IPO registrations (S-1, F-1) · Registrants
IPO underwriters in 2016
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 2016 | As lead in 2016 | Proceeds in 2016 | Deals | As lead | IPOs | Proceeds of deals | Proceeds as lead | Years | Registered |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | J.P. Morgan | 33 | 25 | $11,735,411,614 | 1,834 | 1,125 | 1,653 | $850,833,107,159 | $582,380,071,775 | 1994–2026 | |
| 2 | Goldman Sachs | 32 | 27 | $10,968,496,847 | 1,725 | 1,201 | 1,611 | $852,111,045,316 | $651,377,636,938 | 1994–2026 | |
| 3 | Credit Suisse | 32 | 17 | $10,690,436,832 | 1,525 | 870 | 1,389 | $1,036,626,860,231 | $684,156,126,306 | 1994–2023 | |
| 4 | Morgan Stanley | 26 | 18 | $10,036,192,701 | 1,778 | 1,114 | 1,628 | $853,993,056,347 | $642,267,426,866 | 1994–2026 | |
| 5 | Citigroup | 29 | 17 | $9,716,501,857 | 1,955 | 1,012 | 1,749 | $863,586,166,716 | $458,163,431,706 | 1994–2026 | |
| 6 | Deutsche Bank | 25 | 11 | $8,400,355,188 | 1,132 | 482 | 1,055 | $606,945,118,305 | $149,388,082,262 | 1996–2026 | |
| 7 | BofA Securities | 23 | 3 | $7,794,183,517 | 1,320 | 460 | 1,219 | $700,572,400,056 | $245,621,770,026 | 1999–2026 | Broker-dealer |
| 8 | Merrill Lynch | 17 | 11 | $7,246,084,364 | 1,259 | 674 | 1,104 | $409,094,353,035 | $223,441,632,689 | 1994–2024 | |
| 9 | Wells Fargo | 18 | 2 | $6,058,853,872 | 483 | 121 | 459 | $383,916,856,433 | $26,709,370,086 | 2000–2026 | |
| 10 | Barclays | 23 | 12 | $4,686,532,972 | 655 | 319 | 611 | $493,254,222,672 | $141,248,018,502 | 1996–2026 | |
| 11 | UBS | 15 | 5 | $3,356,456,365 | 1,036 | 435 | 958 | $847,708,399,241 | $129,848,621,178 | 1996–2026 | |
| 12 | Truist Securities | 12 | 0 | $2,994,906,639 | 666 | 55 | 612 | $198,923,295,075 | $4,298,793,559 | 1994–2026 | Broker-dealer |
| 13 | Raymond James | 18 | 1 | $2,955,520,363 | 956 | 127 | 887 | $354,038,723,325 | $11,234,205,352 | 1994–2026 | |
| 14 | Stifel | 19 | 5 | $2,953,303,975 | 722 | 160 | 687 | $325,299,915,114 | $20,530,366,432 | 1994–2026 | |
| 15 | Piper Sandler | 20 | 9 | $2,878,528,967 | 1,236 | 409 | 1,147 | $331,150,793,886 | $40,164,404,739 | 1994–2026 | |
| 16 | RBC Capital Markets | 18 | 5 | $2,860,653,335 | 888 | 206 | 846 | $475,312,436,779 | $36,489,794,969 | 1996–2026 | Broker-dealer |
| 17 | Jefferies | 19 | 9 | $2,803,961,666 | 931 | 460 | 873 | $248,961,487,693 | $94,846,011,859 | 1994–2026 | Broker-dealer |
| 18 | KeyBanc Capital Markets | 11 | 1 | $2,736,319,985 | 471 | 23 | 422 | $121,771,160,950 | $4,836,932,204 | 1994–2026 | Broker-dealer |
