, and institutional investors on mergers and acquisitions, rights offerings, private placements, and cross-border strategic transactions across North America, South America, Europe, and Asia/Pacific.
Chatsworth Securities works exclusively with institutional clients and qualified investors
Why Chatsworth Securities
Why do boards and institutions choose Chatsworth Securities?
Four commitments that define how Chatsworth Securities operates — and why institutional clients choose the firm over larger banks and sector specialists.
01
MD-Level Attention, Origination to Close
Every mandate is staffed with Managing Director capacity from origination through close. No associate handoffs, no coverage-to-execution transitions. The senior banker who pitches the deal is the banker who closes it.
02
Multi-Jurisdiction Execution
Transaction experience includes engagements involving counterparties, advisors, and investors across the United States, Europe, the United Kingdom, Latin America, and Asia-Pacific. Cross-border transactions may involve coordination with local legal, tax, and regulatory advisors, as appropriate to the scope and jurisdiction of the engagement.
03
Four Disciplines, One Mandate
M&A advisory, private placements, and private funds advisory experience may be integrated within a single engagement process, depending on the scope of the assignment. Transaction sequencing and structural considerations are evaluated based on each client engagement.
04
Institutional-Only Engagements
Engagements are focused on qualified institutional buyers and corporate clients rather than retail investors. This institutional focus shapes the firm’s approach to counterparties, transaction processes, and execution across client engagements.
The Firm
An introduction to Chatsworth Securities — our history, practices, and approach to institutional investment banking.
Produced for prospective institutional clients and counterparties. Three minutes covering the firm's founding, practice areas, geographic reach, and transaction philosophy.
What are Chatsworth's six practice disciplines?
Senior-led · Origination through close
01
Mergers & Acquisitions
Strategic M&A advisory for buyers, sellers, and boards. Cross-border transaction structuring across the US, Europe, and Latin America.
Explore M&A Advisory →02
Private Placements
Institutional placement of equity and debt securities and alternative investment funds with qualified institutional investors. Domestic and cross-border mandates.
View Private Placements →03
Private Funds Advisory
Capital raising for hedge funds, private equity, real assets, and specialty alternative investment strategies. Institutional LP outreach across North America and Europe.
GP Advisory →04
Closed-End Fund Rights Offerings
Financial advisor to closed-end fund boards & sponsors on rights offering analysis, structure, board support, and execution.
Rights Offering Advisory →05
Energy Transition
M&A and capital raising for renewable energy, green hydrogen, energy storage, and sustainable fuels. Cross-border mandates across the US, Europe, and Latin America.
Energy Transition Advisory →06
Technology & Applied AI
M&A and capital raising for technology companies — applied AI, enterprise software, SaaS, and fintech. US-Europe cross-border mandates.
Technology Advisory →Selected Experience
What are Chatsworth
Securities' representative
mandates?
Mandates executed by Chatsworth Securities LLC. Client identities and certain details withheld in accordance with confidentiality obligations.
Past transaction experience does not guarantee future results. All engagements subject to applicable securities laws. Page last updated April 2026.
Technology
M&A Advisory
Cross-border acquisition advisory for an applied AI and SaaS platform. US strategic acquirer, European target, multi-jurisdictional transaction structuring
United States · Europe · Confidential
Clean Energy
Private Placement
Equity private placement for a Nordic green hydrogen and renewable fuels developer — US institutional investor syndicate
Nordic region · United States · EUR 18M+
Alternative Assets
GP Advisory & Capital Formation
GP advisory and LP capital formation for an emerging market private equity fund — institutional investor outreach across North America and Europe
Global · Institutional investors
Commercial Real Estate
Equity & Debt Capital Raise
Equity and debt capital raise for a multi-asset commercial real estate portfolio across Mexico, Brazil, and Colombia — institutional equity and structured debt
Latin America · Multi-market
Closed-End Funds
Capital Markets
Rights offering for the Reaves Utility Income Fund — the largest closed-end fund rights offering on record at time of execution
United States · $428M
Maritime & Energy
Structured Finance
Structured debt financing for shipping and energy infrastructure assets — cross-border bank syndication across European and Asian counterparties
Europe · Asia · Cross-border
Senior Leadership
Who leads a Chatsworth
Securities mandate?
Clients work directly with senior professionals across origination, positioning, execution, and closing. There are no layers between the client and the banker responsible for the mandate.
View all 34 professionals →
Ralph DiFiore, CFA
Senior Managing Director
Lee M. Gerkin
Senior Managing Director
Insights
Perspectives on markets,
transactions, and capital.
M&A Advisory
Cross-Border M&A in 2026: What Boards Need to Anticipate
→
Private Capital
Private Capital in a More Selective Market: How Sponsors Are Repositioning
→
Cross-Border Strategy
What European Companies Misjudge About US Capital Access and Investor Expectations
→
Chatsworth Securities LLC · Institutional Investment Banking
What are you
trying to accomplish?
Reach a senior member of the team directly. All initial conversations are confidential.
Frequently Asked Questions
Key Questions Companies Ask Before Hiring an Investment Bank
The questions below address the practical issues companies, founders, shareholders, and boards consider when evaluating an investment bank for M&A advisory, capital formation, strategic alternatives, and cross-border execution. They are designed to clarify when outside advisory support becomes valuable, what matters in selecting an advisor, and how Chatsworth helps clients prepare for important financial and strategic decisions.
When should a company hire an investment bank?
What does Chatsworth Securities do?
Is Chatsworth Securities registered with FINRA and the SEC?
Should we hire an investment bank, M&A advisor, or business broker?
How does an investment bank help improve valuation and transaction outcomes?
How do we know if our company is ready for a sale or capital raise?
How does Chatsworth protect confidentiality during a process?
Can Chatsworth help European or international companies access U.S. investors or buyers?
How does Chatsworth differ from a bulge bracket investment bank?
How do I contact Chatsworth Securities?