SBIC Directory
The Small Business Investment Company (SBIC) Program provides venture capital to small businesses. Although SBICs are licensed and regulated by SBA, they are private, profit-seeking investment companies. This directory will provide you with the contact information needed to learn more about the SBIC Licensees in your state.
Explanation of Directory Information
Details on each SBIC listed below include the following information:
Preferred Investment Size: The amount the SBIC is willing to invest or loan.
Investment Policy: The type of investment the SBIC is willing to make (for example, loans, equity or debt with equity features).
Investment Type: The various stages of financing that the SBIC is willing to fund (for example, seed, start-up, early stage, expansion financing, later stage financing, or managed buyout, leveraged buyout or acquisition).
Industry Preference: Type of industry or industries the SBIC is interested in financing. Usually based on the knowledge and experience of the SBIC's management.
Geographic Preference: The area of the United States where the SBIC prefers to make financing.
Regulatory Capital: A Licensee's private paid-in capital and surplus or private partners' contributed capital (excluding non-cash contributions), plus unfunded binding commitments from institutional investors.
Leverage from SBA: A Licensee's outstanding debentures, participating securities or preferred stock guaranteed or purchased by SBA.
Capital Resources: The sum of a Licensee's regulatory capital and leverage from SBA.
SBIC Licenses by State
All SBIC Licenses on February , 2010
Alabama
SBIC Licensees Located in Alabama on February 9, 2011
Harbert Mezzanine Partners II SBIC, L.P.
Pryor Smartt, Contact
2100 Third Avenue North, Suite 600
Birmingham, AL 35203
Phone: (615)301-6395 Fax: (615)301-6401
Email: Njones@harbert.net
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Harbinger Mezzanine Partners, L.P.
Pryor Smartt, Contact
2100 Third Avenue North, Suite 600
Birmingham, AL 35203
Phone: (615)301-6395 Fax: (615)301-6401
Email: Njones@harbert.net
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Arizona
SBIC Licensees Located in Arizona on February 9, 2011
Grayhawk Venture Fund I, L.P.
Sherman Chu, Contact
5050 North 40th Street, Suite 310
Phoenix, AZ 85018
Phone: (602)956-8700 Fax: (602)956-8080
Email: schu@gvp.us
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Magnet Capital, L.P.
Gregory Mischel, Contact
7835 E. McClain Drive
Scottsdale, AZ 85260
Phone: (602)222-4801
Email: info@magnetcapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min:
Preferred Max:
TYPE OF CAPITAL PROVIDED
Loans
Mezzanine
Equity
FUNDING STAGE PREFERENCE
Expansion
Acquisition
Growth
INDUSTRY PREFERENCE
Manufacturing
Wholesale
Service
GEOGRAPHIC PREFERENCES
Southwest
DESCRIPTION OF FIRM'S FOCUS
Arkansas
SBIC Licensees Located in Arkansas on February 9, 2011
Diamond State Ventures II, L.P.
Joe T. Hays, Contact
200 River Market Ave.,
Suite 400
Little Rock, AR 72201-
Phone: (501)374-9247 Fax: (501)374-9425
Email: jhays@arcapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
California
SBIC Licensees Located in California on February 9, 2011
Alpine Investors IV SBIC, LP
Matt Picciano, Contact
3 Embarcadero Center, Suite 2330
San Francisco, CA 94111
Phone: (415)591-1323 Fax: (415)392-9101
Email: matt@alpine-investors.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $10,000,000
Preferred Max: $20,000,000
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Avante Mezzanine Partners SBIC, L.P.
Clifford A. Lyon, Contact
1111 Santa Monica Blvd., Suite 1128
Los Angeles, CA 90025
Phone: (310)667-9242 Fax: (310)728-1755
Email: clyon@avantemezzanine.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $3,000,000
Preferred Max: $15,000,000
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Unfunded commitment from CalPER can be
counted for management fee calculation but
is not part of Regulatory Capital.
Celerity Partners SBIC, L.P.
Clifford A. Lyon, Contact
11111 Santa Monica Blvd., Suite 1127
Los Angeles, CA 90025
Fax: (310)268-1712
Email: kraus@celeritypartners.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Champlain Capital Partners, L.P.
Dennis M. Leary, Contact
44 Montgomery Street
Suite 1920
San Francisco, CA 94104
Phone: (415)661-2500 Fax: (415)362-3211
Email: dleary@champlaincapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
CVP SBIC, L.P.
Derek Blazensky, Contact
1010 El Camino Real, Suite 250
Menlo Park, CA 94025
Phone: (650)614-4860 Fax: (650)614-4865
Email: derek@cardinalvc.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Draper Associates, a California LP
Timothy C. Draper, President
2882 Sand Hill Road #150
Menlo Park, CA 94025
Phone: (650)233-9000 Fax: (650)234-8584
Email: karen@dfj.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $100,000
Preferred Max: $500,000
TYPE OF CAPITAL PROVIDED
Equity
FUNDING STAGE PREFERENCE
Early Stage
INDUSTRY PREFERENCE
Emerging technologies
Internet, clean energy and
nanotechnology
GEOGRAPHIC PREFERENCES
United States
DESCRIPTION OF FIRM'S FOCUS
Emerging technologies, from the Internet and
life sciences to clean energy and nano-
technology.
East Gate Private Equity Fund III, L.P.
Ken Choi, Contact
1000 Elwell Court, Suite 203
Palo Alto, CA 94303-
Phone: (650)325-5077 Fax: (650)325-5072
Email: bcbrant@eg-group.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Emergence Capital Partners SBIC, L.P.
Gordon Ritter, Contact
160 Bovet Road, Suite 300
San Mateo, CA 94402
Phone: (650)573-3100 Fax: (650)573-3119
Email: gritter@emergencecap.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $1,000,000
Preferred Max: $5,000,000
TYPE OF CAPITAL PROVIDED
Equity
FUNDING STAGE PREFERENCE
First Institutional Round
INDUSTRY PREFERENCE
Technology
GEOGRAPHIC PREFERENCES
Nationwide
DESCRIPTION OF FIRM'S FOCUS
Technology Software and Services
GCG SBIC Investors, L.P.
111 Sutter Street, Suite 1950
San Francisco, CA 94104
Phone: (415)273-3506 Fax: (415)362-3311
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Hercules Technology II, L.P.
Scott Harvey, Contact
400 Hamilton Avenue, Suite 310
Palo Alto, CA 94301
Phone: (847)867-1953 Fax: (866)828-6687
Email: sharvey@herculestech.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Hercules Technology III, LP
Scott Harvey, Contact
400 Hamilton Avenue, Suite 310
Palo Alto, CA 94301
Phone: (650)289-3060 Fax: (650)473-9194
Email: sharvey@htgc.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Housatonic Equity Investors SBIC, L.P.
Barry Reynolds, Will Thorndike
44 Montgomery Street, Suite 4010
San Francisco, CA 94104
Phone: (415)955-9020 Fax: (415)981-0617
Email: breynolds@housatonicpartners.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $3,000,000
Preferred Max: $7,000,000
TYPE OF CAPITAL PROVIDED
Equity Investments
FUNDING STAGE PREFERENCE
Later Stage
INDUSTRY PREFERENCE
Business Services
Media
Communications
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
Housatonic Micro Fund SBIC, L.P.
Barry Reynolds, Contact
44 Montgomery Street, Suite 4010
San Francisco, CA 94104
Phone: (415)981-0616 Fax: (415)981-0617
Email: breynolds@housatonicpartners.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Huntington Capital, L.P.
Morgan Miller and Barry Wilson, Contacts
4660 La Jolla Village Drive, #650
San Diego, CA 92122
Phone: (858)259-7654 Fax: (858)259-0074
Email: susan@huntingtoncapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $750,000
Preferred Max: $1,400,000
TYPE OF CAPITAL PROVIDED
Mezzanine Debt and Equity
FUNDING STAGE PREFERENCE
Later Stage
INDUSTRY PREFERENCE
Diversified. No bleeding
edge technology.
GEOGRAPHIC PREFERENCES
Southwest USA
DESCRIPTION OF FIRM'S FOCUS
Please see www.huntingtoncapital.com
Invision Capital I, L.P.
26 Orange Blossom Circle, Suite 10
Ladera Ranch, CA 92694
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Labrador Ventures V-B, L.P.
Sean Foote, Contact
101 University Avenue, 4th Floor
Palo Alto, CA 94301
Phone: (650)366-6000 Fax: (650)366-6430
Email: mpollasky@labrador.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Montreux Equity Partners II SBIC, L.P.
Daniel K. Turner III, General Partner
3000 Sand Hill Road
Building 1, Suite 260
Menlo Park, CA 94025-7073
Phone: (650)234-1200 Fax: (650)234-1250
Email: dturner@montreuxequity.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Montreux Equity Partners III SBIC, L.P.
Daniel K. Turner III, General Partner
3000 Sand Hill Road
Building 1, Suite 260
Menlo Park, CA 94025-7073
Phone: (650)234-1200 Fax: (650)234-1250
Email: dturner@montreuxequity.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Outlook Ventures III, L.P.
Carl Nichols, Contact
912 Cole Street #144
San Francisco, CA 94117
Phone: (415)547-0000 Fax: (415)547-0010
Email: info@outlookventures.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $1,000,000
Preferred Max: $5,000,000
TYPE OF CAPITAL PROVIDED
Seed
Early Stage
Expansion
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
Technology
Software
GEOGRAPHIC PREFERENCES
Western United States
DESCRIPTION OF FIRM'S FOCUS
Outlook Venture's strategy is to be the
first institutional investor in sustainable
software-based businesses.
Positive Enterprises, Inc. (SSBIC)
Kwok Szeto, President
1489 Webster Street, Suite 228
San Francisco, CA 94115
Phone: (415)885-6600 Fax: (415)928-6363
Email: nszeto@pei-sba.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min:
Preferred Max: $150,000
TYPE OF CAPITAL PROVIDED
Loans
Equity
FUNDING STAGE PREFERENCE
Expansion
Early Stage
Later Stage
INDUSTRY PREFERENCE
Diversified
Rest Homes
Manufacturing
Light Industry
GEOGRAPHIC PREFERENCES
North
Regional
DESCRIPTION OF FIRM'S FOCUS
Rembrandt Venture Partners II, L.P.
Gerald S. Casilil, Contact
2440 Sand Hill Road, Suite 100
Menlo Park, CA 94025
Phone: (650)326-7070 Fax: (650)326-3780
Email: jcasilli@rembrandtvc.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
SAIL Venture Partners, L.P.
David Jones, Contact
600 Anton Blvd., Suite 1010
Costa Mesa, CA 92626
Phone: (714)241-7500 Fax: (714)241-7505
Email: djones@sailvc.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Shepherd Ventures II, L.P.
George C. Kenney, Contact
12250 El Camino Real, Suite 116
San Diego, CA 92130
Phone: (858)509-4744 Fax: (858)509-3662
Email: tom@shepherdventures.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
St. Cloud Capital Partners, L.P.
Robert Lautz, Managing Director
10866 Wilshire Blvd., Suite 1450
Los Angeles, CA 90024
Phone: (310)475-2700 Fax: (310)475-0550
Email: jhays@stcloudcapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $500,000
Preferred Max: $2,000,000
TYPE OF CAPITAL PROVIDED
Loans
Convertible Debt Securities
Debt Securities with Warrants
FUNDING STAGE PREFERENCE
Primarily Growth and
Expansion Financing
Some Turnaround,
Development and
Buyout Financing
INDUSTRY PREFERENCE
Diversified, subject to SBA limits
GEOGRAPHIC PREFERENCES
Western United
States preferred
DESCRIPTION OF FIRM'S FOCUS
St. Cloud seeks well-managed, established
companies w/opportunities to significantly
grow their valuation by increasing sales
and/or enhancing margins to increase net
profitability. Prefer companies with strong
debt service capability.
Telegraph Hill Partners SBIC, L.P.
Robert G. Shepler, Contact
360 Post Street, Suite 601
San Francisco, CA 94108
Phone: (415)765-6980 Fax: (415)765-6983
Email: rgs@thpartners.net
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
Equity capital
FUNDING STAGE PREFERENCE
Companies are already
commercial with revenues
Capital to be used for
growth.
INDUSTRY PREFERENCE
Life sciences, healthcare,
medical devices, diagnostics,
chemistries, healthcare IT,
animal health, plant science
GEOGRAPHIC PREFERENCES
Throughout U.S.
DESCRIPTION OF FIRM'S FOCUS
Life science and healthcare companies
with proven business models.
The company should have revenues from unique
leading products and show strong growth
and a path to profitability if not already
profitable.
Tregaron Opportunity Fund I, L.P.
Todd Collins, Contact
540 University Avenue, Suite 250
Palo Alto, CA 94301
Phone: (650)403-2084 Fax: (650)618-2550
Email: collins@tregaroncapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Colorado
SBIC Licensees Located in Colorado on February 9, 2011
Vista Ventures Advantage, LP
Catharine M. Merigold, Contact
1011 Walnut Street, Suite 410
Boulder, CO 80302
Phone: (303)543-5716 Fax: 303-362-5570
Email: catharine@vistavc.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Connecticut
SBIC Licensees Located in Connecticut on February 9, 2011
Altus Capital Partners SBIC, L.P.
Russell Greenberg, Contact
10 Wright Street, Suite 110
Westport, CT 06880
Phone: (203)429-2006 Fax: (203)429-2010
Email: rgreenberg@altuscapitalpartners.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $25,000,000
Preferred Max: $100,000,0
TYPE OF CAPITAL PROVIDED
Equity
FUNDING STAGE PREFERENCE
Later Stage
INDUSTRY PREFERENCE
Domestic
U.S. Niche Manufacturing
GEOGRAPHIC PREFERENCES
United States
DESCRIPTION OF FIRM'S FOCUS
Small and middle market domestic
manufacturing LBOs.
Brookside Mezzanine Fund II, L.P.
David D. Buttolph, Corey Sclar, Contact
80 Field Point Road
Greenwich, CT 06830
Phone: (203)618-0202 Fax: (203)618-0984
Email: dbuttolph@brooksidegrp.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $4,000,000
Preferred Max: $15,000,000
TYPE OF CAPITAL PROVIDED
Mezzanine
FUNDING STAGE PREFERENCE
Later; revenues over
$15,000,000.
INDUSTRY PREFERENCE
None
GEOGRAPHIC PREFERENCES
United States
DESCRIPTION OF FIRM'S FOCUS
The firm takes a long-term partnership based
approach to our mezzanine investments. We
focus on middle market manufacturing,
businesses services, consumer products and
healthcare companies nationwide.
Brookside Pecks Capital Partners, L.P.
David D. Buttolph, Corey Sclar; Contact
80 Field Point Road
Greenwich, CT 06830
Phone: (203)618-0202 Fax: (203)618-0984
Email: dbuttolph@brooksidegrp.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $3,000,000
Preferred Max: $6,500,000
TYPE OF CAPITAL PROVIDED
Subordinated Debt
FUNDING STAGE PREFERENCE
Acquisition
Expansion
Recapitalizations
MBO
INDUSTRY PREFERENCE
Manufacturing
Service
Value-Added Distribution
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
Provides subordinated debt investments to
profitable later-stage companies.
Critical Capital Growth Fund, L.P.
Steven Sands Mgr; C. Robinson
43 Pine Street
New Canaan, CT 06840
Phone: (203)594-7543 Fax: (203)594-7543
Email: criticalcapitalgrowthfundlp@gmail.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $500,000
Preferred Max: $1,500,000
TYPE OF CAPITAL PROVIDED
1st and 2nd Lien Secured Term
Debt with Detachable Equity
'Kicker' Investment Components
FUNDING STAGE PREFERENCE
Late/Mature Stage
(sustainable positive
free cash flow
generating).
INDUSTRY PREFERENCE
None
GEOGRAPHIC PREFERENCES
None
DESCRIPTION OF FIRM'S FOCUS
See Foregoing
Equinox Capital SBIC, L.P.
Steven C. Rodger, Contact
41 West Putnam Avenue
Greenwich, CT 06830
Phone: (203)622-1605 Fax: (203)622-4684
Email: scr@equinoxcapitalinc.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
First New England Capital 2, L.P.
Richard Klaffky, Manager
100 Pearl Street
Hartford, CT 06103
Phone: (860)293-3333 Fax: (860)293-3338
Email: rklaffky@fnec.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min:
Preferred Max:
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
First New England Capital III, L.P.
Richard C. Klaffky, President
100 Pearl Street
Hartford, CT 06103
Phone: (860)293-3333 Fax: (860)293-3338
Email: rklaffky@fnec.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
First New England Capital, LP
Richard C. Klaffky, President
100 Pearl Street
Hartford, CT 06103
Phone: (860)293-3333 Fax: (860)293-3338
Email: rklaffky@fnec.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $500,000
Preferred Max: $1,000,000
TYPE OF CAPITAL PROVIDED
Subordinated Debt
Equity
FUNDING STAGE PREFERENCE
Expansion
Later Stage
Acquisition
INDUSTRY PREFERENCE
Manufacturing
Distribution
Service
GEOGRAPHIC PREFERENCES
Northeast
DESCRIPTION OF FIRM'S FOCUS
Provides subordinated debt and
equity capital to later stage companies
for expansion and acquisition.
Target companies with revenues of at
least $5 million and profitability at
the time of investment.
GreenLeaf Capital, L.P.
Michael B. Cowan, Contact
130 Main Street
New Canaan, CT 06840
Phone: (203)716-6106 Fax: (203)716-6206
Email: mcowan@whitney.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min:
Preferred Max:
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Ironwood Equity Fund LP
Marc A. Reich, Contact
55 Nod Road
Avon, CT 06001
Phone: (860)409-2101 Fax: (860)409-2120
Email: reich@ironwoodcap.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Ironwood Equity & Ironwood Mezzanine Fund
are both fully invested and, thus, not
looking at further investment opportunities.
Ironwood Mezzanine Fund II LP
Marc A. Reich, Contact
55 Nod Road
Avon, CT 06001
Phone: (860)409-2101 Fax: (860)409-2120
Email: reich@ironwoodcap.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $5,000,000
Preferred Max: $10,000,000
TYPE OF CAPITAL PROVIDED
Subordinated debt w/warrants
Preferred Stock
FUNDING STAGE PREFERENCE
Later Stage
INDUSTRY PREFERENCE
Business Services
Value-Added Manufacturing
Environmental Services
Recurring Rev. Businesses
GEOGRAPHIC PREFERENCES
East of the
Mississippi River
DESCRIPTION OF FIRM'S FOCUS
Ironwood Mezzanine Fund, L.P.
