IPO registrations (S-1, F-1) · Registrants
IPO underwriters in 2011
The investment banks named as underwriters in the final prospectus of every priced offering here, ranked by the gross proceeds of the deals they were on. A deal counts once for every firm in its underwriting syndicate; “as lead” counts the representatives or book-running managers named on the cover.
| # | Firm | Deals in 2011 | As lead in 2011 | Proceeds in 2011 | Deals | As lead | IPOs | Proceeds of deals | Proceeds as lead | Years | Registered |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | J.P. Morgan | 42 | 23 | $23,665,641,630 | 1,834 | 1,125 | 1,653 | $850,833,107,159 | $582,380,071,775 | 1994–2026 | |
| 2 | Morgan Stanley | 43 | 36 | $22,540,894,370 | 1,778 | 1,114 | 1,628 | $853,993,056,347 | $642,267,426,866 | 1994–2026 | |
| 3 | Citigroup | 40 | 24 | $21,144,907,212 | 1,955 | 1,012 | 1,749 | $863,586,166,716 | $458,163,431,706 | 1994–2026 | |
| 4 | BofA Securities | 31 | 3 | $20,989,223,921 | 1,320 | 460 | 1,219 | $700,572,400,056 | $245,621,770,026 | 1999–2026 | Broker-dealer |
| 5 | Deutsche Bank | 40 | 20 | $20,288,792,006 | 1,132 | 482 | 1,055 | $606,945,118,305 | $149,388,082,262 | 1996–2026 | |
| 6 | Barclays | 34 | 20 | $19,314,335,310 | 655 | 319 | 611 | $493,254,222,672 | $141,248,018,502 | 1996–2026 | |
| 7 | Credit Suisse | 30 | 16 | $18,854,002,212 | 1,525 | 870 | 1,389 | $1,036,626,860,231 | $684,156,126,306 | 1994–2023 | |
| 8 | Wells Fargo | 31 | 6 | $18,447,759,886 | 483 | 121 | 459 | $383,916,856,433 | $26,709,370,086 | 2000–2026 | |
| 9 | Goldman Sachs | 34 | 26 | $15,984,728,563 | 1,725 | 1,201 | 1,611 | $852,111,045,316 | $651,377,636,938 | 1994–2026 | |
| 10 | RBC Capital Markets | 35 | 6 | $11,878,887,961 | 888 | 206 | 846 | $475,312,436,779 | $36,489,794,969 | 1996–2026 | Broker-dealer |
| 11 | UBS | 18 | 8 | $10,917,209,462 | 1,036 | 435 | 958 | $847,708,399,241 | $129,848,621,178 | 1996–2026 | |
| 12 | Merrill Lynch | 27 | 20 | $10,796,397,645 | 1,259 | 674 | 1,104 | $409,094,353,035 | $223,441,632,689 | 1994–2024 | |
| 13 | HSBC | 4 | 0 | $9,051,142,864 | 156 | 18 | 146 | $220,952,796,847 | $42,788,330,946 | 1996–2025 | |
| 14 | BMO Capital Markets | 11 | 0 | $8,211,875,200 | 264 | 71 | 254 | $167,357,999,001 | $11,872,637,970 | 2000–2026 | Broker-dealer |
| 15 | BNP Paribas | 7 | 0 | $8,166,500,000 | 100 | 13 | 82 | $138,052,913,891 | $3,296,390,881 | 2000–2026 | |
| 16 | Raymond James | 24 | 8 | $7,587,049,858 | 956 | 127 | 887 | $354,038,723,325 | $11,234,205,352 | 1994–2026 | |
| 17 | Santander | 2 | 0 | $6,814,285,708 | 72 | 27 | 66 | $145,928,811,115 | $7,672,304,706 | 2004–2026 | |
| 18 | Baird | 19 | 2 | $4,989,160,459 | 608 | 86 | 566 | $185,990,583,027 | $9,212,644,519 | 1994–2026 | |
