SBIC Directory
The Small Business Investment Company (SBIC) Program works with private investment funds licensed as SBICs to provide growth capital to U.S. small businesses. Although SBICs regulated by SBA, they are private, profit-seeking investment companies that make independent investment decisions. 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 Licensees on February 19, 2013 |
Alaska
SBIC Licensees Located in Alaska on February 19, 2013
There are no SBIC Licensees currently located in Alaska
Alabama
SBIC Licensees Located in Alabama on February 19, 2013
Harbert Mezzanine Partners II SBIC, L.P.
Andy Tatman, Contact
2100 Third Avenue North, Suite 600
Birmingham, AL 35203
Phone: (615)301-6396 Fax: (615)301-6401
Email: abrown@harbert.net
Arkansas
SBIC Licensees Located in Arkansas on February 19, 2013
Diamond State Ventures II, L.P.
Joe T. Hays, Contact
200 River Market Avenue
Suite 400
Little Rock, AR 72201
Phone: (501)374-9247 Fax: (501)374-9425
Email: jhays@arcapital.com
Arizona
SBIC Licensees Located in Arizona on February 19, 2013
Grayhawk Venture Fund I, L.P.
Sherman Chu, Contact
5050 North 40th Street, Suite 380
Phoenix, AZ 85018
Phone: (602)956-8700 Fax: (602)956-8080
Email: schu@gvp.us
Trinity Capital Fund II, L.P.
Steven L. Brown
2121 Chandler Blvd., Suite 103
Chandler, AZ 85224
Phone: (480)374-5350 Fax: (480)247-5099
Email: sbic@trincapinvestment.com
California
SBIC Licensees Located in California on February 19, 2013
Alpine Investors IV SBIC, LP
Tara Baker, Contact
3 Embarcadero Center, Suite 2330
San Francisco, CA 94111
Phone: (415)591-1323 Fax: (415)392-9101
Email: tbaker@alpine-investors.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $10,000,000
Preferred Max: $20,000,000
Avante Mezzanine Partners SBIC, L.P.
Clifford A. Lyon, Contact
11150 Santa Monica Blvd., Suite 1470
Los Angeles, CA 90025
Phone: (310)667-9242 Fax: (310)728-1755
Email: clyon@avantemezzanine.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $6,000,000
Preferred Max: $10,000,000
TYPE OF CAPITAL PROVIDED
Debt 87%;
Equity 13%,
FUNDING STAGE PREFERENCE
Change of control 50%
Later Sage 40%;
Expansion 10%
INDUSTRY PREFERENCE
Services 45%; Technology 5%;
Life Science 5%;Manufacturing 10%;
Mark Spellman
GEOGRAPHIC PREFERENCES
California 50%
other Western U.S. 50%
DESCRIPTION OF FIRM'S FOCUS
2 tiers of debenture leverage
Celerity Partners SBIC, L.P.
Clifford A. Lyon, Contact
11150 Santa Monica Boulevard, Suite 1470
Los Angeles, CA 90025
Fax: (310)728-1755
Email: kraus@celeritypartners.com
Central Valley Fund II (SBIC), LP (The)
Edward F. McNulty
1590 Drew Avenue, Suite 110
Davis, CA 95618
Phone: (530)757-7004 Fax: (530)757-1316
Email: emcnulty@centralvalleyfund.com
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
East Gate Private Equity Fund III, L.P.
Ken Choi, Contact
5050 El Camino Real, Suite 104
Los Altos, CA 94022-
Phone: (650)325-5077 Fax: (650)325-5072
Email: bcbrant@eg-group.com
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@emcap.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
Hercules Technology II, L.P.
Dorian Momsen, Contact
400 Hamilton Avenue, Suite 310
Palo Alto, CA 94301
Phone: (650)289-3072 Fax: (650)473-9194
Email: dmomsen@herculestech.com
Hercules Technology III, LP
Dorian Momsen, Contact
400 Hamilton Avenue, Suite 310
Palo Alto, CA 94301
Phone: (650)289-3072 Fax: (650)473-9194
Email: dmomsen@herculestech.com
Housatonic Equity Investors SBIC, L.P.
Barry Reynolds, Will Thorndike
One Post Street, Suite 2600
San Francisco, CA 94104
Phone: (415)955-9020 Fax: (415)955-9053
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
Communications
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
Housatonic Micro Fund SBIC, L.P.
Barry Reynolds, Contact
One Post Street, Suite 2600
San Francisco, CA 94104
Phone: (415)955-9020 Fax: (415)955-9053
Email: breynolds@housatonicpartners.com
Invision Capital I, L.P.
26 Orange Blossom Circle, Suite 10
Ladera Ranch, CA 92694
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: lkubal@labrador.com
Levine Leichtman Capital Partners SBIC Fund, L.P.
Steven E. Hartman, Contact
335 North Maple Drive, Suite 130
Beverly Hills, CA 90210
Phone: (310)275-5335 Fax: (310)275-335
Email: shartman@llcp.com
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
Multiplier Capital, LP
Ray Boone
815 Moraga Drive
Los Angeles, CA 90049-
Outlook Ventures III, L.P.
Carl Nichols, Contact
3000-F Danville Blvd #110
Alamo, CA 94507
Phone: (415)547-0000 Fax: (415)547-0010
Email: carl@outlookventures.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $1,000,000
Preferred Max: $5,000,000
TYPE OF CAPITAL PROVIDED
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.
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
SAIL Venture Partners, L.P.
John Herold, CFO & Contact
3161 Michelson Drive
Suite 750
Irvine, CA 92612-
Phone: (943)398-5100
Email: cswanson@sailcapital.com
SAIL Venture Partners, L.P.