Marc A. Reich, President, Contact
55 Nod Road
Avon, CT 06001-3819
Phone: (860)409-2101 Fax: (860)409-2120
Email: reich@ironwoodcap.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min:
Preferred Max:
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Ironwood Mezzanine & Ironwood Equity Fund
are both fully invested and, thus, not
looking at further investment opportunities.
JHW Greentree Capital, L.P.
Daniel O'Brien, Contact
130 Main Street
New Canaan, CT 06840
Phone: (203)716-6140 Fax: (203)716-6240
Email: dobrien@whitney.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
Equity - 75%
FUNDING STAGE PREFERENCE
Early stage - 25%
Growth and Expansion - 75
INDUSTRY PREFERENCE
$8 million to $10 million
GEOGRAPHIC PREFERENCES
National basis
DESCRIPTION OF FIRM'S FOCUS
Retail/wholesale distribution - 15%;
Manufacturing - 25%
Healthcare - 25%
Basic Industries and Services - 35%
MSR I SBIC, L.P.
Daniel A. Levinson
120 Post Road West, Suite 101
Westport, CT 06880
Phone: (203)227-5320 Fax: (203)227-5312
Email: mr@mainstreetresources.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
Growing stage
INDUSTRY PREFERENCE
$1 million to $10 million
four investments each year
GEOGRAPHIC PREFERENCES
Northeast region of U.S.
New York, New Jersey
Connecticut,
Massachusetts
DESCRIPTION OF FIRM'S FOCUS
value approach, no industry focus
RFE Investment Partners V, L.P.
James A. Parsons, General Partner
36 Grove Street
New Canaan, CT 06840
Phone: (203)966-2800 Fax: (203)966-3109
Email: djuricic@rfeip.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $5,000,000
Preferred Max: $9,000,000
TYPE OF CAPITAL PROVIDED
Prefer Equity Investments
FUNDING STAGE PREFERENCE
Later Stage
Expansion
Acquisitions
INDUSTRY PREFERENCE
Manufacturing
Services
Healthcare
Distribution
GEOGRAPHIC PREFERENCES
National
Eastern US
DESCRIPTION OF FIRM'S FOCUS
Equity investments in acquisitions,
recapitalizations and growth financings
of profitable manufacturing, service or
distribution businesses with at least
$15 million in annual revenues and
attractive growth prospects.
RFE VI SBIC, L.P.
James Parsons, Managing Member.
36 Grove Street
New Canaan, CT 06840
Phone: (203)966-2800 Fax: (203)966-3109
Email: djuricic@rfeip.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $8,000,000
Preferred Max: $15,000,000
TYPE OF CAPITAL PROVIDED
Prefer Equity Investments
FUNDING STAGE PREFERENCE
Later Stage
Expansion
Acquisitions
INDUSTRY PREFERENCE
Manufacturing
Healthcare
Distribution
Services
GEOGRAPHIC PREFERENCES
National
Eastern US
DESCRIPTION OF FIRM'S FOCUS
Equity investments in acquisitions,
recapitalizations and growth financings
of profitable manufacturing, service or
distribution businesses with at least
$15million in annual revenues and
attractive growth prospects.
Saugatuck Capital Company, L.P. IV, SBIC
Frank Hawley, Thomas Berardino
187 Danbury Road
Wilton, CT 06897
Phone: (203)348-6669 Fax: 203-324-6995
Email: TBerardino@saugatuckcapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $15,000,000
Preferred Max: $50,000,000
TYPE OF CAPITAL PROVIDED
Equity and Preferred Equity
FUNDING STAGE PREFERENCE
Growth/Mature
INDUSTRY PREFERENCE
Open
GEOGRAPHIC PREFERENCES
USA and Canada
DESCRIPTION OF FIRM'S FOCUS
We look for niche middle market opport. With
strong operating management teams which
have proved their ability to sustain stable
cash flows and are motivated by significant
equity incentives.
Valentis SB, L.P.
Paul M. Jacobi
411 West Putnam Avenue
Greenwich, CT 06830
Phone: (203)862-7074 Fax: (203)862-7374
Email: pjacob@wexford.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Delaware
SBIC Licensees Located in Delaware on February 9, 2011
Inflection Point Ventures II, L.P.
Jeffrey A. Davison, Contact
1 Innovation Way
Suite 500
Newark, DE 19711
Phone: (302)452-1120 Fax: (302)452-1122
Email: jdavison@inflectpoint.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Innovation Ventures, L.P.
David J. Freschman, Contact
Three Mill Road, Suite 201
Wilmington, DE 19806
Phone: (302)777-1616 Fax: (302)777-1620
Email: djf@innovationcapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
District of Columbia
SBIC Licensees Located in District of Col. on February 9, 2011
Alpine Equity, L.P.
George McCabe, Contact
1055 Thomas Jefferson Street, NW
Suite 650
Washington, DC 20007-5256
Phone: (202)333-7784 Fax: (202)333-7786
Email: george@pinecreekpartners.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
52.8% entity institutional inv
29.8% indiv institutional inv
17.4% dual commitments
FUNDING STAGE PREFERENCE
15% Expansion
35% Later Stage
50% Change-of-Control
INDUSTRY PREFERENCE
$10 million - $75 million
in total enterprise value
("micro cap companies")
GEOGRAPHIC PREFERENCES
East Coast w/ emphasis on
Mid-Atlantic region
DESCRIPTION OF FIRM'S FOCUS
Financial services
Educational products and services
Selected consumer products
Select federal government contractors
Core Capital Partners II-S, L.P.
William Dunbar, Contact
1401 I Street, NW, Suite 1000
Washington, DC 20005
Phone: (202)589-0090 Fax: (202)589-0091
Email: rklueger@core-capital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Core Capital Partners, L.P.
William Dunbar, Jonathan Silver, Contact
1401 I Street, NW, Suite 1000
Washington, DC 20005
Phone: (202)589-0090 Fax: (202)589-0091
Email: rklueger@core-capital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min:
Preferred Max:
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Grosvenor Special Ventures IV, L.P.
Bruce B. Dunnan
1776 I Street, NW, Suite 890
Washington, DC 20006
Phone: (202)861-5650 Fax: (202)861-5653
Email: bbd@grosvenorfund.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Florida
SBIC Licensees Located in Florida on February 9, 2011
Banyan Mezzanine Fund II, L.P.
John A. Miller, Contact
1111 Brickell Avenue, Suite 1300
Miami, FL 33131
Phone: (305)755-0376 Fax: (305)755-0377
Email: jmiller@banyanmezzanine.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Banyan Mezzanine Fund, L.P.
John A. Miller, Contact
P.O. Box 45-0963
Miami, FL 33245-0963
Phone: (305)755-0376 Fax: (305)755-0377
Email: lmarler@banyanmezzanine.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
No Start-Ups
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Does not invest in start-ups, real estate,
oil/energy, or turnarounds. Requires min
EBITDA of $1mm and revenues of $10mm.
CapitalSouth Partners Fund I, L.P.
David Reed
712 South Oregon Avenue, Suite 200
Tampa, FL 33606-
Phone: (813)202-8128 Fax: (813)835-4197
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
CapitalSouth Partners Fund II, L.P.
David Reed
712 South Oregon Avenue, Suite 200
Tampa, FL 33606-
Phone: (813)202-8128 Fax: (813)835-4197
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
KLH Capital, L.P.
Mark J. Hunter, Contact
101 E. Kennedy Blvd., Suite 3925
Tampa, FL 33602
Phone: (813)222-0160 Fax: (813)315-7031
Email: www.KLHCapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $1,500,000
Preferred Max: $6,000,000
TYPE OF CAPITAL PROVIDED
Majority Equity
Growth capital (minority eqty.
mezz./subordinated debt)
FUNDING STAGE PREFERENCE
Positive cash flow for at
least three years.
INDUSTRY PREFERENCE
We industry agnostic but do
avoid the following industries:
start up, high tech., real estate
dev.,oil and gas operations, or
new construction busi.
GEOGRAPHIC PREFERENCES
Nationwide
DESCRIPTION OF FIRM'S FOCUS
KLH is a private investment firm founded to
provide entrepreneurs w/capital to facili-
tate recapitalizations, mgmt. buy-ins,
family successions and other ownership
transitions; our Principals have invested
more than $350m in 100 small businesses.
Georgia
EGL/NatWest Equity Partners USA, L.P.
Salvatore Massaro, Manager
3495 Piedmont Road
Building 11, Suite 412
Atlanta, GA 30305
Phone: (404)949-8303 Fax: (404)795-0976
Email: samassaro@eglholdings.com
Peachtree II, L.P.
David Christopher, Contact
400 Colony Square, Suite 200
Atlanta, GA 30361
Phone: (404)870-8900 Fax: (404)870-8191
Email: david@peachtreeequity.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $3,000,000
Preferred Max: $10,000,000
TYPE OF CAPITAL PROVIDED
Subordinated Debt
Preferred Equity
FUNDING STAGE REFERENCES
Expansion
Later Stage
Acquisition
INDUSTRY PREFERENCE
Manufacturing
Distribution
Service, Financial Services
(non lending), Government
Contracting
GEOGRAPHIC PREFERENCES
East/Southeast
DESCRIPTION OF FIRM'S FOCUS
Peachtree II provides subordinated debt and
equity securities to middle market companies
seeking capital for growth,expansion,
acquisition, or shareholder liquidity.
Salem Capital Partners, LP
2849 Paces Ferry Road
Suite 660
Atlanta, GA 30339-
Phone: (770)790-5034
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
White Oak SBIC Fund, L.P.
Christopher C. Melton, Contact
600 Galleria Parkway, Suite 1400
Atlanta, GA 30339
Phone: (404)875-9994 Fax: (404)875-9545
Email: chris@thewhiteoakgroup.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $1,000,000
Preferred Max: $10,000,000
TYPE OF CAPITAL PROVIDED
Controlled Equity Positions
FUNDING STAGE REFERENCES
Growth
INDUSTRY PREFERENCE
Aerospace and Defense
GEOGRAPHIC PREFERENCES
Eastern United States
DESCRIPTION OF FIRM'S FOCUS
We focused on making controlled equity
investments in the C4ISR sector of the
Aerospace and Defense Industry.
Illinois
Aldine SBIC Fund, L.P.
Albert L. Brahm, Contact
30 West Monroe Street
Suite 1310
Chicago, IL 60603
Phone: (312)346-3950 Fax: (312)346-3930
Email: bbrahm@aldinecapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $2,000,000
Preferred Max: $8,000,000
TYPE OF CAPITAL PROVIDED
Mezzanine and Equity
FUNDING STAGE REFERENCES
Growth or Late Stage
INDUSTRY PREFERENCE
Will not pursue turnaround
or early stage situations, real
estate, finance or insurance.
GEOGRAPHIC PREFERENCES
Nationwide w/Midwest
focus
Alpha Capital III SBIC, L.P.
Andrew H. Kalnow, Contact
122 South Michigan Avenue
Suite 1700
Chicago, IL 60603
Phone: (312)322-9800 Fax: (312)322-9808
Email: GaryStark@alphacapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
Altus Capital Partners SBIC, L.P.
250 Parkway Drive, Suite 120
Lincolnshire, IL 60069
Phone: (847)229-0770 Fax: (847)229-9271
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
BMO Capital Markets Equity Investments (US)
Liz Lindsay
111 W. Monroe Street, 20W
Attention: Helen Schubbe
Chicago, IL 60603
Phone: (312)461-7502 Fax: (212)765-8000
Email: helen.schubbe@bmonb.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $7,000,000
Preferred Max: $12,000,000
TYPE OF CAPITAL PROVIDED
No Start-Ups
Min Revenue $20K
FUNDING STAGE REFERENCES
Acquisition
Mezzanine
Buyouts
Expansion
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
Invest in companies with established mgt.
teams and stable cash flows. Will consider
investments in turnaround situations and
later stage growth capital. No start-ups,
minimum revenue $20 million.
Cardinal Growth, L.P.
Joseph M. McInerney, Contact
311 South Wacker Drive, Suite 5500
Chicago, IL 60606
Phone: (312)913-1000 Fax: (312)913-1001
Email: JSigna@cardinalgrowth.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
CFB Venture Fund II, LP
Dan O'Connell
120 S. Riverside
Suite 2160
Chicago, IL 60606
Phone: (312)466-9276 Fax: (312)466-9278
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
CFB Venture Fund L.P.
Dan W. O' Connell
120 S. Riverside, Suite 2160
Chicago, IL 60606
Phone: (312)466-9276 Fax: (312)466-9278
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
Channel Medical Partners, L.P.
Gregory Shearer, Contact
5750 Old Orchard Road, Suite 310
Skokie, IL 60077
Phone: (847)779-1550 Fax: (847)779-1535
Email: gshearer@chanmed.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $2,000,000
Preferred Max: $5,000,000
TYPE OF CAPITAL PROVIDED
Equity
FUNDING STAGE REFERENCES
INDUSTRY PREFERENCE
Medical Technology
GEOGRAPHIC PREFERENCES
National
Continental Illinois Venture Corp.
Patti Seidel
231 South LaSalle Street, Twelfth Floor
Chicago, IL 60697
Phone: (312)828-2287 Fax: (312)923-0668
Email: erick.c.christensen@bankofamerica.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $5,000,000
Preferred Max: $50,000,000
TYPE OF CAPITAL PROVIDED
Subordinated Debt
Equity
FUNDING STAGE REFERENCES
Expansion
Later Stage
MBO
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
Makes majority and minority equity
investments in established service
and manufacturing businesses in the
U.S. with at least $20 million in sales
and $5 million in EBITDA.
DNJ Leasing II, L.P.
Jeffry S. Pfeffer, Contact
10 S. Wacker Drive, Suite 1840
Chicago, IL 60606
Phone: (312)629-2878 Fax: (312)629-2874
Email: jspfeffer@capxpartners.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $1,000,000
Preferred Max: $5,000,000
TYPE OF CAPITAL PROVIDED
Equipment Leases
Loans
Secured Mezzanine
FUNDING STAGE REFERENCES
Late Stage Venture
Growth Capital
Buyout
INDUSTRY PREFERENCE
Manufacturing
Distribution
Technology/Telecom
Business Services
GEOGRAPHIC PREFERENCES
National Footprint
DESCRIPTION OF FIRM'S FOCUS
CapX Partners, founded in 1999, is a equip-
ment financing and secured mezzanine fund
focusing on transaction sizes of $2-$10m for
private equity and venture backed portfolio
companies. CapX is investing out of its
$150m third fund (Vogen).
Dunrath Capital Infrastructure Surety Fund
John Abernethy, Contact
53 West Jackson Blvd., Suite 715
Chicago, IL 60604
Phone: (312)546-4700 Fax: (312)386-9454
Email: steve@dunrath.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
Fidus Mezzanine Capital, L.P.
Edward H. Ross, Contact
190 S. LaSalle Street, Suite 2140
Chicago, IL 60603
Phone: (312)284-5201 Fax: (312)284-5212
Email: eross@fiduspartners.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $4,000,000
Preferred Max: $15,000,000
TYPE OF CAPITAL PROVIDED
Loans, Debt
Equity
Co-investment (non-control)
FUNDING STAGE REFERENCES
Later Stage
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
Midwest
Northeast
Southeast
DESCRIPTION OF FIRM'S FOCUS
Fidus Mezzanine provides flexible junior
capital solutions to support growth and
value creation strategies of middle market
companies.
Fidus Mezzanine Capital, L.P.
225 W. Washington Street
Suite 2200
Chicago, IL 60606
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
GCG SBIC Investors, L.P.
Jeffery Birch, Contact
230 West Monroe Street, Suite 2000
Chicago, IL 60606
Phone: (312)849-0008 Fax: (312)849-0000
Email: birch@greyrockcapitalgroup.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
DESCRIPTION OF FIRM'S FOCUS
GCG SBIC Investors' investment period has
ended and it is no longer making
investments.
GCG SBIC Investors, L.P.
225 W. Washington Street
Chicago, IL 60606
Phone: (312)346-7442 Fax: (312)346-7441
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
Granite Creek FlexCap I, L.P.
Mark A. Radzik, Contact
222 West Adams, Suite 1980
Chicago, IL 60606
Phone: (312)895-4503 Fax: (312)895-4509
Email: Mark@GraniteCreek.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $4,000,000
Preferred Max: $6,000,000
TYPE OF CAPITAL PROVIDED
Debt or debt/equity securities
FUNDING STAGE REFERENCES
Later Stage/Growth
INDUSTRY PREFERENCE
Business services
Consumer products
Distribution
Manufacturing
Healthcare
GEOGRAPHIC PREFERENCES
National with a focus on
the midwest.
DESCRIPTION OF FIRM'S FOCUS
Mezzanine and equity investment opport-
unities in middle market, small business
with minimum revenues of $10 million,
positive EBITDA, and a scalable business
operating model.
High Street Capital III SBIC, L.P.
Joseph R. Katcha, Contact
11 South LaSalle Street, 5th Floor
Chicago, IL 60603
Phone: (312)423-2650 Fax: (312)423-2655
Email: jkatcha@highstr.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
Hispania Private Equity, L.P.
Victor L. Maruri, Contact
311 South Wacker Drive
Suite 4200
Chicago, IL 60606
Phone: (312)697-4590 Fax: (312)697-4598
Email: vmaruri@hispaniapartners.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
Equity
FUNDING STAGE REFERENCES
Growth to later stage
INDUSTRY PREFERENCE
$3 million to $5 million
GEOGRAPHIC PREFERENCES
Hispanic owned business
in U.S. and Puerto Rico
DESCRIPTION OF FIRM'S FOCUS
media and entertainment,
business services,
food and beverage
financial services
education
Hopewell Ventures, L.P.
Craig Overmyer, Contact
20 North Wacker Drive, Suite 2200
Chicago, IL 60606
Phone: (312)357-9600 Fax: (312)357-9620
Email: overmyer@hopewellventures.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
Invision Capital I, L.P.
Robert J. Castillo, Contact
225 W. Washington Street, Suite 1155
Chicago, IL 60606
Phone: (312)236-4600 Fax: (312)893-3841
Email: rcastillo@invisioncapitalgroup.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
LaSalle Capital Group II-A, L.P.
Andrew Shackelford, Contact
Three First National Plaza, Suite 5710
Chicago, IL 60602
Phone: (312)201-2633 Fax: (312)236-0720
Email: ashackelford@lasallecapitalgroup.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
LaSalle Capital Group, L.P.
Andrew Shackelford, CFO
Three First National Plaza, Suite 5710
Chicago, IL 60602
Phone: (312)236-7041 Fax: (312)236-0720
Email: ashackelford@lasallecapitalgroup.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
MK Capital SBIC, L.P.
