Download - ACG LA Capital Connection
ACG Capital Connection® Los Angeles
PitchBook and ACG Los Angeles
Exhibitor Profiles
Present
ACG Los Angeles Business Conference
Sept. 17-18, 2013Beverly Hilton Hotel
Los Angeles, CA
Table of Contents
CAPITAL CONNECTION EXHIBITORS
1. 1st PMF Bancorp
2. AGR Partners
3. Akoya Capital
4. Alcentra
5. AloStar Business Credit
6. Audax Group
7. Avante Mezzanine Partners
8. Baird Capital
9. Balance Point Capital Partners
10. Balmoral Funds
11. BBT Capital Partners 12. Bertram Capital
13. Brazos Private Equity Partners 14. Breakwater Investment Management
15. Brookside Equity Partners 16. Caltius Mezzanine Partners
17. CapX Partners 18. Castanea Partners 19. Centerfield Capital Partners 20. CID Capital 21. Citi 22. Clearlake Capital Group 23. ClearLight Capital Partners 24. Clearview Capital 25. Convergent Capital 26. Corridor Capital 27. CriticalPoint Partners 28. Cyprium Investment Partners
29. DTZ 30. Encore Consumer Capital
31. Excellere Partners 32. Fifth Street Finance 33. Fundamental Capital
34. Hammond Kennedy Whitney Company
35. Harbour Group 36. Healthcare Finance Group 37. High Road Capital Partners 38. Huntington Capital 39. ICON Investments
40. Insight Equity 41. JLL Partners 42. KCB Management
43. Lee Equity Partners 44. Linsalata Capital Partners 45. LongueVue Capital 46. Main Street Capital Corporation
47. Mainsail Partners
48. Maranon Capital
49. Melville Capital
50. Moelis Capital Partners
51. Monroe Capital LLC
52. Morgenthaler Private Equity (MPE)
53. New Heritage Capital 54. NewStar Financial 55. NMS Capital Partners, LLC
56. ORIX Leveraged Finance 57. Platte River Equity 58. PNC Riverarch Capital 59. Prospect Capital Corporation 60. Prospect Partners 61. Prudential Capital Group 62. Sherwood Partners 63. Silicon Valley Bank 64. StoneCalibre 65. Tamarix Capital
66. The Gladstone Companies
67. The Gores Group 68. The Riverside Company
69. Tregaron Capital Company
70. Triangle Capital Corporation 71. TSG Consumer Partners
72. Union Bank 73. Versa Capital Management
74. Victory Park Capital 75. VMG Partners
76. W Capital Partners
77. Wafra
78. Webster Capital
79. Wedbush Capital Partners 80. Wilmington Trust 81. Wingate Partners 82. Wynnchurch Capital Partners
1st PM Factors Bancorp 1
1st PMF Bancorp has been a family run, direct lender for factoring and trade financing since 1985. The firm specializes in domestic and foreign transactions with an emphasis on financing importers and wholesalers; however, we also finance the service and manufacturing industries as well. PMF finances companies between $1 million to $100 million in sales, and can provide factoring, PO and international trade financing. PMF also provides credit services like A/R management, credit insurance and other credit services for clients.
General Firm Statistics
Investor type: Lender/Debt provider Year founded: 1985
Total debt financings: $300 million No. of investment professionals: 20
Recent Debt Financings
Company Name Deal Type Deal Date
APT Inc. Asset Base Factoring Feb-2013
AVT Inc. Trade Financing Nov-2012
AMI Staffing Factoring Jun-2013
Most Recent Closed Fund
Name Vintage Type Size ($M)
PMF Capital Investments Private 20
Contact
9701 West Pico Boulevard First Floor Los Angeles, CA 90035 United States (310) 858-6696 Primary Contact Stephen Perl Chief Executive Officer [email protected] (310) 951-0568
AGR Partners 2
AGR Partners is a private equity firm that cultivates long-term growth in companies seen as indispensable assets of the agriculture and food value-chain. AGR facilitates late-stage growth, strategic acquisitions and ownership transitions via non-controlling investments in private and public companies. AGR targets mature companies in investment grade countries, equity or convertible debt structures, and an investment target size of $10 million to $75 million. AGR is backed by a U.S.-based pension with significant, long-term investments in food and agriculture. The firm is headquartered in Visalia, California, but its team and Advisory Board are represented across the globe.
General Firm Statistics
Investor type: Private Equity – minority stake Year founded: 2012
No. of investment professionals: 4
Recently Closed Investments
Company Name Deal Type Deal Size
Ridley Corporation Common Stock $56 million
Contact 113 North Church Street Visalia, CA 93291 United States Primary Contact Jake Sill Vice President [email protected] (559) 677-7850
Akoya Capital Partners, LLC 3
Akoya Capital Partners is an independent private investment firm that sponsors transactions in lower and middle-market businesses with attractive growth prospects. The firm differentiates itself from other private equity firms through its single-minded focus on sector and executive-led investing.
General Firm Statistics
Investor type: PE/Buyout, Merchant Banking Firm Year founded: 2005
Assets under management: $300 million Total private equity investments: 8
Active private equity investments: 8 No. of investment professionals: 9
Recently Closed Investments
Company Name Deal Type Deal Date
Panhandle Oilfield Service Companies Buyout/LBO Jun-2013
LawLogix Group PE Growth/Expansion Dec-2012
FabEnCo Buyout/LBO Sep-2012
Cass Polymers Buyout/LBO Jul-2012
ICM Products Buyout/LBO Feb-2012
Eddy Packing Buyout/LBO Dec 2010
All Investments by Industry
Contact 625 North Michigan Avenue Suite 2450 Chicago, IL 60611 United States (312) 546-8300 Primary Contact Karen Scalise Operations Manager [email protected] (312) 546-8302
Chemicals & Gases25%
Commercial Services25%
IT Services25%
Consumer Non‐Durables
12%
Commercial Products13%
Alcentra Group 4
Alcentra provides debt and equity capital to support management buyouts, recapitalizations, acquisition financing and growth capital. We will invest in unitranche debt, second lien loans, subordinated debt, preferred equity and common equity. Alcentra, based in New York, manages approximately $550M million of capital and is investing its third junior capital fund. The Fund invests in unitranche debt, mezzanine debt, and equity. It typically invests between $5M and $40M per transaction in companies with EBITDA between $5M and $50M. The Fund makes investments in transactions led by sponsors, independent sponsors or directly with entrepreneurs/ business owners. Industry experience includes: healthcare services, technology, business and outsourced services, light manufacturing, energy services, consumer and defense and government services.
General Firm Statistics
Investor type: Lender/Debt Provider Year founded: 1998
Assets under management: $550 million Total private equity investments: 15
Active private equity investments: 12 No. of investment professionals: 6
Recently Closed Investments
Company Name Deal Type Deal Date
Battery Solutions Debt/Equity Dec-2012
Southern Technical Institute Unitranche/Equity Oct-2012
Show Media Buyout/LBO Sep-2012
Casedhole Solutions Mezzanine Aug-2012
Kedleston Schools Buyout/LBO Aug-2011
Most Recent Closed Fund
Name Vintage Type Size ($M)
BNY Mellon-Alcentra Mezzanine Partners III
2010 Mezzanine 210
All Investments by Industry
Contact
200 Park Avenue 7th Floor New York, NY 10166 United States (212) 922-8324 Primary Contacts Karin Kovacic Vice President [email protected] (212) 922-8324 Scott Gold Senior Vice President [email protected] (212) 922-8325
Commercial Services50%Energy
Services25%
B2C Services25%
AloStar Business Credit 5
AloStar Business Credit provides asset-based lending products nationwide to businesses ranging between $20 million and $300 million in revenue and with financing needs ranging between $5 million and $20 million. AloStar Business Credit is the asset-based lending arm of AloStar Bank of Commerce. For more information, visit www.businesscredit.alostarbank.com.
General Firm Statistics
Investor type: Lender Year founded: 2011
Total debt financings: 48
Recent Debt Financings
Company Name Deal Type Deal Date
Lakeland Industries Debt Financing Jul-2013
American Forest Products Debt Financing Jul-2013
Lightbridge Communications Debt Financing Jul-2013
Armstrong Tools Debt Financing Jul-2013
Sycamore Networks Debt Financing Mar-2013
Contact 18100 Von Karman Ave Suite 850 Irvine, CA 92612 United States (714) 389-1266 Primary Contact Darryl Karmen Director [email protected] (714) 389-1266
Audax Group 6
Audax Group invests in lower-middle market companies. With offices in Boston and New York, Audax has more than $5 billion in assets under management in its private equity, mezzanine and senior debt funds. Audax Private Equity invests more than $2.4 billion of equity capital in control acquisitions of lower-middle market companies across a select group of industries. The firm uses a “buy and build” strategy in which it takes niche market leader platforms and invests in add-on companies, while at the same time focusing on organic operational growth. The private equity arm makes equity investments of between $10 million and $100 million. The mezzanine group focuses on mezzanine financings requiring $10 million to $60 million of capital. Additionally, Audax Senior Debt provides investments of up to $20 million.
General Firm Statistics
Investor type: PE/Buyout, Mezzanine Year founded: 1999
Assets under management: $5 billion Total private equity investments: 187
Active private equity investments: 51 No. of investment professionals: 70
Recently Closed Investments
Company Name Deal Type Deal Date
Bomar Interconnect Products Buyout/LBO Aug-2013
GlassCell Isofab Buyout/LBO Aug-2013
ATS Wheelchair and Medical Buyout/LBO Jul-2013
Chesapeake Research Review Buyout/LBO May-2013
E.W. Kaufmann Buyout/LBO May-2013
Most Recent Closed Fund
Name Vintage Type Size ($M)
Audax Private Equity Fund IV 2012 Buyout 1,250
All Investments by Industry*
* Since 2013
Contact
101 Huntington Avenue Boston, MA 02199 United States (617) 859-1500 Primary Contact John Jester Managing Director [email protected] (617) 859-1509
Chemicals & Gases
9%
Pharmaceuticals & Biotechnology
9%
Transportation9%
Commercial Products64%
Healthcare Devices & Supplies
9%
Avante Mezzanine Partners 7
Avante Mezzanine Partners is focused on making subordinated debt and minority equity investments in lower middle market businesses. It makes $5 million to $20 million investments in companies across the U.S. that generate at least $3 million in cash flow. Avante works with private equity and independent sponsors in buyout transactions, as well as with entrepreneurs and owners to finance recapitalizations, refinancings, acquisitions and growth. Additionally, as a women-owned fund, one of Avante Mezzanine Partners’ areas of interest, although not exclusive focus, is providing capital to women and minority-owned companies. Avante is headquartered in Los Angeles with an office in Boston.
General Firm Statistics
Investor type: Mezzanine, SBIC Year founded: 2010
Assets under management: $218 million Total private equity investments: 8
Active private equity investments: 8 No. of investment professionals: 8
Recently Closed Investments
Company Name Deal Type Deal Date
Auto Meter Buyout/LBO May-2013
Dexmet Buyout/LBO Mar-2013
AeroMetric Buyout/LBO Aug-2012
Network Instruments Buyout/LBO Apr-2012
Telestream Buyout/LBO Jan-2012
PIU Management Acquisition Jan-2012
Nobles Manufacturing Buyout/LBO Apr-2011
SunBriteTV Buyout/LBO Dec-2010
Most Recent Closed Fund
Name Vintage Type Size ($M)
Avante Mezzanine Partners SBIC 2010 Mezzanine 218
All Investments by Industry
Contact
11150 Santa Monica Boulevard Suite 1470 Los Angeles, CA 90025 United States (310) 667-9242 Primary Contact Jeri Harman Founder & Partner [email protected] 310-667-9244
Hardware & Software33%
Consumer Products23%
Commercial Products17%
Commercial Services16%
Aerospace & Defense
6%
Consumer Services
5%
Baird Capital 8
Baird Capital makes venture capital, growth equity and private equity investments in strategically targeted sectors in the U.S., U.K. and China. Baird Capital partners with entrepreneurs and leverages its executive networks to build exceptional companies. Baird Capital provides operational support to its portfolio companies through teams on the ground in Asia, a proactive portfolio operations team and a deep network of relationships which together deliver enhanced shareholder value. Baird Capital is the direct private investment arm of Robert W. Baird & Co.