| 19 | Morgan Keegan | 9 | 0 | $4,946,169,000 | 272 | 37 | 241 | $50,851,091,350 | $1,187,489,130 | 1994–2012 | |
| 20 | William Blair | 18 | 0 | $4,938,589,965 | 870 | 144 | 821 | $315,616,203,797 | $11,874,232,644 | 1994–2026 | |
| 21 | Siebert Williams Shank | 6 | 0 | $4,563,737,350 | 207 | 1 | 197 | $245,620,103,156 | $3,025,000,000 | 1996–2026 | |
| 22 | Piper Sandler | 20 | 5 | $4,536,624,247 | 1,236 | 409 | 1,147 | $331,150,793,886 | $40,164,404,739 | 1994–2026 | |
| 23 | Stifel | 25 | 3 | $4,221,081,247 | 722 | 160 | 687 | $325,299,915,114 | $20,530,366,432 | 1994–2026 | |
| 24 | Lazard | 12 | 4 | $3,810,031,524 | 289 | 44 | 238 | $70,991,844,608 | $2,985,038,631 | 1994–2021 | |
| 25 | Simmons & Company | 6 | 0 | $3,661,448,000 | 97 | 10 | 91 | $29,259,850,210 | $1,687,748,115 | 1994–2021 | |
| 26 | Ramirez & Co. | 5 | 0 | $3,645,898,156 | 146 | 0 | 138 | $212,621,200,449 | - | 1996–2026 | |
| 27 | Jefferies | 15 | 5 | $3,473,130,230 | 931 | 460 | 873 | $248,961,487,693 | $94,846,011,859 | 1994–2026 | Broker-dealer |
| 28 | Loop Capital Markets | 4 | 0 | $3,461,653,156 | 170 | 7 | 160 | $199,788,011,717 | $690,352,719 | 1999–2026 | Broker-dealer |
| 29 | Oppenheimer | 18 | 1 | $3,455,777,299 | 674 | 128 | 605 | $158,412,465,252 | $19,302,370,805 | 1994–2026 | |
| 30 | Madison Williams | 3 | 0 | $3,201,998,000 | 5 | 0 | 3 | $3,237,307,089 | - | 2010–2011 | Broker-dealer |
| 31 | Pacific Crest Securities | 13 | 0 | $3,101,832,548 | 190 | 10 | 180 | $61,897,945,190 | $404,446,552 | 1996–2017 | Broker-dealer |
| 32 | Allen & Company | 9 | 0 | $2,972,470,826 | 215 | 30 | 204 | $114,286,973,810 | $9,209,693,064 | 1994–2026 | Broker-dealer |
| 33 | Mizuho | 3 | 0 | $2,911,253,156 | 125 | 19 | 119 | $283,974,494,845 | $11,271,533,141 | 2001–2026 | |
| 34 | Guggenheim Securities | 3 | 0 | $2,437,469,626 | 171 | 41 | 166 | $93,490,204,316 | $7,566,059,085 | 2011–2026 | Broker-dealer |
| 35 | Scotiabank | 7 | 0 | $2,295,934,224 | 122 | 8 | 98 | $130,530,260,255 | $1,907,810,307 | 1996–2026 | |
| 36 | CRT Capital Group LLC | 3 | 0 | $2,062,530,194 | 13 | 3 | 12 | $4,938,467,194 | $330,000,000 | 2005–2015 | Broker-dealer |
| 37 | Cowen | 11 | 1 | $1,961,724,822 | 1,086 | 380 | 1,005 | $275,620,128,907 | $48,288,490,860 | 1994–2026 | |
| 38 | Blaylock Van | 2 | 0 | $1,954,752,156 | 42 | 0 | 42 | $67,718,023,799 | - | 2010–2025 | Broker-dealer |
| 39 | Societe Generale | 4 | 0 | $1,864,000,030 | 71 | 2 | 64 | $141,936,287,727 | $818,000,000 | 1994–2026 | |
| 40 | Gleacher & Company Securities, Inc | 3 | 0 | $1,844,691,000 | 3 | 0 | 3 | $1,844,691,000 | - | 2011 | Broker-dealer |
| 41 | SMBC Nikko | 3 | 0 | $1,820,546,000 | 56 | 3 | 51 | $74,526,223,163 | $213,570,852 | 2003–2026 | |