Bret R. Maxwell, Contact
1033 Skokie Boulevard, Suite 430
Northbrook, IL 60062
Phone: (312)324-7703 Fax: (312)324-7713
Email: bmaxwell@mkcapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
Prism Mezzanine Fund SBIC, L.P.
Robert Finkel, Contact
444 N. Michigan Avenue, Suite 1910
Chicago, IL 60611
Phone: (312)464-7900 Fax: (312)464-7915
Email: BL@prismfund.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
SvoCo, L.P.
John Svoboda, Michelle Collins, Contacts
1 North Franklin Street
Suite 1500
Chicago, IL 60606
Phone: (312)267-8750 Fax: 312-267-6025
Email: jas@svoco.com
Valor Equity Partners, L.P.
Antonio Gracias, Contact
200 S. Michigan Avenue, Suite 1020
Chicago, IL 60604
Phone: (312)683-1900 Fax: (312)683-1881
Email: jshulkin@valorep.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $3,000,000
Preferred Max: $6,000,000
TYPE OF CAPITAL PROVIDED
Equity
FUNDING STAGE REFERENCES
Growth
INDUSTRY PREFERENCE
Generalist w/a current focus
on industrial products & man-
facturing, value-added dist-
ribution, energy services, healt-
care, business services.
GEOGRAPHIC PREFERENCES
Continental United States
DESCRIPTION OF FIRM'S FOCUS
Valor is a value oriented, operationally
focused middle market private equity firm.
As an equity partner & business builder.
Valor implements a systemic approach to
creating stronger, competitive, profitable,
business entities in its portfolio comp.
Vogen Funding, L.P.
Jeffry S. Pfeffer, Contact
10 S. Wacker Drive, Suite 1840
Chicago, IL 60606
Phone: (312)629-2878 Fax: (312)629-2874
Email: jspfeffer@capxpartners.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $2,000,000
Preferred Max: $10,000,000
TYPE OF CAPITAL PROVIDED
Equipment Leases
Loans
Secured Mezzanine
FUNDING STAGE REFERENCES
Late Stage Venture
Growth Capital
Buyout
INDUSTRY PREFERENCE
Manufacturing
Distribution
Technology/Telecom
Business Services
GEOGRAPHIC PREFERENCES
National Footprint
DESCRIPTION OF FIRM'S FOCUS
CapX Partners, founded in 1999, is a equip-
ment financing and secured mezzanine fund
focusing on transaction sizes of $2-$10m for
private equity and venture backed portfolio
companies. CapX is investing out of its
$150m third fund (Vogen).
Indiana
SBIC Licensees Located in Indiana on February 9, 2011
1st Source Capital Corporation
Eugene L. Cavanaugh, Jr., Vice President
100 North Michigan Street
South Bend, IN 46634
Phone: (574)235-2180 Fax: (574)235-2227
Email: cavanaugh@1stsource.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $300,000
Preferred Max: $600,000
TYPE OF CAPITAL PROVIDED
Equity
Debt with Equity
FUNDING STAGE PREFERENCE
Later Stage
Expansion
Acquisitions
MBO
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
Midwest
DESCRIPTION OF FIRM'S FOCUS
Financings sought include second/third stage
financings for companies with significant
growth potential, acquisitions, management
buyouts, and transfers of ownership.
Of primary interest are companies involved
in manufacturing, sales or distribution.
Cambridge Ventures, LP
Ms. Jean Wojtowicz, President
4181 East 96th Street
Suite 200
Indianapolis, IN 46240
Phone: (317)814-6192 Fax: (317)844-9815
Email: jwojtowicz@cambridgecapitalmgmt.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $100,000
Preferred Max: $1,000,000
TYPE OF CAPITAL PROVIDED
Subordinate Debt
Equity
Debt
FUNDING STAGE PREFERENCE
Expansion
Acquisition
MBO
INDUSTRY PREFERENCE
Diversified
Manufacturing
GEOGRAPHIC PREFERENCES
Within 200 miles of IN
DESCRIPTION OF FIRM'S FOCUS
Prefers to invest in companies that are
cash flow positive, in need of growth,
expansion or acquisition capital.
Centerfield Capital Partners, L.P.
D. Scott Lutzke, Contact
3030 Market Tower
10 West Market Street
Indianapolis, IN 46204
Phone: (317)237-2323 Fax: (317)237-2325
Email: SCOTT@centerfieldcapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Iowa
SBIC Licensees Located in Iowa on February 9, 2011
AAVIN Equity Partners I, L.P.
James D. Thorpe, Contact
118 Third Avenue, SE, Suite 630
Cedar Rapids, IA 52401
Phone: (319)247-1072 Fax: (319)363-9519
Email: jthorp@aavin.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Lewis & Clark Private Equities, L.P.
David R. Schroder, Contact
101 Second Street, SE, Suite 800
Cedar Rapids, IA 52401
Phone: (319)363-8249 Fax: (319)363-9683
Email: mbenge@investam.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $500,000
Preferred Max: $2,500,000
TYPE OF CAPITAL PROVIDED
Subordinated Debt
Preferred Stock
Equity
FUNDING STAGE PREFERENCE
Growth and Later Stage
INDUSTRY PREFERENCE
Manufacturing
Service
Distribution
Technology
GEOGRAPHIC PREFERENCES
United States
DESCRIPTION OF FIRM'S FOCUS
Invest in growth and later stage manu-
facturing, service, distribution, and
technology businesses with from $10 to $50
million in sales, both growth and buyout
financing throughout U.S. However, the Fund
is now fully invested.
North Dakota SBIC, L.P.
David R. Schroder, Manager
101 Second Street SE, Suite 800
Cedar Rapids, IA 52401
Phone: (701)298-0003 Fax: (701)293-7819
Email: mbenge@investam.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $500,000
Preferred Max: $750,000
TYPE OF CAPITAL PROVIDED
Subordinated Debt
Preferred Stock-Warrants
Equity
FUNDING STAGE PREFERENCE
Expansion
Later Stage
INDUSTRY PREFERENCE
Manufacturing
Service
Distribution
GEOGRAPHIC PREFERENCES
North Dakota
South Dakota
Minnesota
Montana
National
DESCRIPTION OF FIRM'S FOCUS
Invests nationally in growth and later stage
manufacturing, service, and distribution
businesses with $5 to $40 million in sales
seeking $1 to $7 million in equity or near
equity financing to fund growth or buyouts.
Focused on ND & contiguous states.
Kansas
SBIC Licensees Located in Kansas on February 9, 2011
Kansas Venture Capital, Inc.
Marshall D. Parker
10601 Mission Road, Suite 250
Leawood, KS 66206-
Phone: (913)262-7117 Fax: (913)262-3509
Email: mparker@kvci.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $1,000,000
Preferred Max: $3,000,000
TYPE OF CAPITAL PROVIDED
Equity
Subordinated Debt
FUNDING STAGE PREFERENCE
No Seed
All Other Stages
INDUSTRY PREFERENCE
Manufacturing
Diversified
GEOGRAPHIC PREFERENCES
Primarily Midwest
DESCRIPTION OF FIRM'S FOCUS
Invests in a variety of enterprises with
significant growth potential which are
operated by exceptional management teams.
Provides later stage capital for expansion
acquisition or stockholder
liquidity purposes.
MidStates Capital Fund II, L.P.
Tim Keeble, Contact
7300 West 110th Street, 7th Floor
Overland Park, KS 66210
Phone: (913)962-9007 Fax: (913)962-0699
Email: timkeeble@midstatescap.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
MidStates Capital, L.P.
Timothy J. Keeble, Contact
7300 West 110th Street, 7th Floor
Overland Park, KS 66210
Phone: (913)962-9007 Fax: (913)962-0699
Email: timk@midstatescap.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Chrysalis Ventures II, L.P.
Lisa K. Aly, Contact
101 South Fifth Street, Suite 1650
Louisville, KY 40202
Phone: (502)583-7644 Fax: (502)853-7648
Email: Laly@ChrysalisVentures.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
Mountain Ventures, Inc.
L. Ray Moncrief, President
P.O. Box 1738, 362 Old Whitley Road
London, KY 40743
Phone: (606)864-5175 Fax: (606)864-5194
Email: BMcDaniel@khic.org
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $100,000
Preferred Max: $350,000
TYPE OF CAPITAL PROVIDED
Loan
Debt
Equity
FUNDING STAGE REFERENCES
Seed
Early
Expansion
Later Stages
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
Southeast Kentucky
DESCRIPTION OF FIRM'S FOCUS
Prefers to invest in firms to be located
in Eastern Kentucky.
Audubon Capital SBIC, L.P.
Robert Cowin, Contact
217 N. Columbia Street
Covington, LA 70433
Phone: (985)635-6004 Fax: (985)635-6011
Email: rcowin@auduboncapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $1,000,000
Preferred Max: $4,000,000
TYPE OF CAPITAL PROVIDED
Subordinated Debt
Preferred Stock
FUNDING STAGE REFERENCES
Later Stage
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
Gulf States and Southern
Regions (Oklahoma, Texas,
Louisiana, Mississippi,
Alabama, and Georgia)
DESCRIPTION OF FIRM'S FOCUS
Mezzanine debt financing for middle
market companies.
Bank One Equity Investors-BIDCO, Inc.
Thomas J. Adamek, President
c/o Stonehenge Capital Corporation
236 Third Street
Baton Rouge, LA 70801
Phone: (225)408-3255 Fax: (225)408-3090
Email: sgwhittington@stonehengecapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $1,000,000
Preferred Max: $5,000,000
TYPE OF CAPITAL PROVIDED
Equity
Subordinate Debt
FUNDING STAGE REFERENCES
Expansion
Later Stage
MBO
LBO
Acquisition
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
South
Midwest
Jefferson Capital Partners I, L.P.
William J. Harper, Contact
2156 Third Street, Ste. C
Mandeville, LA 70471
Phone: (985)727-7232 Fax: (985)727-7213
Email: capital@jeffcap.com; wharper@jeffcap.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $1,000,000
Preferred Max: $2,000,000
TYPE OF CAPITAL PROVIDED
Subordinated Debt
Preferred Stock
FUNDING STAGE REFERENCES
Later Stage
MBO/LBO
Acquisition
INDUSTRY PREFERENCE
Low Tech
Diversified
GEOGRAPHIC PREFERENCES
Southeastern US
Texas
Midwest
DESCRIPTION OF FIRM'S FOCUS
Subordinated debt and preferred stock
investments in smaller middle market
companies
Maine
SBIC Licensees Located in Maine on February 9, 2011
Masthead Venture Partners Capital, L.P.
111 Commercial Street
Suite 302
Portland, ME 04101
Phone: (207)780-0905 Fax: (207)780-0913
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
North Atlantic SBIC IV, L.P.
Kimberley A. Niles, CFO
Two City Center, 5th Floor
Portland, ME 04101
Phone: (207)772-4470 Fax: (207)772-3257
Email: kniles@northatlanticcapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
North Atlantic Venture Fund II, L.P.
David M. Coit, Manager
Two City Center, 5th Floor
Portland, ME 04101
Phone: (207)772-4470 Fax: (207)772-3257
Email: kniles@northatlanticcapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $2,000,000
Preferred Max: $3,000,000
TYPE OF CAPITAL PROVIDED
Sub. Debt w/Equity Features
Equity
FUNDING STAGE PREFERENCE
Buy-outs
Expansion Financing
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
Northeast
DESCRIPTION OF FIRM'S FOCUS
Target established companies seeking growth
through internal expansion or acquisitions.
Also finance the recapitalization or
ownership change of profitable, well
established businesses.
Maryland
SBIC Licensees Located in Maryland on February 9, 2011
Allegiance Capital, L.P.
Gary Dorsch
10706 Beaver Dam Road
Suite 201
Cockeysville, MD 21030
Phone: (410)568-1715 Fax: (410)568-1733
Email: gdorsch@allcapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $1,000,000
Preferred Max: $3,000,000
TYPE OF CAPITAL PROVIDED
Mezzanine
FUNDING STAGE PREFERENCE
Later Stage
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
Mid-Atlantic
DESCRIPTION OF FIRM'S FOCUS
Subordinate debt to privately held companies
Legg Mason SBIC Mezzanine Fund, L.P.
Andrew L. John, Contact
111 South Calvert Street
Suite 1800
Baltimore, MD 21202
Phone: (443)573-3700 Fax: (443)573-3703
Email: ajohn@cscp.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
MidCap Financial SBIC, L.P.
Steve Curwin, Contact
7735 Old Georgetown Road, Suite 400
Bethesda, MD 20814
Phone: (301)841-6433 Fax: (301)941-1450
Email: scurwin@midcapfinancial.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Patriot Capital II, L.P.
Chris Royston, Contact
509 South Exeter Street
Suite 210
Baltimore, MD 21202
Phone: (443)573-3010 Fax: (443)573-3020
Email: croyston@patriot-capital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Patriot Capital, L.P.
Chris M. Royston, Contact
509 South Exeter Street
Suite 210
Baltimore, MD 21202
Phone: (443)573-3010 Fax: (443)573-3020
Email: croyston@patriot-capital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Security Financial and Investment Corp.
Jim Bonfils, Manager
7720 Wisconsin Avenue, Suite 207
Bethesda, MD 20814
Phone: (301)951-4288 Fax: (301)951-4286
Email: jamesbonfils@aol.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $25,000
Preferred Max: $150,000
TYPE OF CAPITAL PROVIDED
Loans
FUNDING STAGE PREFERENCE
Early Stage (One Year Op)
No Start Ups
INDUSTRY PREFERENCE
No Specialty
GEOGRAPHIC PREFERENCES
150 miles radius of DC
DESCRIPTION OF FIRM'S FOCUS
Loans made to going businesses
in need of capital for expansion.
Real estate collateral required.
Spring Capital Partners II, L.P.
Robert M. Stewart, Contact
The Latrobe Building, 5th Floor
2 East Read Street
Baltimore, MD 21202
Phone: (410)685-8000 Fax: (410)545-0015
Email: rms@springcap.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Spring Capital Partners, L.P.
Mike Dongh, General Partner
The Latrobe Building, 5th Floor
2 East Read Street
Baltimore, MD 21202
Phone: (610)964-6972 Fax: (410)545-0015
Email: mailbox@springcap.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $2,000,000
Preferred Max: $4,000,000
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
Mezzanine
Expansion
Later Stage
INDUSTRY PREFERENCE
No Specialty
GEOGRAPHIC PREFERENCES
Mid-Atlantic
DESCRIPTION OF FIRM'S FOCUS
Massachusetts
SBIC Licensees Located in Massachusetts on February 9, 2011
Ascent Venture Partners II, L.P.
Walter Dick, General Partner
255 State Street, 5th Floor
Boston, MA 02109
Phone: (617)720-9400 Fax: (617)720-9401
Email: tscanlon@ascentvp.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $1,000,000
Preferred Max: $3,000,000
TYPE OF CAPITAL PROVIDED
Equity
Debt w/Equity
FUNDING STAGE PREFERENCE
Seed
Early Stage
Expansion
INDUSTRY PREFERENCE
Network and Communication Systems
Enterprise Software
Medical
Specialized IT Services
Industrial Technology
GEOGRAPHIC PREFERENCES
New England
DESCRIPTION OF FIRM'S FOCUS
Ascent Venture Partners IV-A, L.P.
Brian Girvan, Contact
255 State Street, 5th Floor
Boston, MA 02109
Phone: (617)720-9400 Fax: (617)720-9401
Email: tscanlon@ascentvp.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Brook Venture Fund IIA, L.P.
Walter Beinecke, Partner
301 Edgewater Place, Suite 425
Wakefield, MA 01880
Phone: (781)295-4000 Fax: (781)295-4007
Email: nm@brookventure.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $1,000,000
Preferred Max: $5,000,000
TYPE OF CAPITAL PROVIDED
Debt & Equity
FUNDING STAGE PREFERENCE
Expansion Stage
INDUSTRY PREFERENCE
Information and/or
Medical Technology
GEOGRAPHIC PREFERENCES
Northeastern U.S.
DESCRIPTION OF FIRM'S FOCUS
We provide financing to companies which are
profitable at the time of the investment.
Our investment dollars are targeted to
support the accelerated business development
& sales growth of our portfolio companies-
leading to a sale of the company in 3-5 yrs.
Citizens Ventures, Inc.
Joshua Conlon - EVP, Director
28 State Street, 38th Floor
Boston, MA 02109
Phone: (617)994-7084
Email: joshua.conlon@rbscitizens.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min:
Preferred Max:
TYPE OF CAPITAL PROVIDED
Subordinated Debt
Equity
FUNDING STAGE PREFERENCE
MBO
Acquisition
Growth
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
Northeast
Midwest
Southeast
DESCRIPTION OF FIRM'S FOCUS
Draper Fisher Jurvetson New England Fund I
Todd Hixon, Contact
One Broadway, 14th Floor
Cambridge, MA 02142
Phone: (617)758-4213 Fax: (617)758-4101
Email: todd@dfjne.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
N/A
FUNDING STAGE PREFERENCE
N/A
INDUSTRY PREFERENCE
N/A
GEOGRAPHIC PREFERENCES
N/A
DESCRIPTION OF FIRM'S FOCUS
This fund is no longer investing in new
portfolio companies.
Gemini Investors III, L.P.
David F. Millet, Contact
20 William Street, Suite 250
Wellesley, MA 02481
Phone: (781)237-7001 Fax: (781)237-7233
Email: mkeis@gemini-investors.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Gemini Investors IV, L.P.
Matt Keis, Contact
20 William Street, Suite 250
Wellesley, MA 02481
Phone: (781)237-7001 Fax: (781)237-7233
Email: mkeis@gemini-investors.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Gemini Investors V, L.P.
Matthew E. Keis, Contact
20 William Street, Suite 250
Wellesley, MA 02481
Phone: (781)237-7001 Fax: (781)237-7233
Email: mkeis@gemini-investors.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Ironwood Equity Fund LP
18 Tremont St., Suite 1120
Boston, MA 02108
Phone: (617)723-6747 Fax: (617)723-6746
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Lancet Capital Health Ventures, L.P.
William Golden, Manager
245 First Street
Suite 1800
Cambridge, MA 02142-
Phone: (617)444-8582 Fax: (617)444-8405
Email: wgolden@lancetcapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $100,000
Preferred Max: $2,500,000
TYPE OF CAPITAL PROVIDED
Private Equity
FUNDING STAGE PREFERENCE
Seed
Early Stage
INDUSTRY PREFERENCE
Biomedical
GEOGRAPHIC PREFERENCES
Northeast US
DESCRIPTION OF FIRM'S FOCUS
Invest primarily in medical device, drug
discovery, bioinformatics companies.
