Private Equity Trends in Securities, Commodity Contracts, and Other Financial Investments

Overview

The Securities, Commodity Contracts, and Other Financial Investments and Related Activities sector (NAICS 523) encompasses a broad spectrum of financial services, including investment banking, securities dealing, portfolio management, and advisory services. This industry facilitates capital flows across the economy by underwriting securities, managing investment funds, brokering financial assets, and providing strategic financial advice. 

Growth is fueled by rising demand for complex financial products, digital transformation (e.g., robo-advisory, blockchain), and expanding global wealth. Regulatory shifts, including ESG compliance and transparency standards, are also reshaping the competitive landscape. 

For M&A professionals, this industry presents compelling strategic opportunities. Investment banks and brokerages seek acquisitions to gain technological capabilities, expand service lines, and diversify revenue streams amid market volatility. Asset managers and advisory firms pursue deals to scale operations, enter niche markets, or consolidate fragmented segments such as fiduciary services and independent advisory platforms. Cross-border transactions are also common, driven by globalization of capital markets and investor appetite for international diversification. 

Given its foundational role in enabling capital access and investment management, the financial investment sector remains a vital area for strategic acquisitions. M&A activity is often fueled by the need for innovation, regulatory alignment, and growth in high-net-worth and institutional investor segments. 

Sub-Sectors

Historical PE Investments in Securities, Commodity Contracts, and Other Financial Investments

Private equity interest in this sector, as expected, is highly dependent on macroeconomic trends. 

In the early 2000s, acquisitions in this sector dipped below 3% (of total PE deals), reflecting the dot-com bubble burst. A recovery followed, peaking at 5% in 2008, just before the global financial crisis. Post-crisis, acquisitions stabilized, showing steady interest. Recently, there has been a slight increase, reaching around 4% of total deals in 2022, possibly driven by the need for diversification amid COVID-19 disruptions. 

Considering the private equity market has grown substantially over these two decades, holding a steady percentage of all PE deals, means there are more and more private equity investments being made into the Securities and Commodity sector. 

Market Summary (2001 - 2025)

• 4,052 - Platform investments
• 3,038 - Add-on investments
• 1,424 - Total unique private equity firms invested 
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Top 5 Private Equity Firms Invested in Securities, Commodity Contracts, and Other Financial Investments

Measured by the number of deals in Merchant Wholesalers, Nondurable Goods.

1. Insight Partners (New York, NY) 
2. Carlyle Group, The (Washington, DC) 
3. Warburg Pincus (New York, NY) 
4. TA Associates (Menlo Park, CA) 
5. Stone Point Capital (Greenwich, CT)  

Geographical Distribution

Sample Private Equity Investments in our Database

May 2025 

Great Hill Partners made a minority investment in Mission Wealth (Santa Barbara, CA). 

Mission Wealth Management is a Registered Investment Advisor (RIA), providing clients with comprehensive financial planning and investment management services. 

December 2024 

Bluestone Investment Partners completed a strategic investment in  Valiant Solutions (Henderson, NC). 

Valiant Solutions is a pure-play cybersecurity provider to federal agencies. The Company specializes in advanced threat detection data analytics, zero trust architecture implementation, compliance and risk assessment solutions, and cloud and container security. 

May 2024 

Rosemont Investment Group made a minority investment in  Northside Capital Management (Hood River, OR). 

Northside Capital Management is an independent private wealth investment manager. 

March 2024 

Peloton Capital Management made a strategic investment in  Trilogy Financial Services (Irvine, CA). 

Trilogy Financial Services is a full-service financial planning and wealth advisory firm. 

February 2024 

Charlesbank Capital Partners acquired Rise Growth Partners (Austin, TX). 

Rise Growth Partners is a synergistic partner for growth-oriented registered investment advisors (RIAs). 

How Private Equity Info sources data

As a research database and information services company serving the middle market M&A community for 20 years, Private Equity Info ingests enormous amounts of data surrounding transactions, firms, and executives. In addition, our team engages in many conversations daily across the spectrum of investors, investment bankers, and service providers to the M&A community.

This summary report was put together by analyzing the private equity investments collected by our dedicated research team which follows 127,000 key executives, 16,000 firms and 33,000 funds in the M&A industry, or 34 million total data points. Private equity investors, investment bankers and service providers in the M&A space use Private Equity Info to search, identify and download targeted lists of M&A professionals in order to connect with key executives across thousands of companies, firms and funds.