| 42 | Credit Agricole CIB | 3 | 0 | $1,816,796,000 | 43 | 1 | 41 | $46,080,888,866 | $1,918,290,870 | 2010–2026 | |
| 43 | Truist Securities | 6 | 0 | $1,754,651,545 | 666 | 55 | 612 | $198,923,295,075 | $4,298,793,559 | 1994–2026 | Broker-dealer |
| 44 | Leerink Partners | 4 | 0 | $1,737,833,495 | 284 | 180 | 270 | $46,540,396,068 | $22,542,620,651 | 1996–2026 | Broker-dealer |
| 45 | Avondale Partners | 3 | 1 | $1,595,295,998 | 15 | 2 | 14 | $3,827,726,998 | $137,499,998 | 2002–2015 | Broker-dealer |
| 46 | Itau BBA | 2 | 1 | $1,563,516,496 | 21 | 12 | 17 | $28,598,025,876 | $9,609,049,807 | 2010–2026 | |
| 47 | UniCredit | 2 | 0 | $1,519,734,194 | 13 | 0 | 11 | $18,355,682,224 | - | 2011–2026 | |
| 48 | UniCredit Capital Markets LLC | 2 | 0 | $1,519,734,194 | 7 | 0 | 6 | $11,575,448,014 | - | 2011–2023 | Broker-dealer |
| 49 | SMBC Nikko Capital Markets Limited | 2 | 0 | $1,397,796,000 | 5 | 0 | 4 | $17,630,838,110 | - | 2010–2013 | |
| 50 | Sanford C. Bernstein | 2 | 0 | $1,394,691,000 | 66 | 0 | 63 | $62,718,126,870 | - | 1996–2021 | Broker-dealer |
| 51 | Howard Weil | 5 | 0 | $1,306,000,000 | 17 | 0 | 16 | $5,609,864,117 | - | 2005–2015 | Broker-dealer |
| 52 | ABN AMRO | 2 | 0 | $1,254,878,276 | 128 | 11 | 104 | $96,053,548,220 | $5,855,887,500 | 1996–2021 | Broker-dealer |
| 53 | Macquarie | 5 | 2 | $1,153,942,530 | 93 | 10 | 90 | $157,378,187,902 | $1,827,850,000 | 2005–2026 | |
| 54 | Cantor Fitzgerald | 3 | 1 | $1,140,275,000 | 290 | 208 | 280 | $148,315,660,003 | $43,264,715,382 | 1999–2026 | |
| 55 | Caris & Company | 2 | 1 | $1,099,296,000 | 7 | 1 | 7 | $1,447,193,730 | $16,500,000 | 2006–2011 | Broker-dealer |
| 56 | CastleOak Securities | 1 | 0 | $1,082,796,000 | 26 | 0 | 24 | $65,929,068,058 | - | 2010–2026 | Broker-dealer |
| 57 | Muriel Siebert & Co. | 1 | 0 | $1,082,796,000 | 56 | 0 | 55 | $119,826,248,703 | - | 1996–2025 | Broker-dealer |
| 58 | RBS Securities Inc | 1 | 0 | $1,082,796,000 | 7 | 0 | 7 | $6,712,489,313 | - | 2010–2014 | Broker-dealer |
| 59 | Susquehanna Financial Group, Lllp | 1 | 0 | $1,082,796,000 | 27 | 0 | 27 | $9,059,845,197 | - | 2005–2026 | Broker-dealer |
| 60 | ABN Amro Bank N.V | 1 | 0 | $990,000,000 | 6 | 0 | 4 | $1,359,475,000 | - | 1994–2011 | |
| 61 | FBR | 2 | 1 | $981,666,700 | 260 | 86 | 222 | $50,752,181,380 | $6,347,650,278 | 1996–2020 | |
| 62 | Ticonderoga Securities | 2 | 0 | $979,734,194 | 2 | 0 | 2 | $979,734,194 | - | 2011 | Broker-dealer |
| 63 | Nomura | 1 | 0 | $944,000,000 | 140 | 17 | 136 | $106,193,829,760 | $4,652,541,277 | 1994–2026 | |
| 64 | KBW | 2 | 0 | $933,000,000 | 238 | 82 | 207 | $106,915,406,728 | $7,590,672,812 | 1996–2026 | |
| 65 | KeyBanc Capital Markets | 6 | 0 | $899,989,405 | 471 | 23 | 422 | $121,771,160,950 | $4,836,932,204 | 1994–2026 | Broker-dealer |
