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Directory of SBIC Licensees

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.

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 

Alabama
Alaska
American Samoa
Arizona
Arkansas
California
Colorado
Connecticut
Delaware
District of Columbia
Florida

Georgia
Guam
Hawaii
Idaho
Illinois
Indiana
Iowa
Kansas
Kentucky
Louisiana
Maine

Maryland
Massachusetts
Michigan
Minnesota
Mississippi
Missouri
Montana
Nebraska
Nevada
New Hampshire
New Jersey

New Mexico
New York
North Carolina
North Dakota
Northern Marianas Islands
Ohio
Oklahoma
Oregon
Pennsylvania
Puerto Rico
Rhode Island

South Carolina
South Dakota
Tennessee
Texas
Utah
Vermont
Virginia
Virgin Islands
Washington
West Virginia
Wyoming
Wisconsin

SBIC Licensees Located in Alaska on February 11, 2016

 

SBIC Licensees Located in Alaska

There are no SBIC Licensees currently located in Alaska

 

Harbert Mezzanine Partners II SBIC, L.P.

Rob Bourquin Contact

2100 Third Avenue North, Suite 600

Birmingham, AL 35203

Phone: (615)301-6389 Fax: (615)301-6401

Email: abrown@harbert.net

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

SBIC Licensees Located in Arkansas

 

Diamond State Ventures II, L.P.

Joe T. Hays, Managing Director

200 River Market Avenue

Suite 400

Little Rock, AR 72201

Phone: (501)374-9247 Fax: (501)374-9425

Email: jhays@arcapital.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

Diamond State Ventures III, L.P.

 

Joe T. Hays, Managing Director

200 River Market Avenue

Suite 400

Little Rock, AR 72201

Phone: (501)374-9247 Fax: (501)374-9425

Email: jhays@arcapital.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

SBIC Licensees Located in Arizona

 

Grayhawk Venture Fund I, L.P.

Sherman Chu, Contact

5050 N 40th Street, Suite 380

Phoenix, AZ 85018

Phone: (602)956-8700 Fax: (602)956-8080

Email: schu@grayhawkcapital.us

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

Grayhawk Venture Fund II, L.P.

 

Sherman Chu

5050 N 40th Street.,Suite 380

Phoenix, AZ 85018

Phone: (602)956-8700 Fax: (602)956-8080

Email: schu@grayhawkcapital.us

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

Trinity Capital Fund II, L.P.

Steven L. Brown

2121 Chandler Boulevard., Suite 103

Chandler, AZ 85224

Phone: (480)374-5350 Fax: (480)247-5099

Email: sbic@trincapinvestment.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

 

SBIC Licensees Located in California

 

Alpine Investors IV SBIC, LP

Tara Genstil

Two Embarcadero Center, Suite 2320

San Francisco, CA 94111

Phone: (415)392-9100 Fax: (415)392-9101

Email: backoffice@alpine-investors.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $10,000,0

Preferred Max: $20,000,0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

Alpine Investors V SBIC, LP

Tara Genstil

Two Embarcadero Center, Suite 2320

San Francisco, CA 94111

Phone: (415)392-9100 Fax: (415)392-9101

Email: backoffice@alpine-investors.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

Avante Mezzanine Partners SBIC II, L.P.

Clifford A. Lyon

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: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

Avante Mezzanine Partners SBIC, L.P.

Clifford A. Lyon, Contact

11150 Santa Monica Boulevard

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: $6,000,00

Preferred Max: $10,000,0

 

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

 

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

 

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

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

Champlain Capital Partners II, L.P.

Dennis M. Leary, Contact

One Post Street

Suite 925

San Francisco, CA 94104

Phone: (415)288-4181 Fax: (415)362-3211

Email: dleary@champlaincapital.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

Champlain Capital Partners, L.P.

Dennis M. Leary, Contact

One Post Street

Suite 925

San Francisco, CA 94104

Phone: (415)661-2500 Fax: (415)362-3211

Email: dleary@champlaincapital.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

Hercules Technology II, L.P.

Andrew Olson, Contact

400 Hamilton Avenue, Suite 310

Palo Alto, CA 94301

Phone: (650)289-3072 Fax: (650)473-9194

Email: aolson@htgc.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

Hercules Technology III, LP

Andrew Olsonn, Contact

400 Hamilton Avenue, Suite 310

Palo Alto, CA 94301

Phone: (650)289-3072 Fax: (650)473-9194

Email: aolson@htgc.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

Invision Capital I, L.P.

26 Orange Blossom Circle, Suite 10

Ladera Ranch, CA 92694

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

Labrador Ventures V-B, L.P.

Sean Foote, Contact

535 Middlefield Road, Suite 190

Menlo Park, CA 94025

Phone: (650)366-6000 Fax: (650)366-6430

Email: lkubal@labrador.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

Levine Leichtman Capital Partners SBIC Fund, L.P.

Steve Hogan

335 North Maple Drive, Suite 130

Beverly Hills, CA 90210

Phone: (310)275-5335 Fax: (310)275-335

Email: shogan@llcp.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

 

Multiplier Capital, LP

Ray Boone

815 Moraga Drive

Los Angeles, CA 90049-

 

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

 

 

Norwest Strategic Capital, L.P.

Promod Haque

525 University Avenue, Suite 800

Palo Alto, CA 94301

Phone: (850)321-8000 Fax: N/A

Email: promod.haque@nvp.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

 

Pivotal Capital Fund, LP

 

Renee Baker

2882 Sand Hill Road, Suite 100

Menlo Park, CA 94025

Phone: (650)233-5402 Fax: (650)299-9494

Email: renee@pivotalcp.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

 

 

Rembrandt Venture Partners II, L.P.

 

Gerald S. Casilil, Contact

600 Montogomery Street

44th Floor

San Francisco, CA 94111-2819

Phone: (650)326-7070 Fax: (650)326-3780

Email: jcasilli@rembrandtvc.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

SBJ Fund, LP

 

Gus Spanos

1350 Treat Boulevard, Suite 400

Walnut Creek, CA 94597

Phone: (248)359-7394 Fax: (248)359-7700

Email: sbamessages@sbjcap.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

Shepherd Ventures II, L.P.

 

George C. Kenney, Contact

11722 Sorrento Valley Road

Suite G-2

San Diego, CA 92121

Phone: (858)509-4744 Fax: (858)509-3662

Email: tom@shepherdventures.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

Silver Lake Waterman Fund II, L.P.

 

Thomas Conneely

2775 Sand Hill Road, Suite 100

Menlo Park, CA 94025

Phone: (415)525-8705 Fax: (415)293-4365

Email: tom.conneely@silverlake.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

 

 

Silver Lake Waterman Fund, L.P.