Alan Sellers
3161 Michelson Drive
Suite 750
Irvine, CA 92612-
INVESTMENT CRITERIA
Shepherd Ventures II, L.P.
George C. Kenney, Contact
11696 Sorrento Valley Road, Suite 203
San Diego, CA 92121-
Phone: (858)509-4744 Fax: (858)509-3662
Email: tom@shepherdventures.com
Silver Lake Waterman Fund, L.P.
Thomas Conneely, VP Operations
One Market Plaza, Steuart Tower,
Suite 1000
San Francisco, CA 94105-
Phone: (415)525-8705 Fax: (415)293-4365
Email: Tom.Conneely@SilverLake.com
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
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.
Ticonderoga SBIC, L.P.
258 Hamilton Avenue, 3rd Floor
Palo Alto, CA 94301
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
Colorado
SBIC Licensees Located in Colorado on February 19, 2013
Vista Ventures Advantage, LP
Catharine M. Merigold, Contact
1050 Walnut Street, Suite 402
Attn: Kurt Holland
Boulder, CO 80302
Phone: (303)521-7246 Fax: (303)362-5570
Email: catharine@vistavc.com
Connecticut
SBIC Licensees Located in Connecticut on February 19, 2013
Balance Point Capital Partners, L.P.
Seth W. Alvord, Contact
8 Church Lane, Suite 200
Westport, CT 06880
Phone: (203)652-8260 Fax: (203)716-9828
Email: salvord@balancepointcapital.com
Brookside Mezzanine Fund II, L.P.
David D. Buttolph, Corey Sclar, Contact
201 Tresser Boulevard, Suite 330
Stamford, CT 06901-3435
Phone: (203)595-4530 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
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
201 Tresser Boulevard, Suite 330
Stamford, CT 06901-3435
Phone: (203)595-4530 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
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
GEOGRAPHIC PREFERENCES
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
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
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
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.
Daniel J. O'Brien, Contact
130 Main Street
New Canaan, CT 06840
Phone: (203)716-6140 Fax: (203)716-6206
Email: dobrien@whitney.com
Ironwood Equity Fund LP
Marc A. Reich, Contact
45 Nod Road
Avon, CT 06001
Phone: (860)409-2101 Fax: (860)409-2120
Email: reich@ironwoodcap.com
INVESTMENT CRITERIA
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
45 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 III-A LP
Marc A. Reich, Contact
45 Nod Road
Avon, CT 06001
Phone: (860)409-2101 Fax: (860)409-2120
Email: reich@ironwoodcap.com
Ironwood Mezzanine Fund, L.P.
Marc A. Reich, President, Contact
45 Nod Road
Avon, CT 06001
Phone: (860)409-2101 Fax: (860)409-2120
Email: reich@ironwoodcap.com
INVESTMENT CRITERIA
DESCRIPTION OF FIRM'S FOCUS
Ironwood Mezzanine & Ironwood Equity Fund
are both fully invested and, thus, not
looking at further investment opportunities.
MSR I SBIC, L.P.
Daniel A. Levinson
One Morningside Drive North
Building B, 2nd Floor
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
New Canaan Funding Mezzanine V SBIC, LP
Mark Thies
21 Locust Avenue, Suite 1C
New Canaan, CT 06840
Phone: (203)966-1071 Fax: (203)966-1081
Email: mthies@newcanaanfunding.com
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.
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
District of Columbia
SBIC Licensees Located in District of Col. on February 19, 2013
Alpine Equity, L.P.
George McCabe, Contact
1025 Thomas Jefferson Street, NW
Suite 308 East
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
Grosvenor Special Ventures IV, L.P.
Bruce B. Dunnan
888 17th Street, NW - Suite 214
Washington, DC 20006
Phone: (202)861-5650 Fax: (202)861-5653
Email: bbd@grosvenorfund.com
Delaware
SBIC Licensees Located in Delaware on February 19, 2013
Innovation Ventures, L.P.
David J. Freschman, Contact
1601 Concord Pike, Suite 8284
Wilmington, DE 19803
Phone: (302)777-1616 Fax: (302)777-1620
Email: djf@innovationcapital.com
Florida
SBIC Licensees Located in Florida on February 19, 2013
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
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
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
KLH Capital Fund II, L.P.
James B. Darnell, Contact
601 Bayshore Blvd., Suite 850
Tampa, FL 33606-
Phone: (813)222-0160 Fax: (813)222-0161
Email: james@klhcapital.com
Georgia
SBIC Licensees Located in Georgia on February 19, 2013
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
1230 Peachtree Street NE
Suite 1900
Atlanta, GA 30309-
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 PREFERENCE
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 Halifax Capital Partners, L.P.
Spalding White
2849 Paces Ferry Rd
Overlook I, Suite 660
Atlanta, GA 30339-
Phone: (770)790-5034 Fax: (770)790-5104
Email: swhite@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.
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: sba@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 PREFERENCE
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.
Guam
SBIC Licensees Located in Guam on February 19, 2013
There are no SBIC Licensees currently located in Guam
Hawaii
SBIC Licensees Located in Hawaii on February 19, 2013
There are no SBIC Licensees currently located in Hawaii
Iowa
SBIC Licensees Located in Iowa on February 19, 2013
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: $500,000
Preferred Max: $3,000,000
TYPE OF CAPITAL PROVIDED
Equity
Subordinated Debt
FUNDING STAGE PREFERENCE
20% Developmental
40% Expansion
5% Turnaround
35 %Growth
INDUSTRY PREFERENCE
Manufacturing
Consumer
Healthcare
Technology
GEOGRAPHIC PREFERENCES
MidWest
DESCRIPTION OF FIRM'S FOCUS
Manufacturing
Consumer Products / Services
Heathcare
Technology
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.