General Firm Statistics
Investor type: PE/Buyout, Growth/Expansion, Venture Capital
Year founded: 1989 Assets under management: $2.9 billion
Total private equity investments: 272 Active private equity investments: 60
No. of investment professionals: 60
Recently Closed Investments
Company Name Deal Type Deal Date
T-Bird Sanctuary Buyout/LBO Jul-2013
Talent Academy Growth Equity Apr-2013
Insightra Medical Later Stage VC Apr-2013
Amphora Medical Later Stage VC May-2013
Kedu Growth Equity Aug-2013
Most Recent Closed Fund
Name Vintage Type Size ($M)
Baird Capital Partners Europe II 2013 Buyout 60
All Investments by Industry*
* Since 2013
Contact
227 West Monroe Street Suite 1900 Chicago, IL 60606 United States 312-609-4700 Primary Contact Gordon Liao [email protected] (312) 609-4671
Software15%
Commercial Services15%
Transportation14%
Media14%
IT Services14%
Healthcare Technology Systems14%
Healthcare Devices & Supplies14%
Balance Point Capital Partners 9
Balance Point Capital Partners invests mezzanine debt and equity capital in select lower middle market companies. The firm is the successor fund to the First New England Capital family of funds which was formed in 1988.
General Firm Statistics
Investor type: PE/Buyout Year founded: 1988
Total debt & equity financings: 8+
Recent Debt Financings
Company Name Deal Type Deal Date
Nassau Broadcasting Partners Debt Financing May-2013
Cox Media Group (Three Connecticut Radio Stations)
Debt Financing May-2013
ePrize Debt Financing Aug-2012
UNIPOWER Debt Financing Dec-2011
Koch Eye Associates Debt Financing Aug-2011
All Debt Financings by Industry
Contact 8 Church Lane Suite 200 Westport, CT 06880 United States (203) 652-8250 Primary Contact Justin Kaplan Partner [email protected] (203) 652-8264
Commercial Services12%
Media37%
IT Services12%
Consumer Non‐Durables
13%
Computer Hardware
13%
Healthcare Services13%
Balmoral Funds 10
Balmoral Funds is a Los Angeles-based private equity firm that invests in recapitalization, special situations, corporate divestitures and acquisitions of companies that are financially stressed, challenged, in need of financial or operational restructuring or are undervalued by their markets and stakeholders.
General Firm Statistics
Investor type: PE/Buyout Year founded: 2005
Assets under management: $160 million Total private equity investments: 8
Active private equity investments: 5 No. of investment professionals: 5
Recently Closed Investments
Company Name Deal Type Deal Date
iGPS Asset Purchase Jun-2013
Concurrent Manufacturing Buyout/LBO Oct-2012
Valley Aggregate Transport (Aggregates-Hauling Assets)
Add-on Apr-2012
Dispatch Transportation Asset Purchase Sep-2011
GlobalOptions Services Buyout/LBO Jul-2010
Bennington Marine Asset Purchase Dec-2009
Most Recent Closed Fund
Name Vintage Type Size ($M)
Balmoral Special Situations Fund II
LP
2012 PE Growth-Expansion 110
All Investments by Industry
Contact
11150 Santa Monica Boulevard Suite 825 Los Angeles, CA 90025 United States (310) 473-3065 Primary Contact Robin Nourmand Principal [email protected] (310) 473-3065
Consumer Durables12%
Commercial Services25%
Transportation25%
Containers &
Packaging13%
Commercial Products25%
BB&T Capital Partners 11
BB&T Capital Partners and its affiliates ("BBTCP") manage committed capital across three separate fund strategies, each of which is focused on the middle market. The firm makes direct equity investments as the lead investor or as a co-investor with other private equity groups in control transactions of privately held companies; it provides subordinated debt and, if applicable, equity in support of transactions led by financial sponsors and others; and it invests in other private equity funds. Since 1998, BBTCP has invested directly in more than 50 privately held, middle-market companies in a variety of industries, providing patient capital to facilitate buyout, acquisition, growth and recapitalization transactions. BBTCP's investing strategy focuses on a partnership approach with management with a common goal of long-term value creation.
General Firm Statistics
Investor type: PE/Buyout and Mezzanine Year founded: 1997
Assets under management: $800 million+ Total private equity investments: 50+
Active private equity investments: 29 No. of investment professionals: 14
Recently Closed Investments
Company Name Deal Type Deal Date
Linkage Mezzanine Jul-2013
Marketplace Events Mezzanine Mar-2013
Young Innovations Buyout/LBO Jan-2013
Precision Aviation Group Mezzanine Dec-2012
Smith-Cooper International Buyout/LBO Oct-2012
Most Recent Closed Fund
Name Vintage Type Size ($M)
BB&T Capital Partners Mezzanine Fund II 2011 Mezzanine 227
All Investments by Industry*
* Since 2011
Contact
101 North Cherry Street Suite 700 Winston-Salem, NC 27101 United States (336) 733-0350 Primary Contact Brent Kulman Director of Business Development [email protected] (336) 733-0354
Commercial Banks4%
Pharmaceuticals & Biotechnology
14%
Commercial Services
9%
Transportation9%
Equipment9%
Healthcare Services18%
Retail5%
Commercial Products27%
Healthcare Devices & Supplies
5%
Bertram Capital 12
Bertram Capital is a private equity firm that partners with management teams to fuel the expansion of lower middle market companies. Bertram Capital provides operational and strategic resources to facilitate rapid growth in revenue and profitability. Bertram executes a focused buy-and-build strategy to grow platform companies through organic growth initiatives and the aggressive pursuit of strategically accretive acquisitions.
General Firm Statistics
Investor type: PE/Buyout Year founded: 2006
Assets under management: $850 million Total private equity investments: 24
Active private equity investments: 6 No. of investment professionals: 12
Recently Closed Investments
Company Name Deal Type Deal Date
Webex Buyout/LBO Dec-2012
Paula's Choice PE Growth/Expansion Nov-2012
Premier Dies Buyout/LBO Mar-2012
Enfotrace Buyout/LBO Feb-2011
Spireon Buyout/LBO Feb-2011
Most Recent Closed Fund
Name Vintage Type Size ($M)
Bertram Growth Capital II 2010 Buyout 500
All Investments by Industry
Contact
800 Concar Drive Suite 100 San Mateo, CA 94402 United States (650) 358-5000 Primary Contact Michelle Chao [email protected] (650) 358-5071
Software9%
Commercial Services13%
Transportation4%
Media13%
Healthcare Services
9%
Containers & Packaging
4%
Consumer Non‐Durables
4%
Commercial Products31%
Apparel & Accessories
4%
Healthcare Devices & Supplies
9%
Brazos Private Equity Partners 13
Brazos Private Equity Partners is a Dallas-based private equity firm that has managed investment funds with approximately $1.4 billion of equity capital since inception. Brazos focuses on investments in leading middle-market consumer, healthcare, commercial & industrial, and business services companies, and partners with outstanding management teams and/or owners of closely-held businesses to maximize growth and shareholder value. Brazos has been one of the most active middle-market private equity investment firms, having completed in excess of 80 transactions over the past decade.
General Firm Statistics
Investor type: PE/Buyout Year founded: 1999
Assets under management: $1.4 billion Total private equity investments: 71
Active private equity investments: 12 No. of investment professionals: 13
Recently Closed Investments
Company Name Deal Type Deal Date
Eberle Design, Inc. Buyout/LBO Aug-2013
Southern Tide Buyout/LBO Aug-2013
European Wax Center PE Growth/Expansion Apr-2013
ScripNet Buyout/LBO Aug-2012
Ennis-Flint Merger of Equals Mar-2012
Most Recent Closed Fund
Name Vintage Type Size ($M)
Brazos Equity Fund III 2008 Buyout 715
All Investments by Industry*
* Since 2010
Contact
100 Crescent Court Suite 1777 Dallas, TX 75201 United States (214) 756-6500 Primary Contact Elizabeth Hunt Associate, Business Development [email protected] (214) 756-6509
Chemicals & Gases8%
Commercial Services
7%Transportation7%
Media7%Healthcare
Services7%
Healthcare Technology Systems
7%
B2C Services7%
Commercial Products43% Apparel &
Accessories7%
Breakwater Investment Management 14
Breakwater Investment Management, LLC is a private investment firm based in Los Angeles that specializes in direct investments on the small-capital markets, companies that have annual revenues between $10 million and $150 million and/or an enterprise value of less than $150 million. Breakwater has established Breakwater Structured Growth Opportunities Fund, LP, a $100 million open-ended private investment partnership. The Fund’s principal objective is to generate both current income and capital appreciation through direct placement of senior or subordinated secured debt, and in some instances, convertible debt securities in hyper-growth private and public companies. Breakwater will approach each investment opportunity with a customized, risk-adjusted model, utilizing a range of transaction structures designed to yield a secured base return with upside potential for significant capital appreciation. Equity participation will include, but not be limited to, conversion rights and options/warrants to purchase common or preferred stock. Breakwater typically will invest $2 million to $20 million in each of its principal transactions. In addition to principal capital commitments, Breakwater will provide strategic advisory and operational experience to support these growth companies in building world-class enterprises.
General Firm Statistics
Investor type: Growth/Expansion, Mutual Fund Year founded: 2008
Assets under management: $100 million Total private equity investments: 11
Active private equity investments: 10 No. of investment professionals: 6
Recently Closed Investments
Company Name Deal Type Deal Date
Consensus Orthopedics Debt Refinancing and Growth/Expansion
Jun-2013
L&L Broadcasting PE Growth/Expansion May-2013
Planet Blue Growth/Expansion Apr-2013
Bleach Group Growth/Expansion Jan-2013
All Investments by Industry
Contact 1999 Avenue of the Stars Suite 3430 Los Angeles, CA 90067 United States (424) 777-4000 Primary Contact Saif Mansour Managing Partner [email protected] (424) 777-4000
Media10%
Medical Appliances & Equipment
10%
Healthcare Technology Systems10%
Apparel & Accessories
20%Fitness & Spa
Services10%
Entertainment Production & Marketing Services10%
Services30%
Brookside Equity Partners 15
Brookside Equity Partners focuses on sponsoring control private equity investments and co-investing, in majority or minority positions, in private equity transactions sponsored by other investment firms. Brookside Equity Partners is not a traditional fund. Their substantial capital is evergreen, patient and flexible. They determine their investment horizons based on the needs of the businesses in which we invest, rather than through artificial time horizons imposed by traditional funds. This flexibility distinguishes us from other private equity groups who may seek investment realizations based on fund raising cycles rather than fundamental business reasons. Brookside Equity Partners structures investments with a conservative capital base and a term that is appropriate for the companies in which they invest. They are proud of their successful investment track record beginning with the inception of our predecessor entity in 1977. They typically invest equity of $5 million to $25 million in each transaction.
____________________________________________________________________________________________
General Firm Statistics
Investor type: PE/Buyout Year founded: 1977
Assets under management: $500 million Total private equity investments: 32
Active private equity investments: 14 No. of investment professionals: 5
Recently Closed Investments
Company Name Deal Type Deal Date
Valterra Products Buyout/LBO Jun-2013
Hillsdale Furniture Buyout/LBO Dec-2012
NSi Industries Buyout/LBO Dec-2012
Performance Health Buyout/LBO Oct-2012
Meta Financial Group PIPE Oct-2012
Contact 201 Tresser Boulevard Suite 320 Stamford, CT 06901 United States (203) 595-4520 Primary Contact Raymond Weldon Managing Director [email protected] (203) 595-4522
Caltius Mezzanine 16
Based in Los Angeles, Caltius Mezzanine employs a thoughtful approach to meet the middle market’s needs for subordinated debt and minority equity in amounts ranging from $10 million to $100 million. We partner with management teams, entrepreneurs, equity sponsors, and senior lenders to create optimal capital structures for our portfolio companies. Our capital is utilized to support acquisitions, recapitalizations, refinancings, management/leveraged buyouts, organic growth, and liquidity for existing shareholders. We invest in a broad range of industries throughout North America, but have been particularly active over the years in asset-light service businesses.