| 66 | Tudor, Pickering, Holt | 3 | 0 | $826,000,000 | 55 | 1 | 55 | $25,767,021,581 | $165,000,000 | 2009–2022 | |
| 67 | Natixis | 3 | 0 | $811,000,000 | 29 | 0 | 29 | $21,900,477,851 | - | 2009–2026 | |
| 68 | Due from Federal Reserve Bank | 1 | 0 | $783,000,000 | 1 | 0 | 1 | $783,000,000 | - | 2011 | |
| 69 | Income tax receivable | 1 | 0 | $783,000,000 | 2 | 0 | 1 | $804,000,000 | - | 2010–2011 | |
| 70 | Gleacher & | 2 | 0 | $761,895,000 | 3 | 0 | 3 | $816,061,671 | - | 2010–2011 | |
| 71 | JMP Securities | 8 | 0 | $727,531,848 | 300 | 36 | 278 | $79,459,343,852 | $2,309,249,339 | 2002–2026 | Broker-dealer |
| 72 | Needham & Company | 5 | 0 | $648,030,058 | 620 | 68 | 578 | $184,600,883,648 | $6,704,277,840 | 1995–2026 | Broker-dealer |
| 73 | ThinkEquity | 7 | 0 | $637,158,657 | 109 | 69 | 96 | $6,592,715,620 | $2,292,006,760 | 2001–2026 | Broker-dealer |
| 74 | Canaccord Genuity | 8 | 1 | $602,741,096 | 261 | 21 | 246 | $78,170,972,676 | $1,654,839,102 | 2000–2026 | Broker-dealer |
| 75 | Evercore | 2 | 0 | $534,878,276 | 240 | 93 | 234 | $139,462,170,229 | $19,035,918,057 | 2011–2026 | |
| 76 | Houlihan Lokey | 1 | 0 | $529,734,194 | 18 | 0 | 17 | $6,854,461,321 | - | 2010–2026 | |
| 77 | Wunderlich Securities | 4 | 1 | $516,166,670 | 35 | 3 | 28 | $4,623,343,948 | $71,500,000 | 1998–2017 | Broker-dealer |
| 78 | BOSC, Inc | 3 | 0 | $511,000,000 | 4 | 0 | 4 | $786,000,000 | - | 2007–2011 | Broker-dealer |
| 79 | Tudor, Pickering, Holt & Co. Securities, Inc | 2 | 0 | $492,500,000 | 27 | 1 | 27 | $12,255,591,777 | $165,000,000 | 2010–2023 | Broker-dealer |
| 80 | Mitsubishi UFJ Securities | 2 | 0 | $483,100,000 | 17 | 0 | 16 | $33,473,791,096 | - | 2006–2014 | Broker-dealer |
| 81 | Maxim Group | 11 | 3 | $458,082,405 | 258 | 163 | 193 | $15,466,060,259 | $6,645,662,925 | 2004–2026 | Broker-dealer |
| 82 | Keegan | 1 | 0 | $450,000,000 | 3 | 0 | 3 | $735,750,000 | - | 2006–2011 | |
| 83 | DNB Markets | 3 | 0 | $426,375,000 | 33 | 4 | 33 | $11,902,979,222 | $199,768,632 | 2005–2023 | Broker-dealer |
| 84 | Moelis | 1 | 0 | $422,750,000 | 34 | 13 | 34 | $11,401,095,432 | $3,229,888,782 | 2010–2026 | |
| 85 | TD Securities | 3 | 1 | $421,600,000 | 95 | 23 | 81 | $112,006,343,067 | $7,848,498,204 | 1997–2026 | |
| 86 | Ladenburg Thalmann | 5 | 1 | $357,000,000 | 287 | 59 | 241 | $24,878,260,432 | $3,026,781,620 | 1994–2026 | |
| 87 | Global Coordinators and Joint Bookrunners | 1 | 0 | $314,285,708 | 3 | 0 | 2 | $674,285,708 | - | 2011–2024 | |
| 88 | Rose & | 1 | 0 | $307,200,000 | 2 | 0 | 2 | $700,950,000 | - | 2010–2011 | |
| 89 | Stephens | 1 | 0 | $300,000,000 | 340 | 50 | 316 | $74,700,375,007 | $4,392,667,745 | 1994–2026 | Broker-dealer |
| 90 | Capital One Southcoast | 2 | 0 | $297,500,000 | 9 | 0 | 8 | $3,072,088,112 | - | 2006–2013 | Broker-dealer |
