NJORDHAVENSECURITIES

An independent investment bank

Capital raising and corporate advisory for emerging growth companies

Investment offerings are speculative, illiquid, and involve a high degree of risk, including the risk of loss of your entire investment. Past performance is not a guarantee of future results.

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About Us

Setting an institutional standard for emerging growth companies

Njordhaven Securities provides capital markets access and corporate advisory services to public and private companies in the lower middle market. Every mandate we take on is led by senior bankers who stay involved from first conversation through closing.

1

Independence

As an independent firm, we give issuers a candid view of timing, structure, and investor demand. That view is grounded in current market conditions and comparable transactions, and it is meant to help management choose the right moment and terms for a raise, or to prepare for the next window.

2

Institutional rigor

Rigorous diligence, disciplined structuring, and thorough preparation on every mandate, regardless of size. That discipline protects a company's credibility with institutional investors, and the trust it builds carries into the next transaction.

3

Alignment

We build relationships with issuers that last through the growth stage, beyond any single transaction. Our advice is shaped by the company's long-term trajectory rather than the deal in front of us, and we measure our success by how the company is positioned after the raise.

The team
Lon Johnson

Lon Johnson

President
Chief Compliance Officer

More than 20 years in senior strategic roles for national business, advocacy, and political organizations. Leads the firm and its supervision and compliance program. BA, Arizona State University. FINRA Series 24, 28, 63, and 82.

James Bernthal

James Bernthal

Head of Investment Banking

Senior capital markets and investment banking professional with over two decades of experience spanning institutional sales, transaction origination, capital formation, and deal distribution. Excels at developing institutional relationships, originating opportunities, and strategically connecting issuers and investment opportunities with sophisticated capital. FINRA Series 7, 63, and 79.

Nick Frueh

Nick Frueh

Managing Director

Leads execution, hands-on across every mandate the firm takes on, from structuring and diligence through closing. Previously led capital raises and transaction execution at a boutique investment bank. Before that, worked on secondary transactions for unicorn-stage private companies at Nasdaq Private Market. Earned a Bachelor's degree from the University of Miami. FINRA Series 7, 66, and 79.

Anthony Caputo

Anthony Caputo

Vice President

Full life-cycle coverage of the firm's capital-raising mandates, from structuring and execution through investor marketing. Previously, gained investment banking experience at a boutique firm, executing capital raises for publicly listed issuers. Earned a Bachelor's degree from Fordham University's Gabelli School of Business. FINRA Series 79.

Patrick Davis

Patrick Davis

General Securities Principal

Associated with capital raising, private equity, and venture capital since 1995. MBA, Vanderbilt University. BA, University of Tennessee–Knoxville. FINRA Series 3, 7, 24, and 63.

Charles Sell

Charles Sell

Representative

More than 30 years in private equity and finance. Helped launch a private equity firm and three consecutive private equity funds. BA, Brown University. MBA, University of Chicago. JD, Vanderbilt University. FINRA Series 7 and 63.

Check the background of our firm and its registered representatives on FINRA BrokerCheck.

Services

A focused set of products and services for issuers in the lower middle market.

1

Capital Raising

Private placements and structured financings for public and private companies. We match each transaction to the institutional investors most likely to participate.

2

Corporate Advisory

General corporate advisory for public and private companies, including capital structure and preparation for the capital markets. Our advice is grounded in disciplined preparation and alignment with the client's objectives.

Transaction types Private Placements PIPE (Private Investment in Public Equity)
Start the conversation

Whether you are evaluating a financing or the timing of one, we will give you a direct assessment of market conditions.

admin@njord-haven.com · (313) 314-6500