Products and Services
Products and Services

CastleOak's expertise is unsurpassed, with our seasoned professionals providing superior service in the following sectors:

  • Equity Capital Markets
  • Equity Sales & Trading
  • Debt Capital Markets
  • Fixed Income Sales & Trading
  • Financial Advisory
  • Money Fund Access

Equity Capital Markets

CastleOak provides a full suite of Equity Capital Markets services to our institutional clients. The firm’s Equity Capital Markets group oversees the firm’s activities in the new issue equity and equity-linked securities markets. Our role encompasses origination, execution and after-market services, and our focus is solely on delivering superior investment ideas, creative strategies, exceptional market intelligence and outstanding execution to our clients.

Our capabilities include:

  • Initial public offerings
  • Follow on offerings
  • Non-Deal Roadshows
  • Private investment in public equity (PIPEs)
  • Private Placements

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Equity Sales & Trading

Our Equity Sales & Trading team possesses a broad base of trading experience, enabling it to effectively execute trades on our client’s behalf with minimal market impact. We are dedicated to developing customer relationships for the long term, allowing us to develop the vast network of institutional accounts that we service:

  • Corporations
  • Hedge Funds
  • Insurance Companies
  • Mutual Funds
  • Pension Funds
  • Public Funds

Our trading desk has the capacity to monitor multiple program trading strategies simultaneously and to set parameters for execution strategies in multiple asset classes. Our infrastructure allows execution of pairs, market-neutral and dollar neutral strategies with access to major ECNs, exchanges and Alternative Trading Systems (ATS). Orders are electronically traded to blend anonymously into the overall trading flow, resulting in a reduced footprint in the marketplace.

CastleOak’s suite of services includes:

  • 24/6 Global Markets Coverage
  • Portfolio, Pairs & Single Stock Trading
  • Direct Execution Algorithms
  • Share Repurchase
  • Transaction Cost Analysis
  • Pre-Trade & Post-Trade Analytics
  • Transition Management

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Debt Capital Markets

CastleOak provides a full suite of debt capital markets services to our clients. CastleOak Securities underwrites, distributes, and trades a full range of fixed income products. The strength of our firm lies in our strong capital position coupled with excellent underwriting and distribution capabilities. As active players in various credit products our debt capital markets team links the firm’s Corporate Finance clients with a broad array of buy-side clients who invest in their securities.

CastleOak’s Debt Capital Markets team presents clients with the most appropriate financing solutions for their specific needs. We also provide market intelligence to clients through a regularly-published newsletter highlighting recent trends and transactions. CastleOak takes a proactive approach by analyzing information and credit statistics for each client to better provide timely and relevant solutions. This value added approach positions CastleOak to undertake and execute manager level responsibilities in clients’ bond offerings.

CastleOak Recent Transaction here

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Fixed Income Sales & Trading

Our Fixed Income Sales and Trading team’s expertise is extensive and is devoted to the distribution of a full array of fixed income products and ideas to our clients. The group also engages in secondary market transactions across products and ratings spectrum including:

  • Asset Backed (including Credit Cards, Student Loans, Autos, Dealer Floorplans, etc.)
  • CMBS
  • CMO/pass throughs
  • Corporate Bonds
  • Government/Agencies
  • Mortgage Backed Securities
  • High Yield Securities
  • DirectPool™ is CastleOak’s proprietary electronic bond trading platform powered by Bloomberg. DirectPool™ is a reliable liquidity pool for many of the nation’s largest investment managers and bond dealers

Our Fixed Income Sales & Trading professionals cover a wide range of clients including:

  • Banks
  • Corporations
  • Hedge Funds
  • Insurance Companies
  • Investment Advisors
  • Mutual Funds
  • Pension Funds
  • Public Funds

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Financial Advisory

CastleOak’s Advisory practice combines the transaction experience, industry expertise and capabilities of a larger investment bank with the focus, dedication, and senior level attention of a boutique practice.

CastleOak leverages the strong relationships with many of our capital market clients, Fortune 500 companies and bulge bracket firms, providing our Advisory team access to our niche of lower middle market assignments within their portfolios. Additionally, we leverage strategic relationships in the Telecom, Media and global infrastructure sectors to efficiently source opportunities.

Our cohesive group of professionals has more than 80 years of collective experience and more than $200 billion of financial and strategic transactions to their credit over the past decade.

Our advisory team possesses deep domain experience in industrial/infrastructure, media and communications, and financial services. Our strategic partnership adds global reach and expertise in additional industries that complement CastleOak’s ability to successfully complete transactions for our clients.

CastleOak is specially positioned to execute complex Buy and Sell assignments for small to middle market companies. With a typical transaction size of deals (e.g., sweet spot) with Enterprise Value less than $100 million, CastleOak’s Advisory team is prepared to assist its clients’ sourcing and execution of bolt-on acquisitions on an on-call adjunct basis.

  • Mergers, Acquisitions, and Divestitures
  • Leveraged Buyouts / Management Buyouts
  • Specialty Financings
  • Restructuring
  • Strategic Reviews
  • Fairness Opinions

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Money Fund Access

Money Fund Access is a web-based portal (or access point) that provides institutional clients with the ability to purchase and sell money market funds in an extremely efficient manner. Money Fund Access customers have consolidated access to multiple money market funds and to advanced researching and reporting tools.


  • Secure access to one of the largest selection of funds through one agreement, one account, one wire, one statement
  • Ability to research, compare and filter funds based on multiple data points such as AUM, yield, expenses, fund category and others
  • Access to fund information, prospectuses, annual reports, holdings and fact sheets
  • Universe of approved funds defined by the investor
  • Robust and flexible reporting system allows investors to easily find, integrate and disseminate information
  • Allows investors to trade with anonymity or to maintain relationships with fund providers
  • Customizable screens, reports and data searching to fit individual investor needs
  • Ability to integrate Money Fund Access into most existing workstreams
  • Pre-trade compliance rules that are refi ned by the investor
  • On-line access to seven years of historical information
  • Cash is wired from investor’s account directly to State Street Bank, the portal’s custodian
  • Leverages the technology of State Street Bank’s Globallink FundConnect platform
  • Investor’s yield is the same as if invested directly with the fund – there are no additional fees

For more information please call (212) 610-5597 or email

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