Idaho
SBIC Licensees Located in Idaho on February 19, 2013
There are no SBIC Licensees currently located in Idaho
Illinois
SBIC Licensees Located in Illinois on February 19, 2013
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 PREFERENCE
Growth or Late Stage
INDUSTRY PREFERENCE
Will not pursue turnaround
or early stage situations, real
estate, finance or insurance.
GEOGRAPHIC PREFERENCES
Nationwide w/Midwest
DESCRIPTION OF FIRM'S 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: AHKalnow@alphacapital.com
BA Capital Company, L.P.
Emili de la Cruz
135 S. LaSalle Street, 8th Floor
Mail Code IL4-135-08-13
Chicago, IL 60603-
Phone: (312)828-8625 Fax: (312)453-3855
Email: gregory.costigan@bankofamerica.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
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.
Emili de la Cruz, 312-828-8685
135 S. LaSalle Street, 8th Floor
Mail Code IL4-135-08-13
Chicago, IL 60603-
Phone: (704)944-0966 Fax: (704)944-0973
Email: gregory.costigan@bankofamerica.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
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.
BancAmerica Capital Investors SBIC II, L.P.
Emili de la Cruz, 312-828-8685
135 S. LaSalle Street, 8th FL
Mail Code IL4-135-08-13
Chicago, IL 60603-
Phone: (312)828-2287 Fax: (312)923-0668
Email: gregory.costigan@bankofamerica.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
BancBoston Ventures, Incorporated
Gregory Costigan
135 S. LaSalle Street, 8th FL
Mail Code IL4-135-08-13
Chicago, IL 60603-
Phone: (704)683-5741 Fax: (704)388-2746
Email: gregory.costigan@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
Communications
Information Technology
Diversified
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
CapX Fund IV, L.P.
Jeffry S. Pfeffer, Contact
155 N. Wacker Dr. Suite #1760
Chicago, IL 60606
Phone: (312)629-2878 Fax: (312)629-2874
Email: jspfeffer@capxpartners.com
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
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
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
Channel Medical Partners, L.P.
Carol Winslow
1210 Chicago Avenue, Suite 703
Evanston, IL 60202-
Phone: (847)779-1502 Fax: (847)779-1535
Email: cwinslow@chanmed.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $2,000,000
Preferred Max: $5,000,000
TYPE OF CAPITAL PROVIDED
Equity
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
Medical Technology
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
Continental Illinois Venture Corp.
Emili de la Cruz
135 S. LaSalle Street, 8th Floor
Mailcode IL4-135-08-62
Chicago, IL 60603-
Phone: (312)828-8685 Fax: (312)453-3855
Email: gregory.costigan@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 PREFERENCE
Expansion
Later Stage
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.
Dunrath Capital Infrastructure Surety Fund, L.P.
John Abernethy, Contact
233 S. Wacker Dr.
Suite 6225
Chicago, IL 60606-
Phone: (312)546-4700 Fax: (312)386-9454
Email: steve@dunrath.com
Fidus Mezzanine Capital, L.P.
Edward H. Ross, Contact
1603 Orrington Avenue, Suite 820
Evanston, IL 60201
Phone: (847)859-3940 Fax: (847)859-3953
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 PREFERENCE
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.
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
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
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
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 PREFERENCE
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 IV SBIC, L.P.
Joseph R. Katcha, Contact
11 South LaSalle Street, 5th Floor
Chicago, IL 60603
Phone: (312)423-2650 Fax: (312)267-2861
Email: joe@highstreetcapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $3,000,000
Preferred Max: $10,000,000
TYPE OF CAPITAL PROVIDED
Debt-60%
Equity-40%
FUNDING STAGE PREFERENCE
Change of Control-90%
Later Stage-10%
INDUSTRY PREFERENCE
Healthcare/Life Sciences-20%
Manufacturing-20%
Distribution-20%
Services-40%
GEOGRAPHIC PREFERENCES
Northeast-10%
Midwest-50%
Southeast-30%
Southwest-10%
DESCRIPTION OF FIRM'S FOCUS
Value Added via active Asset Managers
Help Build the company and EBITDA via
strategy refinement, building the management
team, and improving operational
performance.
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
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
LaSalle Capital Group II-A, L.P.
Andrew Shackelford, Contact
70 W Madison Street, Suite 5710
Chicago, IL 60602-4370
Phone: (312)201-2633 Fax: (312)236-0720
Email: ashackelford@lasallecapitalgroup.com
LaSalle Capital Group, L.P.
Andrew Shackelford, CFO
70 W Madison Street, Suite 5710
Chicago, IL 60602-4370
Phone: (312)236-7041 Fax: (312)236-0720
Email: ashackelford@lasallecapitalgroup.com
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
Monroe Capital Partners Fund LP
Ted Koenig, Contact
311 S Wacker Dr Ste 6400
Chicago, IL 60606-6710
Phone: (312)523-2360 Fax: (312)258-8350
Email: tkoenig@monroecap.com
NXT Capital SBIC, LP
Jan Haas
191 N. Wacker, Suite 1200
Chicago, IL 60606
Phone: (781)486-6601 Fax: (781)486-6610
Email: jhaas@nxtcapital.com
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: robert@prismfund.com
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
Secured Mezzanine
FUNDING STAGE PREFERENCE
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).
VPC SBIC I, LP
Brendan Carroll
227 W. Monroe, Suite 3900
Chicago, IL 60606
Phone: (312)701-0785 Fax: (312)701-0794
Email: jschneider@vpcadvisors.com
Indiana
SBIC Licensees Located in Indiana on February 19, 2013
1st Source Capital Corporation
Judd P. McNally, COO
100 North Michigan Street
South Bend, IN 46601-
Phone: (574)235-2416 Fax: (574)235-2227
Email: McNallyJ@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
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
FUNDING STAGE PREFERENCE
Expansion
Acquisition
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.