General Firm Statistics
Investor type: Mezzanine Year founded: 1997
Assets under management: $1 billion Total mezzanine investments: 60
Active mezzanine investments: 18 No. of investment professionals: 9
Recently Closed Investments
Company Name Deal Type Deal Date
AGC Composites & Aerostructures Buyout/LBO Jul-2013
Divisions Maintenance Group Management Buyout Jun-2013
Universal Services of America Add-On Acquisition Jun-2013
Universal Services of America Add-On Acquisition Apr-2012
J-B Weld Company Leveraged Recapitalization Dec-2012
Most Recent Closed Fund
Name Vintage Type Size ($M)
Caltius Mezzanine Partners IV 2008 Mezzanine $508
All Investments by Industry*
* Since 2010
Contact
11766 Wilshire Boulevard Suite 850 Los Angeles, CA 90025 United States (310) 996-9585 Primary Contact Zoltan Berty Principal [email protected] (310) 996-0127 Gavin Bates Principal [email protected] (310) 996-0145
Commercial Services60%
Healthcare Services15%
B2C Services5%
Commercial Products
5%
Other Financial Services
5%
Healthcare Devices & Supplies
5%Insurance
5%
CapX Partners 17
As a capital provider to middle market companies, private equity sponsored and venture capital backed firms, their clients rely on them to create sophisticated solutions to their financing needs. They pride themselves on their depth of knowledge, responsiveness and the effort they employ to understand their clients' businesses, goals and objectives. CapX was founded in 1999. The principals of CapX combine almost a century of finance, fund and management consulting experience and have met with thousands of companies and their owners to evaluate their wide-ranging business situations and capital needs. They fund opportunities from $2 million to $20 million in situations such as new plant expansion, manufacturing lines, channel of distribution and service to new customers plus provide needed liquidity by leveraging in-place fixed assets.
General Firm Statistics
Investor type: Senior Debt/Mezzanine Year founded: 1999
Assets under management: $275 million Total private equity investments: 150+
Active private equity investments: 33 No. of investment professionals: 11
Recently Closed Investments
Company Name Deal Type Deal Date
Discover Books Growth Capital Jul-2013
Propel Fuels Venture Debt Jul-2013
Terra Renewal Growth Capital Jul-2013
Most Recent Closed Fund
Name Vintage Type Size ($M)
CapX Fund IV 2012 Mezzanine 225
All Investments by Industry
Contact
155 North Wacker Drive Suite 1760 Chicago, IL 60606 United States (312) 893-7400 Primary Contact Richard Bollinger Managing Director [email protected] (312) 893-7413
16%
16%
12%
8%7%
16%
5%
20%Business Services
Energy Industry
Healthcare Services
Manufacturing‐Food
Manufacturing‐General
Manufacturing‐Specialty
Manufacturing‐Transportation
Telecommunications
Castanea Partners 18
Castanea Partners is a middle market consumer-focused private equity firm founded by operating executives and private equity veterans. The firm is primarily focused on investing in high-engagement consumer brands and marketing services companies that enable such brands to connect most successfully with their customers. The firm also seeks to invest in select business-to-business must-have information providers. Castanea draws upon the leadership, advisory and investing experience of its partners and professionals. It participates in traditional management buyouts, sales of private companies, industry consolidation opportunities, growth and acquisition equity, and operationally challenging situations.
General Firm Statistics
Investor type: PE/Buyout, Growth/Expansion Year founded: 2001
Assets under management: $511 million Total private equity investments: 15
Active private equity investments: 8 No. of investment professionals: 12
Recently Closed Investments
Company Name Deal Type Deal Date
Drybar PE Growth/Expansion Jan-2012
TRX Training PE Growth/Expansion Mar-2011
Donald J Pliner Buyout/LBO Feb-2011
VRP/Health Resources PE Growth/Expansion Feb-2010
Urban Decay Buyout/LBO Mar -2009
Ippolita PE Growth/Expansion Nov-2007
Most Recent Closed Fund
Name Vintage Type Size ($M)
Castanea Partners Fund III 2007 Buyout 511
All Investments by Industry
Contact
Three Newton Executive Park Suite 304 Newton, MA 02462 United States (617) 630-2400 Primary Contact Marion Schouten Director of Business Development [email protected] (617) 630-2420
Consumer Durables
5%
Commercial Services15%
Media10%
IT Services5%
Consumer Non‐Durables20%
Healthcare Technology Systems
5%
B2C Services5%
Retail5%
Apparel & Accessories
25%
Capital Markets/Institutions
5%
Centerfield Capital Partners 19
Centerfield Capital Partners is a leading national provider of junior capital to lower middle market companies. Centerfield works closely with financial sponsors (funded and independent), management teams and business owners who seek subordinated debt and equity financing to build companies. Typically, the capital Centerfield provides is used to finance change of control transactions, recapitalizations, add-on acquisitions, or growth initiatives.
General Firm Statistics
Investor type: Mezzanine, PE (minority) Year founded: 1998
Assets under management: $300 million Total mezzanine investments: 40
Active mezzanine investments: 23 No. of investment professionals: 8
Recently Closed Investments
Company Name Deal Type Deal Date
Imaginetics (aerospace components mfr.) Sponsored LBO Dec-2012
Battery Solutions (battery recycling services) Sponsored Recap Dec-2012
Banner Service (metal bar processor & distr.) Sponsored Recap Nov-2012
Duplication Services (video post-production services)
Sponsored Recap Oct-2012
Direct Marketing Solutions (direct mktg.) Sponsored recap Sep-2012
Most Recent Closed Fund
Name Vintage Type Size ($M)
Centerfield Capital Partners III 2011 Mezzanine 171
All Investments by Industry*
* Since 2010
Contact
10 West Market Street 3000 Market Tower Indianapolis, IN 46204 United States (317) 237-2323 Primary Contacts Mark Hollis Principal and Director of Business Development [email protected] (317) 464-1523 Faraz Abbasi Partner [email protected] (317) 237-2322
Chemicals & Gases7%
Consumer Durables
8%
Commercial Services23%
Transportation8%
Consumer Non‐Durables
15%
Retail0% Commercial
Products23%
Apparel & Accessories
8%
Healthcare Devices & Supplies
7%
CID Capital 20
CID Capital makes majority investments in lower-middle-market, consumer and industrial product-oriented businesses with a strong history of consistent performance. Their focus is on companies that have the potential to grow significantly but have been constrained by lack of capital, operating systems or management experience. CID provides the resources and capital to overcome these critical constraints.
General Firm Statistics
Investor type: PE/Buyout Year founded: 1981
Assets under management: $320 million Total private equity investments: 120
Active private equity investments: 7 No. of investment professionals: 7
Recently Closed Investments
Company Name Deal Type Deal Date
Rite in the Rain PE Growth/Expansion Apr-2013
ABC Industries PE Growth/Expansion Oct-2012
Matilda Jane Clothing PE Growth/Expansion Jul-2012
Westone Laboratories PE Growth/Expansion Dec-2011
Chef’n Corp. PE Growth/Expansion Nov-2011
Most Recent Closed Fund
Name Vintage Type Size ($M)
CID Capital Opportunity Fund I 2007 Buyout 75
All Investments by Industry*
* Since 2008
Contact
201 West 103rd Street Suite 200 Indianapolis, IN 46290 United States (317) 818-5030 Primary Contact Adam Bolerjack Deal Generation Associate [email protected] 317-708-4863
Consumer Durables20%
Consumer Non‐Durables
40%
Retail10%
Commercial Products10%
Apparel & Accessories
10%
Healthcare Devices & Supplies10%
Citigroup 21
General Firm Statistics
Investor type: Corporation Total debt financings: 138
Recent Debt Financings
Company Name Deal Type Deal Date
Gardner Denver Debt Financing Jul-2013
KCG Holdings Debt Financing Jul-2013
Local TV (19 Television Stations) Debt Financing Jul-2013
H.J. Heinz Debt Financing Jun-2013
Teak Midstream Debt Financing May-2013
All Debt Financings by Industry*
* Since 2013
Contact Citi 444 South Flower St, 40th Floor Los Angeles, CA. 90071
Primary Contact Richard Thomson Senior Vice President [email protected] (213) 239-1445 (310) 998-7174
Other Business Products and
Services7%
Exploration, Production and Refining
7%
Commercial Services
7%
Media8%
Restaurants, Hotels and Leisure8%
IT Services8%
Consumer Non‐Durables
8%
Energy Services
8%
Computer Hardware
8%Commercial Products15%
Capital Markets/Institutions
8%
Healthcare Services
8%
Clearlake Capital Group 22
Clearlake Capital Group, L.P. is a private investment firm focused on special situations and private equity investments such as corporate divestitures, recapitalizations, buyouts, reorganizations, turnarounds and other equity investments. Clearlake seeks to partner with world-class management teams by providing patient, long-term capital and operational expertise to invest in dynamic businesses. Clearlake currently manages approximately $1.4 billion of equity capital, and Clearlake's founding principals have led over 70 investments totaling more than $3.0 billion of capital in sectors including business services, communication, consumer products/retail, defense/public safety, energy/power, healthcare, industrials, media, and technology.
General Firm Statistics
Investor type: PE/Buyout Year founded: 2006
Assets under management: $1.4 billion Total private equity investments: 25
Active private equity investments: 19 No. of investment professionals: 11
Recently Closed Investments
Company Name Deal Type Deal Date
Futuris Automotive Buyout/LBO Aug-2013
Bluefly Buyout/LBO Aug-2013
Kyrus Solutions Buyout/LBO Jul-2013
IronGate Energy Services Buyout/LBO Jun-2013
Inventus Buyout/LBO Jun-2013
Most Recent Closed Fund
Name Vintage Type Size ($M)
Clearlake Capital Partners III 2013 Buyout 785
All Investments by Industry*
* Since 2010
Contact
233 Wilshire Boulevard Suite 800 Santa Monica, CA 90401 United States (310) 400-8800 Primary Contacts Arta Tabaee [email protected] (310) 400-8866 James Pade [email protected] (310) 400-8868
Software28%
Consumer Durables11%
Pharmaceuticals & Biotechnology
5%
Commercial Services
5%
Transportation6%
Energy Services17%IT Hardware
6%
Retail11%
Commercial Products11%
ClearLight Partners 23
ClearLight Partners is a private equity firm based in Newport Beach, California currently investing a $300 million fund in market-leading growth companies with $5 million to $15 million of EBITDA. ClearLight typically makes equity investments of $10 million to $50 million.
General Firm Statistics
Investor type: PE/Buyout Year founded: 2000
Assets under management: $900 million Total private equity investments: 28
Active private equity investments: 7 No. of investment professionals: 12
Recently Closed Investments
Company Name Deal Type Deal Date
Consumer Safety Technology Buyout/LBO Jun-2012
Evriholder Products Buyout/LBO Sep-2011
Pure Health Solutions, Inc Buyout/LBO Dec-2009
Most Recent Closed Fund
Name Vintage Type Size ($M)
ClearLight Partners III 2012 Buyout 300
All Investments by Industry*
* Since 2004
Contact
100 Bayview Circle Suite 5000 Newport Beach, CA 92660 United States (949) 725-6610 Primary Contact Mike Packer Associate [email protected] (949) 725-6627
Consumer Durables
5%
Commercial Services35%
Transportation15%
Services15%
Consumer Non‐Durables
5%
Hardware10%
Commercial Products
5%
Other Financial Services
5%
Metals, Minerals & Mining
5%
Clearview Capital 24
Clearview Capital is a private equity firm specializing in the acquisition and recapitalization of North American companies. The firm prefers businesses whose management and/or selling shareholders wish to be significant stakeholders in the newly acquired enterprise. It invests in middle market companies but is particularly interested in manufacturing, specialized services and branded products.
General Firm Statistics
Investor type: PE/Buyout Assets under management: $575 million
Total private equity investments: 52 Active private equity investments: 19
No. of investment professionals: 12
Recently Closed Investments
Company Name Deal Type Deal Date
QC Supply Buyout/LBO Jun-2013
High Focus Centers Buyout/LBO Oct-2012
Battenfeld Technologies Buyout/LBO Jun-2012
Most Recent Closed Fund
Name Vintage Type Size ($M)
Clearview Capital Fund III 2013 Buyout 325
All Investments by Industry*
* Since 2010
Contact
12100 Wilshire Boulevard Suite 800 Los Angeles, CA 90025 United States (310) 806-9555 Primary Contact Lawrence Simon Principal [email protected] (310) 806-9555
Consumer Durables10%
Commercial Services14%
Healthcare Services62%
Commercial Products14%
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John Chan Director jchan@cvcap(949) 200-60
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Travis Soule Director tsoule@cvcap(763) 432-40
r businesses providing debenons, sponsored anies for acquis
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Corridor Capital 26
Corridor Capital is a private equity fund providing deep operational, strategic and financial resources to US-based lower middle market companies. Corridor is looking to partner with entrepreneurs, owner-operators and management teams to help take their companies to the next level by providing operational and growth support. Corridor’s in-house operations team allows Corridor to be highly differentiated in the $2 million to $5 million market.