 

Thomas Conneely, VP Operations

2775 Sand Hill Road

Suite 100

Menlo Park, CA 94025

Phone: (415)525-8705 Fax: (415)293-4365

Email: Tom.Conneely@SilverLake.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

St. Cloud Capital Partners III SBIC, LP

 

Kacy Rozelle

10866 Wilshire Boulevard, Suite 1450

Los Angeles, CA 90024

Phone: (310)475-2700 Fax: (310)475-0550

Email: krozelle@stcloudcapital.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

 

 

TCPC SBIC, LP

 

Rajneesh Vig

2051 28th Street, Suite 1000

Santa Monica, CA 90405

Phone: (310)566-1041 Fax: (310)899-4950

Email: Raj.Vig@TennenbaumCapital.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $10,000,0

Preferred Max: $20,000,0

 

TYPE OF CAPITAL PROVIDED

Senior secured loan: 60%

Senior secured debt: 35%

Equity: 5%

 

FUNDING STAGE PREFERENCE

Expansion 15%

Later Stage 50%

Change of Control 25%

Turnaround 10%

recap,turnaround,venture

 

INDUSTRY PREFERENCE

Tech 15%

Heathcare/life science 15%

Manufacturing 10%

Service 20%

Others 40%

 

GEOGRAPHIC PREFERENCES

West 25%

Northeast 15%

Midwest 15%

Southeast 15%

Mid-Atlantic 25%

 

DESCRIPTION OF FIRM'S FOCUS

Distressed opportunities in large companies

Target revenue: $50-$500M

Target EBITDA: $10-$100M

Target IRR (senior-debt):9%-13%

Debt loss: 1-2%

Averge deal size: $10M

 

 

Ticonderoga SBIC, L.P.

 

258 Hamilton Avenue, 3rd Floor

Palo Alto, CA 94301

 

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

 

Tregaron Opportunity Fund I, L.P.

 

Todd Collins, Contact

300 Hamilton Avenue, 4th Floor

Palo Alto, CA 94301

Phone: (650)403-2084 Fax: (650)618-2550

Email: collins@tregaroncapital.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

Tregaron Opportunity Fund II, L.P.

 

Todd Collins

300 Hamilton Avenue, 4th Floor

Palo Alto, CA 94301

Phone: (650)403-2084 Fax: (650)618-2550

Email: collins@tregaroncapital.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

Walden Venture Capital VIII SBIC, L.P.

 

Art Berliner

750 Battery Street, 7th Floor

San Francisco, CA 94111

Phone: (415)273-4242 Fax: (415)391-7262

Email: matt@waldenvc.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

 

SBIC Licensees Located in Colorado

 

There are no SBIC Licensees currently located in Colorado

 

SBIC Licensees Located in Connecticut

 

Balance Point Capital Partners II, L.P.

 

Seth W. Alvord

285 Riverside Avenue, Suite 200

Westport, CT 06880

Phone: (203)652-8255 Fax: (203)716-9828

Email: salvord@balancepointcapital.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

 

Balance Point Capital Partners, L.P.

 

Seth W. Alvord, Contact

285 Riverside Avenue, Suite 200

Westport, CT 06880

Phone: (203)652-8255 Fax: (203)716-9828

Email: salvord@balancepointcapital.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

 

 

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: csclar@brooksidemp.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $4,000,00

Preferred Max: $15,000,0

 

TYPE OF CAPITAL PROVIDED

Mezzanine

 

FUNDING STAGE PREFERENCE

Later; revenues over

$15,000,000.

 

INDUSTRY PREFERENCE

None

 

GEOGRAPHIC PREFERENCES

United States

 

DESCRIPTION OF FIRM'S FOCUS

The firm takes a long-term partnership based

approach to our mezzanine investments. We

focus on middle market manufacturing,

businesses services, consumer products and

healthcare companies nationwide.

 

 

Brookside Mezzanine Fund III, L.P.

 

David D. Buttolph

201 Tresser Boulevard, Suite 330

Stamford, CT 06901-3435

Phone: (203)595-4530 Fax: (203)618-0984

Email: csclar@brooksidemp.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

 

 

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: csclar@brooksidemp.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $3,000,00

Preferred Max: $6,500,00

 

TYPE OF CAPITAL PROVIDED

Subordinated Debt

 

FUNDING STAGE PREFERENCE

Acquisition

Expansion

Recapitalizations

MBO

 

INDUSTRY PREFERENCE

Manufacturing

Service

Value-Added Distribution

 

GEOGRAPHIC PREFERENCES

National

 

DESCRIPTION OF FIRM'S FOCUS

Provides subordinated debt investments to

profitable later-stage companies.

 

 

Equinox Capital SBIC, L.P.

 

Steven C. Rodger, Contact

41 West Putnam Avenue

Greenwich, CT 06830

Phone: (203)622-1605 Fax: (203)622-4684

Email: scr@equinoxcapitalinc.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

Fifth Street Mezzanine Partners IV, L.P.

 

Bernie Berman, Contact

777 West Putnam Ave., 3rd Floor

Greenwich, CT 06830

Phone: (203)681-3636 Fax: (203)681-3879

Email: SBIC@fifthstreetfinance.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $10,000,0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

First Lien Debt, One-Stop

Financing, Second Lien Debt,

Mezzanine Debt

 

FUNDING STAGE PREFERENCE

Acquisition, Later Stage

 

INDUSTRY PREFERENCE

Healthcare, Software & Tech.,

Industrials, Business Services,

Consumer Products, Retail,

Food & Restaurants, Marketing,

Services, Areospace & Defense.

 

GEOGRAPHIC PREFERENCES

United States

 

DESCRIPTION OF FIRM'S FOCUS

Provides custom-tailored financing solutions

to middle market companies, primarily in

connection with investments by private

equity sponsors. Target companies have

positive EBITDA and a scalable business

model.

 

 

Fifth Street Mezzanine Partners V, L.P.

 

Leonard Tannenbaum, Contact

777 West Putnam Ave., 3rd Floor

Greenwich, CT 06830

Phone: (203)681-3636 Fax: (203)681-3879

Email: SBIC@fifthstreetfinance.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $10,000,0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

First Lien Debt, One-Stop

Financing, Second Lien Debt,

Mezzanine Debt.

 

FUNDING STAGE PREFERENCE

Acquisition, Later Stage

 

INDUSTRY PREFERENCE

Healthcare, Software & Tech.,

Industrials, Business Services,

Consumer Products, Retail,

Food & Restaurants, Marketing

Services, Aerospace & Defense.

 

GEOGRAPHIC PREFERENCES

United States

 

DESCRIPTION OF FIRM'S FOCUS

Provides custom-tailored financing solutions

to middle market companies, primarily in

connection with investments by private

equity sponsors. Target companies have

positive EBITDA and a scalable business

model.

 

 

First New England Capital III, L.P.

 

Richard C. Klaffky, President

8 Church Lane, Suite 200

Westport, CT 06880

Phone: (203)652-8250 Fax: (203)716-9828

Email: rklaffky@fnec.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

First New England Capital, LP

 

Richard C. Klaffky, President

100 Pearl Street

Hartford, CT 06103

Phone: (860)293-3333 Fax: (860)293-3338

Email: rklaffky@fnec.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $500,000

Preferred Max: $1,000,00

 

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.