Masthead Venture Partners Capital, L.P.
Timothy Agnew, Contact
55 Cambridge Parkway
Suite 103
Cambridge, MA 02142
Phone: (617)621-3000 Fax: (617)621-3055
Email: tim@mvpartners.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
North Hill Ventures II, L.P.
Brett Rome, Contact
Ten Post Office Square, Suite 1100
Boston, MA 02109
Phone: (617)788-2150 Fax: (617)788-2152
Email: cynthia.fanikos@capitalone.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
Early-stage
INDUSTRY PREFERENCE
Financial
Marketing technology
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Cash was controlled by Capital One, the LP.
Cash flows from Capital One to portfolio
companies. The cash will be received by
Capital One also.--Per email dated 09-13-10
from Cynthia Fanikos
Seacoast Capital Partners II, L.P.
Walt Leonard, Contact
55 Ferncroft Road
Danvers, MA 01923
Phone: (978)750-1300 Fax: (978)750-1301
Email: WLEONARD@seacoastcapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
SEED Ventures, L.P.
Thomas Wooters, Contact
80 Dean Street
Taunton, MA 02780
Phone: (508)822-1020 Fax: (508)880-7869
Email: tom@seedvf.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $100,000
Preferred Max: $1,250,000
TYPE OF CAPITAL PROVIDED
75%: Loan and debt
25%: Equity
FUNDING STAGE PREFERENCE
20-30%: startup & dvlpmnt
70-80%: Exp & Later
INDUSTRY PREFERENCE
no industry specific
GEOGRAPHIC PREFERENCES
southeast Massachusetts
DESCRIPTION OF FIRM'S FOCUS
Summer Street Capital Fund I, L.P.
Richard Steele
171 Dwight Rd.
Suite 310
Longmeadow, MA 01106
Phone: (413)567-3366 Fax: (413)567-6556
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Ticonderoga SBIC, L.P.
Craig A.T. Jones, Contact
1050 Winter Street, Suite 1000
Waltham, MA 02451
Phone: (781)416-3400 Fax: (781)416-9868
Email: cjones@ticonderogacap.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Velocity Equity Partners I SBIC, L.P.
David Vogel, Contact
10 Liberty Square
3rd Floor
Boston, MA 02109-
Phone: (617)338-2545 Fax: (617)261-3864
Email: jvogel@velocityep.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Michigan
SBIC Licensees Located in Michigan on February 9, 2011
Dearborn Capital Corp. (SSBIC)
Michael Kehres, Asst Treasurer,Secretary
c/o Ford Motor Credit Corporation
The American Road
Dearborn, MI 48121
Phone: (313)337-8577 Fax: (313)390-3783
Email: mkehres@ford.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $250,000
Preferred Max: $1,000,000
TYPE OF CAPITAL PROVIDED
Loans
FUNDING STAGE PREFERENCE
Expansion
Later Stage
LBO
Acquisition
INDUSTRY PREFERENCE
Automotive
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
Provides financial and management
assistance to minority-owned businesses
that are suppliers of Ford Motor Company.
EDF Ventures II, L.P.
Mary Campbell, Contact
425 North Main Street
Ann Arbor, MI 48104-1147
Phone: (734)663-3213 Fax: (734)663-7358
Email: fingerle@edfvc.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min:
Preferred Max:
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Minnesota
SBIC Licensees Located in Minnesota on February 9, 2011
AAVIN Equity Partners I, L.P.
Daryl Erdman
2500 Rand Tower
Minneapolis, MN 55402
Phone: (602)375-9966 Fax: (319)363-9519
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Affinity Ventures III, L.P.
Robin M. Dowdle, Contact
901 Marquette Avenue, Suite 2820
Minneapolis, MN 55402
Phone: (612)252-9897 Fax: (612)252-9911
Email: rdowdle@affinitycapital.net
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $5,000,000
TYPE OF CAPITAL PROVIDED
Equity
FUNDING STAGE PREFERENCE
Mid to Late Stage
INDUSTRY PREFERENCE
Medical Device/
Health Care Service
GEOGRAPHIC PREFERENCES
United States
DESCRIPTION OF FIRM'S FOCUS
Generate healthy outcomes in health care.
Affinity Ventures IV, L.P.
Robin M. Dowdle, Contact
901 Marquette Avenue, Suite 2820
Minneapolis, MN 55402
Phone: (612)252-9900 Fax: (612)252-9911
Email: rdowdle@affinitycapital.net
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $5,000,000
TYPE OF CAPITAL PROVIDED
Equity
FUNDING STAGE PREFERENCE
Mid to Late Stage
INDUSTRY PREFERENCE
Medical Device/
Health Care Service
GEOGRAPHIC PREFERENCES
United States
DESCRIPTION OF FIRM'S FOCUS
Generate healthy outcomes in health care.
Agio Capital Partners I, L.P.
Kenneth F. Gudorf, President & CEO
5050 Lincoln Drive, Suite 420
Edina, MN 55436
Phone: (952)938-1628 Fax: (866)683-7270
Email: Ken@Agio-Capital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $1,000,000
Preferred Max: $3,000,000
TYPE OF CAPITAL PROVIDED
Equity
FUNDING STAGE PREFERENCE
Growth
MBO
Acquisition
INDUSTRY PREFERENCE
Manufacturing
Distribution
Services
GEOGRAPHIC PREFERENCES
Midwest
DESCRIPTION OF FIRM'S FOCUS
Private investment partnership making
equity investments of up to $5.0 million
in a wide variety of companies with a
primary interest in management buyouts
within the manufacturing, distribution, and
service sectors.
Bayview Capital Partners II LP
Cary Musech, Contact
301 Carlson Parkway, Suite 325
Minnetonka, MN 55305
Phone: (952)345-2035 Fax: (952)345-2001
Email: cmusech@tonkabayequity.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $6,000,000
Preferred Max: $10,000,000
TYPE OF CAPITAL PROVIDED
50% equity
50% debt
FUNDING STAGE PREFERENCE
later stage
INDUSTRY PREFERENCE
manufacturing
business services
distribution
GEOGRAPHIC PREFERENCES
United States
DESCRIPTION OF FIRM'S FOCUS
Buyouts and recapitalizations.
Convergent Capital Partners I, L.P.
John Mason, Keith Bares
505 N. Highway 169
Suite 245
Minneapolis, MN 55441
Phone: (763)432-4081 Fax: (763)432-4085
Email: kbares@cvcap.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $2,000,000
Preferred Max: $8,000,000
TYPE OF CAPITAL PROVIDED
Subordinated debt
with equity warrants or
other yield enhancements
FUNDING STAGE PREFERENCE
Growth and Late Stage
INDUSTRY PREFERENCE
Convergent will consider
investments in a broad range
of industries.
GEOGRAPHIC PREFERENCES
Convergent will consider
investments across the
United States.
DESCRIPTION OF FIRM'S FOCUS
Convergent provides growth & acquisition
capital to businesses committed to long-term
sustainable growth. We also structure in-
vestments around recapitalizations, spon-
sored management buyouts, & add-on fin-
ancings to our existing portfolio companies.
Convergent Capital Partners II, L.P.
Keith Bares, Contact
505 N. Highway 169
Suite 245
Minneapolis, MN 55441
Phone: (763)432-4081 Fax: (763)432-4085
Email: kbares@cvcap.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $2,000,000
Preferred Max: $8,000,000
TYPE OF CAPITAL PROVIDED
Subordinated debt w/equity
warrants or other yield
enhancements
FUNDING STAGE PREFERENCE
Growth and Late Stage
INDUSTRY PREFERENCE
Convergent will consider
investments in a broad
range of industries.
GEOGRAPHIC PREFERENCES
Convergent will consider
investments across the
United States.
DESCRIPTION OF FIRM'S FOCUS
Convergent provides growth & acquisition
capital to businesses committed to long-term
sustainable growth. We also structure in-
vestments around recapitalizations, spon-
sored management buyouts, & add-on fin-
ancings to our existing portfolio companies.
GMB Mezzanine Capital II, L.P.
Carleton L. Olmanson, Contact
50 South Sixth Street, Suite 1460
Minneapolis, MN 55402
Phone: (612)243-4405 Fax: (612)243-4446
Email: colmanson@gmbmezz.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
GMB Mezzanine Capital, L.P.
Barry Lindquist, Contact
50 South Sixth Street, Suite 1460
Minneapolis, MN 55402
Phone: (612)243-4404 Fax: (612)243-4446
Email: blindquist@gmbmezz.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $3,000,000
Preferred Max: $13,000,000
TYPE OF CAPITAL PROVIDED
All-coupon, fixed rate subor-
dinated notes with nominally-
priced warrants.
FUNDING STAGE PREFERENCE
Mature companies w/sound
historical financial per-
formance and diversified
product,customer and
supplier base.
INDUSTRY PREFERENCE
Niche manufacturing and
fabrication, value-added
distribution and service
companies.
GEOGRAPHIC PREFERENCES
United States only.
DESCRIPTION OF FIRM'S FOCUS
Investments, as described above, in priv-
ately-owned companies of less than $100m of
enterprise value. We will participate as a
sole investor, a lead investor for co-invest
ment group, or as a co-investor w/another
institutional investor.
Marquette Capital Fund I, L.P.
Thomas Jenkins, Contact
60 South Sixth Street, Suite 3510
Minneapolis, MN 55402
Phone: (612)661-3990 Fax: (612)661-3999
Email: tom.jenkins@marquette.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $2,000,000
Preferred Max: $5,000,000
TYPE OF CAPITAL PROVIDED
Bridge Loans
Subordinated Debt
Equity Co-invest
FUNDING STAGE PREFERENCE
Later Stage
Growth financing for
mature businesses
Acquisitions, Recaps,MBOs
INDUSTRY PREFERENCE
Diversified
Manufacturers
Value Added Distributors
Service Companies
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Marquette Capital Fund II, L.P.
Thomas Jenkins, Contact
60 South Sixth Street, Suite 3510
Minneapolis, MN 55402
Phone: (612)661-3990 Fax: (612)661-3999
Email: tom.jenkins@marquette.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Medallion Capital, Inc.
Paul Meyering, President
3000 W. County Road 42, Suite 301
Burnsville, MN 55337-4827
Phone: (952)831-2025 Fax: (952)831-2945
Email: mvannelli@medallioncapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $1,000,000
Preferred Max: $5,000,000
TYPE OF CAPITAL PROVIDED
Senior Debt
Subordinated Debt
FUNDING STAGE PREFERENCE
Acquisition
MBO
Later Stage
INDUSTRY PREFERENCE
Communications
Technology
Manufacturing
Services
GEOGRAPHIC PREFERENCES
Midwest
National
DESCRIPTION OF FIRM'S FOCUS
Private Equity-Sponsored buyouts.
Milestone Growth Fund, Inc.
Richard Venegar, President and CEO
527 Marquette Avenue, Suite 1915
Minneapolis, MN 55402
Phone: (612)338-0090 Fax: (612)338-1172
Email: inquirymgf@milestonegrowth.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $300,000
Preferred Max: $500,000
TYPE OF CAPITAL PROVIDED
Loans
Loans w/Warrants
FUNDING STAGE PREFERENCE
Expansion
Early Stage
Later Stage
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
Minnesota
DESCRIPTION OF FIRM'S FOCUS
Provides long-term financing to
minority-owned businesses. Requires lead
investor for opportunities outside of
Minnesota.
Mississippi
SBIC Licensees Located in Mississippi on February 9, 2011
Sun-Delta Capital Access Center, Inc. (SSBIC)
Spencer Nash - President/CEO
819 Main Street
Greenville, MS 38701
Phone: (662)347-2131 Fax: (662)335-5295
Email: spencernash@deltadf.org
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $25,000
Preferred Max: $200,000
TYPE OF CAPITAL PROVIDED
Loan, Debt
Equity
Subordinated Debt
FUNDING STAGE PREFERENCE
Seed
Early Stage
Acquisition, MBO
Expansion
Later Stage
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
National
Mississippi
DESCRIPTION OF FIRM'S FOCUS
Focuses on a national marketing effort,
in addition to raising additional dollars.
Missouri
SBIC Licensees Located in Missouri on February 9, 2011
C3 Capital Partners II, L.P.
Patrick F. Healy, Contact
4520 Main Street, Suite 1600
Kansas City, MO 64111-7700
Phone: (816)756-2225 Fax: (816)756-5552
Email: phealy@C3cap.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $3,000,000
Preferred Max: $10,000,000
TYPE OF CAPITAL PROVIDED
Subordinated Debt,
with detachable warrants
FUNDING STAGE PREFERENCE
Mature companies (no-
turnarounds or start-ups)
INDUSTRY PREFERENCE
Chemicals, energy
business services
distribution and
high valued-added
manufacturing
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
Partnering with entrepreneurs to accomplish
a transaction where the funds are used for
growth capital, strategic acquisitions,
ownership transitions or recapitalizations.
C3 Capital Partners, LP
Patrick F. Healy and Mikala January
4520 Main Street, Suite 1600
Kansas City, MO 64111
Phone: (816)756-2225 Fax: (816)756-5552
Email: phealy@C3cap.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $3,000,000
Preferred Max: $10,000,000
TYPE OF CAPITAL PROVIDED
Subordinated debt
w/detachable warrants
FUNDING STAGE PREFERENCE
Mature companies (no
turnarounds or start-ups)
INDUSTRY PREFERENCE
Chemicals, energy
business services
distribution and high
value-added manufacturing
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
Partnering with entrepreneurs to accomplish
a transaction where the funds are used for
growth capital, strategic acquisitions,
ownerships transitions or recapitalizations.
CFB Venture Fund II, LP
Greg K. Gaeddert
1000 Walnut, 18th Floor
Kansas City, MO 64106
Phone: (816)234-2357 Fax: (816)234-2952
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
CFB Venture Fund II, LP
Stephen B. Brown, Managing Partner
11 South Meramec, Suite 1430
Saint Louis, MO 63105
Phone: (314)746-7427 Fax: (314)746-8739
Email: Bill.Witzofsky@capitalforbusiness.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $500,000
Preferred Max: $3,000,000
TYPE OF CAPITAL PROVIDED
Debt w/Warrants
Preferred Stock
FUNDING STAGE PREFERENCE
Expansion
Later Stage
MBO
LBO
Acquisition
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
Midwest
DESCRIPTION OF FIRM'S FOCUS
CFB Venture Fund L.P.
Greg L. Gaeddert
1000 Walnut, 18th Floor
Kansas City, MO 64106
Phone: (816)234-2357 Fax: (816)234-2952
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
CFB Venture Fund L.P.
Stephen B. Brown, Managing Partner
11 South Meramec, Suite 1430
Saint Louis, MO 63105
Phone: (314)746-7427 Fax: (314)746-8739
Email: Bill.Witzofsky@capitalforbusiness.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min:
Preferred Max:
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
FULLY INVESTED
Eagle Fund I, L.P.
Scott Fesler, Principal
101 S. Hanley Road, Suite 1250
Saint Louis, MO 63105
Phone: (314)727-4555 Fax: (314)727-8829
Email: bmg@bushodonnell.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min:
Preferred Max:
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Eagle Fund II, L.P.
Scott Fesler, Principal
101 S. Hanley Road, Suite 1250
Saint Louis, MO 63105
Phone: (314)727-4555 Fax: (314)727-8829
Email: sdf@bushodonnell.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
RiverVest Venture Fund I, L.P.
Thomas C. Melzer, Contact
7733 Forsyth Boulevard, Suite 1650
Saint Louis, MO 63105
Phone: (314)726-6700 Fax: (314)726-6715
Email: mslavich@rivervest.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
UMB Capital Corporation, Inc.
Christian P. Roth, Manager
1010 Grand Boulevard
Mail Stop 1020204
Kansas City, MO 64106
Phone: (816)860-4871 Fax: (816)860-7143
Email: christian.roth@umb.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min:
Preferred Max: $500,000
TYPE OF CAPITAL PROVIDED
Loans
Equity
Debt w/Equity
FUNDING STAGE PREFERENCE
Later Stage
INDUSTRY PREFERENCE
Manufacturing
GEOGRAPHIC PREFERENCES
Midwest
DESCRIPTION OF FIRM'S FOCUS
Montana
Glacier Venture Fund Limited Partnership
Jon Marchi, Contact
40979 Valley View Road
Polson, MT 59860-
Phone: (406)883-5470 Fax: (406)883-5677
Email: jonmarchi@marchiangus.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
Nevada
SBIC Licensees Located in Nevada on February 9, 2011
Atalanta Investment Company, Inc.
L. Mark Newman, Chairman of the Board
601 Fairview Boulevard
Incline Village, NV 89451-
Phone: (775)833-1836 Fax: (775)833-1890
Email: mark@marknewman.net
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $2,000,000
TYPE OF CAPITAL PROVIDED
Equity
FUNDING STAGE PREFERENCE
Expansion
Later Stage
INDUSTRY PREFERENCE
Technology
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
New Hampshire
SBIC Licensees Located in New Hampshire on February 9, 2011
MB Growth Partners II, L.P.
Jeffrey M. Pollock, Contact
66 Hanover Street
Manchester, NH 03101
Phone: (603)623-5500 Fax: (603)623-3972
Email: jmpollock@merchantbanc.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Please visit our web address:
www.merchantbanc.com
New Jersey
SBIC Licensees Located in New Jersey on February 9, 2011
Alliance Mezzanine Investors, L.P.
Robert Eberhardt, Douglas Smith
155 Pompton Avenue
Suite 104
Verona, NJ 07044
Phone: (973)239-8900 Fax: (973)239-8909
Email: mtv@mezcap.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $1,500,000
Preferred Max: $2,500,000
TYPE OF CAPITAL PROVIDED
Subordinated Debt w/Warrants
Equity
FUNDING STAGE PREFERENCE
Later Stage Only Include
Expansion
Growth Capital
LBO, MBO, Recaps
Acquisitions
INDUSTRY PREFERENCE
Diversified
Manufacturing
Distribution
Services
GEOGRAPHIC PREFERENCES
New Jersey
Pennsylvania
New York
New England
Mid-Atlantic(co-investrs)
DESCRIPTION OF FIRM'S FOCUS
Funding for expansion, acquisition, buyout
or recap of profitable later-stage companies
Contemporary Healthcare Fund I, LP
Eric Smith, Contact
1040 Broad Street, Suite 103
Shrewsbury, NJ 07702
Phone: (732)578-0533 Fax: (732)578-0501
Email: esmith@contemporarycapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Edison Fund V, L.P.