CCP III-SBIC, L.P.
D. Scott Lutzke
10 West Market Street, Suite 3030
Indianapolis, IN 46204
Phone: (317)237-2321 Fax: (317)237-2325
Email: scott@centerfieldcapital.com
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
Kansas
SBIC Licensees Located in Kansas on February 19, 2013
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: timk@midstatescap.com
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
Kentucky
SBIC Licensees Located in Kentucky on February 19, 2013
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
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
Equity
FUNDING STAGE PREFERENCE
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.
Louisiana
SBIC Licensees Located in Louisiana on February 19, 2013
Jefferson Capital Partners I, L.P.
William J. Harper, Contact
#5 Sanctuary Blvd., Suite 103
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 PREFERENCE
Later Stage
MBO/LBO
Acquisition
INDUSTRY PREFERENCE
Low Tech
Diversified
GEOGRAPHIC PREFERENCES
Southeastern US
Midwest
DESCRIPTION OF FIRM'S FOCUS
Subordinated debt and preferred stock
investments in smaller middle market
companies
fcazayoux@jeffcap.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
LongueVue Capital Partners II, LP
Peyton Bush IV, Contact
111 Veterans Blvd., Suite 1020
Metairie, LA 70005
Phone: (504)293-3604 Fax: (504)834-1142
Email: pbush@lvcpartners.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $6,500,000
Preferred Max: $6,500,000
TYPE OF CAPITAL PROVIDED
Equity - 30%
Debt - 35%
Loan - 35%
FUNDING STAGE PREFERENCE
Later Stage - 35%
Change of Control - 35%
Turnaround - 15%
Expansion - 15%
INDUSTRY PREFERENCE
Service - 25%
Other - 20%
Manufacturing - 15%
Distribution - 12.5%
Technology - 10%
GEOGRAPHIC PREFERENCES
Southeast - 50%
Mid-Atlantic - 10%
MidWest - 10%
Northeast - 10%
West - 10%
DESCRIPTION OF FIRM'S FOCUS
Target Revenue - $10M - $100M
Target EBITDA - $2M - $10M
Total Companies - 15+
Massachusetts
SBIC Licensees Located in Massachusetts on February 19, 2013
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
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 St., 11th Floor MS 1000
Boston, MA 02109
Phone: (617)994-7084 Fax: (617)742-9471
Email: joshua.conlon@rbscitizens.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min:
Preferred Max:
TYPE OF CAPITAL PROVIDED
Subordinated Debt
Equity
FUNDING STAGE PREFERENCE
Acquisition
Growth
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
Northeast
Midwest
Southeast
DESCRIPTION OF FIRM'S FOCUS
Draper Fisher Jurvetson New England Fund I (SBIC), L.P.
Todd Hixon, Contact
One Broadway, 14th Floor
Cambridge, MA 02142
Phone: (617)758-4213 Fax: (617)758-4101
Email: todd@navfund.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
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
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
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
High Peaks Seed Ventures, L.P.
Russell Howard, Contact
One Bank Street, 2nd Floor
Williamstown, MA 01267-
Phone: (518)720-3090 Fax: (518)720-3091
Email: russ@highpeaksventures.com
High Peaks Ventures, L.P.
Russell Howard, Contact
One Bank Street, 2nd Floor
Williamstown, MA 01267-
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.
Ironwood Equity Fund LP
18 Tremont St., Suite 1120
Boston, MA 02108
Phone: (617)723-6747 Fax: (617)723-6746
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
Early Stage
INDUSTRY PREFERENCE
Biomedical
GEOGRAPHIC PREFERENCES
Northeast US
DESCRIPTION OF FIRM'S FOCUS
Invest primarily in medical device, drug
discovery, bioinformatics companies.
Pine Street Capital Partners II, L.P.
David Morris
572 Washington Street
The Rotunda Building, Wuite 16
Wellesley, MA 12207-
Phone: (781)237-0005
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
Seacoast Capital Partners III, L.P.
Walter H. Leonard, Contact
55 Ferncroft Road, Suite 110
Danvers, MA 01923
Phone: (978)750-1300 Fax: (978)750-1301
Email: wleonard@seacoastcapital.com
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
Ticonderoga SBIC, L.P.
Craig A.T. Jones, Contact
25 Braintree Hill Park, Suite 200
Braintree, MA 02184
Phone: (781)416-3400 Fax: (781)416-9868
Email: cjones@ticonderogacap.com
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
Maryland
SBIC Licensees Located in Maryland on February 19, 2013
Farragut Mezzanine Partners III, L.P.
Philip McNeill
5425 Wisconsin Avenue, Suite 401
Chevy Chase, MD 20815
Phone: (301)913-5293 Fax: (301)913-5969
Email: pmcneill@farragutcapitalpartners.com
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
MidCap Financial SBIC, L.P.
Steve Curwin, Contact
7255 Woodmont Avenue, Suite 200
Bethesda, MD 20814
Phone: (301)841-6433 Fax: (301)941-1450
Email: dmoore@midcapfinancial.com
Multiplier Capital, LP
Kevin P. Sheehan
2 Wisconsin Circle, Suite 700
Chevy Chase, MD 20815
Phone: (202)621-8831 Fax: (240)235-5001
Email: sheehan@multipliercapital.com
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
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
RLJ Credit Opportunity Fund I, L.P.