 

 

GarMark SBIC Fund, L.P.

 

E. Garrett Bewkes

One Landmark Square, Floor 6

Stamford, CT 06901

Phone: (203)325-8500 Fax: (203)325-8522

Email: egbewkes@garmark.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

Ironwood 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: $5,000,00

Preferred Max: $10,000,0

 

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

 

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

 

MSR I SBIC, L.P.

 

Daniel A. Levinson

325 Lafayette Street, Unit 9101

Bridgeport, CT 06604

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

 

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

 

New Canaan Funding Mezzanine VI 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

 

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

 

 

Small Business Community Capital II, L.P.

 

Jay C. Garcia

680 Washington Blvd., 10th Floor

Stamford, CT 06901

Phone: (646)206-3284 Fax: (646)219-4175

Email: jgarcia@sbccfund.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

 

Southfield Mezzanine Capital LP

 

Steven A. Axel

53 Greenwich Avenue, 2nd Floor

Greenwich, CT 06830

Phone: (203)813-4100 Fax: (203)813-4141

Email: saxed@southfieldcapital.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

<

SBIC Licensees Located in District of Columbia

 

Core Capital Partners II-S, L.P.

 

William Dunbar, Contact

1717 K Street, NW

Suite 920

Washington, DC 20006

Phone: (202)589-0090 Fax: (202)589-0091

Email: rklueger@core-capital.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

McLarty Capital Partners SBIC, L.P.

 

Christopher D. Smith

900 Seventeenth Street, NW, Suite 800

Washington, DC 20006

Phone: (202)419-7098 Fax: (202)419-1421

Email: SBA@mclartycapital.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

 

SBIC Licensees Located in Delaware

 

There are no SBIC Licensees currently located in Delaware

 

SBIC Licensees Located in Florida

 

Ballast Point Ventures III, L.P.

 

Paul Johan

401 East Jackson Street

Suite 2300

Tampa, FL 33602

Phone: (813)906-8500 Fax: (813)906-8514

Email: pjohan@ballastpointventures.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

Banyan Mezzanine Fund II, L.P.

 

John A. Miller, Contact

1111 Brickell Avenue, Suite 1300

Miami, FL 33131

Phone: (305)755-0376 Fax: (305)755-0377

Email: jmiller@banyanmezzanine.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

Banyan Mezzanine Fund, L.P.

 

John A. Miller, Contact

1111 Brickell Avenue, Suite 1300

Miami, FL 33131

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 II, L.P.

 

David Reed

712 South Oregon Avenue, Suite 200

Tampa, FL 33606-

Phone: (813)202-8128 Fax: (813)835-4197

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

KLH Capital Fund II, L.P.

 

James B. Darnell, Contact

601 Bayshore Boulevard., Suite 850

Tampa, FL 33606

Phone: (813)222-0160 Fax: (813)222-0161

Email: chris@klhcapital.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

 

Penta Mezzanine SBIC Fund I, L.P.

 

Rebecca Irish - Managing Principal/CFO

20 North Orange Avenue, Suite 1550

Orlando, FL 32801

Phone: (407)648-5097 Fax: (407)641-9286

Email: rirish@pentamezz.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

Stonehenge Growth Equity Fund, L.P.

 

Steven F. Lux

707 West Azeele Street

Tampa, FL 33606

Phone: (813)221-8302 Fax: (813)221-6453

Email: sflux@stonehengegc.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

 

 

SBIC Licensees Located in Georgia

 

 

Chatham SBIC Fund IV, L.P.

 

Brian G. Reynolds

400 Galleria Parkway, Suite 1950

Atlanta, GA 30339

Phone: (770)618-2100 Fax: (770)618-2101

Email: br@chathamcapital.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

 

Chatham SBIC Fund QP IV, L.P.

 

Brian G. Reynolds

400 Galleria Parkway, Suite 1950

Atlanta, GA 30339

Phone: (770)618-2100 Fax: (770)618-2101

Email: tk@chathamcapital.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

 

 

Noro-Moseley Partners SBIC, LP

 

William L. Hudson

3284 Northside Parkway NW

Suite 525

Atlanta, GA 30327

Phone: (404)233-1966 Fax: (404)239-9280

Email: whudson@noromoseley.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

 

 

Peachtree II, L.P.

 

David Christopher, Contact

1230 Peachtree Street NE

Suite 1900

Atlanta, GA 30309

Phone: (404)870-8900 Fax: (404)870-8905

Email: david@peachtreeequity.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $3,000,00

Preferred Max: $10,000,0

 

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

1225 Johnson Ferry Road

Regency Park, Suite 630-A

Marietta, GA 30068

Phone: (770)790-5034 Fax: (770)790-5104

Email: swhite@salemhalifax.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $2,000,00

Preferred Max: $10,000,0

 

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

5665 New Northside Drive

Suite 500

Atlanta, GA 30328

Phone: (678)909-4660

Email: Chris@thewhiteoakgroup.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $1,000,00

Preferred Max: $10,000,0

 

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.

 

SBIC Licensees Located in Guam

 

 

There are no SBIC Licensees currently located in Guam

 

SBIC Licensees Located in Hawaii

 

There are no SBIC Licensees currently located in Hawaii

 

SBIC Licensees Located in Iowa

 

AAVIN Equity Partners I, L.P.

 

James D. Thorpe, Contact

1245 First Avenue SE,

Cedar Rapids, IA 52402

Phone: (319)247-1072 Fax: (319)363-9519

Email: jthorp@aavin.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $500,000

Preferred Max: $3,000,00

 

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

Other

 

 

AAVIN Mezzanine Fund, LP

 

James D. Thorp

1245 First Avenue SE

Cedar Rapids, IA 52402

Phone: (319)247-1072 Fax: (319)363-9519

Email: gmilroy@aavin.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

Lewis & Clark Private Equities, L.P.

 

David R. Schroder, Contact

3349 Southgate Court SW Suite 102

Cedar Rapids, IA 52404

Phone: (319)363-8249 Fax: (319)363-9683

Email: mbenge@investam.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $500,000

Preferred Max: $2,500,00

 

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.

 

SBIC Licensees Located in Idaho

 

There are no SBIC Licensees currently located in Idaho

 

SBIC Licensees Located in Illinois

 

Aldine Capital Fund II, L.P.

 

Michael J. Revord

30 West Monroe Street, Suite 710

Chicago, IL 60603

Phone: (312)346-3950 Fax: (312)346-3930

Email: mrevord@aldinecapital.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

 

 

Aldine SBIC Fund, L.P.