Ross Martinson, Contact
1009 Lenox Drive, #4
Lawrenceville, NJ 08648
Phone: (609)873-9202 Fax: (609)896-0066
Email: gayle@edisonventure.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $2,000,000
Preferred Max: $6,000,000
TYPE OF CAPITAL PROVIDED
Equity oriented instruments
FUNDING STAGE PREFERENCE
Expansion Stage
INDUSTRY PREFERENCE
Initial investment: $2 million
to $6 million
GEOGRAPHIC PREFERENCES
New Jersey, Pennsylvania,
Delaware, Maryland,
Virginia
DESCRIPTION OF FIRM'S FOCUS
Technology - software, communications,
computer services
Edison Venture Fund IV SBIC, L.P.
Ross Martinson, Contact
1009 Lenox Drive, #4
Lawrenceville, NJ 08648
Phone: (609)873-9202 Fax: (609)896-0066
Email: rmartinson@edisonventure.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $1,000,000
Preferred Max: $5,000,000
TYPE OF CAPITAL PROVIDED
Equity Only
FUNDING STAGE PREFERENCE
Expansion
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
Mid-Atlantic: New Jersey,
Pennsylvania, Delaware,
Maryland, Virginia
DESCRIPTION OF FIRM'S FOCUS
Information Technology: software, services,
communication, internet, electronics
NJTC Venture Fund SBIC, L.P.
Colleen Algayer, Contact
1001 Briggs Road, Suite 280
Mount Laurel, NJ 08054
Phone: (856)273-6800 Fax: (856)273-0990
Email: colleen@njtcvc.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
None
FUNDING STAGE PREFERENCE
N/A
INDUSTRY PREFERENCE
N/A
GEOGRAPHIC PREFERENCES
N/A
DESCRIPTION OF FIRM'S FOCUS
NJTC Venture Fund SBIC is fully invested
and can no longer receive new companies
for review.
Redstone Business Lenders, LLC
Jeffrey Birnberg, President
25 Whitney Road
Mahwah, NJ 07430
Phone: (201)560-1180 Fax: (201)560-1158
Email: jeff@BirnbergGroup.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min:
Preferred Max:
TYPE OF CAPITAL PROVIDED
Loans
Debt/Equity
FUNDING STAGE PREFERENCE
Expansion
Later Stage
Buyouts
INDUSTRY PREFERENCE
Diversified
Retail
Manufacturing
GEOGRAPHIC PREFERENCES
Northeast
DESCRIPTION OF FIRM'S FOCUS
University Ventures, Inc. (SSBIC)
c/o New Jersey Community Capital
16-18 West Lafayette Street
Trenton, NJ 08608
Phone: (609)989-7766 Fax: (609)393-9401
Email: cfaunce@njclf.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min:
Preferred Max: $150,000
TYPE OF CAPITAL PROVIDED
Loans w/Equity Features
FUNDING STAGE PREFERENCE
Early Stage
Expansion
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
Northeast
DESCRIPTION OF FIRM'S FOCUS
New York
SBIC Licensees Located in New York on February 9, 2011
Accretive Investors SBIC, L.P.
J. Michael Cline, Contact
51 Madison Avenue, 31st Floor
New York, NY 10010
Phone: (646)282-1920 Fax: (646)390-0545
Email: MSlodowitz@accretivellc.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $2,500,000
Preferred Max: $10,000,000
TYPE OF CAPITAL PROVIDED
Equity
FUNDING STAGE PREFERENCE
Seed and Growth
INDUSTRY PREFERENCE
Software
Business Process Outsourcing
and IT Enable Services.
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
Accretive is focused on building leaders in
business-to-business software, IT-enabled
business services, and process outsourcing.
These areas continue to address real
business problems, have tremendous opport.
for growth and value.
ACI Capital America Fund, L.P.
Kevin Penn, Thomas Israel, Jim Mattutat
666 Third Avenue, 29th Floor
New York, NY 10017
Phone: (212)634-3333 Fax: (212)634-3330
Email: Kspenn@acicapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min:
Preferred Max:
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
ACI is a mature fund and are no longer
accepting new investments.
AEA Investors Small Business Fund LP
John F. Cozzi, Contact
55 East 52nd Street, 35th Floor
New York, NY 10055
Phone: (212)702-0504 Fax: (212)702-0550
Email: jcozzi@aeainvestors.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $10,000,000
Preferred Max: $30,000,000
TYPE OF CAPITAL PROVIDED
Equity
FUNDING STAGE PREFERENCE
Growth
Change of Control
INDUSTRY PREFERENCE
Consumer
Industrial
Services
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Argentum Capital Partners II, L.P.
Daniel Raynor, Chairman
60 Madison Avenue, Suite 701
New York, NY 10010-
Phone: (212)949-6262 Fax: (212)949-8294
Email: sdberman@argentumgroup.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $2,000,000
Preferred Max: $10,000,000
TYPE OF CAPITAL PROVIDED
Equity
Debt
FUNDING STAGE PREFERENCE
Later Stage
Acquisitions
MBO
INDUSTRY PREFERENCE
Healthcare Information
Waste Management
Software
Communications
General
GEOGRAPHIC PREFERENCES
East Coast
National
DESCRIPTION OF FIRM'S FOCUS
investments in later stage growth
companies for expansion, acquisitions,
recapitalizations and management buyouts.
Specializes in equity and mezzanine
Argentum Capital Partners, LP
Daniel Raynor, Chairman
60 Madison Avenue, Suite 701
New York, NY 10110
Phone: (212)949-8272 Fax: (212)949-8294
Email: sdberman@argentumgroup.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $1,000,000
Preferred Max: $5,000,000
TYPE OF CAPITAL PROVIDED
Equity
Mezzanine
FUNDING STAGE PREFERENCE
Expansion
Later Stage
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
Brookside Pecks Capital Partners, L.P.
Ray Weldon
405 Park Avenue, 12th Floor
New York, NY 10022
Phone: (212)935-6090 Fax: (212)759-4831
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Cephas Capital Partners II, L.P.
Jeff Holmes, Contact
11 Schoen Place, 8th Floor
Pittsford, NY 14534
Phone: (585)383-1610 Fax: (585)383-1613
Email: ccampbell@cephascapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Cephas Capital Partners L.P.
Clint Campbell, Jeff Holmes, Mgrs.
11 Schoen Place - 8th Floor
Pittsford, NY 14534
Phone: (585)383-1610 Fax: (585)383-1613
Email: ccampbell@cephascapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $500,000
Preferred Max: $1,000,000
TYPE OF CAPITAL PROVIDED
Debt
Subordinated Debt
Preferred Stock
FUNDING STAGE PREFERENCE
Acquisition
Growth
MBO
Recaptalization
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
Upstate New York
DESCRIPTION OF FIRM'S FOCUS
Seeks to invest in established companies
with experienced management teams
with opportunities for growth.
CIBC WMV Inc.
Ann Oliveri-Fusco, Executive Director
425 Lexington Avenue, 2nd Floor
New York, NY 10017
Phone: (212)455-6411 Fax: (212)697-1544
Email: Ann.Oliveri-Fusco@US.CIBC.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min:
Preferred Max:
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Citicorp Venture Capital, Ltd.
Meghan Fogarty
399 Park Avenue, 14th Floor/Zone 4
New York, NY 10043
Phone: (212)783-1233 Fax: (212)793-9200
Email: meghan.fogarty@citi.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $1,000,000
Preferred Max: $5,000,000
TYPE OF CAPITAL PROVIDED
Equity
FUNDING STAGE PREFERENCE
MBO
INDUSTRY PREFERENCE
Industrial
Manufacturing
Distribution
No High Tech
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
Deerpath Funding, L.P.
James H. Kirby, Contact
405 Lexington Avenue, 71st Floor
New York, NY 10174
Phone: (646)786-1022 Fax: (646)417-7095
Email: jkirby@deerpathcapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
DeltaPoint Capital III, L.P.
David H. Waterman, Managing Director
45 East Avenue
6th Floor
Rochester, NY 14604
Phone: (585)454-6990 Fax: (585)454-3204
Email: dwaterman@deltapointcapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
East Coast Capital Holdings Ltd. (SSBIC)
Fredrick Schulman, President
30 East 29th Street, Suite 204
New York, NY 10016
Phone: (212)686-1515 Fax: (212)686-1131
Email: zindel@eastcoastcapitalholdings.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $50,000
Preferred Max: $200,000
TYPE OF CAPITAL PROVIDED
Loans
Equity
FUNDING STAGE PREFERENCE
Seed
Expansion
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
Regional
DESCRIPTION OF FIRM'S FOCUS
Easton Hunt Capital Partners, L.P.
John H. Friedman, Contact
767 Third Avenue, 7th Floor
New York, NY 10017
Phone: (212)702-0950 Fax: (212)702-0952
Email: schneider@eastoncapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Elk Associates Funding Corporation
Michael Feinsod, President
50 Jericho Quadrangel, Suite 109
Jericho, NY 11753
Phone: (516)681-0099 Fax: (516)681-1791
Email: smullens@elkassociates.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $100,000
Preferred Max: $300,000
TYPE OF CAPITAL PROVIDED
Secured Loans
Some Debt /w Equity
FUNDING STAGE PREFERENCE
Later Stage
INDUSTRY PREFERENCE
Transportation
Diversified
GEOGRAPHIC PREFERENCES
Northeast
South FL
Illinois
DESCRIPTION OF FIRM'S FOCUS
Emigrant Capital Corporation
Kenneth L. Walters Jr.
6 East 43rd Street
20th Floor
New York, NY 10017
Phone: (212)850-4470 Fax: (212)850-3470
Email: WaltersK@emigrant.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $5 million
Preferred Max: $20 million
TYPE OF CAPITAL PROVIDED:
Equity
FUNDING STAGE PREFERENCE:
Generating Revenue
Cash Flow Positive
INDUSTRY PREFERENCE:
Environmental Products and Services
Outsourced Business Services
Healthcare Services
Niche Manufacturing
Software Services
GEOGRAPHIC PREFERENCES:
United States
DESCRIPTION OF FIRM'S FOCUS:
Emigrant Capital Corp. (ECC) is the private equity division of Emigrant Savings Bank, the
nation's largest family-owned bank. We make equity investments in established businesses
that can benefit from our financial, operational and strategic resources. Through our affliation
with Emigrant, we can also structure creative financing solutions including hybrid debt/equity
securities and mezzanine financing to provide selling shareholders with tailored solutions that
fit their needs. Our current portfolio consists of over 15 investments representing more than
$200 million of invested capital. Our typical equity investment is $5 to $20 million in
companies with $2 to $8 million in EBITDA. For more information, please visit
www.emigrantcapital.com
Empire State Capital Corporation (SSBIC)
Mitzi Wu, Vice President
170 Broadway, Suite 404
New York, NY 10038
Phone: (212)513-1799 Fax: (212)513-1874
Email: ESC5131799@aol.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $500,000
TYPE OF CAPITAL PROVIDED
Loans
Equity Investments
FUNDING STAGE PREFERENCE
Early Stage
Expansion
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
Atlantic
Region
DESCRIPTION OF FIRM'S FOCUS
Eos Partners SBIC II, L.P.
Steven Friedman & Brian Young, Manager
320 Park Avenue, 22nd Floor
New York, NY 10022
Phone: (212)832-5800 Fax: (212)832-5805
Email: bbernstein@eospartners.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min:
Preferred Max:
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Eos Partners SBIC III, L.P.
Beth Bernstein, Contact
320 Park Avenue, 22nd Floor
New York, NY 10022
Phone: (212)832-5800 Fax: (212)832-5815
Email: bbernstein@eospartners.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Eos Partners SBIC, L.P.
Steven Friedman, Partner
320 Park Avenue, 22nd Floor
New York, NY 10022
Phone: (212)832-5814 Fax: (212)832-5815
Email: bbernstein@eospartners.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $1,000,000
Preferred Max: $5,000,000
TYPE OF CAPITAL PROVIDED
Equity
Debt w/Equity
FUNDING STAGE PREFERENCE
Early Stage
Expansion
Later
LBO
INDUSTRY PREFERENCE
Telecommunications
Media
Health Services
Business Outsourcing
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
Falcon Private Equity, L.P.
Gregga Baxter, Matthew Snyder, Contacts
330 Madison Avenue - 37th Floor
New York, NY 10017-4627
Phone: (212)922-2333 Fax: (212)922-2351
Email: gregga.baxter@saudibank.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min:
Preferred Max:
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Fifth Street Mezzanine Partners IV, L.P.
Bernard D. Berman, Contact
10 Bank Street
Suite 1210
White Plains, NY 10606
Phone: (914)286-6810 Fax: (914)328-4214
Email: bernie@fifthstreetcap.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Flushing Capital Corporation (SSBIC)
Tetsuro Takada, President
113-19 14th Road
College Point, NY 11356
Phone: (718)886-5866 Fax: (718)321-2934
Email: flushingcapital@nyc.rr.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $300,000
TYPE OF CAPITAL PROVIDED
Loans
FUNDING STAGE PREFERENCE
Expansion
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
New York City Area
DESCRIPTION OF FIRM'S FOCUS
Founders Equity SBIC I, L.P.
John D. White, Jr., Contact
711 Fifth Avenue, 5th Floor
New York, NY 10022
Phone: (212)829-0900 Fax: (212)829-0901
Email: slitfin@fequity.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Freshstart Venture Capital Corporation
Alvin Murstein, President
437 Madison Avenue
New York, NY 10022
Phone: (212)328-2110 Fax: (212)328-2125
Email: mrusso@medallion.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $50,000
Preferred Max: $200,000
TYPE OF CAPITAL PROVIDED
Loans
Equity
FUNDING STAGE PREFERENCE
Seed
Expansion
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
Regional
DESCRIPTION OF FIRM'S FOCUS
GC SBIC IV, L.P.
Gregory W. Cashman, Contact
551 Madison Avenue, 6th Floor
New York, NY 10022
Phone: (212)750-6060 Fax: (212)750-5505
Email: sba@golubcapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Gefus SBIC, L.P.
William J. Beckett
375 Park Avenue, Suite 2401
New York, NY 10152
Phone: (212)308-1111 Fax: (212)308-1182
Email: wbeckett@gefinor.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
High Peaks Ventures, L.P.
Russell Howard, Contact
10 Second Street
Troy, NY 12180
Phone: (518)720-3090 Fax: (518)720-3091
Email: russ@highpeaksventures.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $750,000
Preferred Max: $3,000,000
TYPE OF CAPITAL PROVIDED
Equity Capital
FUNDING STAGE PREFERENCE
Early Stage
INDUSTRY PREFERENCE
Technology
GEOGRAPHIC PREFERENCES
New York State
DESCRIPTION OF FIRM'S FOCUS
High Peaks is a venture capital firm focused
on investments in market leading, early
stage tech. companies. High Peaks closed
its inaugural fund in '04 & is actively in-
vesting in NY state and thru-out the north-
east focusing on internet-enabled business.
Hudson Ferry Capital II, L.P.
Timothy Ross, Contact
295 Madison Avenue, 31st Floor
New York, NY 10017
Phone: (212)308-3079 Fax: (212)308-3893
Email: tross@hudsonferry.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Hudson Venture Partners II, L.P.
John P. Truehart, Jr., Contact
535 Fifth Avenue, 14th Floor
New York, NY 10017
Phone: (212)644-9797 Fax: (212)583-1859
Email: jtruehart@hudsonptr.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $2,000,000
Preferred Max: $5,000,000
TYPE OF CAPITAL PROVIDED
Loans
Equity
Debt w/Equity Features
FUNDING STAGE PREFERENCE
Early Stage
Expansion
Later Stage
INDUSTRY PREFERENCE
Internet, Software
GEOGRAPHIC PREFERENCES
Northeast United States
DESCRIPTION OF FIRM'S FOCUS
Technology and service related businesses.
Ibero American Investors Corp.
Emilio Serrano , President
46 Prince Street
Lower Level-Suite #003
Rochester, NY 14607-
Phone: (585)262-3440 Fax: (585)262-3441
Email: iberoinv@rochester.rr.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $100,000
Preferred Max: $500,000
TYPE OF CAPITAL PROVIDED
Loans
Equity
Lines of Credit
FUNDING STAGE PREFERENCE
Early Stage
Expansion
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
Northeast
Southeast
DESCRIPTION OF FIRM'S FOCUS
Focus is in the manufacturing, service and
retail areas. Early stage and expansion
financing preferred.
Ibero American Investors Corp.
Christine Ryan, Loan Officer
Statler Towers Bldg.
107 Delaware Avenue, Suite 64
Buffalo, NY 14202
Phone: (716)842-9908 Fax: (716)842-9925
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
KBL Healthcare, L.P.
Marlene Krauss
52 East 72nd Street-PH
New York, NY 10021-
Phone: (212)319-5555 Fax: (212)319-5591
Email: ss@kblvc.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Kinderhook Capital SBIC Fund I, L.P.
Robert Michalik, Contact
521 Fifth Avenue
34th Floor
New York, NY 10175-
Phone: (212)201-6780 Fax: (212)201-6790
Email: rmichalik@kinderhookcapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
LEG Partners Debenture SBIC, L.P.
Lawrence Golub, Manager
551 Madison Avenue
6th Floor
New York, NY 10022
Phone: (212)750-6060 Fax: (212)750-5505
Email: sba@golubcapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min:
Preferred Max:
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
LEG Partners III SBIC, L.P.
Lawrence Golub, Manager
551 Madison Avenue
6th Floor
New York, NY 10022
Phone: (212)750-6060 Fax: (212)750-5505
Email: sba@golubcapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min:
Preferred Max:
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Medallion Funding LLC
Alvin Murstein, President
437 Madison Avenue
New York, NY 10022
Phone: (212)328-2110 Fax: (212)328-2125
Email: nsarna@medallion.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $50,000
Preferred Max: $350,000
TYPE OF CAPITAL PROVIDED
Sr. & Sub. Debt w/Warrants
FUNDING STAGE PREFERENCE
Expansion
INDUSTRY PREFERENCE
Service
Retail
GEOGRAPHIC PREFERENCES
Mid-Atlantic
Northeast
DESCRIPTION OF FIRM'S FOCUS
Mercury Capital, L.P.
David W. Elenowitz, Contact
590 Madison Avenue
30th Floor
New York, NY 10022
Phone: (212)838-0888 Fax: (212)759-3897
Email: ele@mercurycapitalinc.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $2,500,000
Preferred Max: $7,500,000
TYPE OF CAPITAL PROVIDED
Equity Only
FUNDING STAGE PREFERENCE
Later Stage
INDUSTRY PREFERENCE
Manufacturing
Distribution
Serv. Businesses
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
Investments in late stage manufacturing,
distribution and service businesses with
cash flow of $3 million and above.
