About

Our Mission

Tritaurian Capital is a FINRA registered investment bank providing specialized private placement financing and mergers and acquisitions advisory. 

By capitalizing on the background of its principals in investment banking and entrepreneurial company growth, Tritaurian examines every angle and opportunity for its clients in order to provide the highest quality financial advice and service. 

Tritaurian specializes in innovative transactions based on sound financial counsel across a wide range of financing products, including blockchain and digital security solutions.

William Heyn Headshot

Selected Team Members

  • Chief Executive Officer

    Bill is the founder and Chief Executive Officer of Tritaurian. A nearly thirty-year financial industry veteran, he founded Tritaurian to provide high quality investment banking services to clients of all sizes. He has previously held positions at Merrill Lynch, J.P. Morgan and Morgan Stanley, and currently holds FINRA Series 7, 14, 24, 63, 79 and 99 licenses. Bill is a graduate of Yale University.

Photo coming soon

  • Managing Director

    Jim is a Managing Director of Tritaurian and a member of its board of directors. Jim has over 20 years of international business experience with a deep private equity and investment banking background. Jim also holds multiple FINRA licenses including Series 7, 24, 63, 79 and 99, and is a graduate of Yale University.

  • Senior Advisor

    Ken is the Managing Director of Luxor Financial Group, a compliance and business development firm specializing in merger and acquisitions of regulated entities. Ken is also a former Member of the FINRA Board of Governors.

Compliance + Regulation

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Registered Broker-Dealer

Tritaurian Capital, Incorporated is a FINRA registered broker-dealer, allowing it to deal with traditional securities and offer investment banking services.

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Private Placement of Digital Securities

Tritaurian Capital, Incorporated believes that it is the first and only U.S. registered non-ATS broker-dealer to be granted the ability to offer the private placement of tokenized securities.

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Distributed Ledger Technology

In addition to traditional capital markets, the Tritaurian Capital team has an extensive understanding and knowledge of distributed ledger technology.

  • Securities sold in the U.S. must either be registered with the SEC or sold via an “exemption” from registration. Registered securities sales are called initial public offerings and are most often for the listing of the securities on national exchanges. Exempt offerings, or private placements, are more targeted and do not involve listing on a national exchange directly. Exemptions include Regulation D, Regulation S, Regulation A and Regulation CF.

  • No, exempt private placements are just regulated differently. There are strict rules as to how offerings can be made privately to the public and different parameters for each of Regs D, S, A and CF. Private placements must adhere to the rules of the exemption claimed and certain overreaching rules, notably the anti-fraud provisions of federal securities laws apply to all offerings of any kind.

  • Many of the processes involving a blockchain based private placement are the same as a traditional placement. The primary difference is that instead of receiving a paper or electronic indication of your investment, it will be provided via a blockchain token.

FAQs