| 19 | Baird | 13 | 1 | $2,604,309,997 | 608 | 86 | 566 | $185,990,583,027 | $9,212,644,519 | 1994–2026 | |
| 20 | Guggenheim Securities | 8 | 0 | $2,564,813,510 | 171 | 41 | 166 | $93,490,204,316 | $7,566,059,085 | 2011–2026 | Broker-dealer |
| 21 | William Blair | 15 | 2 | $2,382,891,666 | 870 | 144 | 821 | $315,616,203,797 | $11,874,232,644 | 1994–2026 | |
| 22 | BMO Capital Markets | 8 | 3 | $2,293,628,863 | 264 | 71 | 254 | $167,357,999,001 | $11,872,637,970 | 2000–2026 | Broker-dealer |
| 23 | Evercore | 4 | 1 | $2,121,905,005 | 240 | 93 | 234 | $139,462,170,229 | $19,035,918,057 | 2011–2026 | |
| 24 | Macquarie | 3 | 0 | $2,027,275,000 | 93 | 10 | 90 | $157,378,187,902 | $1,827,850,000 | 2005–2026 | |
| 25 | Nomura | 3 | 1 | $1,730,766,661 | 140 | 17 | 136 | $106,193,829,760 | $4,652,541,277 | 1994–2026 | |
| 26 | Stephens | 8 | 0 | $1,649,375,617 | 340 | 50 | 316 | $74,700,375,007 | $4,392,667,745 | 1994–2026 | Broker-dealer |
| 27 | ING | 3 | 0 | $1,607,522,223 | 119 | 74 | 112 | $134,859,322,258 | $90,075,353,918 | 1996–2026 | |
| 28 | China Renaissance | 2 | 2 | $1,598,450,000 | 42 | 18 | 42 | $27,079,103,380 | $7,227,317,000 | 2013–2023 | |
| 29 | China Renaissance Securities (Hong Kong) Limited | 2 | 2 | $1,598,450,000 | 28 | 12 | 28 | $14,915,566,780 | $4,280,475,000 | 2013–2023 | Broker-dealer |
| 30 | Cowen | 17 | 10 | $1,597,397,961 | 1,086 | 380 | 1,005 | $275,620,128,907 | $48,288,490,860 | 1994–2026 | |
| 31 | Fifth Third Securities | 3 | 0 | $1,445,958,327 | 29 | 0 | 27 | $17,673,868,215 | - | 1999–2026 | Broker-dealer |
| 32 | PNC Capital Markets, Inc | 4 | 0 | $1,357,500,004 | 41 | 0 | 34 | $30,128,451,725 | - | 2001–2026 | Broker-dealer |
| 33 | Tudor, Pickering, Holt | 4 | 0 | $1,290,783,327 | 55 | 1 | 55 | $25,767,021,581 | $165,000,000 | 2009–2022 | |
| 34 | Canaccord Genuity | 16 | 1 | $1,196,880,006 | 261 | 21 | 246 | $78,170,972,676 | $1,654,839,102 | 2000–2026 | Broker-dealer |
| 35 | Scotiabank | 3 | 0 | $1,189,500,000 | 122 | 8 | 98 | $130,530,260,255 | $1,907,810,307 | 1996–2026 | |
| 36 | Oppenheimer | 4 | 0 | $1,153,655,000 | 674 | 128 | 605 | $158,412,465,252 | $19,302,370,805 | 1994–2026 | |
| 37 | Joint Lead Managers and Bookrunners | 1 | 0 | $1,149,400,000 | 1 | 0 | 1 | $1,149,400,000 | - | 2016 | |
| 38 | Leerink Partners | 7 | 4 | $1,149,030,005 | 284 | 180 | 270 | $46,540,396,068 | $22,542,620,651 | 1996–2026 | Broker-dealer |
| 39 | Natixis | 2 | 0 | $1,122,522,212 | 29 | 0 | 29 | $21,900,477,851 | - | 2009–2026 | |