NBT Capital Corporation
Donna Dolansky, Controller
52 South Broad Street
Norwich, NY 13815
Phone: (607)337-6810 Fax: (607)336-8730
Email: rpowell@nbtbank.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $300,000
Preferred Max: $500,000
TYPE OF CAPITAL PROVIDED
Equity
Subordinated Debt
Loans
FUNDING STAGE PREFERENCE
Expansion
Acquisition
Later Stage
Early Stage
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
Upstate NY
Northeast
Mid-Atlantic
DESCRIPTION OF FIRM'S FOCUS
Our primary interest is to provide a source
of capital for business expansion
in upstate NY.
PennantPark SBIC, LP
Aviv Efrat, Contact
590 Madison Avenue, 15th Floor
New York, NY 10022
Phone: (212)905-1001 Fax: (212)905-1075
Email: efrat@pennantpark.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
Debt : 5%
Equity: 10%
Loan: 85%
FUNDING STAGE PREFERENCE
Expansion: 10%
Later: 50%
Change of control: 40%
INDUSTRY PREFERENCE
No more than 15% in each
industry
GEOGRAPHIC PREFERENCES
No more than 25% for each
region
DESCRIPTION OF FIRM'S FOCUS
Pine Street Capital Partners II, L.P.
Michael P. Lasch, Contact
99 Pine Street, 5th Floor
Albany, NY 12207
Phone: (518)449-9070 Fax: (518)449-4894
Email: laschm@pinecap.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Praesidian Capital Investors, LP
Jason D. Drattell, Contact
419 Park Avenue South
New York, NY 10016
Phone: (212)520-2600 Fax: (212)520-2601
Email: jdrattell@praesidian.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $3,000,000
Preferred Max: $15,000,000
TYPE OF CAPITAL PROVIDED
Senior and Subordinated Debt
with Equity Kickers
FUNDING STAGE PREFERENCE
Expansion, Later Stage
Change of Control
and Recapitalizations
INDUSTRY PREFERENCE
None
GEOGRAPHIC PREFERENCES
Continental United States
DESCRIPTION OF FIRM'S FOCUS
Praesidian is opportunistic in terms of
financing those companies in the lower
middle market that have positive EBITDA of
between $3-$15 million, that have a defen-
sible market position, a strong management
team, & discernable growth characteristics.
Rand Capital SBIC, Inc.
Allen F. Grum, Jr., Contact
2200 Rand Building
Buffalo, NY 14203
Phone: (716)853-0802 Fax: (716)854-8480
Email: dpenberthy@randcapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
RMCF II SBIC Fund, L.P.
Loren Schlachet, Contact
The Riverside Company
45 Rockefeller Center
New York, NY 10111
Phone: (310)499-5082 Fax: (310)499-5090
Email: lschlachet@riversidecompany.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Summer Street Capital Fund I, L.P.
Brian D'Amico
70 West Chippewa Street
Suite 500
Buffalo, NY 14202
Phone: (716)566-2900 Fax: (716)566-2910
Email: bdamico@summerstreetcapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Sunrise Equity Partners, L.P.
Marilyn S. Adler, Contact
641 Lexington Avenue, 25th Floor
New York, NY 10022
Phone: (212)421-1616 Fax: (212)750-7277
Email: marilyna@sunrisecorp.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Triad Capital Corp. of New York (SSBIC)
Robert Emerson, BCF Sr. VP
305 Seventh Avenue, 20th Floor
New York, NY 10001
Phone: (212)243-7360 Fax: (212)243-7647
Email: mharrison@bcfcapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $100,000
Preferred Max: $250,000
TYPE OF CAPITAL PROVIDED
Debt w/Equity Features
FUNDING STAGE PREFERENCE
Expansion
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
Trumpet SBIC Partners, L.P.
Marc Utay, Contact
110 East 59th Street, Suite 2400
New York, NY 10022
Phone: (212)821-0177 Fax: (212)371-7597
Email: mutay@clarion-capital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $15,000,000
Preferred Max: $50,000,000
TYPE OF CAPITAL PROVIDED
Equity
Debt with Equity
FUNDING STAGE PREFERENCE
Expansion, Later Stage
Acquisitions
Recapitalizations
Distressed Debt, Buyouts
Growth Equity
INDUSTRY PREFERENCE
Business Services
Healthcare Services
Specialty Financial Services
Consumer Products
Media and Entertainment
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
Clarion focuses on investments in companies
in which there is demonstrable revenue
growth potential driven by compelling econ-
omic, demographic, or industry trends or
company specific characteristics.
Westbury Investment Partners SBIC, L.P.
Richard P. Sicoli, Contact
100 Motor Parkway, Suite 165
Hauppauge, NY 11788
Phone: (631)231-4121 Fax: (631)231-8121
Email: rsicoli@westburypartners.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $5,000,000
Preferred Max: $12,000,000
TYPE OF CAPITAL PROVIDED
Debt
Equity
FUNDING STAGE PREFERENCE
Late Stage
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
Primarily subordinated debt and limited
equity investments in late-stage
enterprises.
North Carolina
SBIC Licensees Located in North Carolina on February 9, 2011
BA Capital Company, L.P.
J. Travis Hain
150 North College Street, Suite 2500
Charlotte, NC 28202-
Phone: (704)944-0966 Fax: (704)944-0973
Email: ebalogh@ridgemontep.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $40,000,000
Preferred Max: $150,000,0
TYPE OF CAPITAL PROVIDED
Equity
Sub. Debt w/Warrants
FUNDING STAGE PREFERENCE
Later Stage
Expansion
MBO
LBO
Acquisition
INDUSTRY PREFERENCE
Healthcare, Information
Technology, Media &
Entertainment, Retail, Energy
Telecommunications, Power
Financial Services, Industrials
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
Invests in middle market companies as well
as smaller, higher growth firms in a broad
array of industries. Provide venture &
risk capital for growth financings,
buyouts, acquisitions, recapitalizations &
other situations requiring equity.
Banc of America Capital Investors SBIC, L.P
J. Travis Hain
150 North College Street, Suite 2500
Charlotte, NC 28202-
Phone: (704)944-0966 Fax: (704)944-0973
Email: ebalogh@ridgemontep.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $40,000,000
Preferred Max: $150,000,0
TYPE OF CAPITAL PROVIDED
Equity
Sub. Debt w/Warrants
FUNDING STAGE PREFERENCE
Later Stage
Expansion
MBO
LBO
Acquisition
INDUSTRY PREFERENCE
Healthcare, Information
Technology, Media &
Entertainment, Retail, Energy
Telecommunications, Power
Financial Services, Industrials
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
Invests in middle market companies as well
as small, higher growth firms in a broad
array of industries. Provide venture & risk
capital for growth financings, buyouts,
acquisitions, recapitalizations and other
situations requiring equity.
BancBoston Ventures, Incorporated
Erick C. Christensen
Bank of America Corporate Center
Mail Code: NC1-007-22-32
Charlotte, NC 28255-0001
Phone: (704)683-5741 Fax: (704)388-2746
Email: erick.c.christensen@bankofamerica.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $1,000,000
Preferred Max: $20,000,000
TYPE OF CAPITAL PROVIDED
Equity
Mezzanine
FUNDING STAGE PREFERENCE
Early Stage
Expansion
Later Stage
INDUSTRY PREFERENCE
Healthcare
Media
Communications
Information Technology
Diversified
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
BB&T Capital Partners II, LLC
David Townsend, Contact
101 N. Cherry Street, Suite 700
Winston-Salem, NC 27101-4019
Phone: (336)733-0355 Fax: (336)733-0349
Email: dgtownsend@bbandt.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $5,000,000
Preferred Max: $15,000,000
TYPE OF CAPITAL PROVIDED
Equity
FUNDING STAGE PREFERENCE
Buyout
Acquisitions
MBO
Recapitalization
Consolidation
INDUSTRY PREFERENCE
Cash flow-oriented busi-
nesses w/critical mass in any
industry except high tech.,
real estate and financial
services.
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
Seeks to invest in companies w/experienced
management, a demonstrated need for the
company's products or services, and sus-
tainable competitive advantages allowing for
profitable growth both organically and thru
strategic acquisitions.
BB&T Capital Partners, LLC
David Townsend & Martin Gilmore, Mgrs.
101 N. Cherry Street, Suite 700
Winston-Salem, NC 27101-4019
Phone: (336)733-0355 Fax: (336)733-0349
Email: dgtownsend@bbandt.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min:
Preferred Max:
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
No longer seeking new investments.
BB&T Capital Partners/Windsor Mezzanine Fun
David Townsend
101 N. Cherry Street, Suite 700
Winston-Salem, NC 27101-4019
Phone: (336)733-0355 Fax: (336)733-0349
Email: dgtownsend@bbandt.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $5,000,000
Preferred Max: $15,000,000
TYPE OF CAPITAL PROVIDED
Subordinated debt (with/with-
out warrants) Equity co-invest
-ments w/subordinated debt.
FUNDING STAGE PREFERENCE
Buyout
Acquisitions
MBO
Recapitalization
Consolidation
INDUSTRY PREFERENCE
Cash flow-oriented busi-
ness w/critical mass in any
industry except high tech-
nology, real estate and
financial services.
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
Seeks to invest in companies w/experienced
management, a demonstrated need for the
company's products or services, and
sustainable competitive advantages allowing
for profitable growth both organically and
through strategic acquisitions.
CapitalSouth Partners Fund I, L.P.
Jack McGlinn
2530 Meridian Parkway, Suite 200
Research Triangle Park
Durham, NC 27713
Phone: (919)806-4590 Fax: (866)801-6581
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
CapitalSouth Partners Fund I, L.P.
Joseph B. Alala, III, Contact
The Rotunda Building
4201 Congress Street - Suite 360
Charlotte, NC 28209-
Phone: (704)376-5502 Fax: (704)376-5877
Email: jalala@capitalsouthpartners.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
CapitalSouth Partners Fund II, L.P.
Jack McGlinn
2530 Meridian Parkway, Suite 200
Research Triangle Park
Durham, NC 27713
Phone: (919)806-4590 Fax: (866)801-6581
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
CapitalSouth Partners Fund II, L.P.
Joseph B. Alala, Contact
The Rotunda Building
4201 Congress Street - Suite 360
Charlotte, NC 28209-
Phone: (704)376-5502 Fax: (704)376-5877
Email: jalala@capitalsouthpartners.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
CapitalSouth Partners SBIC Fund III, L.P.
Joseph B. Alala, Contact
The Rotunda Building
4201 Congress Street - Suite 360
Charlotte, NC 28209-
Phone: (704)376-5502 Fax: (704)376-5877
Email: jalala@capitalsouthpartners.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Frontier Fund I, L.P.
Lori Shell, Contact
1111 Metropolitan Avenue
Suite 1050
Charlotte, NC 28204
Phone: (704)414-2880 Fax: (704)414-2881
Email: lori@frontiercapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
North Carolina Economic Opportunities Fund,
H. Dabney Smith, Contact
316 West Edenton Street, Suite 110
Raleigh, NC 27603
Phone: (919)256-5007 Fax: (919)256-5015
Email: dsmith@dogwoodequity.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $1,000,000
Preferred Max: $10,000,000
TYPE OF CAPITAL PROVIDED
Preferred Stock
FUNDING STAGE PREFERENCE
Buyout transactions
Late Stage Growth
INDUSTRY PREFERENCE
Manufacturing
Distribution
Business Services
Consumer Products
GEOGRAPHIC PREFERENCES
Southeastern
United States
DESCRIPTION OF FIRM'S FOCUS
Control investments in companies that will
typically have $5 million to $50 million
of existing revenues and are profitable.
Oberlin Capital, L.P.
Robert Shepley, Manager
1330 Sunday Drive, Suite 105
Raleigh, NC 27607
Phone: (919)861-2908 Fax: (919)861-2901
Email: wgupton@greenhawkcorp.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $750,000
Preferred Max: $150,000
TYPE OF CAPITAL PROVIDED
Subordinated Debt
FUNDING STAGE PREFERENCE
Mid to Later Stage
Later Stage
Acquisition
MBO
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
Southeast
DESCRIPTION OF FIRM'S FOCUS
Provides subordinated debt for both
established, profitable enterprises looking
for growth capital and emerging companies
with strong growth potential.
Plexus Fund I, L.P.
Robert Anders, Jr., Contact
200 Providence Road, Suite 210
Charlotte, NC 28207
Phone: (704)927-6246 Fax: (704)927-6255
Email: banders@plexuscap.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Plexus Fund I, L.P.
4601 Six Forks Road, Suite 528
Raleigh, NC 27609
Phone: (919)256-6341 Fax: (919)256-3650
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Plexus Fund II, L.P.
4601 Six Forks Road, Suite 528
Raleigh, NC 27609
Phone: (919)256-6342 Fax: (919)256-6350
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Plexus Fund II, L.P.
Robert Anders, Jr., Contact
200 Providence Road, Suite 210
Charlotte, NC 28207
Phone: (704)927-6246 Fax: (704)927-6255
Email: banders@plexuscap.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $2,000,000
Preferred Max: $8,000,000
TYPE OF CAPITAL PROVIDED
Growth, acquisition
LBO, recaps
FUNDING STAGE PREFERENCE
Later
INDUSTRY PREFERENCE
N/A
GEOGRAPHIC PREFERENCES
Southeast and
Middle Atlantic
DESCRIPTION OF FIRM'S FOCUS
Provide growth capital to middle market
companies through investments in
subordinated debt and preferred equity
securities.
Salem Capital Partners, LP
Philip Martin, Contact
112 Cambridge Plaza Drive, Suite 201
Mail: P.O. Box 24785
Winston-Salem, NC 27114-4785
Phone: (336)768-9343 Fax: (336)768-6471
Email: pmartin@salemcapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
Equity
Subordinated Debt
FUNDING STAGE PREFERENCE
Expansion
Later Stage
No New Investments
INDUSTRY PREFERENCE
Manufacturing
Light Industrial
Services
Distribution
GEOGRAPHIC PREFERENCES
Southeast
DESCRIPTION OF FIRM'S FOCUS
Provides capital for growth, expansion,
acquisition, LBO, MBO to rapidly growing
companies with historical or imminent
positive cash flow; sales of $3-$50 million.
Salem Halifax Capital Partners, L.P.
Philip Martin, Contact
112 Cambridge Plaza Drive, Suite 201
Winston-Salem, NC 27114
Phone: (336)768-9343 Fax: (336)768-6471
Email: pmartin@salemcapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $2,000,000
Preferred Max: $10,000,000
TYPE OF CAPITAL PROVIDED
Subordinated Debt
Mezzanine Equity
FUNDING STAGE PREFERENCE
Later Stage / Expansion
INDUSTRY PREFERENCE
Manufacturing
Light Industrial
Business Services
Distribution
Healthcare
GEOGRAPHIC PREFERENCES
Southeast, Southwest
Midwest, Mid-Atlantic
DESCRIPTION OF FIRM'S FOCUS
Provides capital for growth, expansion,
acquisition, LBO, MBO to rapidly growing
companies with historical
positive cash flow of $1 million or more
and sales of $5-$75 million.
Triangle Mezzanine Fund II, LP
Brent Burgess, Contact
3700 Glenwood Avenue, Suite 530
Raleigh, NC 27612
Phone: (919)719-4788 Fax: (919)719-4777
Email: bburgess@tcap.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Triangle Mezzanine Fund LLLP
Brent Burgess, Contact
3700 Glenwood Avenue, Suite 530
Raleigh, NC 27612
Phone: (919)719-4788 Fax: (919)719-4777
Email: bburgess@tcap.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $5,000,000
Preferred Max: $15,000,000
TYPE OF CAPITAL PROVIDED
Subordinated debt w/warrants
Equity, equity co-investments,
first & 2nd lien, unitranche.
FUNDING STAGE PREFERENCE
Later stage companies
needing capital for buy-
outs, recapitalizations,
acquisitions or growth.
INDUSTRY PREFERENCE
Diverse
GEOGRAPHIC PREFERENCES
Throughout United States
DESCRIPTION OF FIRM'S FOCUS
We focus on investments in lower middle
market companies with a history of
generating revenues and positive cash flows,
an established market position, and a proven
management team with a strong operating
discipline.
North Dakota
North Dakota SBIC, L.P.
SBIC Licensees Located in North Dakota on February 9, 2011
North Dakota SBIC, L.P.
John G. Cosgriff, Manager
51 Broadway, Suite 400
Fargo, ND 58102
Phone: (701)298-0003 Fax: (701)293-7819
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Ohio
SBIC Licensees Located in Ohio on February 9, 2011
ACP-I, L.P.
Lynn Carpenter, Contact
10 1/2 East Washington Street
Chagrin Falls, OH 44022
Phone: (440)247-2800 Fax: (440)247-3060
Email: lwc@sfspartners.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $2,000,000
Preferred Max: $10,000,000
TYPE OF CAPITAL PROVIDED
Subordinated Debt
Debt with Equity
Preferred Stock
FUNDING STAGE PREFERENCE
Later Stage, Acquisition
Growth, MBO
Recapitalization
Leveraged ESOPs
Shareholders buyouts
INDUSTRY PREFERENCE
Diversified
Niche Manufacturing
Distribution, Business Serv.
Professional Services
Healthcare, No Real Estate
GEOGRAPHIC PREFERENCES
National
East of the Rockies
DESCRIPTION OF FIRM'S FOCUS
Seeks investments in later stage
manufacturing, distribution and service
businesses with strong management, and
predictable and recurring cash flows where
revenues and EBITDA are in excess of
$10 million and $1 million, respectively.
Enterprise Ohio Investment Company (SSBIC)
Janet White, Manager
8 North Main Street
Dayton, OH 45402
Phone: (937)226-0457 Fax: (937)222-7035
Email: jwhite@citywidedev.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $50,000
Preferred Max: $100,000
TYPE OF CAPITAL PROVIDED
Equity Loan Investments
FUNDING STAGE PREFERENCE
Expansion
Later Stage
Franchise
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
Southwest
Ohio
DESCRIPTION OF FIRM'S FOCUS
National City Equity Partners, Inc.
Mary C. Ruddy, Contact
1965 East Sixth Street, Suite 1010
Cleveland, OH 44114
Phone: (216)222-2491 Fax: (216)222-9965
Email: robert.conroy@ncepi.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $1,000,000
Preferred Max: $5,000,000
TYPE OF CAPITAL PROVIDED
Equity
Subordinated Debt
Debt w/Equity
FUNDING STAGE PREFERENCE
Expansion
Growth
Later Stage
INDUSTRY PREFERENCE
Manufacturing
Distribution
Consumer Products
Retail
GEOGRAPHIC PREFERENCES
Midwest
DESCRIPTION OF FIRM'S FOCUS
Invests subordinated debt and equity in a
variety of industries throughout the
Midwest. President and G.M.:
William H. Schecter.