 

Albert L. Brahm, Contact

30 West Monroe Street

Suite 710

Chicago, IL 60603

Phone: (312)346-3950 Fax: (312)346-3930

Email: bbrahm@aldinecapital.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $2,000,00

Preferred Max: $8,000,00

 

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

focus

 

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

 

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

 

 

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: $40,000,0

Preferred Max: $150,000,

 

TYPE OF CAPITAL PROVIDED

Equity

Sub. Debt w/Warrants

 

FUNDING STAGE PREFERENCE

Later Stage

Expansion

MBO

LBO

Acquisition

 

INDUSTRY PREFERENCE

Healthcare, Information

Technology, Media &

Entertainment, Retail, Energy

Telecommunications, Power

Financial Services, Industrials

 

GEOGRAPHIC PREFERENCES

National

 

DESCRIPTION OF FIRM'S FOCUS

Invests in middle market companies as well

as smaller, higher growth firms in a broad

array of industries. Provide venture &

risk capital for growth financings,

buyouts, acquisitions, recapitalizations &

other situations requiring equity.

 

 

Banc of America Capital Investors SBIC, L.P.

 

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: $40,000,0

Preferred Max: $150,000,

 

TYPE OF CAPITAL PROVIDED

Equity

Sub. Debt w/Warrants

 

FUNDING STAGE PREFERENCE

Later Stage

Expansion

MBO

LBO

Acquisition

 

INDUSTRY PREFERENCE

Healthcare, Information

Technology, Media &

Entertainment, Retail, Energy

Telecommunications, Power

Financial Services, Industrials

 

GEOGRAPHIC PREFERENCES

National

 

DESCRIPTION OF FIRM'S FOCUS

Invests in middle market companies as well

as small, higher growth firms in a broad

array of industries. Provide venture & risk

capital for growth financings, buyouts,

acquisitions, recapitalizations and other

situations requiring equity.

 

 

BancBoston Ventures, Incorporated

 

Gregory Costigan

135 S. LaSalle Street, 8th Floor

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: $1,000,00

Preferred Max: $20,000,0

 

TYPE OF CAPITAL PROVIDED

Equity

Mezzanine

 

FUNDING STAGE PREFERENCE

Early Stage

Expansion

Later Stage

 

INDUSTRY PREFERENCE

Healthcare

Media

Communications

Information Technology

Diversified

 

GEOGRAPHIC PREFERENCES

National

 

DESCRIPTION OF FIRM'S FOCUS

 

 

CapX Fund IV, L.P.

 

Jeffry S. Pfeffer, Contact

155 N. Wacker Drive, Suite 1760

Chicago, IL 60606

Phone: (312)629-2878 Fax: (312)629-2874

Email: jspfeffer@capxpartners.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

 

CFB Venture Fund L.P.

 

Dan W. O' Connell

120 S. Riverside, Suite 2160

Chicago, IL 60606

Phone: (312)466-9276 Fax: (312)466-9278

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

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: $2,000,00

Preferred Max: $5,000,00

 

TYPE OF CAPITAL PROVIDED

Equity

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

Medical Technology

 

GEOGRAPHIC PREFERENCES

National

 

DESCRIPTION OF FIRM'S FOCUS

 

Dunrath Capital Infrastructure Surety Fund, L.P.

 

John Abernethy, Contact

701 Harger Road

Suite 150

Oak Brook, IL 60523

Phone: (312)546-4700 Fax: (312)386-9454

Email: steve@dunrath.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

 

 

Fidus Mezzanine Capital II, L.P.

 

Edward H. Ross, Contact

1603 Orrington Avenue, Suite 1005

Evanston, IL 60201

Phone: (847)859-3941 Fax: (847)859-3953

Email: eross@fidusinv.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

 

 

Fidus Mezzanine Capital, L.P.

 

Edward H. Ross, Contact

1603 Orrington Avenue, Suite 1005

Evanston, IL 60201

Phone: (847)859-3940 Fax: (847)859-3953

Email: eross@fiduspartners.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $4,000,00

Preferred Max: $15,000,0

 

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.

 

 

Freeport Financial SBIC Fund LP

 

Joseph V. Walker

200 South Wacker Drive

Suite 750

Chicago, IL 60606

Phone: (312)281-4609 Fax: (312)589-3002

Email: jwalker@freeportfinancial.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

 

 

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: $4,000,00

Preferred Max: $6,000,00

 

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

150 North Wacker Drive, Suite 2420

Chicago, IL 60606

Phone: (312)423-2650 Fax: (312)267-2861

Email: joe@highstreetcapital.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $3,000,00

Preferred Max: $10,000,0

 

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.

 

 

Invision Capital I, L.P.

 

Robert J. Castillo, Contact

225 W. Washington Street, Suite 1155

Chicago, IL 60606

Phone: (312)236-4600 Fax: (312)893-3841

Email: rcastillo@invisioncapitalgroup.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

LaSalle Capital Group II-A, L.P.

 

Andrew Shackelford, Contact

70 W Madison Street, Suite 5710

Chicago, IL 60602-4370

Phone: (312)236-7041 Fax: (312)236-0720

Email: ashackelford@lasallecapitalgroup.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

 

 

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

 

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

 

MidWest Mezzanine Fund V SBIC, L.P.

 

Paul Kreie

55 W. Monroe Avenue, Suite 3650

Chicago, IL 60603

Phone: (312)291-7303 Fax: (312)345-0665

Email: pkreie@mmfcapital.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

 

 

MK Capital SBIC, L.P.

 

Bret R. Maxwell, Contact

40 Skokie Boulevard, Suite 430

Northbrook, IL 60062

Phone: (312)324-7703 Fax: (312)324-7713

Email: bmaxwell@mkcapital.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

Monroe Capital Corporation SBIC, LP

 

Ted Koenig, Contact

311 S. Wacker Drive, Suite 6400

Chicago, IL 60606

Phone: (312)523-2360 Fax: (312)258-8350

Email: djacobson@monroecap.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

 

 

Monroe Capital Partners Fund II, LP

 

Ted Koenig, Contact

311 S. Wacker Drive, Suite 6400

Chicago, IL 60606

Phone: (312)523-2360 Fax: (312)258-8350

Email: zuddin@monroecap.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

 

Monroe Capital Partners Fund LP

 

Ted Koenig, Contact

311 S. Wacker Drive, Suite 6400

Chicago, IL 60606-6710

Phone: (312)523-2360 Fax: (312)258-8350

Email: tkoenig@monroecap.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

 

 

Prism Mezzanine Fund SBIC, L.P.

 

Robert Finkel, Contact

444 N. Michigan Avenue, Suite 1820

Chicago, IL 60611

Phone: (312)464-7900 Fax: (312)464-7915

Email: robert@prismfund.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

 

 

Vogen Funding, L.P.

