Company Profile


Alan Stone & Company, LLC offers a formidable link, essentially a First Class  Shuttle Service to  the  Capital Markets for publicly traded companies.


Specializing in a shuttle service to the Capital Markets for emerging growth and middle-market companies.



Providing a complete range of communication and relations for improved investor awareness and increased  investment activities.



Comprehensive investment research, valuation and capital market analysis for corporate clients.



Arranging Roadshows and one-one-one meetings between clients and the Capital Markets

At Alan Stone & Company, LLC,  we are able to help clients through a commitment to several basic principles:

Sharp Focus. Investor relations is a unique discipline that requires a keen understanding of the bottom line issues for both public companies and investors. Since its inception, Alan Stone & Company, LLC has applied a sharp focus to this discipline, enabling us to build a solid presence in major financial markets and a diverse range of industries.

Strategic Approach. We work with clients to create individualized strategies that achieve realistic goals. Our programs emphasize in-depth analysis of, and feedback on, investor perceptions and expectations.

Senior Professionals. Alan Stone & Company, LLC offers clients the benefit of market-trained, senior advisors, a significant proportion of whom have long tenures with the firm. Our professionals possess strong knowledge of the financial markets, with backgrounds in such disciplines as investment banking, money management, equity research, sales and marketing, and business journalism.

Strong Relationships. Our experience and common backgrounds with the financial community have enabled us to forge strong relationships with influential analysts, money managers and brokers to maintain a reputation for credibility.

High-Quality Deliverables. All of Alan Stone & Company, LLC work is customized and therefore blends best practices in a range of disciplines with the individual needs of each client. Deliverables include all core shareholder communications - from press releases and conference call scripts to fact sheets, annual reports and investor perception studies - as well as targeted buy- and sell-side marketing, investor meetings and analyst results.

Tangible Results.  Alan Stone & Company, LLC strives to produce results that are tangible and measurable, such as increased analyst sponsorship, a broader investor base and positive exposure in the Wall Street community.

Focus on Research

ASCís research activities focus on "emerging growth" and middle-market public companies, primarily listed on the AMEX, NASDAQ and OTC Bulletin Board. Research reports are prepared by seasoned analysts, who are experienced professionals and well regarded in the Wall Street community. Their specialties include high technology, computers, software, streaming media and internet, medical and health-care, biotech, retail and distribution, manufacturing, and special situations. Institutions and private investors are extremely interested in the firmís research, primarily as a result of Company's adherence to both technical and fundamental analysis, particularly its "value" and "timing" approach to investing. In fact we have attracted an attractive following of many well know and established firms on Wall Street.

Background of Alan Stone

Alan Stone & Company, LLC has become one of the top ranked investor relations firms serving national clients in the small cap marketplace during the past decade. After a successful career on Wall Street, ASC relocated from New York City to Los Angeles in 1989 with a view towards expanding investor relations activities on the West Coast and bringing many years of Wall Street savvy to emerging corporations and investors.  The firm maintains a significant presence on Wall Street In NYC and Florida.  Alan Stone & Company previously represented the American Stock Exchange as Director of the Los Angeles AMEX Corporate Focus and Security Analyst Forum, a private group of investment brokers, money managers, investment bankers and analysts from the Los Angeles investment community. The firm arranged monthly/weekly luncheon meetings at the Jonathan Club or the Beverly Regent Wilshire Hotel for numerous American Stock Exchange listed companies. Many NYSE and NASDAQ companies also participated in this widely attended forum. The firm also provides a full-range of investor relations advisory services to select high quality public companies that are seeking to broaden their investor-base and develop media and analyst exposure.

Alan Stone was formerly associated with Thompson McKinnon Securities and Ladenburg, Thalmann & Co. in New York City, both well-established New York Stock Exchange member firms. He purchased large blocks of underwritings from leading syndicates arranged through the major underwriters as well as regional underwriters, on behalf of private and institutional investors. Alan Stone attended institutional road shows and analyst meetings in New York City on behalf of the firms. Alan Stone was also involved in a wide variety of investment banking, corporate finance, and merger and acquisition activities on behalf of these firms, and arranged numerous $5-15 million transactions for NASDAQ and AMEX listed companies.

Earlier, Alan Stone established a branch office with First Affiliated Securities in New York City, which firm cleared through Merrill and was actively involved in underwriting initial public offerings (IPO's). As managing director, he worked closely with the firm's syndicate manager and director of investment banking, and purchased large blocks of the initial public offerings on behalf of several private and institutional investors. Alan Stone worked closely with the firm's head of investment banking in structuring underwriting transactions on behalf of corporate issuers.

Alan Stone previously held positions as an analyst and assistant portfolio manager of Merrill Lynch Asset Management's $250 million high yield mutual fund, the Corporate Bond Fund. As one of the largest buyers of corporate stocks and bonds on Wall Street, he worked closely with the investment community's leading underwriters of securities. Alan Stone subsequently became associated with the firm's wholly owned brokerage entity, and was engaged in brokerage and money management activities for wealthy individuals, corporations, pension funds, and institutional investors.
Alan Stone started his career with Prudential Insurance Company of America in the Capital Markets Group. He served as an investment analyst and worked on numerous large size corporate transactions including commercial loans and private placements for "Fortune 500" companies, working closely with the leading investment banking firms on Wall Street. Alan Stone also was a vice president for Irving Trust Bank in New York City in the corporate finance department involved mainly in new business development and commercial lending.

Alan Stone received his Bachelor of Science degree from the University of Pennsylvania's Wharton School, 1974, in economics and finance. He earned an MBA in finance and investments from New York University's Graduate School of Business, Class of 1976. Additional formal training included further studies in economics and politics at the London School of Economics and advanced studies at UCLA. Mr. Stone is active in community affairs in Westwood and Beverly Hills.