| 40 | Delivery of | 2 | 0 | $1,113,222,212 | 10 | 0 | 8 | $1,708,083,600 | - | 2010–2020 | |
| 41 | BTIG | 8 | 0 | $1,070,980,006 | 202 | 85 | 193 | $70,227,608,092 | $16,343,258,546 | 2013–2026 | Broker-dealer |
| 42 | KKR Capital Markets LLC | 1 | 0 | $1,022,222,212 | 14 | 4 | 12 | $6,724,650,208 | $1,023,100,000 | 2009–2025 | Broker-dealer |
| 43 | Rabobank | 1 | 0 | $1,022,222,212 | 9 | 0 | 8 | $5,429,182,981 | - | 2009–2026 | |
| 44 | Rabo Securities | 1 | 0 | $1,022,222,212 | 11 | 0 | 11 | $6,179,286,324 | - | 1996–2026 | |
| 45 | I-bankers Securities | 4 | 1 | $1,010,000,000 | 146 | 26 | 144 | $19,803,503,500 | $1,933,060,000 | 2000–2026 | |
| 46 | KBW | 5 | 2 | $965,592,312 | 238 | 82 | 207 | $106,915,406,728 | $7,590,672,812 | 1996–2026 | |
| 47 | Mizuho | 2 | 0 | $941,250,000 | 125 | 19 | 119 | $283,974,494,845 | $11,271,533,141 | 2001–2026 | |
| 48 | Pacific Crest Securities | 7 | 1 | $899,320,000 | 190 | 10 | 180 | $61,897,945,190 | $404,446,552 | 1996–2017 | Broker-dealer |
| 49 | JMP Securities | 8 | 0 | $818,000,000 | 300 | 36 | 278 | $79,459,343,852 | $2,309,249,339 | 2002–2026 | Broker-dealer |
| 50 | BNP Paribas | 2 | 1 | $766,250,011 | 100 | 13 | 82 | $138,052,913,891 | $3,296,390,881 | 2000–2026 | |
| 51 | SMBC Nikko | 3 | 0 | $728,050,000 | 56 | 3 | 51 | $74,526,223,163 | $213,570,852 | 2003–2026 | |
| 52 | Scotia Howard Weil | 2 | 0 | $693,750,000 | 14 | 0 | 14 | $5,901,495,010 | - | 2015–2018 | |
| 53 | Needham & Company | 10 | 1 | $684,140,008 | 620 | 68 | 578 | $184,600,883,648 | $6,704,277,840 | 1995–2026 | Broker-dealer |
| 54 | Cantor Fitzgerald | 5 | 1 | $669,500,004 | 290 | 208 | 280 | $148,315,660,003 | $43,264,715,382 | 1999–2026 | |
| 55 | Simmons & Company | 3 | 0 | $657,450,000 | 97 | 10 | 91 | $29,259,850,210 | $1,687,748,115 | 1994–2021 | |
| 56 | Ramirez & Co. | 2 | 0 | $643,375,000 | 146 | 0 | 138 | $212,621,200,449 | - | 1996–2026 | |
| 57 | ABN AMRO | 1 | 0 | $633,333,327 | 128 | 11 | 104 | $96,053,548,220 | $5,855,887,500 | 1996–2021 | Broker-dealer |
| 58 | BOK Financial Securities, Inc | 1 | 0 | $633,333,327 | 4 | 0 | 4 | $1,327,442,033 | - | 2016–2022 | Broker-dealer |
| 59 | Heikkinen Energy Advisors | 1 | 0 | $633,333,327 | 2 | 0 | 2 | $760,833,327 | - | 2016–2017 | |
| 60 | Wunderlich Securities | 4 | 1 | $609,750,000 | 35 | 3 | 28 | $4,623,343,948 | $71,500,000 | 1998–2017 | Broker-dealer |
| 61 | HSBC | 2 | 0 | $585,300,011 | 156 | 18 | 146 | $220,952,796,847 | $42,788,330,946 | 1996–2025 | |