| 91 | Bb&t Capital Markets | 1 | 0 | $297,500,000 | 49 | 3 | 39 | $13,092,031,136 | $421,740,000 | 2000–2018 | |
| 92 | Comerica Securities | 1 | 0 | $297,500,000 | 14 | 0 | 13 | $9,318,279,312 | - | 2007–2026 | Broker-dealer |
| 93 | Dahlman Rose | 3 | 0 | $294,075,000 | 25 | 2 | 22 | $6,131,537,376 | $262,200,000 | 2005–2012 | Broker-dealer |
| 94 | CICC | 3 | 0 | $283,230,000 | 53 | 30 | 52 | $63,839,055,401 | $10,320,685,800 | 2003–2026 | |
| 95 | ADSs Morgan Stanley & Co. International Limited | 1 | 0 | $247,977,000 | 10 | 0 | 10 | $3,946,958,790 | - | 2004–2021 | |
| 96 | Rodman & Renshaw | 7 | 2 | $243,733,000 | 86 | 33 | 62 | $2,813,761,716 | $522,525,200 | 1996–2017 | Broker-dealer |
| 97 | Roth Capital Partners | 10 | 10 | $213,791,680 | 237 | 139 | 181 | $16,227,031,099 | $4,561,817,705 | 1996–2026 | Broker-dealer |
| 98 | December 31 | 2 | 0 | $208,037,495 | 20 | 2 | 15 | $1,937,423,730 | $79,264,865 | 2004–2020 | |
| 99 | Sandler O'Neill & Partners L.P | 2 | 1 | $195,960,000 | 105 | 8 | 85 | $35,872,538,903 | $216,687,151 | 1997–2019 | Broker-dealer |
| 100 | Johnson Rice | 3 | 1 | $195,000,000 | 79 | 10 | 67 | $12,361,219,599 | $689,617,339 | 1994–2025 | |
| 101 | CIBC World Markets | 1 | 0 | $195,000,000 | 385 | 136 | 354 | $115,119,722,252 | $12,133,254,001 | 1999–2026 | Broker-dealer |
| 102 | FirstEnergy Capital | 1 | 0 | $195,000,000 | 2 | 0 | 1 | $195,000,000 | - | 1996–2011 | |
| 103 | Peters & Co. Limited | 1 | 0 | $195,000,000 | 1 | 0 | 1 | $195,000,000 | - | 2011 | |
| 104 | Janney Montgomery Scott | 3 | 0 | $189,452,561 | 375 | 19 | 335 | $65,973,878,591 | $588,649,081 | 1994–2025 | Broker-dealer |
| 105 | PNC Capital Markets, Inc | 1 | 0 | $185,600,000 | 41 | 0 | 34 | $30,128,451,725 | - | 2001–2026 | Broker-dealer |
| 106 | Sanders Morris Harris | 2 | 0 | $171,000,000 | 76 | 3 | 73 | $26,041,066,988 | $757,000,000 | 2000–2023 | Broker-dealer |
| 107 | WR Hambrecht + Co | 1 | 0 | $165,000,000 | 21 | 6 | 20 | $5,981,441,447 | $204,000,000 | 1999–2013 | |
| 108 | Raine Securities | 1 | 0 | $151,300,000 | 3 | 0 | 2 | $651,020,000 | - | 2011–2021 | Broker-dealer |
| 109 | Griffiths McBurney | 1 | 0 | $145,600,000 | 4 | 1 | 3 | $741,350,000 | $150,000,000 | 2008–2015 | Broker-dealer |
| 110 | NBF Securities (USA) | 1 | 0 | $145,600,000 | 2 | 0 | 1 | $145,600,000 | - | 2009–2011 | Broker-dealer |
| 111 | I-bankers Securities | 3 | 1 | $145,500,000 | 146 | 26 | 144 | $19,803,503,500 | $1,933,060,000 | 2000–2026 | |
| 112 | Cohen & Company Capital Markets | 2 | 1 | $139,200,000 | 22 | 19 | 22 | $3,968,264,000 | $3,418,064,000 | 2010–2026 | Broker-dealer |
| 113 | Accounts receivable — net | 1 | 0 | $133,000,000 | 12 | 1 | 11 | $1,324,906,710 | $60,900,000 | 1997–2023 | |