 

Jeffry S. Pfeffer, Contact

155 N. Wacker Drive, Suite 1760

Chicago, IL 60606

Phone: (312)629-2878 Fax: (312)629-2874

Email: jspfeffer@capxpartners.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $2,000,00

Preferred Max: $10,000,0

 

TYPE OF CAPITAL PROVIDED

Equipment Leases

Loans

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

 

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

 

SBIC Licensees Located in Indiana

 

1st Source Capital Corporation

 

Andrea Short, SVP and CFO

4th Floor

South Bend, IN 46634

Phone: (574)235-2416 Fax: (574)235-2227

Email: shorta@1stsource.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $300,000

Preferred Max: $600,000

 

TYPE OF CAPITAL PROVIDED

Equity

Debt with Equity

 

FUNDING STAGE PREFERENCE

Later Stage

Expansion

Acquisitions

MBO

 

INDUSTRY PREFERENCE

Diversified

 

GEOGRAPHIC PREFERENCES

Midwest

 

DESCRIPTION OF FIRM'S FOCUS

Financings sought include second/third stage

financings for companies with significant

growth potential, acquisitions, management

buyouts, and transfers of ownership.

Of primary interest are companies involved

in manufacturing, sales or distribution.

 

 

Cambridge Ventures, LP

 

Ms. Jean Wojtowicz, President

4181 East 96th Street

Suite 200

Indianapolis, IN 46240

Phone: (317)814-6192 Fax: (317)844-9815

Email: jwojtowicz@cambridgecapitalmgmt.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $100,000

Preferred Max: $1,000,00

 

TYPE OF CAPITAL PROVIDED

Subordinate Debt

Equity

Debt

 

FUNDING STAGE PREFERENCE

Expansion

Acquisition

MBO

 

INDUSTRY PREFERENCE

Diversified

Manufacturing

 

GEOGRAPHIC PREFERENCES

Within 200 miles of IN

 

DESCRIPTION OF FIRM'S FOCUS

Prefers to invest in companies that are

cash flow positive, in need of growth,

expansion or acquisition capital.

 

 

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

 

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

 

Centerfield Capital Partners, L.P.

 

D. Scott Lutzke, Contact

3030 Market Tower

10 West Market Street

Indianapolis, IN 46204

Phone: (317)237-2323 Fax: (317)237-2325

Email: SCOTT@centerfieldcapital.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

SBIC Licensees Located in Kansas

 

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: $1,000,00

Preferred Max: $3,000,00

 

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

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

MidStates Capital Fund III, L.P.

 

Tim Keeble

7300 West 110th Street, 7th Floor

Overland Park, KS 66210

Phone: (913)962-9007 Fax: (913)962-0699

Email: timk@midstatescap.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

SBIC Licensees Located in Kentucky

 

Mountain Ventures, Inc.

 

L. Ray Moncrief, President

362 Old Whitley Road, P.O. Box 1738

London, KY 40743

Phone: (606)864-5175 Fax: (606)864-5194

Email: BMcDaniel@khic.org

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $100,000

Preferred Max: $350,000

 

TYPE OF CAPITAL PROVIDED

Loan

Debt

Equity

 

FUNDING STAGE PREFERENCE

Seed

Early

Expansion

Later Stages

 

INDUSTRY PREFERENCE

Diversified

 

GEOGRAPHIC PREFERENCES

Southeast Kentucky

 

DESCRIPTION OF FIRM'S FOCUS

Prefers to invest in firms to be located

in Eastern Kentucky.

 

SBIC Licensees Located in Louisiana

 

Jefferson Capital Partners II, LP

 

Francis T. Cazayoux, Jr.

#5 Sanctuary Boulevard, Suite 103

Mandeville, LA 70471

Phone: (985)727-7232 Fax: (985)727-7213

Email: pgiffin@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

 

Max Vorhoff, Contact

111 Veterans Boulevard., Suite 1020

Metairie, LA 70005

Phone: (504)293-3610 Fax: (504)293-3636

Email: mvorhoff@lvcpartners.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $6,500,00

Preferred Max: $6,500,00

 

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+

 

SBIC Licensees Located in Massachusetts

 

Crescent Direct Lending SBIC Fund, L.P.

 

John Bowman

100 Federal Street, 31st Floor

Boston, MA 02111

Phone: (617)854-1501 Fax: (617)854-1550

Email: john.bowman@crescentcap.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

 

Crystal Financial SBIC LP

 

Ward K. Mooney

Two International Place, 17th Floor

Boston, MA 02110

Phone: (617)428-8700 Fax: (617)428-8701

Email: colin@crystalsbic.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

LTV(Loan to value): A/R - 90%

Machinery - 70%

Real estate - 60%

Sourece of repayment: borwoing power(revolve

cash balance, collateral

 

 

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

 

TYPE OF CAPITAL PROVIDED

N/A

 

FUNDING STAGE PREFERENCE

N/A

 

INDUSTRY PREFERENCE

N/A

 

GEOGRAPHIC PREFERENCES

N/A

 

DESCRIPTION OF FIRM'S FOCUS

This fund is no longer investing in new

portfolio companies.

 

Gemini Investors III, L.P.

 

David F. Millet, Contact

20 William Street, Suite 250

Wellesley, MA 02481

Phone: (781)237-7001 Fax: (781)237-7233

Email: mkeis@gemini-investors.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

Gemini Investors IV, L.P.

 

Matt Keis, Contact

20 William Street, Suite 250

Wellesley, MA 02481

Phone: (781)237-7001 Fax: (781)237-7233

Email: mkeis@gemini-investors.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

Gemini Investors V, L.P.

 

Matthew E. Keis, Contact

20 William Street, Suite 250

Wellesley, MA 02481

Phone: (781)237-7001 Fax: (781)237-7233

Email: mkeis@gemini-investors.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

Gemini Investors VI, L.P.

 

Matthew Keis

20 William Street, Suite 250

Wellesley, MA 02481

Phone: (781)237-7001 Fax: (781)237-7233

Email: mkeis@gemini-investors.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

High Peaks Seed Ventures, L.P.

 

Russell Howard, Contact

Primary Venture Partners

One Bank Street, 2nd Floor

Williamstown, MA 01267

Phone: (518)720-3090 Fax: (518)720-3091

Email: Russ@HPVP.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

High Peaks Ventures, L.P.

 

Russell Howard, Contact

Primary Venture Partners

One Bank Street, 2nd Floor

Williamstown, MA 01267

Phone: (518)720-3090 Fax: (518)720-3091

Email: Russ@HPVP.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $750,000

Preferred Max: $3,000,00

 

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.

 

 

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: $2,500,00

 

TYPE OF CAPITAL PROVIDED

Private Equity

 

FUNDING STAGE PREFERENCE

Seed

Early Stage

 

INDUSTRY PREFERENCE

Biomedical

 

GEOGRAPHIC PREFERENCES

Northeast US

 

DESCRIPTION OF FIRM'S FOCUS

Invest primarily in medical device, drug

discovery, bioinformatics companies.

 

Lineage Capital II, L.P.

 

T. Brook Parker

399 Boylston Street, Suite 450

Boston, MA 02116

Phone: (617)778-0672 Fax: (617)778-0659

Email: sba@lineagecap.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

 

 

Long River Ventures III, L.P.

 

Tripp Peake

7 North Pleasant Street, Suite 2C

Amherst, MA 01002

Phone: (413)587-2155 Fax: (413)587-2156

Email: tpeake@longriverventures.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

 

Pine Street Capital Partners II, L.P.