General Firm Statistics
Investor type: PE/Buyout Assets under management: $70 million
Total private equity investments: 8 Active private equity investments: 4
No. of investment professionals: 7
Recently Closed Investments
Company Name Deal Type Deal Date
U.S. Industrial Tool & Supply Buyout/LBO Dec-2012
Wetmore Tool & Engineering Buyout/LBO Dec-2012
Arvan Buyout/LBO Dec-2012
KeepFlo Buyout/LBO Sep-2012
Drain-All Buyout/LBO Apr-2011
Most Recent Closed Fund
Name Vintage Type Size ($M)
Corridor Cutting Tools 2013 Buyout 5
All Investments by Industry
Contact
12400 Wilshire Boulevard Suite 645 Los Angeles, CA 90025 United States (310) 442-7000 Primary Contacts
Craig Enenstein Chief Executive Officer [email protected] (310) 442-7001 Shaun Wright Director of Business Development [email protected] (310) 442-7004
Niche Business Services40%Niche
Manufacturing60%
CriticalPoint Partners 27
Headquartered in Los Angeles, CriticalPoint Partners was founded in October, 2012, and is an advisory and investment firm focused on sourcing, negotiating and executing a range of outsourced corporate finance solutions to enhance shareholder value. CriticalPoint Partners builds customer-centric, long-term partnerships with their representative clients to create strong relationships that span the course of multiple transactions.
General Firm Statistics
Service provider type: Advisory/Investment Year founded: 2012
No. of professionals: 5
Recently Closed Transactions
Investor/Company Serviced Service Deal Date
Organized SportsWear, LLC Acquisition Aug-2013
Contact
2121 Rosecrans Avenue Suite 2330 El Segundo, CA 90245 United States (310) 321-4400 Primary Contact Amy Tzagournis Marketing/Public Affairs [email protected] (310) 321-4400
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Encore Consumer Capital 30
Encore is a San Francisco-based private equity investment firm focused on the consumer products industry. The firm has raised nearly $400 million in equity capital and invested in sixteen companies, since being founded in 2005.
General Firm Statistics
Investor type: PE/Buyout Assets under management: Nearly $400 million
Total private equity investments: 16 Active private equity investments: 13
No. of investment professionals: 10
Recently Closed Investments
Company Name Deal Type Deal Date
Mesa Foods Buyout/LBO Jul-2013
(Undisclosed) PE Growth/Expansion Jun-2013
The Quinoa Corporation Buyout/LBO Dec-2012
Thunderworks Buyout/LBO Jun-2012
California Splendor Buyout/LBO Mar-2012
Freshko Produce Services Buyout/LBO Mar-2012
Tarte Inc. PE Growth/Expansion May-2010
Zuke's PE Growth/Expansion Oct-2009
Most Recent Closed Fund
Name Vintage Type Size ($M)
Encore Consumer Capital II 2012 Buyout 211
All Investments by Industry
Contact
111 Pine Street Suite 1825 San Francisco, CA 94111 United States (415) 296-9850 Primary Contact Daniel Gross Vice President [email protected] (415) 230-7789 Bill Shen Vice President [email protected] (415) 230-7792
Consumer Durables12%
Consumer Non‐Durables
88%
EExpranem
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Food
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Deal Type
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Contact
100 FillmoreSuite 300 Denver, COUnited State(303) 765-24 Primary Co Ryan GlawsPrincipal rglaws@exc(303) 765-24
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Fundamental Capital 33
Fundamental Capital invests in consumer-related growth companies generating revenues between $5 million and $50 million. Fundamental Capital looks to back existing management or to provide management resources for owners looking to transition from their businesses. The company has no restrictions on investment duration and can provide patient, long-term capital.
General Firm Statistics
Investor type: PE/Buyout Year founded: 2004
Total private equity investments: 5 Active private equity investments: 5
No. of investment professionals: 2
Recently Closed Investments
Company Name Deal Type Deal Date
Funko Buyout/LBO May-2013
See Kai Run Buyout/LBO Jun-2011
Pint Size Hawaii Buyout/LBO Feb-2008
Allen Technologies Buyout/LBO Jan-2006
Bentek Corporation PE Growth/Expansion Dec-2004
All Investments by Industry
Contact 201 Mission Street Suite 1850 San Francisco, CA 94105 United States (415) 782-0000 Primary Contact Kevin Keenley Partner [email protected] (415) 782-0000
Consumer Durables20%
Commercial Services20%
Healthcare Services20%
Commercial Products20%
Apparel & Accessories
20%
Hammond, Kennedy, Whitney & Company 34
Hammond, Kennedy, Whitney & Company, Inc. is a private equity firm headquartered out of New York with an office in Indianapolis that invests in privately owned businesses and subsidiaries or divisions of public companies. The firm targets companies with a low risk of technological obsolescence and a sustainable competitive advantage with revenues between $20 million and $200 million, and EBITDA between $5 million and $30 million. The firm invests in management buyouts, industry consolidations, corporate divestitures, ownership liquidity situations, recapitalizations and growth equity.
General Firm Statistics
Investor type: PE/Buyout Year founded: 1903
Total private equity investments: 88 Active private equity investments: 14
No. of investment professionals: 14
Recently Closed Investments
Company Name Deal Type Deal Date
Mobile Tech, Inc. Buyout/LBO Aug-2013
Brant Screen Craft Inc. Buyout/LBO Dec-2012
Royal Camp Services Ltd. Buyout/LBO Nov-2011
Canadian Hospital Specialties ULC and Benlan Inc.
Buyout/LBO Nov-2010
K.R. Drenth Trucking, Inc. Buyout/LBO Oct-2010
All Investments by Industry
* Since 2010
Contact
8888 Keystone Crossing Suite 600 Indianapolis, IN 46240 (317) 574-6900 Primary Contacts Andrew Gustin Manager, Deal Generation [email protected] (317) 428-1944 Ted Kramer Partner, Deal Generation [email protected] (317) 705-8824
Commercial Services56%
Transportation22%
Consumer Non‐Durables
11%
Healthcare Devices & Supplies11%
Harbour Group 35
Harbour Group is a private operating firm based in St. Louis. The firm primarily invests in middle market companies in the manufacturing, distribution and business services sectors. It invests in companies based in North America for its new core acquisitions. For its add-on acquisitions, the firm does not have any geographical preference. It typically invests in platform companies that have an enterprise value between $30 million and $500 million, with revenues between $30 million and $500 million, and an EBITDA between $5 million and $50 million. Since its founding in 1976, Harbour Group has completed 172 acquisition in 37 different industries.
General Firm Statistics
Investor type: PE/Buyout Year founded: 1976
Assets under management: >$1 billion Total private equity investments: 172
Active private equity investments: 21 No. of investment professionals: 10
Recently Closed Investments
Company Name Deal Type Deal Date
Onicon Buyout/LBO Dec-2012
Cleaver Brooks Buyout/LBO Dec-2012
CPS Products Buyout/LBO Nov-2012
Bossard Metrics Buyout/LBO Oct-2012
ProParts Buyout/LBO Jan-2012
Most Recent Closed Fund
Name Vintage Type Size ($M)
Harbour Group Investments V 2007 Buyout 505
All Investments by Industry*
* Since 2010
Contact
7701 Forsyth Boulevard Suite 600 Saint Louis, MO 63105 United States (314) 727-5550 Primary Contact Zach Waltz Managing Director [email protected] (314) 727-5550
Consumer Durables11%
Commercial Services22%
Commercial Products67%
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High Road Capital Partners 37
High Road Capital Partners is a private equity firm focused on buying and building companies at the lower end of the middle market. The firm seeks to acquire, in partnership with management, companies with revenues of $10 million to $100 million and EBITDA of $3 million to $10 million. The firm primarily focuses on manufacturing, service, value-added distribution, media and healthcare businesses with EBITDA margins of minimum 10 percent.
General Firm Statistics
Investor type: PE/Buyout Year founded: 2007
Assets under management: $453 million Total private equity investments: 22
Active private equity investments: 9 No. of investment professionals: 12
Recently Closed Investments
Company Name Deal Type Deal Date
The Crown Group Buyout/LBO May-2013
Tricore Buyout/LBO Apr-2013
Ry-Con Specialty Foods Buyout/LBO Dec-2012
Accurate Component Sales Buyout/LBO Dec-2012
QD Healthcare Group Buyout/LBO Nov-2012
Most Recent Closed Fund
Name Vintage Type Size ($M)
High Road Capital Partners Fund I 2008 Buyout 153
All Investments by Industry
Contact
1251 Avenue of the Americas Suite 825 New York, NY 10020 United States (212) 554-3265 Primary Contact Richard Prestegaard Director of Business Development [email protected] (212) 554-3270
Consumer Durables
4%
Commercial Services27%
Transportation5%
Healthcare Services
9%
Consumer Non‐Durables
9%
Healthcare Technology Systems14%
Commercial Products27%
Healthcare Devices & Supplies
5%
Huntington Capital 38
Huntington Capital is a mezzanine and growth equity private equity firm focused on small and medium sized companies in the western U.S. The firm's capital helps to fill the financing gap between venture capital equity, upper middle market PE and commercial bank debt. Huntington seeks profitable companies with experienced management teams, proven product or service and defensible market position, annual sales of $10 million to $75 million, minimum EBITDA of $1 million and financing requirements of $2 million to $7 million. Huntington's industry investment focus includes manufacturing, information technology and software, consumer products and services, professional and business services, aerospace and defense, and healthcare.
General Firm Statistics
Investor type: PE/Buyout, Mezzanine Year founded: 2000
Assets under management: $175 million Total private equity investments: 47
Active private equity investments: 25 No. of investment professionals: 6
Most Recent Closed Fund
Name Vintage Type Size ($M)
Huntington Capital Fund III 2013 Mezzanine 125*
All Investments by Industry
* First Close on $52M. Target size is $125M.
Contact
4660 La Jolla Village Drive Suite 650 San Diego, CA 92122 United States (858) 259-7654 Primary Contact Frank Mora Principal [email protected] (858) 259-7654
IT‐Software22%
Aerospace‐Defense
9%
Consumer Products17%
Manufacturing21%
Business Services13%
Healthcare10% Other
8%
ICON Investments 39
ICON Investments specializes in providing financing solutions to both private and public companies utilizing secured debt, debt-related financings and alternative financing structures. ICON has financed, arranged and agented transactions within a wide spectrum of industries with investment amounts that range from $5 million to more than $50 million. ICON’s ability to craft customized, flexible capital solutions that are tailored to each investment opportunity has aided a diverse group of organizations in the IT/telecommunications, energy, marine, manufacturing, medical, transportation and alternative energy industries.
General Firm Statistics
Investor type: Lender, Investment Bank No. of investment professionals: 23
Recent Financings
Company Name Deal Type Deal Date
Quattro 2nd Lien Aug-2013
LSC, Inc. 2nd Lien Mar-2013
Heniff Transportation Systems 2nd Lien Mar-2013
(Oilfield Services Company) Lease Mar-2013
Tubes HoldCo Limited Senior Loan Dec-2012
Contact 3 Park Avenue 36th Floor New York, NY 10016 United States (212) 418-4700 Primary Contact Joseph Raieta Director [email protected] O: (646) 845-2591 M: (646) 477-6754
Insight Equity 40
Insight Equity makes control investments in strategically viable, middle market, asset-intensive companies across a wide range of industries. Insight’s principals have acquired and managed businesses with more than $4 billion in aggregate revenue since 2000. The firm specializes in partnering with companies in complex or challenging situations, including corporate divestitures, bankruptcies, restructurings, and family owned liquidity events.