| 62 | Tudor, Pickering, Holt & Co. Securities, Inc | 2 | 0 | $528,750,000 | 27 | 1 | 27 | $12,255,591,777 | $165,000,000 | 2010–2023 | Broker-dealer |
| 63 | Credit Agricole CIB | 2 | 0 | $492,500,004 | 43 | 1 | 41 | $46,080,888,866 | $1,918,290,870 | 2010–2026 | |
| 64 | Banco Santander S.A | 1 | 0 | $485,000,011 | 1 | 0 | 1 | $485,000,011 | - | 2016 | |
| 65 | BBVA Securities Inc | 1 | 0 | $485,000,011 | 7 | 0 | 6 | $22,022,394,917 | - | 2001–2023 | Broker-dealer |
| 66 | Commerzbank | 1 | 0 | $485,000,011 | 12 | 1 | 9 | $26,936,387,498 | $193,700,000 | 2000–2023 | |
| 67 | Commerz Markets LLC | 1 | 0 | $485,000,011 | 8 | 0 | 6 | $25,742,687,498 | - | 2010–2023 | Broker-dealer |
| 68 | Santander | 1 | 0 | $485,000,011 | 72 | 27 | 66 | $145,928,811,115 | $7,672,304,706 | 2004–2026 | |
| 69 | Chardan | 6 | 4 | $479,000,000 | 125 | 79 | 117 | $10,746,483,391 | $5,923,865,314 | 2005–2026 | |
| 70 | First Analysis Securities | 2 | 0 | $437,500,000 | 53 | 1 | 49 | $5,789,571,611 | $20,000,020 | 1996–2018 | Broker-dealer |
| 71 | Allen & Company | 2 | 0 | $437,211,298 | 215 | 30 | 204 | $114,286,973,810 | $9,209,693,064 | 1994–2026 | Broker-dealer |
| 72 | Capital One Securities | 1 | 0 | $412,500,000 | 43 | 1 | 41 | $22,581,900,380 | $150,000,000 | 2013–2026 | Broker-dealer |
| 73 | Comerica Securities | 1 | 0 | $412,500,000 | 14 | 0 | 13 | $9,318,279,312 | - | 2007–2026 | Broker-dealer |
| 74 | D.A. Davidson | 2 | 0 | $408,719,271 | 108 | 21 | 91 | $38,162,719,764 | $792,624,666 | 1997–2026 | |
| 75 | Houlihan Lokey | 1 | 0 | $390,600,000 | 18 | 0 | 17 | $6,854,461,321 | - | 2010–2026 | |
| 76 | Sandler O'Neill & Partners L.P | 3 | 0 | $389,488,688 | 105 | 8 | 85 | $35,872,538,903 | $216,687,151 | 1997–2019 | Broker-dealer |
| 77 | Wedbush Securities | 6 | 0 | $383,500,000 | 268 | 14 | 249 | $59,488,729,244 | $638,246,416 | 1994–2026 | Broker-dealer |
| 78 | Daiwa Capital Markets | 1 | 0 | $328,666,661 | 10 | 2 | 9 | $27,867,458,903 | $18,400,000 | 1994–2026 | |
| 79 | Citizens | 1 | 0 | $300,000,004 | 46 | 2 | 38 | $23,904,507,145 | $318,000,000 | 2016–2026 | |
| 80 | Huntington Investment Company | 1 | 0 | $300,000,004 | 4 | 0 | 3 | $725,000,004 | - | 2014–2016 | Broker-dealer |
| 81 | Regions Securities Llc | 1 | 0 | $300,000,004 | 14 | 0 | 13 | $8,588,342,176 | - | 2013–2026 | Broker-dealer |
| 82 | Bb&t Capital Markets | 1 | 0 | $281,250,000 | 49 | 3 | 39 | $13,092,031,136 | $421,740,000 | 2000–2018 | |