| 114 | CONSOLIDATED BALANCE SHEETS Successor December 31 | 1 | 0 | $133,000,000 | 1 | 0 | 1 | $133,000,000 | - | 2011 | |
| 115 | Chardan | 7 | 4 | $110,581,000 | 125 | 79 | 117 | $10,746,483,391 | $5,923,865,314 | 2005–2026 | |
| 116 | RS Platou Markets | 1 | 0 | $106,875,000 | 1 | 0 | 1 | $106,875,000 | - | 2011 | Broker-dealer |
| 117 | Rs Platou Markets As | 1 | 0 | $106,875,000 | 4 | 0 | 4 | $729,050,005 | - | 2011–2014 | |
| 118 | ADSs Piper Jaffray & Co | 1 | 0 | $89,125,000 | 1 | 0 | 1 | $89,125,000 | - | 2011 | |
| 119 | respectively | 2 | 0 | $88,957,495 | 5 | 0 | 4 | $604,857,495 | - | 2005–2018 | |
| 120 | Signal Hill | 1 | 0 | $87,700,000 | 7 | 0 | 7 | $861,712,148 | - | 2007–2011 | |
| 121 | Think Equity LLC | 1 | 0 | $82,500,000 | 1 | 0 | 1 | $82,500,000 | - | 2011 | |
| 122 | Morgan Joseph TriArtisan | 3 | 0 | $81,880,000 | 6 | 0 | 5 | $694,914,798 | - | 2011–2013 | Broker-dealer |
| 123 | EarlyBirdCapital | 3 | 2 | $79,308,000 | 102 | 64 | 101 | $10,714,473,248 | $7,164,680,000 | 2003–2026 | Broker-dealer |
| 124 | ADSs UBS AG | 1 | 0 | $77,000,000 | 2 | 0 | 2 | $200,200,000 | - | 2007–2011 | |
| 125 | Natixis Bleichroeder Inc | 1 | 0 | $77,000,000 | 4 | 0 | 4 | $858,375,000 | - | 2009–2011 | Broker-dealer |
| 126 | CODE Advisors | 1 | 0 | $73,952,561 | 6 | 1 | 6 | $2,960,152,561 | $200,000,000 | 2011–2021 | Broker-dealer |
| 127 | Odeon Capital Group | 1 | 0 | $70,000,000 | 23 | 7 | 23 | $5,623,000,000 | $2,001,000,000 | 2011–2026 | Broker-dealer |
| 128 | First Washington Corp | 1 | 0 | $69,240,000 | 1 | 0 | 1 | $69,240,000 | - | 2011 | Broker-dealer |
| 129 | Imperial Capital | 2 | 1 | $50,000,000 | 19 | 6 | 17 | $3,475,411,335 | $615,000,000 | 2011–2021 | Broker-dealer |
| 130 | Pareto Securities | 1 | 0 | $49,500,000 | 7 | 1 | 5 | $2,082,209,017 | $64,384,017 | 2010–2025 | Broker-dealer |
| 131 | Brean Murray, Carret & Co | 2 | 0 | $42,000,000 | 10 | 1 | 7 | $915,695,694 | $63,304,344 | 2006–2012 | Broker-dealer |
| 132 | Samsung Securities (Asia) | 1 | 0 | $42,000,000 | 5 | 0 | 5 | $21,234,676,553 | - | 1999–2011 | |
| 133 | Wedbush Securities | 1 | 0 | $42,000,000 | 268 | 14 | 249 | $59,488,729,244 | $638,246,416 | 1994–2026 | Broker-dealer |
| 134 | Cowen and Company, LLC 1.360,000 Canaccord Genuity Inc | 1 | 0 | $40,000,000 | 1 | 0 | 1 | $40,000,000 | - | 2011 | |
| 135 | Northland Securities | 1 | 1 | $25,065,000 | 76 | 16 | 58 | $8,740,150,759 | $905,317,114 | 2011–2026 | Broker-dealer |
| 136 | Broadband Capital Management Llc | 1 | 1 | $25,000,000 | 4 | 2 | 4 | $183,300,000 | $42,500,000 | 2000–2014 | Broker-dealer |
| 137 | Acumen Capital Finance Partners Limited | 1 | 0 | $24,000,000 | 1 | 0 | 0 | $24,000,000 | - | 2011 | |