General Firm Statistics
Investor type: PE/Buyout, Growth/Expansion Year founded: 2002
Assets under management: $800 million Total private equity investments: 31
Active private equity investments: 18 No. of investment professionals: 18
Recently Closed Investments
Company Name Deal Type Deal Date
Aircommand Australia Buyout/LBO July 2013
Premier Semiconductor Services Buyout/LBO July 2013
Environmental Management Systems Buyout/LBO Jul-2013
Canfield Coating Buyout/LBO Jul-2013
Micross Components Buyout/LBO Dec-2012
New Star Metals Buyout/LBO Aug-2012
Most Recent Closed Fund
Name Vintage Type Size ($M)
Insight Equity Fund II 2010 Buyout $429
Insight Mezzanine Fund I 2010 Mezzanine Captive 94
All Investments by Industry*
* Since 2010
Contact
1400 Civic Place Suite 250 Southlake, TX 76092 United States (817) 488-7775 Primary Contact Andrew Boisseau Principal [email protected] (817) 488-7775
Agriculture7%
Commercial Services29%
Transportation22%
Energy Services14%
Semiconductors14%
Commercial Products
7%
Metals, Minerals & Mining7%
JLL Partners 41
Founded in 1988, JLL Partners is a private equity investment firm that extricates good companies from complicated situations or builds strong companies in partnership with exceptional managers. Since inception, JLL has successfully raised and committed over $4.2 billion across six funds over the past 25 years. The small team at JLL (43) has deployed the firm’s mid-market control strategy successfully across three major economic cycles. Partnering with experienced management teams, JLL has been able to invest $50 million to $200 million of equity into companies using modest leverage to produce impressive returns.
General Firm Statistics
Investor type: PE/Buyout Year founded: 1988
Assets under management: $4.2 billion committed Total private equity investments: 37
Active private equity investments: 15 No. of investment professionals: 22
Recently Closed Investments
Company Name Deal Type Deal Date
CoreLab Partners Buyout/LBO Mar-2013
BioClinica Buyout/LBO Mar-2013
American Dental Partners Buyout/LBO Feb-2012
The LOAR Group/The Freeman Company
Buyout/LBO Jan-2012
J.G. Wentworth Merger of Equals Jul-2011
Most Recent Closed Fund
Name Vintage Type Size ($M)
JLL Partners Fund VI 2008 Buyout 800
All Investments by Industry*
* Since 2010
Contact
450 Lexington Avenue 31st Floor New York, NY 10017 United States (212) 286-8600 Primary Contact Donald McDonough Managing Director [email protected] (212) 286-8600
Commercial Services14%
Healthcare Services36%
B2C Services7%
Commercial Products22%
Other Financial Services21%
KCB Management 42
KCB Management is a family-owned private equity and real estate investment firm based in Pasadena, California. KCB is a long-term, control investor in growing small to medium sized businesses. The firm offers sellers significant liquidity today while providing long-term continuity to their businesses. This philosophy allows KCB to build strong relationships with management and nurture solid growing portfolio companies without the pressures of a short exit timeframe.
General Firm Statistics
Investor type: PE/Buyout Year founded: 1986
Total private equity investments: 16 Active private equity investments: 3
No. of investment professionals: 6
Recently Closed Investments
Company Name Deal Type Deal Date
Thrift Books Buyout/LBO Mar-2011
Integrated Systems Improvement Services Buyout/LBO Dec-2009
Kadel’s Auto Body Buyout/LBO Aug-2007
Most Recent Closed Fund
Name Vintage Type Size ($M)
Growth & Income Fund I 2007 PE/Buyout
All Investments by Industry
Contact
117 East Colorado Boulevard Suite 400 Pasadena, CA 91105 United States (626) 356-0944 Primary Contact Tyler Tochterman [email protected] (626) 768-7975
Auto‐Collision34%
Government Services33%
E‐Commerce33%
Lee Equity Partners 43
Lee Equity Partners is a U.S based middle market private equity firm formed by Thomas H. Lee. Lee Equity focuses on control buyouts and growth capital financings, typically investing $50 million to $150 million per transaction in companies with enterprise values of $100 million to $500 million. The firm seeks to partner with top-tier management teams to build companies with differentiated market position and high growth potential. Target sectors include business services, consumer/retail, distribution/ logistics, financial services, healthcare services, and media.
General Firm Statistics
Investor type: PE/Buyout Year founded: 2006
Assets under management: $1.1 billion Total private equity investments: 12
Active private equity investments: 12 No. of investment professionals: 26
Recently Closed Investments
Company Name Deal Type Deal Date
Cross MediaWorks Buyout/LBO Jul-2013
Eating Recovery Centers Buyout/LBO Dec-2012
Paragon Industries Buyout/LBO Dec-2012
Captive Resources Buyout/LBO Oct-2012
Edelman Financial Group Buyout/LBO Sep-2012
Most Recent Closed Fund
Name Vintage Type Size ($M)
Lee Equity Partners 2009 Buyout 1,091
All Investments by Industry
Contact
650 Madison Avenue 21st Floor New York, NY 10022 United States (212) 888-1500 Primary Contact Richard Walsh Partner [email protected] (347) 920-1072
Commercial Banks7%
Pharmaceuticals & Biotechnology
6%
Commercial Services19%
Energy Equipment
6%Healthcare Services19%
Healthcare Technology Systems
6%
Restaurants, Hotels & Leisure
6%
Retail6%
Other Financial Services13%
Capital Markets/Institutions
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LongueVue Capital 45
LongueVue Capital is a New Orleans-based private equity and mezzanine fund investing in US-based businesses with revenues between $10-$100 million and EBITDA of at least $2 million. LongueVue Capital is currently investing out of its $175 million LVC Fund II. The firm invests in a number of industry segments and is particularly interested in aerospace, agribusiness, manufacturing, business services, logistics, healthcare, energy, water, technology and consumer products.
General Firm Statistics
Investor type: PE/Buyout Year founded: 2001
Assets under management: $175 million Total private equity investments: 12
Active private equity investments: 6 No. of investment professionals: 8
Recently Closed Investments
Company Name Deal Type Deal Date
St. George Warehouse Buyout/LBO Dec-2012
Jackson Offshore Holdings PE Growth/Expansion Oct-2012 Mar-2013
Blue Dot Energy Services Mezzanine Dec-2011
Dukky PE Growth/Expansion May-2009
Blue Dot Energy Services Buyout/LBO Feb-2010
Most Recent Closed Fund
Name Vintage Type Size ($M)
LongueVue Capital Partners II 2012 Buyout 175
All Investments by Industry
Contact
111 Veterans Blvd Suite 1020 Metairie, LA 70005 United States (504) 293-3600 Primary Contact Carol Hance Managing Director [email protected] (646) 476-7466
Consumer Durables11%
Commercial Services34%
Transportation22%
Energy Services11%
Exploration, Production &
Refining11%
Retail11%
Main Street Capital Corporation 46
Main Street is an investment firm that provides long-term debt and equity capital to lower middle market companies and debt capital to middle market companies. Main Street seeks to partner with entrepreneurs, business owners and management teams and generally provides “one-stop” financing alternatives within its lower middle market portfolio.
General Firm Statistics
Investor type: Lender/Debt Provider/Equity Investor Year founded: 1997
Total financings: 90+ * No. of investment professionals: 22
Recent Financings
Company Name Deal Type Deal Date
Central Oregon Truck Company Debt Financing Aug-2013
Garreco Debt & Equity Financing Jul-2013
Quality Lease and Rental Debt & Equity Financing Jan-2013
Texas ReExcavation Debt & Equity Financing Jan-2013
Bond-Coat Debt Financing Dec-2012
Most Recent Closed Fund
Name Vintage Type Size ($M)
Main Street Capital Corporation 2007 Debt & Equity 1,300
All Financings by Industry*
Contact
1300 Post Oak Boulevard Suite 800 Houston, TX 77056 United States (713) 350-6000 Primary Contacts Dwayne Hyzak Senior Managing Director [email protected] (713) 350-6013 Alejandro Capetillo Associate [email protected] (713) 350-6023
* Total lower middle market investments since inception
Mainsail Partners 47
Mainsail Partners is a San Francisco-based private equity firm that invests exclusively in bootstrapped businesses. The firm invests between $5 million and $25 million per company and takes an active and collaborative management approach in addition to providing capital.
General Firm Statistics
Investor type: PE/Buyout Year founded: 2003
Assets under management: $356 million Total private equity investments: 16
Active private equity investments: 8 No. of investment professionals: 13
Recently Closed Investments
Company Name Deal Type Deal Date
Netchemia PE Growth/Expansion Apr-2013
The Bar Method PE Growth/Expansion Aug-2012
Steelwedge PE Growth/Expansion Sep-2011
Home Health Services Buyout/LBO Jan-2010
Paylease PE Growth/Expansion Jan-2010
Most Recent Closed Fund
Name Vintage Type Size ($M)
Mainsail Partners III 2012 Buyout 216
All Investments by Industry
Contact
One Front Street Suite 3000 San Francisco, CA 94111 United States (415) 391-3150 Primary Contact Vinay Kashyap Vice President [email protected] (415) 391-3150
Healthcare21%
IT14%
Software29%
Ecommerce (Consumer Products and Services)
7%
Business Products/Servic
es29%
Maranon Capital 48
Maranon Capital provides senior, unitranche and mezzanine debt as well as equity co-investments for private equity-backed and non-sponsored middle market transactions. Maranon invests across diverse industry segments and focuses on companies with $5 million to $50 million of EBITDA. Maranon will invest either as the lead lender or as a club participant in senior transactions and as the sole or lead lender in mezzanine transactions.
General Firm Statistics
Investor type: PE/Buyout, Mezzanine Year founded: 2006
Assets under management: $830 million Total private equity investments: 16
Active private equity investments: 12 No. of investment professionals: 12
Recently Closed Investments
Company Name Deal Type Deal Date
Young Innovations Buyout/LBO Jan-2013
Ameda Buyout/LBO Dec-2012
Hinda Incentives Buyout/LBO Oct-2012
Performance Health Buyout/LBO Oct-2012
Milton Industries Buyout/LBO Jun-2012
Most Recent Closed Fund
Name Vintage Type Size ($M)
Maranon Mezzanine Fund I 2008 Mezzanine 207
All Investments by Industry
Contact
225 West Washington Street Suite 200 Chicago, IL 60606 United States (312) 646-1200 Primary Contacts Rich Jander [email protected] (312) 646-1216 Rommel Garcia [email protected] (312) 646-1211
Software5%
Consumer Durables11%
Commercial Services28%
IT Services11%
Communications & Networking
5%
Consumer Non‐Durables
6% Commercial Products17%
Other Financial Services
6%
Healthcare Devices & Supplies11%
Melville Capital 49
General Firm Statistics
Investor type: PE/Buyout No. of investment professionals: 8
Contact Melville Capital, LLC 50 Gerard Street Suite 1240 Huntington, NY 11743 United States www.melvillecapital.com Primary Contact Douglas E. Himmel Managing Director [email protected] o | (310) 943-5370 c | (310) 903-2444
Moelis Capital Partners 50
Moelis Capital Partners (“MCP”) is a middle market private equity firm founded in 2007 in connection with the formation of Moelis & Company, a global investment bank. They manage over $700 million of committed private equity capital and a $1.2 billion private equity co-investment program and target growth equity and control buyouts requiring equity investments of $20 million to $60 million. MCP's investment professionals possess decades of private equity experience and collectively have invested in 150 companies while serving on 50 boards. MCP is a thematic, growth-oriented investor and specializes in the healthcare services, business, & industrial services and consumer industries.
General Firm Statistics
Investor type: PE/Buyout Year founded: 2007
Assets under management: $1.9 billion Total private equity investments: 31
Active private equity investments: 15 No. of investment professionals: 22
Recently Closed Investments
Company Name Deal Type Deal Date
US Chemical Buyout/LBO Jun-2013
New Jersey Anesthesia Group Buyout/LBO May-2013
Sovereign Jet Center Buyout/LBO Apr-2013
Comprehensive Pharmacy Services Buyout/LBO Dec-2012
McNeil-PPC (Reach Toothbrushes) Buyout/LBO Dec-2012
Anesthesiology Solution Buyout/LBO Dec-2012
Most Recent Closed Fund
Name Vintage Type Size ($M)
Moelis Capital Partners I 2007 Buyout 800
All Investments by Industry*
Healthcare Devices & Supplies18%
Software9%
Commercial Services
9%
Transportation19%
Healthcare Services18%
Consumer Non‐
Durables18%
Metals, Minerals & Mining9%
Contact
399 Park Avenue Fifth Floor New York, NY 10022 United States (212) 883-3800 Primary Contact
Lex Leeming Principal [email protected] (212) 883-4511
Monroe Capital LLC 51
Monroe Capital LLC is a provider of senior and junior debt and equity co-investments to middle-market companies in the U.S. and Canada. Investment types include unitranche financings, cash flow and enterprise value based loans, acquisition facilities, mezzanine debt, second lien or last-out loans and equity co-investments. Monroe Capital prides itself on its flexible investment approach and its ability to close and fund transactions quickly. Monroe is committed to being a value-added and user-friendly partner to owners, senior management and private equity sponsors. Monroe focuses on both sponsored and non-sponsored businesses with minimum EBITDA of $3 million and investment size between $5 million and $100 million.