Trevoir D. Gregg, Contact
3 Bethesda Metro Center, Suite 1000
Bethesda, MD 20814
Phone: (240)744-7849 Fax: (301)280-7762
Email: tgregg@rljcredit.com
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
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
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
Maine
SBIC Licensees Located in Maine on February 19, 2013
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
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.
Michigan
SBIC Licensees Located in Michigan on February 19, 2013
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
FUNDING STAGE PREFERENCE
Expansion
Later Stage
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
Minnesota
SBIC Licensees Located in Minnesota on February 19, 2013
AAVIN Equity Partners I, L.P.
Daryl Erdman
2500 Rand Tower
Minneapolis, MN 55402
Phone: (602)375-9966 Fax: (319)363-9519
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.
Donald M. Hass, Managing Director
PO Box 5267
Hopkins, MN 55343-
Phone: (763)245-8610 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
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.
Bayview Capital Partners III, L.P.
Shane Slominski, Contact
301 Carlson Parkway, Suite 325
Minnetonka, MN 55305
Phone: (952)345-2032 Fax: (952)345-2001
Email: sslominski@tonkabayequity.com
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: blindquist@gmbmezz.com
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
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
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 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.
Trailhead Fund Limited Partnership
Jason T. Brass
Goldner Hawn Johnson & Morrison, Inc.
3700 Wells Fargo Ctr., 90 S. Seventh St.
Minneapolis, MN 55402-4128
Phone: (612)338-5912 Fax: (612)338-2860
Email: goldstein@ghjm.com
Missouri
SBIC Licensees Located in Missouri on February 19, 2013
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 III, L.P.
Patrick F. Healy
4520 Main Street, Suite 400
Kansas City, MO 64111
Phone: (816)756-2225 Fax: (816)756-5552
Email: phealy@C3cap.com
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
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
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
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
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
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
Eagle Fund III, L.P.
Benjamin M. Geis
101 S. Hanley Road, Suite 1250
Saint Louis, MO 63105
Phone: (314)727-4555 Fax: (314)727-8829
Email: bmg@bushodonnell.com
Eagle Fund III-A, L.P.
Benjamin M. Geis
101 S. Hanley Road, Suite 1250
Saint Louis, MO 63105
Phone: (314)727-4555 Fax: (314)727-8829
Email: bmg@bushodonnell.com
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
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
Equity
Debt w/Equity
FUNDING STAGE PREFERENCE
Later Stage
INDUSTRY PREFERENCE
Manufacturing
GEOGRAPHIC PREFERENCES
Midwest
DESCRIPTION OF FIRM'S FOCUS
Mississippi
SBIC Licensees Located in Mississippi on February 19, 2013
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
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.
Montana
SBIC Licensees Located in Montana on February 19, 2013
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
North Carolina
SBIC Licensees Located in North Carolina on February 19, 2013
BB&T Capital Partners II, LLC
David Townsend, Managing Partner
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
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 Mezzanine Fund II, L.P.
David Townsend, Contact
101 N. Cherry Street, Suite 700
Winston-Salem, NC 27101-4010
Phone: (336)733-0355 Fax: (336)733-0349
Email: dgtownsend@bbandt.com
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
DESCRIPTION OF FIRM'S FOCUS
No longer seeking new investments.
BB&T Capital Partners/Windsor Mezzanine Fund, LLC
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
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
OGC - Mark Spellman
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
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
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
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
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
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
Hatteras Venture Partners IV SBIC, LP
Douglas Reed, M.D.
280 South Mangum Street, Suite 350
Durham, NC 27001
Phone: (919)484-0730 Fax: (919)484-0364
Email: doug@hatterasvp.com
North Carolina Economic Opportunities Fund, L.P.
H. Dabney Smith, Contact
c/o Dogwood Equity
4101 Lake Boone Trail, Suite 120
Raleigh, NC 27607-
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.
Plexus Fund I, L.P.
Rhonda Penn, CFO, Contact
200 Providence Road, Suite 210
Charlotte, NC 28207
Phone: (919)253-6355 Fax: (704)927-6255
Email: banders@plexuscap.com
Plexus Fund I, L.P.
4601 Six Forks Road, Suite 528
Raleigh, NC 27609
Phone: (919)256-6341 Fax: (919)256-3650
Plexus Fund II, L.P.
4601 Six Forks Road, Suite 528
Raleigh, NC 27609
Phone: (919)256-6342 Fax: (919)256-6350
Plexus Fund II, L.P.
Rhonda Penn. CFO, Contact
200 Providence Road, Suite 210
Charlotte, NC 28207
Phone: (919)256-6355 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
INDUSTRY PREFERENCE
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 Investment Partners III, Limited Partnership
Philip W. Martin
1348 Westgate Center Drive, Suite 100
P.O. Box 25684
Winston-Salem, NC 27114
Phone: (336)245-4725 Fax: (888)670-9182
Email: pmartin@salemip.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $2,000,000
Preferred Max: $10,000,000
TYPE OF CAPITAL PROVIDED
Growth, acquisition, MBO, LBO
recaps
FUNDING STAGE PREFERENCE
Later stage
INDUSTRY PREFERENCE
No preference
GEOGRAPHIC PREFERENCES
Southeast, Mid-Atlantic
Midwest
DESCRIPTION OF FIRM'S FOCUS
Provide patient growth capital to middle
market companies by investing in
subordinated debt and equity warrants.
SJF Ventures III, LP
David A. Kirkpatrick
200 N. Mangum Street, Suite 203
Durham, NC 27701
Phone: (919)530-1177 Fax: (919)530-1178
Email: dkirk@sjfventures.com
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
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
SBIC Licensees Located in North Dakota on February 19, 2013
North Dakota SBIC, L.P.