Northcreek Mezzanine Fund I, L.P.
Steve Touvelle, Contact
255 East 5th Street, Suite 3010
Cincinnati, OH 45202
Phone: (513)298-4137 Fax: (513)985-6603
Email: stouvelle@northcreekmezzanine.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Peppertree Capital Fund, L.P.
Howard Mandel, Contact
86 West Street
Chagrin Falls, OH 44022
Phone: (440)528-0330 Fax: (440)528-0334
Email: hmandel@peppertreefund.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $3,000,000
Preferred Max: $10,000,000
TYPE OF CAPITAL PROVIDED
Equity
FUNDING STAGE PREFERENCE
Later state growth equity
Recapitalizations
Buyouts
INDUSTRY PREFERENCE
Media
Telecommunications
Business Services
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
We seek non-technology investments in our
target industries. We prefer investments
with recurring revenue, non-IPO exit
strategies and asset protection (e.g., FCC
licenses) on the downside.
River Cities SBIC III, L.P.
Edwin T. Robinson, Contact
221 East Fourth Street, Suite 2400
Cincinnati, OH 45202
Phone: (513)621-9700 Fax: (513)579-8939
Email: trobinson@rccf.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $3,000,000
Preferred Max: $7,500,000
TYPE OF CAPITAL PROVIDED
Preferred Equity
FUNDING STAGE PREFERENCE
Expansion
INDUSTRY PREFERENCE
Healthcare or
Information Technology
GEOGRAPHIC PREFERENCES
Midwest and Southwest
DESCRIPTION OF FIRM'S FOCUS
Stonehenge Opportunity Fund II, L.P.
Peter Davies, Principal
191 West Nationwide Blvd., Suite 600
Columbus, OH 43215-
Phone: (614)246-2406 Fax: (614)246-2589
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Stonehenge Opportunity Fund II, L.P.
B. Michael Affinito, Contact
191 West Nationwide Blvd., Suite 600
Columbus, OH 43215
Phone: (614)246-2500 Fax: (614)246-2582
Email: bmaffinito@stonehengepartners.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $3,000,000
Preferred Max: $15,000,000
TYPE OF CAPITAL PROVIDED
Subordinated Debt
Non-Control Equity
Control Equity
FUNDING STAGE PREFERENCE
Management
leveraged buyouts
Acquisitions
Recapitalizations
Growth
INDUSTRY PREFERENCE
Manufacturing
Distribution
Business Services
Health Care Companies
GEOGRAPHIC PREFERENCES
Midwest United States
investment focus with
national scope.
DESCRIPTION OF FIRM'S FOCUS
Private Equity firm focused on investing
mezzanine and structured equity capital in
quality, middle-market companies located
throughout the United States.
Stonehenge Opportunity Fund III, L.P.
Peter G. Davies, Contact
191 West Nationwide Blvd., Suite 600
Columbus, OH 43215
Phone: (614)246-2500 Fax: (614)246-2431
Email: pgdavies@stonehengepartners.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Stonehenge Opportunity Fund III-B, L.P.
Peter G. Davies, Contact
191 West Nationwide Blvd., Suite 600
Columbus, OH 43215
Phone: (614)246-2500 Fax: (614)246-2431
Email: pgdavies@stonehengepartners.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Triathlon Medical Ventures Fund LP
Suzette L. Dutch, Contact
250 East 5th Street 1100 Chiquita Center
Cincinnati, OH 45202
Phone: (513)723-2618 Fax: (513)723-2615
Email: sdutch@tmvp.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Oklahoma
SBIC Licensees Located in Oklahoma on February 9, 2011
Council Oak Investment Corporation
William O. Johnstone - Manager
101 North Broadway
Suite 400
Oklahoma City, OK 73102
Phone: (405)218-4696 Fax: (405)218-4672
Email: j7317@aol.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $1,000,000
Preferred Max: $10,000,000
TYPE OF CAPITAL PROVIDED
Loans
Equity
FUNDING STAGE PREFERENCE
Early Stage
Expansion
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
Oklahoma
DESCRIPTION OF FIRM'S FOCUS
First United Venture Capital Corporation
Bert Davison, Sr. Vice President
P.O. Box 19100
Oklahoma City, OK 73144-
Phone: (405)636-4500 Fax: (877)263-1308
Email: bertd@firstunitedbank.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $500,000
Preferred Max: $1,000,000
TYPE OF CAPITAL PROVIDED
Equity & Debt
FUNDING STAGE PREFERENCE
Early Stage and Growth
No Seed Money Investments
INDUSTRY PREFERENCE
Most Industries Considered
No High-Tech or Life Sciences
GEOGRAPHIC PREFERENCES
Oklahoma and North Texas
DESCRIPTION OF FIRM'S FOCUS
Pennsylvania
SBIC Licensees Located in Pennsylvania on February 9, 2011
Argosy Investment Partners II, L.P.
Kirk B. Griswold, Manager
950 West Valley Road, Suite 2900
Wayne, PA 19087
Phone: (610)971-9685 Fax: (610)964-9524
Email: kirk@argosycapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
Mezzanine & Equity
FUNDING STAGE PREFERENCE
Later, Buyouts, Recaps
INDUSTRY PREFERENCE
Manufacturing &
Service companies
GEOGRAPHIC PREFERENCES
Eastern United States
DESCRIPTION OF FIRM'S FOCUS
Argosy II is fully invested and invested
both mezzanine and equity in lower middle
market companies across a broad range
of industries.
Argosy Investment Partners III, L.P.
Michael Bailey, Manager
950 West Valley Road, Suite 2900
Wayne, PA 19087
Phone: (610)971-9685 Fax: (610)964-9524
Email: michael@argosycapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
Mezzanine & Equity
FUNDING STAGE PREFERENCE
Later, Buyouts, Recaps
INDUSTRY PREFERENCE
Manufacturing &
Service companies
GEOGRAPHIC PREFERENCES
Eastern United States
DESCRIPTION OF FIRM'S FOCUS
Argosy III is fully invested and invested
both mezzanine and equity in lower
middle market companies across a broad
range of industries.
Argosy Investment Partners IV, L.P.
Kirk B. Griswold, Manager
950 West Valley Road, Suite 2900
Wayne, PA 19087
Phone: (610)971-8685 Fax: (610)964-9524
Email: kirk@argosycapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $3,000,000
Preferred Max: $9,000,000
TYPE OF CAPITAL PROVIDED
Mezzanine & Equity
FUNDING STAGE PREFERENCE
Buyouts, Later-stage
Recaps
INDUSTRY PREFERENCE
Engineered Materials,
Industrial Electronics,
Industrial Manufacturing,
Industrial Services, Aviation,
Services, Busi. Franchising.
GEOGRAPHIC PREFERENCES
United States (with an
eastern preference).
DESCRIPTION OF FIRM'S FOCUS
Argosy IV invests in mezzanine and equity
in companies with minimum revenue of
$15 million and positive cash flow. Use of
funds include buyouts, acquisitions, and
expansion.
Argosy Investment Partners, L.P.
John P. Kirwin, Manager
950 West Valley Road, Suite 2900
Wayne, PA 19087
Phone: (610)971-9685 Fax: (610)964-9524
Email: kirk@argosycapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min:
Preferred Max:
TYPE OF CAPITAL PROVIDED
Mezzanine & Equity
FUNDING STAGE PREFERENCE
Later Stage
LBO
Recapitalization
INDUSTRY PREFERENCE
Manufacturing
Distribution
Services
GEOGRAPHIC PREFERENCES
Eastern United States
DESCRIPTION OF FIRM'S FOCUS
Argosy I is fully invested and invested both
mezzanine and equity in lower middle market
companies across a broad range of
industries.
Boathouse Capital LP
Kenneth E. Jones, Contact
200 West Lancaster Avenue, Suite 206
Wayne, PA 19087
Phone: (610)977-2787 Fax: (610)688-3410
Email: ken.jones@boathousecapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $2,000,000
Preferred Max: $15,000,000
TYPE OF CAPITAL PROVIDED
Mezz. loans of 5-7 yrs in dur-
ation & equity co-investments
alongside the mezz. loans.
FUNDING STAGE PREFERENCE
EBITDA positive of least
$2,000,000.
INDUSTRY PREFERENCE
None, we're generalist
investors.
GEOGRAPHIC PREFERENCES
Nationwide
DESCRIPTION OF FIRM'S FOCUS
Good lower middle market companies who have
a niche or a strong reason to exist.
CIP Capital L.P.
Bobby Yablunksy
1200 Liberty Ridge Drive
Suite 300
Wayne, PA 19087
Phone: (610)964-7875 Fax: (610)964-8136
Email: byablu01@scppartners.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $250,000
Preferred Max: $1,000,000
TYPE OF CAPITAL PROVIDED
Equity
Debt
FUNDING STAGE PREFERENCE
Expansion
Later Stage
INDUSTRY PREFERENCE
Life Sciences
Communications
Financial Services
GEOGRAPHIC PREFERENCES
East Coast
DESCRIPTION OF FIRM'S FOCUS
GIV Venture Partners, L.P.
William Melton
150 N. Radnor Chester Rd
Suite F-200
Radnor, PA 19087
Phone: (302)239-9302 Fax: (302)239-9302
Email: bill@givinc.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $500,000
Preferred Max: $2,000,000
TYPE OF CAPITAL PROVIDED
Equity
FUNDING STAGE PREFERENCE
Early Stage
Expansion
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
Mid-Atlantic
DESCRIPTION OF FIRM'S FOCUS
Opportunities to create substantial
efficiencies by the application of
technology and niche opportunities created
at the junctures between evolving
technologies.
Liberty Ventures II, L.P.
Thomas R. Morse, Contact Ext. 24
Two Commerce Square
2001 Market Street, Suite 3820
Philadelphia, PA 19103
Phone: (267)861-5692 Fax: (267)861-5696
Email: mhahn@libertyvp.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Meridian Venture Partners II, L.P.
Robert E. Brown, Jr., Contact
201 King of Prussia Road
Suite 240
Radnor, PA 19087
Phone: (610)254-2999 Fax: (610)254-2996
Email: rbroderick@meridian-venture.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $5,000,000
Preferred Max: $10,000,000
TYPE OF CAPITAL PROVIDED
Buyout and growth equity
FUNDING STAGE PREFERENCE
Later stage
INDUSTRY PREFERENCE
Diversified: including
aviation, manufacturing,
healthcare, business services
and specialty retail
GEOGRAPHIC PREFERENCES
Eastern and Central
Time Zones
DESCRIPTION OF FIRM'S FOCUS
Lower-middle-market companies with
exceptional growth potential.
Merion Investment Partners II, L.P.
Gayle G. Hughes, Contact
555 E. Lancaster Avenue
Suite 500
Radnor, PA 19087
Phone: (610)230-0880 Fax: (610)945-1654
Email: ghughes@merionpartners.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $3,000,000
Preferred Max: $10,000,000
TYPE OF CAPITAL PROVIDED
Subordinated debt w/warrants
PIK interest or
Equity co-invest
FUNDING STAGE PREFERENCE
Capital for growth and
change of control.
INDUSTRY PREFERENCE
Business services
Specialty manufacturing
Technology and
Healthcare products and
services.
GEOGRAPHIC PREFERENCES
United States
DESCRIPTION OF FIRM'S FOCUS
Merion works with both private and equity
groups as well as entrepreneurs to finance
acquisitions, organic growth and change of
control.
Merion Investment Partners, L.P.
William M. Means, Contact
555 E. Lancaster Avenue
Suite 500
Radnor, PA 19087
Phone: (610)230-0880 Fax: (610)945-1654
Email: ghughes@merionpartners.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $3,000,000
Preferred Max: $10,000,000
TYPE OF CAPITAL PROVIDED
Subordinated Debt w/warrants
PIK interest or
Equity co-invest
FUNDING STAGE PREFERENCE
Capital for growth and
change of control
INDUSTRY PREFERENCE
Business services
Specialty manufacturing
Technology and
Healthcare products and
services.
GEOGRAPHIC PREFERENCES
United States
DESCRIPTION OF FIRM'S FOCUS
Merion works with both private equity
groups as well as entrepreneurs to
finance acquisitions, organic growth and
change of control.
NewSpring Mezzanine Capital, L.P.
Marc Lederman, Contact
Radnor Financial Center
555 E. Lancaster Ave, Suite 520
Radnor, PA 19087
Phone: (610)567-2380 Fax: (610)567-2388
Email: marc@newspringventures.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $5,000,000
Preferred Max: $10,000,000
TYPE OF CAPITAL PROVIDED
Subordinate Debt w/warrants
Equity
Loans
FUNDING STAGE PREFERENCE
Primarily Growth and
Expansion Financing
Recapitalizations
Buyout Financing
INDUSTRY PREFERENCE
Late-stage technology
Business services
Specialty manufacturing
Healthcare services in the
lower middle market.
GEOGRAPHIC PREFERENCES
East Coast
Primarily Mid-Atlantic
Region
DESCRIPTION OF FIRM'S FOCUS
NewSpring Mezzanine leverages the NewSpring
family of private equity funds and partner
relationships to source and underwrite both
sponsored and unsponsored transactions ac-
ross diversified industries and economic
cycles.
NewSpring Ventures, L.P.
Michael DiPiano, Managing G P
Radnor Financial Center
555 E. Lancaster Ave, Suite 520
Radnor, PA 19087
Phone: (610)567-2387 Fax: (610)567-2388
Email: marc@newspringventures.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min:
Preferred Max:
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Select Capital Ventures I, L.P.
Debra Hellyer, Contact
4718 Old Gettysburg Road, Suite 405
Mechanicsburg, PA 17055
Phone: (717)972-1304 Fax: (717)972-1050
Email: dhellyer@samtrust.net
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Puerto Rico
SBIC Licensees Located in Puerto Rico on February 9, 2011
North America Investment Corporation (SSBIC)
Marcelino Pastrana Torres, President
P.O. Box 191831
San Juan, PR 00919-1831
Phone: (787)754-6178 Fax: (787)754-6181
Email: namerica.naic@gmail.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $50,000
Preferred Max: $150,000
TYPE OF CAPITAL PROVIDED
Secured Loans
FUNDING STAGE PREFERENCE
Expansion
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
Only Puerto Rico
DESCRIPTION OF FIRM'S FOCUS
To help small business concerns, mainly in
expansion state, through secured loans.
Rhode Island
SBIC Licensees Located in Rhode Island on February 9, 2011
BCA Mezzanine Fund, L.P.
Gregory F. Mulligan, Managing Member
One Turks Head Place
Suite 1492
Providence, RI 02903
Phone: (401)228-3834 Fax: (401)228-3835
Email: Greg@baycapllc.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Domestic Capital Corp.
Joseph LaPlume
815 Reservoir Avenue
Cranston, RI 02910
Phone: (401)943-1600
Email: Jlaplume@domestic.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $300,000
TYPE OF CAPITAL PROVIDED
Loans
FUNDING STAGE PREFERENCE
Expansion
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
Regional
DESCRIPTION OF FIRM'S FOCUS
Fleet Equity Partners VI, L.P.
Ed Resnick, Sr. Portfolio Administrator
Mail Stop: RI MO F12C
50 Kennedy Plaza, 12th Floor
Providence, RI 02903
Phone: (401)278-6809 Fax: (401)278-6387
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $10,000,000
Preferred Max: $20,000,000
TYPE OF CAPITAL PROVIDED
Equity
FUNDING STAGE PREFERENCE
Leverage Buyouts
Expansion
INDUSTRY PREFERENCE
Media/Information
Communications
Healthcare
Consumer
Manufacturing/Business Services
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
Private equity firm specializing in
telecommunications services, media
& information, healthcare services
industrial mfg., business services &
consumer products and services.
Also invests in other private equity funds.
Fleet Venture Resources, Inc.
Ed Resnick, Sr. Portfolio Administrator
50 Kennedy Plaza, 12th Floor
Providence, RI 02903
Phone: (401)278-6809 Fax: (401)278-6387
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $5,000,000
Preferred Max: $15,000,000
TYPE OF CAPITAL PROVIDED
Equity
FUNDING STAGE PREFERENCE
Leverage Buyouts
Expansion
INDUSTRY PREFERENCE
Media
Communications
Healthcare
Printing
Manufacturing
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
South Dakota
SBIC Licensees Located in South Dakota on February 9, 2011
Bluestem Capital Partners III, L.P.
Sandy Horst, Contact
122 S. Phillips Ave.
Suite 300
Sioux Falls, SD 57104
Phone: (605)331-0091 Fax: (605)334-1218
Email: shorst@bluestemcapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $500,000
Preferred Max: $4,000,000
TYPE OF CAPITAL PROVIDED
Equity
FUNDING STAGE PREFERENCE
Early Stage
Later Stage
INDUSTRY PREFERENCE
No preference
GEOGRAPHIC PREFERENCES
Midwest
DESCRIPTION OF FIRM'S FOCUS
Invests in mostly mid to late stage, basic
industry private equity projects. Looks for
proven entrepreneurs operating in their
area of expertise with a product that has
a niche or some type of sustainable
advantage.
Tennessee
SBIC Licensees Located in Tennessee on February 9, 2011
Harbert Mezzanine Partners II SBIC, L.P.
Pryor Smartt, Contact
618 Church Street, Suite 500
Nashville, TN 37219-
Phone: (615)301-6395 Fax: (615)301-6401
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Harbinger Mezzanine Partners, L.P.
Pryor Smartt, Contact
618 Church Street, Suite 500
Nashville, TN 37219-
Phone: (615)301-6395 Fax: (615)301-6401
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Morgan Keegan Mezzanine Fund, L.P.
William J. Nutter, Contact
30 Burton Hills Blvd., Suite 500
Nashville, TN 37215
Phone: (615)665-3636 Fax: (615)665-3670
Email: bill.nutter@morgankeegan.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $2,000,000
Preferred Max: $5,000,000
TYPE OF CAPITAL PROVIDED
Subordinated Debt
Equity
Loans
FUNDING STAGE PREFERENCE
Expansion
Late Stage
MBO
LBO
Acquisition
INDUSTRY PREFERENCE
Healthcare
Manufacturing
Service
GEOGRAPHIC PREFERENCES
Southeast
Mid-Atlantic
Midwest
Southwest
DESCRIPTION OF FIRM'S FOCUS
Provides growth and acquisition capital in
the form of mezzanine financing to companies
with annual revenues of at least
$10 million that can service debt with cash
flow generated from operations.
Petra Growth Fund II, L.P.