 

David Morris

572 Washington Street

The Rotunda Building, Wuite 16

Wellesley, MA 12207-

Phone: (781)237-0005

 

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

 

 

PVP Fund I, L.P.

 

Russell Howard

Primary Venture Partners

One Bank Street, 2nd Floor

Williamstown, MA 01267

Phone: (518)720-3090 Fax: (518)720-3091

Email: russ@primary.vc

 

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

 

Seacoast Capital Partners II, L.P.

 

Thomas Gorman, Contact

55 Ferncroft Road, Suite 110

Danvers, MA 01923

Phone: (978)750-1311 Fax: (978)750-1301

Email: tgorman@seacoastcapital.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

Seacoast Capital Partners III, L.P.

 

Thomas Gorman, Contact

55 Ferncroft Road, Suite 110

Danvers, MA 01923

Phone: (978)750-1311 Fax: (978)750-1301

Email: tgorman@seacoastcapital.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

SEED Ventures, L.P.

 

Thomas Wooters, Contact

80 Dean Street

Taunton, MA 02780

Phone: (508)822-1020 Fax: (508)880-7869

Email: tom@seedvf.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $100,000

Preferred Max: $1,250,00

 

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

 

 

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

 

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

 

SBIC Licensees Located in Maryland

 

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

 

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

 

Legg Mason SBIC Mezzanine Fund, L.P.

 

Andrew L. John, Contact

2330 W. Joppa Road, Suite 320

Lutherville, MD 21093

Phone: (443)573-3700 Fax: (443)573-3703

Email: ajohn@cscp.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

Multiplier Capital, LP

 

Kevin P. Sheehan

2 Wisconsin Circle, Suite 700

Chevy Chase, MD 20815

Phone: (240)235-5062 Fax: (240)345-1004

Email: sheehan@multipliercapital.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

Patriot Capital II, L.P.

 

Chris Royston, Contact

509 South Exeter Street

Suite 210

Baltimore, MD 21202

Phone: (443)573-3010 Fax: (443)573-3020

Email: croyston@patriot-capital.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

Patriot Capital III SBIC, L.P.

 

Chris M. Royston, Contact

509 South Exeter Street

Suite 210

Baltimore, MD 21202

Phone: (443)573-3010 Fax: (443)573-3020

Email: croyston@patriot-capital.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

Patriot Capital, L.P.

 

Chris M. Royston, Contact

509 South Exeter Street

Suite 210

Baltimore, MD 21202

Phone: (443)573-3010 Fax: (443)573-3020

Email: croyston@patriot-capital.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

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

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

Spring Capital Partners II, L.P.

 

Robert M. Stewart, Contact

The Foxleigh Building, Suite 340

2330 W. Joppa Road

Lutherville, MD 21093

Phone: (410)685-8000 Fax: (410)545-0015

Email: rms@springcap.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

Spring Capital Partners III, L.P.

 

Robert M. Stewart

The Foxleigh Building, Suite 340

2330 W. Joppa Road

Lutherville, MD 21093

Phone: (410)685-8000 Fax: (410)545-0015

Email: rms@springcap.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

SBIC Licensees Located in Maine

 

North Atlantic SBIC IV, L.P.

 

Kimberley A. Niles, CFO

Two City Center, 5th Floor

Portland, ME 04101

Phone: (207)772-4470 Fax: (207)772-3257

Email: kniles@northatlanticcapital.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

North Atlantic Venture Fund V, L.P.

 

Cheryl Hallett

Two City Center, 5th Floor

Portland, ME 04101

Phone: (207)772-4470 Fax: (207)772-3257

Email: challett@northatlanticcapital.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

SBIC Licensees Located in Michigan

 

 

Dearborn Capital Corp. (SSBIC)

 

Paul Rau

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: $1,000,00

 

TYPE OF CAPITAL PROVIDED

Loans

 

FUNDING STAGE PREFERENCE

Expansion

Later Stage

LBO

Acquisition

 

INDUSTRY PREFERENCE

Automotive

 

GEOGRAPHIC PREFERENCES

National

 

DESCRIPTION OF FIRM'S FOCUS

Provides financial and management

assistance to minority-owned businesses

that are suppliers of Ford Motor Company.

 

 

EDF Ventures II, L.P.

 

Mary Campbell, Contact

425 North Main Street

Ann Arbor, MI 48104-1147

Phone: (734)663-3213 Fax: (734)663-7358

Email: fingerle@edfvc.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min:

Preferred Max:

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

SBIC Licensees Located in Minnesota

 

AAVIN Equity Partners I, L.P.

 

Daryl Erdman

2500 Rand Tower

Minneapolis, MN 55402

Phone: (602)375-9966 Fax: (319)363-9519

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

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: $6,000,00

Preferred Max: $10,000,0

 

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 LP

 

Shane Slominski, Contact

301 Carlson Parkway, Suite 325

Minnetonka, MN 55305

Phone: (952)345-2032 Fax: (952)345-2001

Email: sslominski@tonkabayequity.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

 

 

Convergent Capital Partners II, L.P.

 

Keith Bares, Contact

505 N. Highway 169, Suite 175

Minneapolis, MN 55441

Phone: (763)432-4081 Fax: (763)432-4085

Email: kbares@cvcap.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $2,000,00

Preferred Max: $8,000,00

 

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.

 

 

Convergent Capital Partners III, L.P.

 

Keith Bares

505 N. Highway 169, Suite 175

Minneapolis, MN 55441

Phone: (763)432-4081 Fax: (763)432-4085

Email: kbares@cvcap.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

GMB Mezzanine Capital 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

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

GMB Mezzanine Capital III, L.P.

 

Carleton L. Olmanson

50 South Sixth Street, Suite 1460

Minneapolis, MN 55402

Phone: (612)243-4405 Fax: (612)243-4446

Email: colmanson@gmbmezz.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

GMB Mezzanine Capital, L.P.

 

Tom Kreimer, CFO

50 South Sixth Street, Suite 1460

Minneapolis, MN 55402

Phone: (612)243-4415 Fax: (612)243-4446

Email: tkreimer@gmbmezz.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $3,000,00

Preferred Max: $13,000,0

 

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.

 

 

LFE Growth Fund III, LP

 

Leslie Frecon

319 Barry Avenue South

Suite 215

Wayzata, MN 55391

Phone: (612)752-1801 Fax: (612)752-1800

Email: lfrecon@lfecapital.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

 

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@marquettecapital.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

Medallion Capital, Inc.

 

Dean Pickerell

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: $1,000,00

Preferred Max: $5,000,00

 

TYPE OF CAPITAL PROVIDED

Senior Debt

Subordinated Debt

 

FUNDING STAGE PREFERENCE

Acquisition

MBO

Later Stage

 

INDUSTRY PREFERENCE

Communications

Technology

Manufacturing

Services

 

GEOGRAPHIC PREFERENCES

Midwest

National

 

DESCRIPTION OF FIRM'S FOCUS

Private Equity-Sponsored buyouts.