John G. Cosgriff, Manager
51 Broadway, Suite 400
Fargo, ND 58102
Phone: (701)298-0003 Fax: (701)293-7819
Nebraska
SBIC Licensees Located in Nebraska on February 19, 2013
FCP Fund II, L.P.
David F. McLeese, Contact
1620 Dodge Street
Omaha, NE 68102
Phone: (402)602-3517 Fax: (402)602-3477
Email: dmcleese@firstcapitalpartners.com
New Hampshire
SBIC Licensees Located in New Hampshire on February 19, 2013
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 19, 2013
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
Contemporary Healthcare Senior Lien Fund I, LP
Eric Smith, Contact
1040 Broad Street, Suite 103
Shrewsbury, NJ 07702
Phone: (732)578-0533 Fax: (732)578-0501
Email: rrowell@contemporarycapital.com
Edison Fund V, L.P.
Ross Martinson, Contact
1009 Lenox Drive, Suite 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, Suite 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
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
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)
Leah Apgar
c/o New Jersey Community Capital
108 Church Street, 3rd Floor
Brunswick, NJ 08901-
Phone: (732)640-2061 Fax: (732)543-1201
Email: lapgar@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 Mexico
SBIC Licensees Located in New Mexico on February 19, 2013
There are no SBIC Licensees currently located in New Mexico
Nevada
SBIC Licensees Located in Nevada on February 19, 2013
There are no SBIC Licensees currently located in Nevada
New York
SBIC Licensees Located in New York on February 19, 2013
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.
AEA Investors Small Business Fund LP
John F. Cozzi, Contact
666 Fifth Avenue
36th Floor
New York, NY 10103-
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
FUNDING STAGE PREFERENCE
Later Stage
Acquisitions
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
Brightwood Capital SBIC I, LP
Damien R. Dwin, Contact
1540 Broadway, 23rd Floor
New York, NY 10036-
Phone: (646)957-9525 Fax: (646)957-9265
Email: sba@brightwoodlp.com
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
CapitalSpring SBIC, L.P.
Lisa Lersner, Contact
950 3rd Avenue, 24th Floor
New York, NY 10022-
Phone: (212)981-0153 Fax: (212)981-0159
Email: llersner@capitalspring.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
Late Stage
INDUSTRY PREFERENCE
Services 10%
Consumer Products & Retail - 90%
GEOGRAPHIC PREFERENCES
West 35%
Northeast 35%
Other 30%
DESCRIPTION OF FIRM'S FOCUS
Brand name franchises financing
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
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
Subordinated Debt
Preferred Stock
FUNDING STAGE PREFERENCE
Acquisition
Growth
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.
Deerpath Capital II, 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
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
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
DeltaPoint Capital IV (New York), L.P.
Kevin M. Halpin
45 East Avenue, 6th Floor
Rochester, NY 14604
Phone: (585)454-6990 Fax: (585)454-3204
Email: khalpin@deltapointcapital.com
DeltaPoint Capital IV, L.P.
Kevin M. Halpin
45 East Avenue, 6th Floor
Rochester, NY 14604
Phone: (585)454-6990 Fax: (585)454-3204
Email: khalpin@deltapointcapital.com
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
Equity
FUNDING STAGE PREFERENCE
Expansion
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
Regional
DESCRIPTION OF FIRM'S FOCUS
Emigrant Capital Corporation
Christopher Hammond, Controller
6 East 43rd Street
20th Floor
New York, NY 10017
Phone: (212)850-4470 Fax: (212)850-3470
Email: hammondc@emigrant.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $5,000,000
Preferred Max: $20,000,000
TYPE OF CAPITAL PROVIDED
Equity
FUNDING STAGE PREFERENCE
Generating Revenue
Cash Flow Positive
INDUSTRY PREFERENCE
Outsourced Business Services
Healthcare Services
Niche Manufacturing, Software
Services, Environmental
Products and Services
GEOGRAPHIC PREFERENCES
United States
DESCRIPTION OF FIRM'S FOCUS
Emigrant Capital Corp. 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, oper-
ational and strategic resources.
Empire State Capital Corporation (SSBIC)
Mitzi Wu, Vice President
7 Dey Street, #1201
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
Equity Investments
FUNDING STAGE PREFERENCE
Early Stage
Expansion
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
Atlantic
Region
DESCRIPTION OF FIRM'S FOCUS
Enhanced Small Business Investment Company, L.P.
Michael Korengold
601 Lexington Avenue, 55th Floor
New York, NY 10022
Phone: (212)207-3385 Fax: (212)207-9031
Email: mkorengold@enhancedcap.com
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
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
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
INDUSTRY PREFERENCE
Telecommunications
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@gibuk.com
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
Fifth Street Mezzanine Partners V, L.P.
Bernard D. Berman, Contact
10 Bank Street, 12th Floor
White Plains, NY 10606
Phone: (914)286-6804 Fax: (914)328-4214
Email: bernie@fifthstreetfinance.com
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
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
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
Equity
FUNDING STAGE PREFERENCE
Expansion
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
Regional
DESCRIPTION OF FIRM'S FOCUS
GC SBIC IV, L.P.
Gregory W. Cashman, Contact
666 Fifth Avenue, 18th Floor
New York, NY 10103
Phone: (212)750-6060 Fax: (212)750-5505
Email: sba@golubcapital.com
GC SBIC V, L.P.
Gregory W. Cashman, Contact
666 Fifth Avenue, 18th Floor
New York, NY 10103
Phone: (212)750-6060 Fax: (212)750-5505
Email: sba@golubcapital.com
Gefus SBIC II, L.P.
Christopher F. Davis, Contact
375 Park Avenue, Suite 3607
New York, NY 10152
Phone: (212)308-3403 Fax: (212)308-1182
Email: cdavis@gefinor.com
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
Graycliff Mezzanine II, L.P.