Robert A. Smith, Contact
3825 Bedford Avenue
Suite 101
Nashville, TN 37215
Phone: (615)313-5999 Fax: (615)313-5990
Email: ras@petracapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Petra Growth Fund, L.P.
Michael Blackburn, Robert A. Smith
3825 Bedford Avenue
Suite 101
Nashville, TN 37215
Phone: (615)313-5999 Fax: (615)313-5990
Email: ras@petracapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min:
Preferred Max:
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Pharos Capital Partners II, L.P.
Kneeland Youngblood, Contact
1 Burton Hills Boulevard
Suite 180
Nashville, TN 37215
Phone: (615)234-5522 Fax: (615)263-0234
Email: jgoldberg@pharosfunds.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Texas
SBIC Licensees Located in Texas on February 9, 2011
BA Capital Company, L.P.
Doug Williamson, Sr. Vice President
5207 McKinney Ave, Suite 21
Dallas, TX 75205-
Phone: (214)508-0900 Fax: (214)508-0985
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Banc of America Capital Investors SBIC, L.P
5207 McKinney Ave, Suite 21
Dallas, TX 75205-
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Blue Sage Capital, L.P.
Peter Huff, Contact
114 West 7th Street, Suite 820
Austin, TX 78701
Phone: (512)536-1900 Fax: (512)236-9215
Email: peter.huff@bluesage.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $3,000,000
Preferred Max: $10,000,000
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
Later stage - small- mid
market.
INDUSTRY PREFERENCE
Revenue size: $5 mil to $100 mil
$10 to $100 mil enterprise value
GEOGRAPHIC PREFERENCES
Texas
New Mexico
Oklahoma
Arkansas
Louisiana
DESCRIPTION OF FIRM'S FOCUS
Manufacturers, distributions, and services.
C3 Capital Partners II, L.P.
2100 McKinney Avenue, Suite 1550
Dallas, TX 75201
Phone: (214)292-2000 Fax: (214)292-2007
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Capital Southwest Venture Corp.
Gary Martin, President
12900 Preston Road, Suite 700
Dallas, TX 75230
Phone: (972)233-8242 Fax: (972)233-7362
Email: gmartin@capitalsouthwest.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $1,000,000
Preferred Max: $6,000,000
TYPE OF CAPITAL PROVIDED
Prefer Equity-Type Investments
Subordinated Debt
FUNDING STAGE PREFERENCE
Early
Expansion
Later Stages
MBO
INDUSTRY PREFERENCE
Manufacturing
Retail
Technology
No Real Estate or Banking
Medical/Health
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
Capital Southwest has the flexibility to
hold investments indefinitely, which has
provided its managers a stable ownership
platform since its founding in 1961. For
more info., visit the company's website @
www.capitalsouthwest.com.
Escalate Capital Partners SBIC I, L.P.
Tony Schell, Contact
300 West 6th Street, Suite 2250
Austin, TX 78701
Phone: (512)651-2105 Fax: (512)651-2101
Email: SBIC@escalatecapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
First Capital Group of Texas III, L.P.
Jeffrey P. Blanchard, Contact
750 E. Mulberry, Suite 305
San Antonio, TX 78212
Phone: (210)736-4233 Fax: (210)736-5449
Email: jpblanchard@firstcapitalgroup.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $5,000,000
Preferred Max: $7,500,000
TYPE OF CAPITAL PROVIDED
Equity-linked debt
Senior Preferred Stock
FUNDING STAGE PREFERENCE
Expansion-
and Later-Stage Companies
Minimum annual revenue
of $15 million.
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
Texas and Southwest.
DESCRIPTION OF FIRM'S FOCUS
Provider of growth capital to companies at
the lower end of the middle market.
Independent Bankers Capital Fund II, L.P.
Tom Hoyt, Contact
1700 Pacific Avenue, Suite 2740
Dallas, TX 75201
Phone: (214)722-6200 Fax: (214)722-6220
Email: thoyt@ibcfund.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $3,000,000
Preferred Max: $5,000,000
TYPE OF CAPITAL PROVIDED
Mezzanine
Equity
FUNDING STAGE PREFERENCE
Expansion: 25%
Later: 50%
Change of control: 25%
INDUSTRY PREFERENCE
Diversified: no industry with
more than 25% of the portfolio
GEOGRAPHIC PREFERENCES
Texas >70%
Southwest <30%
DESCRIPTION OF FIRM'S FOCUS
Revenue: up to $10M
EBITDA: up to $2M
Independent Bankers Capital Fund, L.P.
Barry Conrad, Tom Hoyt, Contacts
1700 Pacific Avenue, Suite 2740
Dallas, TX 75201
Phone: (214)722-6200 Fax: (214)722-6220
Email: mtaylor@independentbankerscap.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $2,000,000
Preferred Max: $5,000,000
TYPE OF CAPITAL PROVIDED
Equity
FUNDING STAGE PREFERENCE
Later-stage growth
Acquisition and expansion
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
Texas
Southwest
DESCRIPTION OF FIRM'S FOCUS
Investment strategy focused upon financings
of lower-middle-market companies with proven
operating histories located within the
Southwestern United States.
Main Street Capital II, LP
Todd Reppert, Contact
1300 Post Oak Boulevard, Suite 800
Houston, TX 77056
Phone: (713)350-6029 Fax: (713)350-6042
Email: RStout@MainStCapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $2,000,000
Preferred Max: $15,000,000
TYPE OF CAPITAL PROVIDED
Loans
Equity
FUNDING STAGE PREFERENCE
Expansion
Buyout
Recapitalization
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
Southwest, Gulf Coast
DESCRIPTION OF FIRM'S FOCUS
Expansion or Transaction Financing.
Main Street Mezzanine Fund, L.P.
Todd A. Reppert, Contact
1300 Post Oak Boulevard, Suite 800
Houston, TX 77056
Phone: (713)350-6029 Fax: (713)350-6042
Email: RStout@MainStCapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $2,000,000
Preferred Max: $15,000,000
TYPE OF CAPITAL PROVIDED
Loans
Equity
FUNDING STAGE PREFERENCE
Expansion
Buyout
Recapitalization
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
Southwest, Gulf Coast
DESCRIPTION OF FIRM'S FOCUS
Expansion or Transaction Financing.
North Texas MESBIC, Inc. (SSBIC)
Allan Lee, President
9720 Skillman Street
Dallas, TX 75243-5150
Phone: (214)348-8088 Fax: (214)348-8081
Email: NTM168@aol.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $150,000
Preferred Max: $250,000
TYPE OF CAPITAL PROVIDED
Loans
FUNDING STAGE PREFERENCE
Early Stage
Expansion
INDUSTRY PREFERENCE
Retail
Wholesalers
Distributors
GEOGRAPHIC PREFERENCES
State of Texas
DESCRIPTION OF FIRM'S FOCUS
PMC Investment Corporation (SSBIC)
Lance B. Rosemore, President
17950 Preston Road
Suite 600
Dallas, TX 75252
Phone: (972)349-3200 Fax: (972)349-3265
Email: sbic@pmctrust.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $1,000,000
Preferred Max: $3,000,000
TYPE OF CAPITAL PROVIDED
Secure Lender
FUNDING STAGE PREFERENCE
All Stages
including Start-Ups
INDUSTRY PREFERENCE
Diversified
Specializing in Motel & Franchise
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
SunTx Fulcrum Fund II - SBIC, L.P.
Ned N. Fleming, Contact
Two Lincoln Centre
5420 LBJ Freeway, Suite 1000
Dallas, TX 75240
Phone: (972)663-8900 Fax: (972)661-9981
Email: tkelly@suntx.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
Equity Capital Investments
FUNDING STAGE PREFERENCE
30% - development stage
30% - growth stage
30% - expansion stage
10% - turnaround stage
INDUSTRY PREFERENCE
$3 million to $6 million
GEOGRAPHIC PREFERENCES
Sunbelt region - Alabama,
Arkansas, Arizona
Georgia, Kentucky
New Mexico
Louisiana, Florida
DESCRIPTION OF FIRM'S FOCUS
manufacturing, distribution and services
Toronto Dominion Capital (U.S.A.), Inc.
Martha L. Gariepy, Vice President
TD Capital (USA), Inc.
909 Fannin , Suite 1950
Houston, TX 77010
Phone: (713)653-8225 Fax: (713)652-2647
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Toronto Dominion Capital (U.S.A.), Inc.
Martha Gariepy, Contact
909 Fannin, Suite 1950
Houston, TX 77010
Fax: (713)652-2647
Email: Martha.Gariepy@TDCapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min:
Preferred Max:
TYPE OF CAPITAL PROVIDED
Equity
Subordinated Debt
Debt
FUNDING STAGE PREFERENCE
Expansion
Later Stage
MBO
Acquisitions
INDUSTRY PREFERENCE
Telecommunications
Healthcare
Energy
Forest Products
Media
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
Extensive experience in the media
and communications industries
complemented by the knowledge base
and resources of other industry groups
such as healthcare, energy, and forest
products.
Valesco Commerce Street Capital, L.P.
Daniel H. Moore, Contact
325 North St. Paul, Suite 3200
Dallas, TX 75201
Phone: (214)880-8690 Fax: (214)880-8646
Email: bmoore@valescoind.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Western Financial Capital Corporation
Lance B. Rosemore, President
17950 Preston Road
Suite 600
Dallas, TX 75252
Phone: (972)349-3200 Fax: (972)349-3265
Email: sbic@pmctrust.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $1,000,000
Preferred Max: $3,000,000
TYPE OF CAPITAL PROVIDED
Secure Lender
FUNDING STAGE PREFERENCE
All Stages
including Start-Ups
INDUSTRY PREFERENCE
Diversified
Specializing in Motel &
Franchise
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
Utah
SBIC Licensees Located in Utah on February 9, 2011
EPIC Venture Fund IV, LLC
Nick Efstratis
15 W. South Temple, Suite 500
Salt Lake City, UT 84101-
Phone: (801)524-8939 Fax: (801)524-8941
Email: ryan@epicvc.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Peterson Partners III, L.P.
Rick Stratford, Contact
2825 E. Cottonwood Parkway
Suite 400
Salt Lake City, UT 84121
Phone: (801)365-0180 Fax: (801)365-0181
Email: rick@petersonpartnerslp.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Utah Ventures III, L.P.
James C. Dreyfous, Contact
2755 E. Cottonwood Parkway
Suite 520
Salt Lake City, UT 84121
Phone: (801)365-0262 Fax: (801)365-0233
Email: jaquie@pelionvp.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $3,000,000
Preferred Max: $10,000,000
TYPE OF CAPITAL PROVIDED
Equity
Bridge loans
FUNDING STAGE PREFERENCE
Early Stage
INDUSTRY PREFERENCE
Software, SAS
Digital Media
Networking/ Telecomm
Security
Medical Devices
GEOGRAPHIC PREFERENCES
Utah
Mountain West
California
DESCRIPTION OF FIRM'S FOCUS
Find and help develop early state high
growth companies in software, services,
networking, security, digital media,
infrastructure, telecommunications and
medical devices.
UTFC Financing Solutions, LLC
Scott Stenberg, Managing Director
699 East South Temple, Suite 220
Salt Lake City, UT 84102
Phone: (801)741-5200 Fax: (801)741-4249
Email: scott@innoventures.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
UTFC Financing Solutions is no longer
making new investments.
UTFC Fund II, LLC
Scott Stenberg, Managing Director
699 East South Temple, Suite 220
Salt Lake City, UT 84102
Phone: (801)741-4200 Fax: (801)741-4249
Email: scott@innoventures.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $100,000
Preferred Max: $500,000
TYPE OF CAPITAL PROVIDED
Debt
FUNDING STAGE PREFERENCE
Early growth
INDUSTRY PREFERENCE
Technology and service
GEOGRAPHIC PREFERENCES
Utah and surrounding
states
DESCRIPTION OF FIRM'S FOCUS
Companies that have seen an acceptance of
their product and need working capital to
continue to grow sales.
UV Partners IV Financial Institutions Fund,
James Dreyfous, Contact
2755 East Cottonwood Parkway, Suite 520
Salt Lake City, UT 84121
Phone: (801)365-3262 Fax: (801)365-0233
Email: jaquie@uvpartners.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
vSpring III D, L.P.
David Anderson, Contact
2795 E. Cottonwood Parkway, Suite 360
Salt Lake City, UT 84121
Phone: (801)942-8999 Fax: (801)942-1636
Email: David@vspring.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
vSpring SBIC, L.P.
Dinesh Patel, Contact
2795 E. Cottonwood Parkway, Suite 360
Salt Lake City, UT 84121
Phone: (801)942-8999 Fax: (801)942-1636
Email: David@vspring.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Wasatch Venture Corporation
Nick Efstratis
15 W. South Temple, Suite 500
Salt Lake City, UT 84101-
Phone: (801)524-8939 Fax: (801)524-8941
Email: ryan@epicvc.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $500,000
Preferred Max: $1,000,000
TYPE OF CAPITAL PROVIDED
Debt
Equity
FUNDING STAGE PREFERENCE
Early Stage
Growth Stage
INDUSTRY PREFERENCE
High Technology
Computer
Internet
Communications
GEOGRAPHIC PREFERENCES
Midwest
West
DESCRIPTION OF FIRM'S FOCUS
Early stage, technology based investor.
Wasatch Venture Fund II, LLC
Nick Efstratis
15 W. South Temple, Suite 500
Salt Lake City, UT 84101-
Phone: (801)524-8936 Fax: (801)524-8941
Email: ryan@epicvc.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min:
Preferred Max:
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Wasatch Venture Fund III, L.L.C.
Nick Efstratis
15 W. South Temple, Suite 500
Salt Lake City, UT 84101-
Phone: (801)524-8939 Fax: (801)524-8941
Email: ryan@epicvc.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Zions SBIC, L.L.C.
Nick Efstratis
15 W. South Temple, Suite 500
Salt Lake City, UT 84101-
Phone: (801)524-8939 Fax: (801)524-8941
Email: ryan@epicvc.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Vermont
SBIC Licensees Located in Vermont on February 9, 2011
North Atlantic Venture Fund II, L.P.
Gregory B. Peters, Vice President
76 St. Paul Street, Suite 600
Burlington, VT 05401
Phone: (802)658-7820 Fax: (802)658-5757
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Virginia
SBIC Licensees Located in Virginia on February 9, 2011
BIA Digital Partners SBIC II LP
Lloyd Sams, Contact
15120 Enterprise Court, Suite 200
Chantilly, VA 20151
Phone: (703)227-9600 Fax: (703)227-9645
Email: lsams@bia.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
BIA Digital Partners, L.P.
Lloyd R. Sams, Contact
15120 Enterprise Court, Suite 200
Chantilly, VA 20151
Phone: (703)227-9600 Fax: (703)227-9645
Email: lsams@bia.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $5,000,000
Preferred Max: $25,000,000
TYPE OF CAPITAL PROVIDED
Subordinated debt w/warrants
Preferred equity
FUNDING STAGE PREFERENCE
Mid to late stage
INDUSTRY PREFERENCE
Media and entertainment
Education, Telecom
Information and Business
Services
GEOGRAPHIC PREFERENCES
United States
DESCRIPTION OF FIRM'S FOCUS
BIA Digital Partners is a private investment
firm, making both debt/equity investments in
middle market companies serving the media &
entertainment, telecommunications, & infor-
mation and business services industries.
GIV Venture Partners, L.P.
10790 Parkridge Blvd 300
Reston, VA 20191
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Gladstone SSBIC Corporation (SSBIC)
David Watson, Contact
1521 Westbranch Drive, Suite 200
McLean, VA 22102
Phone: (703)287-5860 Fax: (703)287-5801
Email: david.watson@gladstonecompanies.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $250,000
Preferred Max: $1,000,000
TYPE OF CAPITAL PROVIDED
Loans
Equity
FUNDING STAGE PREFERENCE
Growth
Expansion
Later Stage
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
North
South
Midwest
DESCRIPTION OF FIRM'S FOCUS
Solutions Capital I, L.P.
Andrew Jacobson, Contact
1100 Wilson Boulevard, Suite 3000
Arlington, VA 22209
Phone: (703)247-7527 Fax: (866)445-7074
Email: ajacobson@mcgcapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $5,000,000
Preferred Max: $19,500,000
TYPE OF CAPITAL PROVIDED
Debt in support of buyouts and
recapitalizations
FUNDING STAGE PREFERENCE
Late Stage
INDUSTRY PREFERENCE
Diverse
GEOGRAPHIC PREFERENCES
United States
DESCRIPTION OF FIRM'S FOCUS
Experience in light manufacturing, business
services, recurring revenue industries,
software, media, information services,
education, healthcare, telecom.
Virginia Capital SBIC, L.P.
Frederick Russell & Tom Deardorff, Mgrs.
1801 Libbie Avenue, Suite 201
Richmond, VA 23226
Phone: (804)648-4802 Fax: (804)648-4809
Email: fred@vacapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $1,000,000
Preferred Max: $4,000,000
TYPE OF CAPITAL PROVIDED
Equity
FUNDING STAGE PREFERENCE
Growth
INDUSTRY PREFERENCE
Health care, media,
communications, insurance,
and other business and
consumer services.
GEOGRAPHIC PREFERENCES
Southeastern U.S.
DESCRIPTION OF FIRM'S FOCUS
www.vacapital.com/inv_type
Washington
SBIC Licensees Located in Washington on February 9, 2011
Integra Ventures III, L.P.
Tim T. Black, Contact
300 E. Pine, 2nd Floor
Seattle, WA 98122
Phone: (206)832-1990 Fax: (206)832-1991
Email: Black@IntegraVentures.net
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $500,000
Preferred Max: $2,000,000
TYPE OF CAPITAL PROVIDED
Equity
FUNDING STAGE PREFERENCE
Series A-B
INDUSTRY PREFERENCE
Healthcare
Life Science
Med Device
GEOGRAPHIC PREFERENCES
Western United States
DESCRIPTION OF FIRM'S FOCUS
West Virginia
SBIC Licensees Located in West Virginia on February 9, 2011
Mountaineer Capital, L.P.
Patrick A. Bond, Contact
107 Capitol Street, Suite 300
Charleston, WV 25301
Phone: (304)347-7521 Fax: (304)347-0072
Email: angi@mtncap.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Wisconsin
SBIC Licensees Located in Wisconsin on February 9, 2011
M & I Ventures, L.L.C.
Sharon R. Jardas, Contact
770 N. Water Street
Milwaukee, WI 53202
Phone: (414)765-8116 Fax: (414)765-8097
Email: sharon.jardas@micorp.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $2,000,000
Preferred Max: $3,000,000
TYPE OF CAPITAL PROVIDED
Fully Invested
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