| 83 | DNB Markets | 1 | 0 | $281,250,000 | 33 | 4 | 33 | $11,902,979,222 | $199,768,632 | 2005–2023 | Broker-dealer |
| 84 | MUFG | 1 | 0 | $281,250,000 | 50 | 1 | 43 | $77,715,434,408 | - | 2014–2026 | |
| 85 | Societe Generale | 1 | 0 | $281,250,000 | 71 | 2 | 64 | $141,936,287,727 | $818,000,000 | 1994–2026 | |
| 86 | TD Securities | 1 | 0 | $281,250,000 | 95 | 23 | 81 | $112,006,343,067 | $7,848,498,204 | 1997–2026 | |
| 87 | Ladenburg Thalmann | 4 | 2 | $265,500,002 | 287 | 59 | 241 | $24,878,260,432 | $3,026,781,620 | 1994–2026 | |
| 88 | Rosenblatt Securities | 1 | 0 | $252,700,000 | 17 | 0 | 16 | $21,394,511,894 | - | 2010–2026 | Broker-dealer |
| 89 | June 30 | 2 | 0 | $224,700,000 | 10 | 0 | 9 | $849,400,000 | - | 2005–2022 | |
| 90 | Academy Securities | 2 | 0 | $212,300,000 | 110 | 0 | 109 | $111,650,845,992 | - | 2015–2026 | Broker-dealer |
| 91 | ADSs Credit Suisse Securities (USA) LLC | 1 | 0 | $192,500,000 | 2 | 0 | 2 | $312,500,000 | - | 2009–2016 | |
| 92 | Johnson Rice | 2 | 0 | $185,250,000 | 79 | 10 | 67 | $12,361,219,599 | $689,617,339 | 1994–2025 | |
| 93 | Maxim Group | 6 | 2 | $167,500,000 | 258 | 163 | 193 | $15,466,060,259 | $6,645,662,925 | 2004–2026 | Broker-dealer |
| 94 | Roth Capital Partners | 9 | 6 | $151,197,530 | 237 | 139 | 181 | $16,227,031,099 | $4,561,817,705 | 1996–2026 | Broker-dealer |
| 95 | Kbc Securities | 1 | 0 | $150,000,000 | 8 | 0 | 8 | $1,126,464,068 | - | 2000–2021 | Broker-dealer |
| 96 | FBR | 3 | 1 | $145,000,000 | 260 | 86 | 222 | $50,752,181,380 | $6,347,650,278 | 1996–2020 | |
| 97 | H.C. Wainwright | 6 | 4 | $138,802,954 | 157 | 41 | 115 | $11,739,674,319 | $695,893,645 | 1996–2026 | |
| 98 | B Arclays | 1 | 0 | $133,200,000 | 2 | 0 | 1 | $988,948,900 | - | 2014–2016 | |
| 99 | Jmp S Ecurities | 1 | 0 | $133,200,000 | 6 | 0 | 5 | $446,099,991 | - | 2006–2016 | |
| 100 | J.p. M Organ | 1 | 0 | $133,200,000 | 2 | 0 | 1 | $988,948,900 | - | 2014–2016 | |
| 101 | M Organ S Tanley | 1 | 0 | $133,200,000 | 1 | 0 | 1 | $133,200,000 | - | 2016 | |
| 102 | R Aymond J Ames | 1 | 0 | $133,200,000 | 7 | 2 | 6 | $1,085,249,624 | $72,695,524 | 2004–2016 | |
| 103 | Northland Securities | 4 | 2 | $112,520,000 | 76 | 16 | 58 | $8,740,150,759 | $905,317,114 | 2011–2026 | Broker-dealer |
| 104 | Siebert Brandford Shank & Co., L.L.C | 1 | 0 | $112,000,000 | 1 | 0 | 1 | $112,000,000 | - | 2016 | Broker-dealer |
| 105 | Siebert Williams Shank | 1 | 0 | $112,000,000 | 207 | 1 | 197 | $245,620,103,156 | $3,025,000,000 | 1996–2026 | |
