Capital Advisory. Private Placement. M&A Execution. Strategic Growth

Partnering with founders and companies to raise capital, execute transactions, and drive long-term value creation.

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About Heathstone Capital

About Heathstone Capital

Heathstone Capital is a boutique investment banking and capital advisory firm focused on helping lower middle market companies, funds, and high-net-worth stakeholders access capital, execute transactions, and unlock long-term value.

We bridge the gap between:

  • Capital Needs & Capital Sources
    Connecting quality businesses with the right investors, lenders, and capital partners to fuel growth and create lasting value.
  • Strategy & Execution
    Developing actionable financial strategies and executing with discipline to drive measurable results.
  • Operators & Investors
    Aligning management teams and investors to build strong partnerships and achieve superior outcomes.

With deep experience across corporate finance, capital raising, M&A advisory, treasury, and impact investing, we deliver practical, transaction-focused guidance — not just theory.

Services Overview

Capital Advisory

  • Capital structure strategy (debt, equity, hybrid)
  • Growth capital planning and deployment
  • Liquidity, refinancing, and balance sheet optimization
  • Investor readiness and positioning assessment

Private Placement Advisory

  • Capital raise strategy and pre-deal preparation
  • Financial modeling, valuation, and return analysis
  • Investor materials (pitch decks, teasers, CIMs)
  • Reg D structuring, positioning, and execution strategy
  • Coordination with affiliated broker-dealer (Finalis)

Deal Readiness & Transaction Support

  • Quality of earnings prep (lite / SMB focused)
  • Financial cleanup, normalization, and KPI development
  • Data room preparation and organization
  • Investor narrative and positioning development
  • Due diligence support (buy-side / sell-side)

Impact & Fund Advisory

  • Fund structuring and formation support
  • Impact investing strategy and thesis development
  • LP readiness, capital strategy, and positioning
  • Portfolio financial oversight and performance guidance

Financial Strategy & Treasury Advisory

  • Treasury and cash management strategy
  • Financial planning, forecasting, and KPI framework
  • Financial education for founders and operators

Transaction & Capital Strategy

  • Pre-raise and transaction positioning
  • Deal structuring (debt, equity, hybrid solutions)
  • Investor narrative development
  • Capital stack design and optimization
  • Investor strategy and narrative development
  • Execution coordination with capital partners and broker-dealer

Focused on capital strategy, transaction readiness, and execution.

Partnering with lower middle market companies, funds, and high-net-worth stakeholders.

Our Approach

Heathstone Capital, LLC is a boutique investment banking and capital advisory firm focused on helping lower middle market companies, funds, and high-net-worth stakeholders access capital, execute transactions, and drive long-term value creation.

We operate at the intersection of strategy and execution by delivering disciplined, transaction-focused support across capital raising, financial optimization, and deal execution.

Our Story

Heathstone Capital was founded to bridge the gap between traditional financial advisory and real-world capital execution.

We are driven by a belief that access to capital should not be limited to the largest or most connected institutions. Our mission is to expand access to capital and financial expertise by supporting lower middle market businesses, diverse founders, and underserved communities in navigating complex capital decisions with clarity, structure, and discipline.

About Me

J. Heath Huggins
Founder & Managing Director
Heathstone Capital

Investment Banking | Capital Advisory | M&A | Private Placements

J. Heath Huggins is the Founder and Managing Director of Heathstone Capital, LLC, a boutique investment banking and capital advisory firm based in Morganton, North Carolina. He advises lower middle market companies, funds, and high-net-worth stakeholders on capital raising, transaction execution, and strategic financial decision-making.

With a background spanning public accounting, corporate finance, treasury management, and fintech, Heath brings a unique blend of technical expertise and real-world execution. His work focuses on structuring and executing capital solutions, supporting mergers and acquisitions, and helping clients navigate complex financial transactions with clarity and discipline.

Heath is also deeply committed to expanding access to capital and financial expertise. His experience in impact investing and mission-driven initiatives informs his approach to supporting underserved and emerging businesses in accessing growth opportunities and long-term value creation.

Education

  • MBA, Appalachian State University
  • Master of Accountancy, Gardner-Webb University
  • Master of Financial Technology & Analytics, Wake Forest University

Credentials & Licenses

Professional Certification

  • Certified Public Accountant (CPA)

Securities Licenses

  • FINRA Series 65 — Investment Adviser Representative (pending registration)
  • FINRA Series 79 — Investment Banking Representative
  • FINRA Series 82 — Private Securities Offerings Representative
  • FINRA Series 63 — Uniform Securities Agent State Law Examination

Mission & Values

Professionalism

We deliver disciplined, high-quality financial and transaction advisory grounded in experience, accountability, and execution excellence.

Transparency

We prioritize clear communication, alignment, and trust at every stage of the capital and transaction process.

Execution

We focus on actionable strategies and disciplined execution—translating plans into real capital outcomes.

Compliance and Disclosure Note

Securities are offered through Finalis Securities LLC Member FINRA / SIPC. Heathstone Capital is not a registered broker dealer, and Finalis Securities LLC and Heathstone Capital are separate, unaffiliated entities. Finalis Securities LLC, Office of Supervisory Jurisdiction is located at 450 Lexington Ave, New York, NY 10017, 800-962-0418. Supervised From 450 Lexington Ave, New York, NY 10017.

Finalis Privacy Policy | Finalis Business Continuity Plan | FINRA BrokerCheck | Finalis Form Customer Relationship Summary (“Form CRS”)

www.heathstonecapital.com is a website operated by Heathstone Capital. This website is for informational purposes only, is not an offer, solicitation, recommendation, or commitment for any transaction or to buy or sell any security or other financial product, and is not intended as investment advice or as a confirmation of any transaction. Products and services on this website may not be available for residents of certain jurisdictions. Please consult with a Finalis Securities’ registered representative regarding the product or service in question for further information. Investments involve risk and are not guaranteed to appreciate. Any market price, indicative value, estimate, view, opinion, data, or other information herein is not warranted as to completeness or accuracy, is subject to change without notice, and Heathstone Capital along with Finalis Securities LLC accepts no liability for its use or to update it or keep it current.

Investing in private placements involves a high degree of risk. These investments may be illiquid, speculative, and subject to substantial restrictions on transferability. Investors may lose all or part of their investment and should only invest capital they can afford to lose. Prospective investors should conduct their own due diligence and consult with their legal, tax, and financial advisors prior to making any investment decision. For your reference, Finalis’ Form CRS describes the services that we provide, how we are compensated, and other important information about Finalis Securities LLC