 

 

Spell Capital Mezzanine Partners SBIC, LP

 

Andrew P. Leonard

222 South Ninth Street, Suite 2880

Minneapolis, MN 55402

Phone: (612)371-9650 Fax: (612)371-9651

Email: andrea@spellcapital.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

 

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

 

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

 

SBIC Licensees Located in Missouri

 

C3 Capital Partners II, L.P.

 

Patrick F. Healy, Contact

1511 Baltimore Ave

Suite 500

Kansas City, MO 64108

Phone: (816)756-2225 Fax: (816)756-5552

Email: phealy@C3cap.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $3,000,00

Preferred Max: $10,000,0

 

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

1511 Baltimore Ave

Suite 500

Suite 500

Kansas City, MO 64108

Phone: (816)756-2225 Fax: (816)756-5552

Email: phealy@C3cap.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

 

 

C3 Capital Partners, LP

 

Patrick F. Healy and Mikala January

1511 Baltimore Avenue

Suite 500

Kansas City, MO 64108

Phone: (816)756-2225 Fax: (816)756-5552

Email: phealy@C3cap.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $3,000,00

Preferred Max: $10,000,0

 

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 L.P.

 

Greg L. Gaeddert

1000 Walnut, 18th Floor

Kansas City, MO 64106

Phone: (816)234-2357 Fax: (816)234-2952

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

CFB Venture Fund L.P.

 

Stephen B. Brown, Managing Partner

11 South Meramec, Suite 1430

Saint Louis, MO 63105

Phone: (314)746-7427 Fax: (314)746-8739

Email: Bill.Witzofsky@capitalforbusiness.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min:

Preferred Max:

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

FULLY INVESTED

 

 

Eagle Fund I, L.P.

 

Megan Munson, CFO

1 N. Brentwood, Suite 1550

Saint Louis, MO 63105

Phone: (314)754-1400 Fax: (314)754-1430

Email: bmg@bushodonnell.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min:

Preferred Max:

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

Eagle Fund II, L.P.

 

Megan Macheca, CFO

1 N. Brentwood, Suite 1550

Saint Louis, MO 63105

Phone: (314)754-1400 Fax: (314)754-1430

Email: mmacheca@eagleprivatecapital.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

 

 

Eagle Fund III, L.P.

 

Megan Macheca, CFO

1 N. Brentwood, Suite 1550

Saint Louis, MO 63105

Phone: (314)754-1400 Fax: (314)754-1430

Email: mmacheca@eagleprivatecapital.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

 

Eagle Fund III-A, L.P.

 

Megan Munson, CFO

1 N. Brentwood, Suite 1550

Saint Louis, MO 63105

Phone: (314)754-1400 Fax: (314)154-1430

Email: bmg@bushodonnell.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

RiverVest Venture Fund I, L.P.

 

Thomas C. Melzer, Contact

101 S. Hanley Road, Suite 1850

Saint Louis, MO 63105

Phone: (314)726-6700 Fax: (314)726-6715

Email: mslavich@rivervest.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

UMB Capital Corporation, Inc.

 

Christian P. Roth, Manager

1010 Grand Boulevard

Mail Stop 1020204

Kansas City, MO 64106

Phone: (816)860-4871 Fax: (816)860-7143

Email: christian.roth@umb.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min:

Preferred Max: $500,000

 

TYPE OF CAPITAL PROVIDED

Loans

Equity

Debt w/Equity

 

FUNDING STAGE PREFERENCE

Later Stage

 

INDUSTRY PREFERENCE

Manufacturing

 

GEOGRAPHIC PREFERENCES

Midwest

 

DESCRIPTION OF FIRM'S FOCUS

 

SBIC Licensees Located in Mississippi

 

There are no SBIC Licensees currently located in Mississippi

 

SBIC Licensees Located in Montana

 

There are no SBIC Licensees currently located in Montana

 

SBIC Licensees Located in North Carolina

 

 

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: dtownsend@fivepointscapital.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $5,000,00

Preferred Max: $15,000,0

 

TYPE OF CAPITAL PROVIDED

Equity

 

FUNDING STAGE PREFERENCE

Buyout

Acquisitions

MBO

Recapitalization

Consolidation

 

INDUSTRY PREFERENCE

Cash flow-oriented busi-

nesses w/critical mass in any

industry except high tech.,

real estate and financial

services.

 

GEOGRAPHIC PREFERENCES

National

 

DESCRIPTION OF FIRM'S FOCUS

Seeks to invest in companies w/experienced

management, a demonstrated need for the

company's products or services, and sus-

tainable competitive advantages allowing for

profitable growth both organically and thru

strategic acquisitions.

 

 

BB&T Capital Partners 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: dtownsend@fivepointscapital.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

 

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: dtownsend@fivepointscapital.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min:

Preferred Max:

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

No longer seeking new investments.

 

 

BB&T Capital Partners/Windsor Mezzanine Fund, LLC

 

David Townsend

101 N. Cherry Street, Suite 700

Winston-Salem, NC 27101-4019

Phone: (336)733-0355 Fax: (336)733-0349

Email: dtownsend@fivepointscapital.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $5,000,00

Preferred Max: $15,000,0

 

TYPE OF CAPITAL PROVIDED

Subordinated debt (with/with-

out warrants) Equity co-invest

-ments w/subordinated debt.

 

FUNDING STAGE PREFERENCE

Buyout

Acquisitions

MBO

Recapitalization

Consolidation

 

INDUSTRY PREFERENCE

Cash flow-oriented busi-

ness w/critical mass in any

industry except high tech-

nology, real estate and

financial services.

 

GEOGRAPHIC PREFERENCES

National

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 II, L.P.

 

Jack McGlinn

2530 Meridian Parkway, Suite 200

Research Triangle Park

Durham, NC 27713

Phone: (919)806-4590 Fax: (866)801-6581

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

CapitalSouth Partners Fund II, L.P.

 

Joseph B. Alala, Contact

The Rotunda Building

4201 Congress Street - Suite 360

Charlotte, NC 28209

Phone: (704)376-5502 Fax: (704)376-5877

Email: LGirts@capitalagroup.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

CapitalSouth Partners SBIC Fund III, L.P.

 

Joseph B. Alala, Contact

The Rotunda Building

4201 Congress Street - Suite 360

Charlotte, NC 28209

Phone: (704)376-5502 Fax: (704)376-5877

Email: LGirts@capitalagroup.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

CapitalSouth SBIC Fund IV, 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: LGirts@capitalagroup.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

Frontier Fund I, L.P.

 

Lori Shell, Contact

1111 Metropolitan Avenue

Suite 1050

Charlotte, NC 28204

Phone: (704)414-2880 Fax: (704)414-2881

Email: lori@frontiercapital.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

Hatteras Venture Partners IV SBIC, LP

 

Douglas Reed, M.D.

280 South Mangum Street, Suite 350

Durham, NC 27701

Phone: (919)484-0730 Fax: (919)484-0364

Email: doug@hatterasvp.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

 

 

Kian Mezzanine Partners I, L.P.