General Firm Statistics
Investor type: Senior and Mezzanine Debt
Year founded: 2004
Assets under management: $1.2 billion
Total debt financings since inception: 500+ No. of investment professionals: 45
Investments by Industry
Contact
311 South Wacker Drive Suite 6400 Chicago, IL 60606 United States (312) 258-8300 www.monroecap.com Primary Contacts Thomas Aronson Managing Director & Principal Chicago, IL [email protected] (312) 523-2364 Richard Kim Managing Director Los Angeles, CA [email protected] (434) 901-8526 Glenn Flinn Managing Director – Healthcare Dallas, TX [email protected] (214) 459-3300
*Based on historical transactions
Morgenthaler Private Equity (MPE) 52
MPE is the private equity group of Morgenthaler. Based in Cleveland and Boston, MPE focuses on the lower middle market with transaction values between $25 million and $150 million, and EBITDA in excess of $5 million. MPE has two primary target investment areas: high-value manufacturing and proprietary business services. MPE seeks to create significant equity appreciation primarily by facilitating the transition of private founder and family-owned businesses from entrepreneurial to professionally managed organizations. MPE provides a broad range of strategic, operating, organizational and strategic expertise to each of these transitions designed to increase growth, cash flow and strategic value. Morgenthaler is a leading, national private equity and venture capital firm, with approximately $3 billion under management and investments in more than 300 companies over its 44-year history.
General Firm Statistics
Investor type: PE/Buyout, Venture Capital Year founded: 1968
Assets under management: $3 billion Total investments: 320
Active investments: 69 No. of investment professionals: 23
Recent MPE Closed Investments
Company Name Deal Type Deal Date
United Pipe & Steel PE/Buyout Jun-2013
Weber Technologies PE/Buyout (Add-On) Feb-2012
Froment PE/Buyout (Add-On) Jul-2010
Satellite Logistics Group PE/Buyout Jun-2010
Enginetics Aerospace PE/Buyout May-2010
Most Recent Closed Fund
Name Vintage Type Size ($M)
Morgenthaler VIII 2005 VC/PE/Buyout 450
All Investments by Industry*
* Since 2005
Contact
Cleveland Office Terminal Tower 50 Public Square Suite 2700 Cleveland, OH 44113 (216) 416-7500 Boston Office 1 Liberty Square Suite 620 Boston, MA 02109 (617) 587-7800 Primary Contact Eric Zagorsky Vice President [email protected] (617) 587-7824
High Value Manufacturing
73%
Business Services27%
New Heritage Capital 53
New Heritage Capital (Heritage) is a lower middle-market private equity firm focused on investing in family- and founder-owned businesses. Since 1999, the founding partners of Heritage have worked together to offer founders unique equity structures (such as The Private IPO ®) that provide significant liquidity while allowing them to maintain voting control. Such structures provide shareholders varying degrees of liquidity while allowing the management shareholders to participate in the future equity appreciation. Heritage targets businesses with $5.0 million to $25 million in EBITDA and invests between $15 million and $40 million in each transaction. Areas of particular interest include healthcare, distribution, business services, and manufacturing. New Heritage Capital is the successor fund to Heritage Partners, a now-defunct private equity firm.
General Firm Statistics
Investor type: Growth/Expansion Year founded: 2006
Assets under management: $200 million Total private equity investments: 7
Active private equity investments: 2 No. of investment professionals: 8
Recently Closed Investments
Company Name Deal Type Deal Date
ProTransport-1 Buyout/LBO Aug-2012
Cal-Ore Life Flight Buyout/LBO Dec-2011
D&D Tool & Supply Buyout/LBO Jan-2011
Reach Medical Holdings PE Growth/Expansion Nov-2009
Saunders & Associates Buyout/LBO May-2008
All Investments by Industry
Contact 800 Boylston Street Suite 1535 Boston, MA 02199 United States (617) 439-0688 Primary Contact Charles Gifford General Partner [email protected] 619-428-0104
Healthcare29%
Services14%
IT Hardware14%
Commercial Products43%
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General Firm Statistics
Investor type: PE/Buyout Total private equity investments: 2
Recently Closed Investments
Company Name Deal Type Deal Date
Oral Health Services Buyout/LBO Jul-2000
CompBenefits Buyout/LBO Jun-1999
All Investments by Industry
Contact 433 North Camden Drive 4th Floor Beverly Hills, CA 90210 United States 800-716-2080 Primary Contact Trevor Saliba Chief Executive Officer [email protected] (310) 855-0020
Business Services25%
Manufacturing (OEM)25%
Social Media25%
Medical Devices25%
ORIX Leveraged Finance 56
ORIX Leveraged Finance is a principal investment arm of ORIX USA Corporation. ORIX Leveraged Finance is focused on providing cash-flow based loans and equity capital to middle-market companies. Investments support growth financings, recapitalizations, leveraged buyouts, and acquisitions in nearly all industry sectors throughout the U.S. and Canada. Historical investment structures include: unitranche financings, last-out term loans, second lien loans, junior debt, and equity investments. Target investment size is $7.5 million to $30 million as sole investor or club participant, in companies with EBITDA between $3 million and $30 million.
General Firm Statistics
Investor type: Lender/Debt Provider, Mezzanine, PE/Buyout
Total debt financings: 54
Recent Debt Financings
Company Name Deal Type Deal Date
Impact Facility Services Debt Financing Jun-2013
Event Photography Group Debt Financing Jan-2013
Sprinkles Cupcakes Debt Financing Jan-2013
Sierra Engineering Debt Financing Dec-2012
Mevio Debt Financing Mar-2012
All Debt Financings by Industry*
* Since 2010
Contact 1717 Main Street Suite 1100 Dallas, TX 75201 United States (214) 237-2300 www.orix.com Primary Contact Jeff Wells Director [email protected] (214) 237-2329
Apparel and Accessories
11%
Software23%
Commercial Services22%
Consumer Non‐Durables
11%
Services (Non‐Financial)
11%
Retail11%
Healthcare Services11%
Platte River Equity 57
Platte River Equity is a Denver-based private equity investment firm that invests in lower middle market companies. Platte River provides capital, as well as sales and marketing, organizational and operational expertise to these businesses and generate returns for its investors.
General Firm Statistics
Investor type: PE/Buyout Year founded: 2005
Assets under management: $735 million Total private equity investments: 17
Active private equity investments: 8 No. of investment professionals: 12
Recently Closed Investments
Company Name Deal Type Deal Date
The WellMark Company Buyout/LBO Nov-2012
TPG Mt. Vernon Marine PE Growth/Expansion Feb-2012
PRV Metals
Sierra Alloys Buyout/LBO Nov-2011
TechSpec Buyout/LBO Dec-2011
Most Recent Closed Fund
Name Vintage Type Size ($M)
Platte River Equity III 2012 Buyout 405
All Investments by Industry
Contact
200 Fillmore Street Suite 200 Denver, CO 80206 United States (303) 292-7300 Primary Contact Michelle Eidson VP Business Development [email protected] (303) 292-7308
Chemicals & Gases5%
Commercial Services17%
Transportation5%
Energy Equipment
11%
Services6%
Containers & Packaging
6%
Commercial Products44%
Metals, Minerals & Mining6%
PNC Riverarch Capital 58
PNC Riverarch Capital is a middle-market private equity group that invests in privately-held companies headquartered throughout North America. PNC Riverarch Capital seeks well-positioned companies in which to invest $10 million to $50 million of equity capital to support recapitalizations, leveraged and management buyouts, corporate divestitures and growth financings, across a variety of industry sectors, including business and industrial services, specialized manufacturing, and value-added distribution. Since 1982, PNC Riverarch and its predecessors have provided equity capital to over 100 companies.
General Firm Statistics
Investor type: PE/Buyout Year founded: 2011
Assets under management: $250 million Total private equity investments: 5
Active private equity investments: 5 No. of investment professionals: 9
Recently Closed Investments
Company Name Deal Type Deal Date
LawLogix Group PE Growth/Expansion Dec-2012
Goldco Buyout/LBO Dec-2012
Precision Aviation Group Buyout/LBO Dec-2012
New Carbon Buyout/LBO Apr-2012
Environmental Express Buyout/LBO Mar-2011
All Investments by Industry
Contact 620 Liberty Avenue, 22nd Floor Mailstop P2-PTPP-22-3 Pittsburgh, PA 15222 United States Primary Contact Michael Rost Managing Director [email protected] (412) 762-2245
Commercial Services20%
Consumer Non‐Durables
20%
Restaurants, Hotels & Leisure20%
Commercial Products40%
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Jason Wilsonjwilson@pro(212) 616-48
Seth Tutlis stutlis@prosp(203) 429-27
Joshua Bergljberglund@p(714) 292-75
Daniel Astondaston@pros(646) 380-17
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Prospect Partners 60
Prospect Partners is a private equity firm that invests in smaller lower-middle-market companies. The firm seeks management-led leveraged recapitalizations and buyouts of niche market leaders with revenues typically less than $75 million (EBITDA less than $8 million). Since 1998, the firm has invested in more than 100 companies in diverse niche manufacturing, distribution and service industries. Prospect Partners is currently investing its $200 million Fund III.
General Firm Statistics
Investor type: PE/Buyout Year founded: 1998
Assets under management: $470 million Total private equity investments: 100+
Active private equity investments: 22 No. of investment professionals: 12
Recently Closed Investments
Company Name Deal Type Deal Date
Sportdecals, Inc. PE Growth/Expansion July 2013
State Continuing Education Inc. Buyout/LBO July-2013
Velocity Aerospace Group PE Growth/Expansion Apr-2013
Good Water Solutions Buyout/LBO Dec-2012
Northland Fire & Security Buyout/LBO Dec-2012
ASR Food Distributors Buyout/LBO Dec-2012
Irrigation Components International PE Growth/Expansion Dec-2012
Most Recent Closed Fund
Name Vintage Type Size ($M)
Prospect Partners III 2010 Buyout 200
All Investments by Industry*
* Since 2010
Contact
200 West Madison Street Suite 2710 Chicago, IL 60606 United States (312) 782-7400 Primary Contact Erik Maurer Principal [email protected] 312-782-7400
Consumer Durables
5%
Commercial Services22%
Healthcare Services11%
Other Consumer Products & Services
5%
Communications &
Networking6%
Consumer Non‐
Durables17%
B2C Services6%
Commercial Products22%
Utilities6%
Prudential Capital Group 61
Prudential Capital Group is the private debt investment arm of Prudential Financial, Inc. (NYSE: PRU). Prudential Capital Group has been a provider of private debt, mezzanine and equity securities to middle-market companies worldwide for more than 70 years. Managing a portfolio of $64 billion as of June 30, 2013, Prudential Capital offers senior debt and mezzanine capital, leveraged leases, and commercial equipment and asset finance. The global regional office network has locations in Atlanta, Chicago, Dallas, Frankfurt, London, Los Angeles, Minneapolis, Newark, N.J., New York, Paris and San Francisco.