| 106 | Dowling & Partners Securities | 1 | 0 | $105,600,000 | 41 | 1 | 38 | $22,802,440,488 | $165,750,000 | 1996–2025 | Broker-dealer |
| 107 | Moelis | 1 | 0 | $105,600,000 | 34 | 13 | 34 | $11,401,095,432 | $3,229,888,782 | 2010–2026 | |
| 108 | ADSs Jefferies LLC | 1 | 0 | $101,250,000 | 2 | 0 | 2 | $179,250,000 | - | 2016–2019 | |
| 109 | CLSA | 1 | 0 | $101,250,000 | 37 | 2 | 36 | $46,187,018,535 | $150,550,000 | 2000–2024 | |
| 110 | Gordon & Co | 1 | 0 | $101,250,000 | 1 | 0 | 1 | $101,250,000 | - | 2016 | Broker-dealer |
| 111 | Ping An of China Securities | 1 | 0 | $101,250,000 | 2 | 0 | 2 | $413,250,000 | - | 2016–2019 | |
| 112 | December 31 | 1 | 0 | $96,000,000 | 20 | 2 | 15 | $1,937,423,730 | $79,264,865 | 2004–2020 | |
| 113 | Pro Forma June 30 | 1 | 0 | $96,000,000 | 2 | 0 | 2 | $193,200,000 | - | 2014–2016 | |
| 114 | Short term investments | 1 | 0 | $96,000,000 | 15 | 1 | 15 | $1,396,604,967 | $32,000,000 | 1996–2020 | |
| 115 | Joseph Gunnar | 5 | 2 | $81,790,454 | 54 | 15 | 37 | $2,145,879,253 | $139,297,498 | 2004–2026 | |
| 116 | EarlyBirdCapital | 1 | 1 | $80,000,000 | 102 | 64 | 101 | $10,714,473,248 | $7,164,680,000 | 2003–2026 | Broker-dealer |
| 117 | Seaport Global Securities | 1 | 1 | $69,000,000 | 11 | 4 | 10 | $3,790,100,000 | $499,000,000 | 2016–2024 | Broker-dealer |
| 118 | Craig-Hallum | 3 | 0 | $68,500,000 | 63 | 25 | 49 | $13,333,638,494 | $1,668,424,189 | 1999–2026 | |
| 119 | Network 1 Financial | 4 | 2 | $54,552,728 | 32 | 25 | 31 | $672,145,187 | $526,465,187 | 1996–2025 | |
| 120 | Laidlaw & Company | 3 | 2 | $52,500,000 | 21 | 13 | 18 | $274,493,073 | $114,134,813 | 1996–2026 | |
| 121 | Securities | 1 | 0 | $50,000,000 | 58 | 13 | 53 | $3,753,209,371 | $538,320,000 | 1996–2026 | |
| 122 | Cuttone & Co. | 1 | 0 | $39,000,000 | 3 | 1 | 2 | $59,453,190 | $10,500,000 | 2016–2018 | Broker-dealer |
| 123 | Interest bearing deposits in financial institutions | 1 | 0 | $38,775,000 | 1 | 0 | 1 | $38,775,000 | - | 2016 | |
| 124 | Lifesci Capital | 1 | 0 | $30,000,000 | 23 | 1 | 23 | $3,659,324,371 | - | 2015–2026 | Broker-dealer |
| 125 | Monarch Bay Securities, LLC | 1 | 0 | $30,000,000 | 1 | 0 | 1 | $30,000,000 | - | 2016 | Broker-dealer |
| 126 | Underwriters and Co-Managers | 1 | 1 | $30,000,000 | 1 | 1 | 1 | $30,000,000 | $30,000,000 | 2016 | |
| 127 | Gardena, California | 1 | 0 | $16,800,000 | 1 | 0 | 1 | $16,800,000 | - | 2016 | |
| 128 | National Securities | 2 | 1 | $16,525,000 | 47 | 13 | 33 | $1,681,300,895 | $449,927,497 | 1996–2021 | Broker-dealer |
