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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, COR Clearing LLC on a quarterly basis in accordance with SEC Disclosure Rule 606.
VistaOne Regulatory Services
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Link to 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, both through our Life Sciences Investment Banking activities and more generally our Public Securities Brokerage activities. 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.
Aurora Capital is both a boutique investment banking firm specializing in the life sciences sector and a full service brokerage firm.
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 SEC 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 two groups: (i) the Early Stage and Merchant Banking Division; and (ii) the HealthCare Capital Advisors Division. Both groups provide 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.
Since joining Aurora Capital in the second half of 2013, the HealthCare Capital Advisors team has worked closely with Early Stage and Merchant Banking Division. While the HCCA team has done M&A and public stock transactions prior to joining up with Aurora, they focus on venture capital and private equity financings in the medical device, bio/pharm, and molecular diagnostic spaces, mostly post-angel round financings. HCCA’s strengths are its focus and experience in the industry, the professionals’ background as analysts on Wall Street, and their client-focused approach. HCCA has relationships with approximately 300+ healthcare venture firms in North America (and several in Europe and Asia) and has a deep understanding of their investment criteria. The HCCA team has worked together since 2001.
Please visit the Management Letter page to view Aurora Capital's latest news.
Our Public Securities Brokerage Division offers a wide range of brokerage transaction capabilities across a number of different securities and investment types, and clears public securities transactions through COR Clearing LLC.
Due to analyst transition to another broker-dealer, all existing research has been terminated effective April 1, 2015 as shown below:
Cellular Biomedicine Group (NASDAQ: CBMG)
Navidea Biopharmaceuticals (NYSE MKT: NAVB)
Echo Therapeutics (NASDAQ: ECTE)
StemCells Inc. (NASDAQ: STEM)
FluoroPharma Medical (OTCBB: FPMI)
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)