General Firm Statistics
Investor type: Mezzanine Assets under management: $64 billion
Total private equity investments: 97 Active private equity investments: 56
No. of investment professionals: 70
Recently Closed Investments
Company Name Deal Type Deal Date
PrimaLoft Buyout/LBO Jul-2012
CAPS Universal Buyout/LBO May-2011
Most Recent Closed Fund
Name Vintage Type Size ($M)
Prudential Capital Partners IV 2012 Mezzanine 1,150
All Investments by Industry*
* Since 2010
Contact
Two Prudential Plaza 180 North Stetson Avenue Suite 5600 Chicago, IL 60601 United States (312) 540-0931 Primary Contacts Stephen Szejner [email protected] (312) 565-6265 Jason Richardson [email protected] (310) 295-5012
Consumer Durables11%
Commercial Services11%
IT Services11%
Other Consumer Products & Services11%Communications
& Networking11%
IT Hardware11%
Retail11%
Commercial Products23%
Sherwood Partners, LLC 62
Since 1992, Sherwood Partners, LLC has been a provider of business advisory and consulting services. With offices in Los Angeles, Silicon Valley and New York, Sherwood has developed a national practice. Sherwood's services include corporate restructuring, crisis management, corporate due diligence, interim management, strategic planning, corporate finance, efficiency integration, debt restructuring, asset liquidation, IP (Intellectual Property) monetization (patents & trademarks | (sales – licensing – brand management – augmentation - Distribution) and Assignments for the Benefit of Creditors (ABCs).
General Firm Statistics
Investor type: Business Advisory, Consulting Year founded: 1992
No. of investment professionals: 20
Los Angeles | Silicon Valley | New York
Contact 1100 La Avenida Street Building A Mountain View, CA 94043 United States (650) 454-8001 Primary Contact Martin Pichinson [email protected]
Silicon Valley Bank 63
Banking the world's most innovative companies and exclusive wineries, Silicon Valley Bank's diverse financial services, knowledge, global network, and world class service increase its clients' probability of success. With $23 billion in assets and more than 1,600 employees, SVB provides commercial, international and private banking through 34 locations worldwide. Forbes Magazine ranks SVB among America's Best Banks and Fortune considered SVB one of the best places to work. (Nasdaq: SIVB) www.svb.com.
Silicon Valley Bank is the California bank subsidiary and the commercial banking operation of SVB Financial Group. Banking services are provided by Silicon Valley Bank, a member of the FDIC and the Federal Reserve System. SVB Financial Group is also a member of the Federal Reserve System.
________________________________________________________________________________________________
General Firm Statistics
Investor type: Other/ Commercial Bank Year founded: 1983
Total Assets: $22.2 billion* Total Deposits: $18.7 billion* Loans: $9.6 billion* Total Client Investment Funds: $24 billion* (off balance sheet) Family of Funds (SVB Capital): $1.7 billion under management* *As reported on a consolidated basis for the period end June 30, 2013
Contact 3003 Tasman Drive Santa Clara, CA 95054 United States (408) 654-7400 Primary Contact Kurt Miklinski Managing Director [email protected] (949) 754-0835
StoneCalibre 64
Headquartered in Los Angeles, StoneCalibre is a privately funded investment firm specializing in the acquisition of lower middle market companies. Founded by Brian Wall, previously a long-term partner at Platinum Equity, StoneCalibre is focused on making investments in both special situations and quality long-term capital investment opportunities.
General Firm Statistics
Investor type: PE/Buyout Year founded: 2012
Total private equity investments: 1 Active private equity investments: 1
No. of investment professionals: 5
Recently Closed Investments
Company Name Deal Type Deal Date
Source Technologies Buyout/LBO Jun-2013
All Investments by Industry
Contact 1801 Avenue of the Stars Suite 905 Los Angeles, CA 90067 United States (310) 774-0014 Primary Contact Nick Matzke Business Development Associate [email protected] (310) 774-0376
IT Hardware100%
Tamarix Capital 65
Tamarix Capital is an independent investment firm dedicated to providing flexible financing solutions to support exceptional management teams in lower-middle-market companies. Tamarix customizes its debt and equity investments to best meet the needs of owners and managers. The firms ability to uniquely tailor each investment enables business owners and management teams to achieve targeted growth, liquidity, or ownership transition goals. Tamarix Capital is a less dilutive form of capital than traditional private equity, but provide owners many of the same strategic benefits. Tamarix Capital invests $5 million to $15 million into companies generating EBITDA in excess of $3 million.
General Firm Statistics
Investor type: SBIC, PE Year founded: 1994
Assets under management: $120 million Total private equity investments: 5
Active private equity investments: 5 No. of investment professionals: 6
Recently Closed Investments
Company Name Deal Type Deal Date
Convene Growth Capital Jun-2013
Pfanstiehl Buyout/LBO Mar-2013
United Biologics Management Buyout Jul-2012
Malabar International Recapitalization Nov-2011
Tangible Software Recapitalization Sep-2011
All Investments by Industry
Contact 515 Madison Avenue 41st Floor New York, NY 10022 United States Primary Contact Peter Rothschild Principal [email protected] (212) 419-2858
Pharmaceuticals & Biotechnology
20%
Business Services20%
Information Technology
20%
Healthcare Services20%
Aerospace & Defense20%
The Gladstone Companies 66
The Gladstone Companies are a family of public and private investment funds with approximately $1.2 billion invested. Its funds, as applicable, invest in commercial real estate, farmland, and small and medium-sized companies and provide businesses the capital to fund growth, acquisitions and recapitalizations. Gladstone provides financing across the capital structure, from second lien and mezzanine debt, to equity and real estate financing solutions. Gladstone offers companies, management teams, and sponsors a broad range of customized investment products and transaction structures. Financing for the Gladstone Companies is provided by four public investment vehicles: Gladstone Capital Corporation, (NASDAQ: GLAD), Gladstone Investment Corporation, (NASDAQ: GAIN), Gladstone Commercial Corporation, (NASDAQ: GOOD), and Gladstone Land Corporation (NASDAQ: LAND).
General Firm Statistics
Investor type: PE/Buyout Assets under management: $1.2 billion
Total private equity investments: 111 Active private equity investments: 67
No. of investment professionals: 60
Recently Closed Investments
Company Name Deal Type Deal Date
Schylling Buyout/LBO Aug-2013
Ashland Acquisition PE Growth/Expansion July-2013
Star Seed Buyout/LBO Jun-2013
Funko PE Growth/Expansion May-2013
JackRabbit Buyout/LBO Apr-2013
All Investments by Industry*
* Since 2010
Contact
1600 Rosecrans Avenue Media Center, 4th Floor Manhattan Beach, CA 90266 Primary Contact Chris Daniel Managing Director [email protected] (703) 462-1021
Agriculture6%
Consumer Durables
6%
Commercial Services
6%
Transportation6%
Services11%
Containers & Packaging
12%
Consumer Non‐Durables
6%
Commercial Products47%
The Gores Group 67
The Gores Group is a private equity firm focused on acquiring controlling interests in mature and growing businesses which can benefit from the firm’s operating experience and flexible capital. The firm invests primarily in the technology, telecommunications, business services, industrial, healthcare, media and consumer & retail sectors.
General Firm Statistics
Investor type: PE/Buyout Year founded: 1987
Assets under management: $3.6 billion Total private equity investments: 96
Active private equity investments: 34 No. of investment professionals: 94
Recently Closed Investments
Company Name Deal Type Deal Date
Etrali Trading Solutions Buyout/LBO Jun-2013
Millennium Process Group Buyout/LBO May-2013
Meridian Medical Management Buyout/LBO Mar-2013
Harris Broadcast Communications Buyout/LBO Feb-2013
Therakos Buyout/LBO Jan-2013
Most Recent Closed Fund
Name Vintage Type Size ($M)
Gores Small Capitalization Partners 2012 Buyout 300
All Investments by Industry*
* Since 2013
Contact
10877 Wilshire Boulevard 18th Floor Los Angeles, CA 90024 United States (310) 209-3010 Primary Contact Scott Erickson Business Development [email protected]
Pharmaceuticals & Biotechnology
20%
Commercial Services20%
Media20%
Communications & Networking
20%
Healthcare Technology Systems20%
The Riverside Company 68
The Riverside Company is a global private equity firm focused on acquiring growing enterprises valued at up to $250 million (€200 million in Europe). The firm partners with strong management teams and enhances its investments through acquisitions and organic growth. Since its founding in 1988, Riverside has invested in more than 320 transactions with a total enterprise value of more than $5 billion/€4 billion. The firm’s portfolio in North America, Europe and the Asia Pacific region includes more than 75 companies.
General Firm Statistics
Investor type: PE/Buyout Year founded: 1988
Assets under management: $4 billion Total private equity investments: 320
Active private equity investments: 80 No. of investment professionals: 220
Recently Closed Investments
Company Name Deal Type Deal Date
iMech Buyout/LBO Aug-2013
Blue Microphone Buyout/LBO Jul-2013
Simcro Buyout/LBO Jul-2013
ProSites Buyout/LBO Jun-2013
Global Connect (Emergency Notification Division)
Buyout/LBO Jun-2013
TerraSim Buyout/LBO Apr-2013
CorporateRewards Buyout/LBO Dec-2012
Most Recent Closed Fund
Name Vintage Type Size ($M)
Riverside Micro-Cap Fund II 2011 Buyout 287
Riverside Capital Appreciation Fund VI 2013 Buyout 1.48
All Investments by Industry*
* Since 2011
Contact
1453 Third Street Promenade Suite 305 Santa Monica, CA 90401 United States T: (310) 499-5084 F: (310) 499-5090 M: (310) 699-1964 Primary Contact Jeremy Holland Principal, Origination [email protected] 310-499-5084
Software22%
Commercial Services19%
Commercial Products11%Healthcare
Services11%Communication
s & Networking7%
Healthcare Devices & Supplies
7%
B2C Services 7%
Transportation4%
Apparel & Accessories
4%
Consumer Durables
4%
Consumer Non‐Durables
4%
Tregaron Capital Company 69
Based in Palo Alto, CA, Tregaron Capital was formed in 2001 to invest in small and medium-size private companies in the western US. The firm makes both mezzanine debt and equity investments, typically in amounts from $2 million to $5 million.
General Firm Statistics
Investor type: PE/Buyout, Mezzanine Year founded: 2001
Assets under management: $66 million Total private equity investments: 14
Active private equity investments: 7 No. of investment professionals: 4
Recently Closed Investments
Company Name Deal Type Deal Date
Copeland Supply Mezzanine Aug-2013
Roquemore Buyout/LBO Dec-2012
PharmaSync Mezzanine Apr-2012
HQ Carousel Add-on Jan-2012
TreadWright Mezzanine Jul-2011
Endurance International Group PE Growth/Expansion Nov-2010
Most Recent Closed Fund
Name Vintage Type Size ($M)
Tregaron Opportunity Fund I 2010 Private Equity/Mezza
nine
66
All Investments by Industry
Contact
540 University Avenue Suite 250 Palo Alto, CA 94301 United States (650) 403-2080 Primary Contact Nelson Matthews Managing Director [email protected] (650) 403-2085
Software7%
Commercial Services23%
Media7%
IT Services
8%
Other Consumer Products & Services
8%
Communications & Networking
8%
Restaurants, Hotels & Leisure
8%
Retail23%
Commercial Products
8%
Triangle Capital Corporation 70
Triangle Capital Corporation (NYSE: TCAP) is a business development company (“BDC”) that provides capital to established lower middle-market companies. Triangle offers a wide variety of investment structures with a primary focus on mezzanine financing with equity components. Triangle typically invests $5 million to $30 million in companies with $20 million to $200 million of revenues to support buyouts, acquisitions, growth financings and recapitalizations. Its portfolio contains investments in a wide range of business sectors including manufacturing, distribution, transportation, energy, communications, healthcare, technology, restaurants, consumer products and others. Triangle has extensive experience partnering with financial sponsors, as well as leading unsponsored transactions.
