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

Discuss a Strategic Transaction Explore Our Practice Areas →

M&A and Strategic Advisory Services

Supporting companies through acquisitions, business sales, recapitalizations, and strategic transaction processes.

Private Capital & Investor Access

Advising companies on institutional fundraising, growth capital, strategic investors, and private placement transactions.

U.S. and International Expansion Advisory

Helping European and North American companies navigate cross-border growth, partnerships, and market entry initiatives.

Technology and AI-Focused Investment Banking

Focused on software, SaaS, AI, fintech, infrastructure, cybersecurity, and technology-enabled businesses.

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 R. DiFiore, CFA, Senior Managing Director, Chatsworth Securities LLC

Ralph DiFiore, CFA

Senior Managing Director

Lee M. Gerkin, Senior Managing Director, Chatsworth Securities LLC

Lee M. Gerkin

Senior Managing Director

Insights

Perspectives on markets,
transactions, and capital.

All publications →

M&A Advisory

Cross-Border M&A in 2026: What Boards Need to Anticipate

Chatsworth Securities · Investment Banking Perspectives · 2026

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Private Capital

Private Capital in a More Selective Market: How Sponsors Are Repositioning

Chatsworth Securities · Capital Markets Analysis · 2026

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Cross-Border Strategy

What European Companies Misjudge About US Capital Access and Investor Expectations

Chatsworth Securities · Cross-Border Perspectives · 2026

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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.

We are exploring a sale or acquisition →We are raising capital →We are seeking corporate development →General inquiry →

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.