Andrew P. Trigg
500 Fifth Avenue, 47th Floor
New York, NY 10110
Phone: (212)300-2903 Fax: (646)439-0871
Email: atrigg@graycliffpartners.com
Hudson Ferry Capital II, L.P.
Timothy Ross, Contact
275 Madison Avenue, 36st Floor
New York, NY 10016-
Phone: (212)682-5205 Fax: (212)308-3893
Email: tross@hudsonferry.com
Hudson Venture Partners II, L.P.
John P. Truehart, Jr., Contact
545 Fifth Avenue, 4th 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
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.
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
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
LEG Partners Debenture SBIC, L.P.
Lawrence Golub, Manager
666 Fifth Avenue, 18th Floor
New York, NY 10103
Phone: (212)750-6060 Fax: (212)750-5505
Email: sba@golubcapital.com
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.
Michigan Growth Capital Partners SBIC, L.P.
Kelly Williams, Contact
11 Madison Avenue, 16th Floor
New York, NY 10010
Phone: (212)538-7658 Fax: (212)538-0415
Email: kelly.m.williams@credit-suisse.com
Multiplier Capital, LP
Ezra Friedberg
360 Madison Avenue
20th Floor
New York, NY 10017-
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
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 II, LP
Arthur H. Penn
590 Madison Avenue, 15th Floor
New York, NY 10022
Phone: (212)905-1010 Fax: (212)905-1075
Email: penn@pennantpark.com
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
11 North Pearl Street, Suite 1700
Albany, NY 12207
Phone: (518)449-9070
Email: laschm@pinecap.com
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
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.
Praesidian Capital Opportunity Fund III, 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
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
RMCF II SBIC Fund, L.P.
Doug England, Contact
45 Rockefeller Center, Suite 2400
45 Rockefeller Center
New York, NY 10111
Phone: (216)535-1768 Fax: (216)344-1330
Email: dengland@riversidecompany.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $5
Preferred Max: $20
TYPE OF CAPITAL PROVIDED
1/3 equity, 2/3 debt
FUNDING STAGE PREFERENCE
Change of control (85%)
Turn around (10%)
Later-stage (5%)
INDUSTRY PREFERENCE
Manufacturing (20%)
Healthcare (20%)
Services (20%)
Tech & life sciences (10% ea.)
Distribution & consumer products (10% ea
GEOGRAPHIC PREFERENCES
Midwest - 35%
Northeast/Mid-Atl - 25%
South/Southeast -25%
West - 15%
DESCRIPTION OF FIRM'S FOCUS
One-stop provider of equity (1/3) and
debt (2/3) in change of control transactions
in a strategy that is a direct evolution of
that pursuaed at prior successful Riverside
funds.
Saratoga Investment Corp. SBIC LP
Richard A. Petrocelli
535 Madison Avenue, 4th Floor
New York, NY 10022
Phone: (212)906-7966 Fax: (212)750-3343
Email: rich@saratogapartners.com
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
Sunrise Equity Partners, L.P.
Marilyn S. Adler, Contact
600 Lexington Avenue, 23rd Floor
New York, NY 10022
Phone: (212)421-1616 Fax: (212)750-7277
Email: marilyna@sunrisecorp.com
Tamarix Capital Partners, L.P.
Mark Hauser
515 Madison Avenue, 41st Floor
New York, NY 10022
Phone: (212)419-2860 Fax: (212)308-0623
Email: mhauser@tamarixcapital.com
Triad Capital Corp. of New York (SSBIC)
Tony Acevedo, Manager
305 Seventh Avenue, 20th Floor
New York, NY 10001
Phone: (212)243-7360 Fax: (212)243-7647
Email: aacevedo@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
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
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.
Ohio
SBIC Licensees Located in Ohio on February 19, 2013
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)853-2541 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
DESCRIPTION OF FIRM'S FOCUS
National City Equity Partners, Inc.
Bob Conroy, Contact
B7-YB13-17-3
1900 East Ninth Street,17th Floor
Cleveland, OH 44114
Phone: (216)222-9287 Fax: (216)222-9965
Email: robert.conroy@pncerieview.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.
Rodger Davis, Managing Partner
255 East 5th Street, Suite 3010
Cincinnati, OH 45202
Phone: (513)985-6600 Fax: (513)985-6603
Email: sosman@medtechvaluecreation.com
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
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.
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
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
Triathlon Medical Ventures Fund LP
Suzette L. Dutch, Contact
300 E-Business Way, Suite 200
Cincinnati, OH 45241
Phone: (513)723-2600 Fax: (513)247-6199
Email: sdutch@tmvp.com
Oklahoma
SBIC Licensees Located in Oklahoma on February 19, 2013
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: wmojohnstone@gmail.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $1,000,000
Preferred Max: $10,000,000
TYPE OF CAPITAL PROVIDED
Equity
FUNDING STAGE PREFERENCE
Early Stage
Expansion
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
Oklahoma
DESCRIPTION OF FIRM'S FOCUS
Oregon
SBIC Licensees Located in Oregon on February 19, 2013
There are no SBIC Licensees currently located in Oregon
Pennsylvania
SBIC Licensees Located in Pennsylvania on February 19, 2013
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
Equity/debt-50/50
1 tier of leverage
FUNDING STAGE PREFERENCE
Buyouts, Later-stage
Recaps
Mgmt fees basis- RC
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
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
FUNDING STAGE PREFERENCE
Expansion
Later Stage
INDUSTRY PREFERENCE
Life Sciences
Communications
Financial Services
GEOGRAPHIC PREFERENCES
East Coast
DESCRIPTION OF FIRM'S FOCUS
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
Meridian Venture Partners II, L.P.