___________________________________________________________________________________________________
General Firm Statistics
Investor type: Mezzanine Assets under management: $980 million
Total private equity investments: 108 Active private equity investments: 79
No. of investment professionals: 25
Recently Closed Investments
Company Name Deal Type Deal Date
FrontStream Payments, Inc. Buyout/LBO Aug-2013
Water Pik, Inc. Buyout/LBO Jul-2013
Applied Consultants, Inc. Buyout/LBO Jul-2013
Dyno, LLC Buyout/LBO May-2013
Oilfield Inspection Services (“IOS”) Buyout/LBO Dec-2012
All Investments by Industry
Contact 3700 Glenwood Avenue Suite 530 Raleigh, NC 27612 United States (919) 719-4770 Primary Contacts Cary Nordan Managing Director [email protected] (919) 719-4778 Doug Vaughn Managing Director [email protected] (919) 719-4774 James Burke Vice President [email protected] (919) 719-4783
Agricultural / Garden Products Distribution
4.9%Business Services
6.2%
Commercial Printing 0.3%
Construction0.7% Facilities Maintenance /
Landscape Services5.0%
Food Products / Equipment Distribution
1.7%
Food Service Contracting0.1%
Health Care4.9%
Home Furnishings / Hardware Distribution
1.0%
Industrial / Automotive Products Distribution
0.7%
Food & Beverage Manufacturing and
Packaging9.9%
Industrial Products Manufacturing
2.7%
Industrial Recycling Services4.0%
Information / Technology7.3%Marketing / Advertising
Services2.6%
Medical Supplies Manufacturing
2.1%
Nutritional Supplements2.3%
Oil & Gas6.3%
Other Manufacturing4.8%
Power Generation Products Distribution
0.1%
Professional, Scientific, and Technical Services
5.6%
Restaurants0.5%
Retirement Plan Administration
2.0%
Consumer Products / Recreation
11.2%
Specialty Chemicals Manufacturing
5.8%
Transportation Services1.5%
Waste Management Services
3.8%
Residential and Commercial Security Systems
1.8%
TSG Consumer Partners 71
TSG Consumer Partners is a strategic equity firm focused on investing in branded consumer products across categories such as food/beverage, beauty/personal care, apparel and accessories, household goods, pet care, restaurants and retail or franchise businesses. With more than 25 years of experience, TSG works closely with entrepreneurs and management teams to build exceptional brands.
General Firm Statistics
Investor type: PE/Buyout Year founded: 1987
Assets under management: $2.9 billion Total private equity investments: 52
Active private equity investments: 22 No. of investment professionals: 20
Recently Closed Investments
Company Name Deal Type Deal Date
My Fit Foods PE Growth/Expansion Jan-2013
Planet Fitness PE Growth/Expansion Jan-2013
Paige Denim PE Growth/Expansion Jul-2012
Most Recent Closed Fund
Name Vintage Type Size ($M)
TSG6 2012 Buyout 1,300
All Investments by Industry
Contact
600 Montgomery Street Suite 2900 San Francisco, CA 94111 United States (415) 217-2300 Primary Contact Hadley Mullin Managing Director [email protected] (415) 217-2336
Consumer Non‐Durables
78%
Restaurants, Hotels & Leisure6%
Consumer Durables
4%
Apparel & Accessories
8%
Retail4%
Union Bank 72
Headquartered in San Francisco, UnionBanCal Corporation is a financial holding company with assets of $102.3 billion at June 30, 2013. Its primary subsidiary, Union Bank, N.A., provides an array of financial services to individuals, small businesses, middle-market companies, and major corporations. The bank operated 422 branches in California, Washington, Oregon, Texas, Illinois, and New York as well as two international offices, on June 30, 2013. UnionBanCal Corporation is a wholly-owned subsidiary of The Bank of Tokyo-Mitsubishi UFJ, Ltd., which is a subsidiary of Mitsubishi UFJ Financial Group, Inc. Union Bank is a proud member of the Mitsubishi UFJ Financial Group (MUFG, NYSE:MTU), one of the world’s largest financial organizations. In July 2013, American Banker Magazine and the Reputation Institute ranked Union Bank #1 for reputation among its customers.
General Firm Statistics
Investor type: Commercial Bank/Lender Year founded: 1864
Total debt financings: 46 No. of investment professionals: 38
Recent Debt Financings
Company Name Deal Type Deal Date
Interstate Waste Services (Certain Assets) Debt Financing Aug-2013
SV Resource Partners Debt Financing Mar-2012
Anton Capital Entertainment Debt Financing Aug-2011
Newfield Exploration (Fashing Field Assets) Debt Financing Jul-2011
EquiPower Resources Debt Financing Apr-2011
All Debt Financings by Industry*
* Since 2010
Contact 400 California Street First Floor San Francisco, CA 94104 United States (800) 238-4486 www.unionbank.com Primary Contact Ileana Ruano Senior Executive Assistant [email protected] (213) 236-7765
Exploration, Production and Refining
45%
Commercial Services11%
Media22%
Energy Services11%
Commercial Products11%
Versa Capital Management 73
Versa Capital Management is a private equity firm investing in distressed and special situations opportunities throughout North America. Versa targets businesses with revenues of $50 million to $1 billion or assets of $25 million to $500 million.
General Firm Statistics
Investor type: PE/Buyout Year founded: 2005
Assets under management: $1.3 billion Total private equity investments: 26
Active private equity investments: 18 No. of investment professionals: 25
Recently Closed Investments
Company Name Deal Type Deal Date
Hatteras Yachts Buyout/LBO Aug-2013
Eastern Mountain Sports Buyout/LBO Nov-2012
Heartland Publications Buyout/LBO Aug-2012
Freedom Central Buyout/LBO Jun-2012
United Retail Group (Avenue) Buyout/LBO Apr-2012
Most Recent Closed Fund
Name Vintage Type Size ($M)
Versa Capital Fund II 2008 Buyout 650
All Investments by Industry
Contact
2929 Arch Street Cira Centre, Suite 1800 Philadelphia, PA 19104 United States (215) 609-3400 Primary Contact Suzanne Yoon Managing Director [email protected] (312) 324-3609
Retail & Restaurants
26%
Defense4%
Consumer Products
8%Industrial Products & Services12%
Media15%
Hospitality4%
Manufacturing23%
Financial Services
8%
Victory Park Capital 74
Victory Park Capital provides debt financing solutions to small and middle market companies across a wide range of industries. Victory Park focuses on complex situations and seeks to build long term sustainable value in its companies. Victory Park is headquartered in Chicago and has additional resources in Boston, New York, and San Francisco.
General Firm Statistics
Investor type: Private Debt and Equity Year founded: 2007
Assets under management: $1.4 billion Total private equity investments: 37
Active private equity investments: 16 No. of investment professionals: 23
Most Recent Closed Fund
Name Vintage Type Size ($M)
VPC SBIC I 2012 SBIC 225
Overview of Select Investments
Contact
227 West Monroe Street Suite 3900 Chicago, IL 60606 United States (312) 701-1777 Primary Contacts Matthew Coad Senior Associate [email protected] (312) 705-2789
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Wafra Partners is a private equity firm that seeks to invest in and build successful middle-market companies. The firm purchases control or significant minority positions in companies with strong management, high-upside, discernible value and growth drivers. Wafra Partners provides financial springboard and strategic and analytical resources to help owners and managers meet corporate goals, and targets companies with revenue above $20 million and EBITDA above $4 million. The firm primarily invests in specialty services, niche manufacturing and consumer-driven industries.
General Firm Statistics
Investor type: PE/Buyout Year founded: 1991
Assets under management: $350 million Total private equity investments: 33
Active private equity investments: 15 No. of investment professionals: 8
Recently Closed Investments
Company Name Deal Type Deal Date
Phelps Industries Buyout/LBO Dec-2012
East West College of Natural Medicine Buyout/LBO Feb-2012
Toledo Dental Academy Buyout/LBO Oct-2011
ETC Labortories Buyout/LBO Oct-2011
Hurricane Test Laboratory Buyout/LBO Oct-2011
Most Recent Closed Fund
Name Vintage Type Size ($M)
MMV Private Equity Fund 2007 Buyout 135
All Investments by Industry*
* Since 2008
Contact
345 Park Avenue 41st Floor New York, NY 10154 United States (212) 759-3700 Primary Contact Michael Goodman Managing Director [email protected] (212) 759-3700 x265 Andrew Thompson Senior Vice President [email protected] (212) 759-3700 x117
Commercial Services46%
Media18%
Consumer Non‐Durables
9%
B2C Services18%
Commercial Products
9%
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Wedbush Capital Partners 79
Wedbush Capital Partners is a private equity firm focused on recapitalizations, growth investments and management buyouts of lower-middle-market companies. Since 1980, Wedbush Capital has been acquiring companies headquartered in the Western U.S. with revenues up to $50 million and EBITDA of $1 million to $7 million. The firm’s preferred initial investment is between $5 million and $10 million. Wedbush Capital is an affiliate of Wedbush Securities.
General Firm Statistics
Investor type: PE/Buyout Year founded: 1980
Assets under management: $150 million Total private equity investments: 25
Active private equity investments: 5 No. of investment professionals: 7
Recently Closed Investments
Company Name Deal Type Deal Date
Golden Pheasant Foods Buyout/LBO Dec-2012
Intego Software Buyout/LBO Feb-2012
Passport Food Group Buyout/LBO Feb-2012
Visual Communications Company
Buyout/LBO May-2011
Most Recent Closed Fund
Name Vintage Type Size ($M)
Wedbush Capital Partners 2006 Buyout 120
All Investments by Industry*
* Since 2010
Contact
1000 Wilshire Boulevard Suite 830 Los Angeles, CA 90017 United States (213) 688-8018 Primary Contacts Geoff Bland Managing Director [email protected] (213) 688-8012 Peter Shoemaker Managing Director [email protected] (213) 688-8093
Communications & Networking
37%
Consumer Non‐Durables25%
Healthcare Technology Systems12%
Restaurants, Hotels & Leisure
13%
Commercial Products13%
Wilmington Trust 80
With more than 100 years experience providing trust, agency, and entity management services, Wilmington Trust is renowned for its responsiveness, excelling at creating flexible and best in class solutions for businesses, corporations, and governments on a global scale. Wilmington Trust possesses the ability and expertise needed to handle the most complex institutional transactions.
All Debt Financings by Industry
Contact Rodney Square North 1100 North Market Street Wilmington, DE 19890 United States (302) 651-1000 www.wilmingtontrust.com Primary Contact John Deleray Director, New Business Development [email protected] (714) 384-4154
Media50%
Commercial Products50%
Wingate Partners 81
Wingate Partners is a private equity firm that holds controlling equity interests in manufacturing, distribution and service businesses, typically with revenues between $50 million and $250 million. The firm acquires businesses in two categories: under-performing companies and industries in transition, which consists of companies in industries undergoing significant change.
General Firm Statistics
Investor type: PE/Buyout Year founded: 1987
Assets under management: $500 million Total private equity investments: 33
Active private equity investments: 12 No. of investment professionals: 9
Recently Closed Investments
Company Name Deal Type Deal Date
IGI Corporation Buyout/LBO Apr-2013
Nekoosa Coated Products Buyout/LBO Oct-2012
Preferred Compounding Buyout/LBO Dec-2010
Western Marketing Buyout/LBO Aug-2010
Dunn Paper Buyout/LBO Jul-2010
Most Recent Closed Fund
Name Vintage Type Size ($M)
Wingate Partners V 2013 Buyout 255
All Investments by Industry*
* Since 2010
Contact
750 North Saint Paul Street Suite 1200 Dallas, TX 75201 United States (214) 720-1313 Primary Contact Jim Johnson Partner [email protected] (214) 720-1313
Transportation20%
Other Business Products & Services20%
Commercial Products20%
Forestry40%
Wynnchurch Capital Partners 82
Wynnchurch Capital is a middle-market private equity investment firm. The firm invests in niche manufacturing, business and industrial services, value-added distribution and logistics companies. The firm's strategy is to partner with middle market companies in the United States and Canada with outstanding management teams that possess the potential for substantial growth and profit improvement.
General Firm Statistics
Investor type: PE/Buyout, Lender/Debt Provider Year founded: 1999
Assets under management: $1.1 billion Total private equity investments: 49
Active private equity investments: 21 No. of investment professionals: 22
Recently Closed Investments
Company Name Deal Type Deal Date
Imperial Group Buyout/LBO Aug-2013
American Condenser & Coil (Certain Assets)
Buyout/LBO Jul-2013
Detroit Tool Metal Products Buyout/LBO Jun-2013
GHM Transmission Buyout/LBO Jun-2013
Foss Manufacturing PE Growth/Expansion Jan-2013
Most Recent Closed Fund
Name Vintage Type Size ($M)
Wynnchurch Capital Partners III 2010 Buyout 603
All Investments by Industry*
* Since 2010
Contact
6250 North River Road Suite 10-100 Rosemont, IL 60018 United States (847) 604-6100 Primary Contact Michael Teplitsky Vice President [email protected] (847) 604-6120
Commercial Services13%
Transportation13%
Energy Equipment
6%
Textiles6%
Commercial Products56%
Metals, Minerals & Mining6%