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Please go to the following link address to obtain trade reporting information for Aurora Capital, LLC provided by its clearing firm, Legent Clearing LLC on a quarterly basis in accordance with SEC Disclosure Rule 606.
Click the link, choose the quarter you wish to view, and locate Aurora Capital LLC through the drop-down menu.
Aurora Capital is both a boutique investment banking firm specializing in the life sciences sector and a full service brokerage firm. Our LifeTech Capital Research Division writes unique and proprietary equity research covering biotechnology and other life science companies. Our Hedge Fund and Direct Participation Program Group raises funds for hedge funds, funds of funds and direct participation programs. Click to view our Track Record and Tombstone.
As of March 22, 2013, affiliates of Aurora Capital were elected to a majority of Board of Director and Executive Team positions at Cortex Pharmaceuticals, Inc. (CORX). For more information, view recent filings and news.
Aurora Capital is comprised of an experienced team of professionals that utilizes a rigorous process in the selection of investment ideas and investment banking clients. In addition to in-house expertise and experienced personnel, Aurora retains the services of a network of qualified scientific advisors and consultants.
Aurora’s Investment Banking Division is comprised of three groups: (i) the Capital Markets Group; (ii) the LifeTech Capital – Investment Banking Division; and (iii) the 21 West BioCapital Division. All five groups provide their uniquely focused services that include: (a) serving as a placement agent in private placement securities offerings by public and private companies which offerings are exempt from registration under various federal and state laws and the rules and regulations promulgated under such laws; and (b) providing a variety of consulting and advisory services to our corporate finance clients.
The LifeTech Capital Investment Banking Division acts as an independent subdivision of Aurora Capital, focusing on providing PIPE, overnight, and registered direct finance opportunities to the firm's corporate finance clients.
The 21 West BioCapital Division also operates as an independent subdivision of Aurora Capital.
Please visit the Management Letter page to view Aurora Capital's latest news.
The LifeTech Capital Research Division writes unique and proprietary equity research available to the public.
Our Public Securities Brokerage Division offers service brokerage transaction capabilities, and clearing public securities transactions through Legent Clearing LLC in Omaha, Nebraska.
This division raises capital for hedge funds, funds of funds and direct participation programs.
Since 1995, Aurora Capital LLC has been registered as a broker-dealer with the U.S. Securities and Exchange Commission and is a member of the following:
Financial Industry Regulatory Authority (FINRA) (formerly NASD)
Municipal Securities Rule Making Board (MSRB)
Securities Insurance Protection Corporation (SIPC)
Aurora's enduring objective is attempting to achieve equitable valuations for our investment banking clients while concurrently providing investor returns commensurate with the risks inherent in emerging technologies.
Our mission is to provide valuable or undiscovered investment opportunities to our investing clients. These opportunities may arise from any of our four divisions: Life Sciences Investment Banking, Life Sciences Research, Public Securities Brokerage, or our Hedge Fund and Direct Participation Program Group. We seek to provide high quality service to a corporate finance client base which may be overlooked or underserved by the major and regional investment banking organizations primarily due to company or transaction size.