Robert E. Brown, Jr., Contact
259 North Radnor-Chestor Road
Suite 130
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 II, L.P.
Johnathan Schwartz, Contact
555 East Lancaster Avenue, Suite 444
Radnor, PA 19087
Phone: (610)567-2387 Fax: (610)567-2388
Email: jschwartz@newspringventures.com
NewSpring Mezzanine Capital, L.P.
Marc Lederman, Contact
Radnor Financial Center
555 E. Lancaster Ave, Suite 444
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
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 444
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
Renovus Capital Partners, L.P.
Atif Gilani
308 East Lancaster Avenue
Wynnewood, PA 19096
Phone: (646)660-4040 Fax: (610)896-3083
Email: atif.gilani@renovuscapital.com
Puerto Rico
SBIC Licensees Located in Puerto Rico on February 19, 2013
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 19, 2013
BCA Mezzanine Fund II, 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
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
Domestic Capital Corp.
Pedro Arce
815 Reservoir Avenue
Cranston, RI 02910
Phone: (401)248-7456
Email: Jlaplume@domestic.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $300,000
TYPE OF CAPITAL PROVIDED
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
Communications
Healthcare
Printing
Manufacturing
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
South Carolina
SBIC Licensees Located in South Carolina on February 19, 2013
There are no SBIC Licensees currently located in South Carolina
South Dakota
SBIC Licensees Located in South Dakota on February 19, 2013
Bluestem Capital Partners III, L.P.
Sandy Horst, Contact
122 S. Phillips Avenue
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 19, 2013
Claritas Capital Specialty Debt Fund, L.P.
R. Burton Harvey, Contact
30 Burton Hills Boulevard, Suite 100
Nashville, TN 37215
Phone: (615)690-7183 Fax: (615)690-7183
Email: bharvey@claritascapital.com
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
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
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
2% management fee
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Tenth Street Fund III, L.P.
Bill Nutter
30 Burton Hills Blvd, Suite 350
Nashville, TN 37215-
Phone: (615)665-3636 Fax: (615)665-3896
Email: bill@tenthstreetcapital.com
Texas
SBIC Licensees Located in Texas on February 19, 2013
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
Banc of America Capital Investors SBIC, L.P.
5207 McKinney Ave, Suite 21
Dallas, TX 75205
Blue Sage Capital II, L.P.
Peter J. Huff
114 West 7th Street, Suite 820
Austin, TX 78746
Phone: (512)536-1901 Fax: (512)236-9215
Email: peter.huffd@bluesage.com
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
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
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
Expansion
Later Stages
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 2300
Austin, TX 78701
Phone: (512)651-2105 Fax: (512)651-2101
Email: SBIC@escalatecapital.com
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
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
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
Equity
FUNDING STAGE PREFERENCE
Expansion
Buyout
Recapitalization
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
Southwest, Gulf Coast
DESCRIPTION OF FIRM'S FOCUS
Expansion or Transaction Financing.
Samll concerns with cash flow positive
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
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 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
FUNDING STAGE PREFERENCE
Expansion
Later Stage
Acquisitions
INDUSTRY PREFERENCE
Telecommunications
Healthcare
Energy
Forest Products
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: $2,000,000
Preferred Max: $7,000,000
TYPE OF CAPITAL PROVIDED
Mezzanine
Equity
FUNDING STAGE PREFERENCE
Expansion
Acquisition
Growth
INDUSTRY PREFERENCE
Manufacturing
Distribution
Service
GEOGRAPHIC PREFERENCES
South-Central, U.S.
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 19, 2013
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
Pelion Ventures V Financial Institutions Fund, LP
James Dreyfous
2755 E. Cottonwood Parkway, Suite 520
Salt Lake City, UT 84121
Phone: (801)365-0262 Fax: (801)365-0233
Email: jdreyfous@pelionvp.com
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
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
515 South 700 East, Suite 2A
Salt Lake City, UT 84102
Phone: (801)741-5200 Fax: (801)741-4249
Email: scott@innoventures.com
INVESTMENT CRITERIA
DESCRIPTION OF FIRM'S FOCUS
UTFC Financing Solutions is no longer
making new investments.
UTFC Fund II, LLC
Scott Stenberg, Managing Director
515 South 700 East, Suite 2A
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
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, L.P.
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
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: travis@vspring.com
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: travis@vspring.com
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
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
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
Virginia
SBIC Licensees Located in Virginia on February 19, 2013
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
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.
Gladstone SSBIC Corporation (SSBIC)
David Watson, CFO
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
Equity
FUNDING STAGE PREFERENCE
Growth
Expansion
Later Stage
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
Midwest
DESCRIPTION OF FIRM'S FOCUS
Solutions Capital I, L.P.
Andrew Jacobson, Contact
1100 Wilson Boulevard, Suite 3000
Arlington, VA 22209
Phone: (703)472-5383 Fax: (866)445-7074
Email: andrew.jacobson@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
Virgin Islands
SBIC Licensees Located in Virgin Islands on February 19, 2013
There are no SBIC Licensees currently located in Virgin Islands
Vermont
SBIC Licensees Located in Vermont on February 19, 2013
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
Washington
SBIC Licensees Located in Washington on February 19, 2013
There are no SBIC Licensees currently located in Washington
Wisconsin
SBIC Licensees Located in Winconsin on February 19, 2013
There are no SBIC Licensees currently located in Winconsin
West Virginia
SBIC Licensees Located in West Virginia on February 19, 2013
There are no SBIC Licensees currently located in West Virginia
Wyoming
SBIC Licensees Located in Wyoming on February 19, 2013
There are no SBIC Licensees currently located in Wyoming