| 138 | Sunrise Securities | 1 | 1 | $24,000,000 | 4 | 2 | 3 | $109,259,772 | $51,083,332 | 2011–2013 | Broker-dealer |
| 139 | Craig-Hallum | 1 | 0 | $21,250,000 | 63 | 25 | 49 | $13,333,638,494 | $1,668,424,189 | 1999–2026 | |
| 140 | Newbridge Securities | 1 | 1 | $16,500,000 | 22 | 5 | 18 | $610,054,077 | $60,100,000 | 2005–2024 | Broker-dealer |
| 141 | Renshaw, LLC | 1 | 0 | $16,500,000 | 2 | 0 | 1 | $21,500,001 | - | 2010–2011 | |
| 142 | Number Percent Special Situations Technology Fund, L.P | 1 | 1 | $15,229,500 | 1 | 1 | 0 | $15,229,500 | $15,229,500 | 2011 | |
| 143 | Cash and cash equivalents from discontinued operations | 1 | 0 | $13,920,000 | 1 | 0 | 0 | $13,920,000 | - | 2011 | |
| 144 | Restricted cash | 1 | 0 | $10,000,000 | 5 | 1 | 4 | $701,484,500 | $2,579,500 | 2006–2013 | |
| 145 | Aegis Capital | 1 | 0 | $6,300,000 | 95 | 59 | 66 | $3,794,392,482 | $2,128,266,664 | 1996–2026 | Broker-dealer |
| 146 | Capital Corp | 1 | 0 | $6,300,000 | 27 | 11 | 13 | $354,998,171 | $186,229,574 | 2007–2025 | |
| 147 | Gunnar & Co | 1 | 0 | $6,300,000 | 3 | 0 | 2 | $26,634,668 | - | 2011–2018 | |
| 148 | Joseph Gunnar | 1 | 1 | $6,300,000 | 54 | 15 | 37 | $2,145,879,253 | $139,297,498 | 2004–2026 | |
| 149 | Securities | 1 | 0 | $6,300,000 | 58 | 13 | 53 | $3,753,209,371 | $538,320,000 | 1996–2026 | |
| 150 | Table of | 1 | 0 | $6,300,000 | 16 | 3 | 9 | $1,131,405,000 | $3,015,000 | 2005–2018 | |
| 151 | Westpark Capital | 1 | 1 | $6,300,000 | 31 | 19 | 22 | $479,990,162 | $161,326,752 | 2008–2025 | Broker-dealer |
| 152 | Number of | 1 | 1 | $2,500,000 | 2 | 2 | 2 | $2,500,000 | $2,500,000 | 2011–2013 | |
| 153 | Financial Services Compensation Scheme of England | 1 | 1 | - | 1 | 1 | 0 | - | - | 2011 | |
| 154 | Tuohy Brothers | 1 | 0 | - | 3 | 0 | 3 | $1,825,000,000 | - | 2011–2025 |
154 firms active in 2011, up to 300. Proceeds are the gross proceeds of the whole deal (price times shares sold), not the firm’s own allocation. “Registered” marks firms matched by name to the SEC’s broker-dealer list.
Data: SEC EDGAR. The quarterly full index (every S-1, S-1/A, F-1 and F-1/A since 1993, with the pricing prospectus, notice of effectiveness and withdrawal request of each registrant) and the company submissions data (SIC, state of incorporation, address, EIN, tickers, former names). Offering terms are read from the cover pages of the registrant's final prospectus (424B4, 424B1) and its latest registration statement before pricing: the price range, the final price, shares offered, gross proceeds (the cover's total, else price times shares), exchange and ticker, and the underwriters named on the cover and in the underwriting table (loader/s1_terms.py). Underwriter names are normalised, so Goldman, Sachs & Co. of 1999 and Goldman Sachs & Co. LLC of 2024 are one firm.