| 129 | Aegis Capital | 1 | 0 | $15,000,000 | 95 | 59 | 66 | $3,794,392,482 | $2,128,266,664 | 1996–2026 | Broker-dealer |
| 130 | Rodman & Renshaw | 3 | 1 | $13,802,954 | 86 | 33 | 62 | $2,813,761,716 | $522,525,200 | 1996–2017 | Broker-dealer |
| 131 | Fordham Financial Management | 1 | 0 | $12,187,500 | 1 | 0 | 0 | $12,187,500 | - | 2016 | Broker-dealer |
| 132 | below: National Securities Corporation | 1 | 0 | $12,025,000 | 1 | 0 | 0 | $12,025,000 | - | 2016 | |
| 133 | Lake Street Capital Markets | 1 | 1 | $12,025,000 | 12 | 5 | 7 | $496,055,936 | $103,872,886 | 2015–2026 | Broker-dealer |
| 134 | Dawson James | 1 | 1 | $11,040,000 | 52 | 33 | 29 | $1,426,785,272 | $693,220,806 | 2006–2026 | |
| 135 | Neidiger, Tucker, Bruner, Inc | 1 | 1 | $11,000,000 | 9 | 2 | 8 | $101,878,750 | $31,000,000 | 1996–2016 | Broker-dealer |
| 136 | of Contents | 3 | 2 | $10,783,600 | 251 | 64 | 185 | $7,461,576,212 | $2,749,527,410 | 2004–2026 | |
| 137 | Axiom Capital Management | 2 | 1 | $10,313,100 | 12 | 4 | 9 | $214,428,100 | $58,954,350 | 1999–2024 | Broker-dealer |
| 138 | Risk Factors | 1 | 1 | $10,000,000 | 3 | 1 | 2 | $129,960,340 | $10,000,000 | 2016–2024 | |
| 139 | Warrants Axiom Capital Management Inc | 1 | 0 | $9,112,500 | 1 | 0 | 1 | $9,112,500 | - | 2016 | |
| 140 | Westpark Capital | 1 | 1 | $9,112,500 | 31 | 19 | 22 | $479,990,162 | $161,326,752 | 2008–2025 | Broker-dealer |
| 141 | Alexander Capital | 1 | 0 | $7,272,728 | 25 | 15 | 20 | $282,004,101 | $158,216,371 | 2015–2025 | |
| 142 | ViewTrade | 1 | 0 | $5,280,000 | 25 | 13 | 22 | $579,090,965 | $178,491,250 | 2014–2022 | |
| 143 | WallachBeth Capital | 1 | 1 | $5,280,000 | 18 | 14 | 16 | $149,161,980 | $118,861,980 | 2016–2025 | Broker-dealer |
| 144 | Griffin Securities | 1 | 0 | $3,947,900 | 3 | 1 | 2 | $167,787,884 | $3,840,000 | 2006–2016 | Broker-dealer |
| 145 | Anthem Securities, Inc.—dealer Manager | 1 | 1 | $1,000,000 | 1 | 1 | 0 | $1,000,000 | $1,000,000 | 2016 | |
| 146 | The Benchmark Company | 1 | 1 | $999,630 | 176 | 129 | 150 | $9,605,947,192 | $6,069,472,461 | 2013–2026 | Broker-dealer |
| 147 | ADS Warrants H.C. Wainwright & Co., LLC | 1 | 0 | - | 1 | 0 | 0 | - | - | 2016 | |
| 148 | Compass Point | 1 | 0 | - | 11 | 1 | 9 | $1,503,273,231 | $4,863,127 | 2013–2026 | |
| 149 | JonesTrading | 1 | 1 | - | 9 | 4 | 9 | $974,588,896 | $315,138,896 | 2016–2026 |
149 firms active in 2016, 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.