Investment Funds Advisory Corporate Finance Advisory
Plumtree Capital
Listed companies benefit from our deep relationships with investors on raising efficient and innovative finance.
Our focus combines fundamental research, quantitative analysis and portfolio structuring to identify and allocate capital to attractive opportunities in the US and UK small cap markets. We are asset-class, geography and sector agnostic, seeking to partner with passionate management teams that are focused on creating value for their stakeholders.
We are guided by three core beliefs: on public markets; on future uncertainty and on social well being.
For listed companies, public markets are like beautiful women: high maintenance and easily offended. The keys to winning them over are consistency, honesty and respect.
To predict the future in an increasingly uncertain world we only have the past to guide us so our investment advice is based solely on the analysis of measurable, quantitative data.
We fervently believe in the social purpose of clients by innovating, taking risk and expanding the choice of their customers. Without risk taking companies society stagnates, others eat our lunch and living standards fall. Even when projects fail, lessons are learnt. We our proud to partner in their endeavors.
Our clients find our approach human, refreshing and often insightful.
Stephen Austin, Chief Investment Officer
Stephen brings to the funds and companies he advises his creativity, energy and experience. He has acted as a corporate lawyer, Nominated Advisor and Broker on AIM in the UK and a Non-Executive of AIM and NASDAQ quoted companies. Stephen is also a Non-Executive director of the Abantu Impact Foundation which finances African SMEs on a not for profit basis to become engines of economic development, poverty reduction and models of corporate governance excellence.
Stephen established Plumtree Capital in 2010. His experience spans the UK and US markets. He was educated at the London Business School and is a qualified lawyer in the UK. He lives in London and visits New York every other month.
Investment Advisory
Plumtree Capital is the UK Capital Markets Advisor to a NY based asset manager, with USD250m under direct management and limited partner commitments of a further USD750m.
Corporate Finance Advisory
With experience of leading dozens of IPOs, secondary equity offerings, convertible bond issues and corporate restructurings we advise on a wide range of financial mandates to which we bring technical expertise (financial, regulatory and legal), practical execution and a strong sense of market perception.
Testamonials
Recent comments from clients include:
"...the transaction was well-structured and straightforward... the execution was flawless"
"Plumtree has provided invaluable input and advice to our fundraising strategy working tirelessly to deliver an optimum result"
"Stephen’s unflagging commitment and energy impressed us all"
"He is professional, creative, understanding and fun to work with. Highly recommended.” .
In the United Kingdom Plumtree Capital Limited is authorized and regulated by the Financial Conduct Authority. Our FCA Register number is 532076. This can be verified on the FCA’s Register at their website www.fca.org.uk or by contacting the FCA on 0845 606 1234. Plumtree Capital Limited is registered in England & Wales under number 7337037.
In the United States Plumtree Capital Limited is being chaperoned under Rule 15a-6 under the U.S. Securities Exchange Act of 1934 (“Rule 15a-6”) through Global Alliance Securities, LLC, located at 2464 Darts Cove Way, Charleston, South Carolina, 29466 (“GA”), a broker-dealer registered with the U.S. Securities and Exchange Commission (the “SEC”), and a member of the Financial Industry Regulatory Authority, Inc. (“FINRA”). GA FINRA CRD#:167164/SEC#8-69244. In certain transactions, GA may act as US Placement Agent.
Copyright © 2023 Plumtree Capital - All Rights Reserved.