 

Kevin McCarthy

4201 Congress Street

Rotunda Building, Suite 440

Charlotte, NC 28209-

Phone: (704)943-2501 Fax: (704)943-4457

Email: cedmondson@kiancapital.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

 

Mosaic Capital Investors I, LP

 

H. Dabney Smith

101 South Tryon Street

Suite 2620

Charlotte, NC 28280

Phone: (919)636-6164 Fax: (919)256-5015

Email: dsmith@mosaic-cp.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

Plexus Fund I, L.P.

 

4601 Six Forks Road, Suite 528

Raleigh, NC 27609

Phone: (919)256-6341 Fax: (919)256-3650

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

Plexus Fund 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

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

Plexus Fund II, L.P.

 

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: $2,000,00

Preferred Max: $8,000,00

 

TYPE OF CAPITAL PROVIDED

Growth, acquisition

LBO, recaps

 

FUNDING STAGE PREFERENCE

Later

 

INDUSTRY PREFERENCE

N/A

 

GEOGRAPHIC PREFERENCES

Southeast and

Middle Atlantic

 

DESCRIPTION OF FIRM'S FOCUS

Provide growth capital to middle market

companies through investments in

subordinated debt and preferred equity

securities.

 

Plexus Fund II, L.P.

 

4601 Six Forks Road, Suite 528

Raleigh, NC 27609

Phone: (919)256-6342 Fax: (919)256-6350

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

Plexus Fund III, L.P.

 

Robert Anders

200 Providence Road, Suite 210

Charlotte, NC 28207

Phone: (704)927-6246 Fax: (704)927-6255

Email: ronda@plexuscap.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

Plexus Fund QP III, L.P.

 

Robert Anders

200 Providence Road, Suite 210

Charlotte, NC 28207

Phone: (704)927-6246 Fax: (704)927-6255

Email: banders@plexuscap.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

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: $2,000,00

Preferred Max: $10,000,0

 

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.

 

 

Salem Investment Partners IV, Limited Partnership

 

Philip W. Martin

1348 Westgate Center Drive, Suite 100

Winston-Salem, NC 27103

Phone: (336)261-4747 Fax: (888)670-9182

Email: pmartin@salemip.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

 

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

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

Triangle Mezzanine Fund II, LP

 

Brent Burgess, Contact

3700 Glenwood Avenue, Suite 530

Raleigh, NC 27612

Phone: (919)719-4788 Fax: (919)719-4777

Email: bburgess@tcap.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

Triangle Mezzanine Fund LLLP

 

Brent Burgess, Contact

3700 Glenwood Avenue, Suite 530

Raleigh, NC 27612

Phone: (919)719-4788 Fax: (919)719-4777

Email: bburgess@tcap.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $5,000,00

Preferred Max: $15,000,0

 

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.

 

SBIC Licensees Located in North Dakota

 

There are no SBIC Licensees currently located in North Dakota

 

SBIC Licensees Located in Nebraska

 

FCP Fund II, L.P.

 

David F. McLeese, Contact

1620 Dodge Street

Omaha, NE 68102

Phone: (402)602-3517 Fax: (402)718-8860

Email: dmcleese@firstcapitalpartners.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

 

SBIC Licensees Located in New Hampshire

 

There are no SBIC Licensees currently located in New Hampshire

 

SBIC Licensees Located in New Jersey

 

Edison Fund V, L.P.

 

Ross Martinson, Contact

281 Witherspoon Street

Suite 300

Princeton, NJ 08540

Phone: (609)873-9202 Fax: (609)896-0066

Email: gayle@edisonventure.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $2,000,00

Preferred Max: $6,000,00

 

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

281 Witherspoon Street

Suite 300

Princeton, NJ 08540

Phone: (609)873-9202 Fax: (609)896-0066

Email: rmartinson@edisonventure.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $1,000,00

Preferred Max: $5,000,00

 

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

 

 

University Ventures, Inc. (SSBIC)

 

Leah Apgar

c/o New Jersey Community Capital

108 Church Street, 3rd Floor

New 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

 

SBIC Licensees Located in New Mexico

 

There are no SBIC Licensees currently located in New Mexico

 

SBIC Licensees Located in Nevada

 

There are no SBIC Licensees currently located in Nevada

 

SBIC Licensees Located in New York

 

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: mcline@accretivellc.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $2,500,00

Preferred Max: $10,000,0

 

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: $10,000,0

Preferred Max: $30,000,0

 

TYPE OF CAPITAL PROVIDED

Equity

 

FUNDING STAGE PREFERENCE

Growth

Change of Control

 

INDUSTRY PREFERENCE

Consumer

Industrial

Services

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

Ares Venture Finance, L.P.

 

William DeMars

245 Park Avenue, 44th Floor

New York, NY 10003

Phone: (312)252-7525 Fax: (202)380-0667

Email: wdemars@aresmgmt.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

 

 

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: $2,000,00

Preferred Max: $10,000,0

 

TYPE OF CAPITAL PROVIDED

Equity

Debt

 

FUNDING STAGE PREFERENCE

Later Stage

Acquisitions

MBO

 

INDUSTRY PREFERENCE

Healthcare Information

Waste Management

Software

Communications

General

 

GEOGRAPHIC PREFERENCES

East Coast

National

 

DESCRIPTION OF FIRM'S FOCUS

investments in later stage growth

companies for expansion, acquisitions,

recapitalizations and management buyouts.

Specializes in equity and mezzanine

 

 

Argentum Capital Partners III, L.P.

 

Steve Berman

60 Madison Avenue, Suite 701

New York, NY 10010

Phone: (212)949-8511 Fax: (212)949-8294

Email: sdberman@argentumgroup.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

 

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: $1,000,00

Preferred Max: $5,000,00

 

TYPE OF CAPITAL PROVIDED

Equity

Mezzanine

 

FUNDING STAGE PREFERENCE

Expansion

Later Stage

 

INDUSTRY PREFERENCE

Diversified

 

GEOGRAPHIC PREFERENCES

National

 

DESCRIPTION OF FIRM'S FOCUS

 

 

Bluehenge Capital Secured Debt SBIC, LP

 

Ari David Kocen

152 West 57th Street

New York, NY 10019

Phone: (212)265-9383 Fax: (212)999-6967

Email: adkocen@bluehenge.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

 

Bridges Ventures U.S. Sustainable Growth Fund, L.P.

 

Brian Trelstad

505 Eighth Avenue, Suite 1805

New York, NY 10019

Phone: (646)731-2759 Fax: (212)731-2739

Email: brian@bridgesventures.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

 

 

Brightwood Capital SBIC I, LP

 

Damien R. Dwin, Contact

810 Seventh Avenue, 26th Floor

New York, NY 10019

Phone: (646)957-9525 Fax: (646)957-9265

Email: sba@brightwoodlp.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

 

 

Brightwood Capital SBIC II, LP (SSBIC)

 

Damien R. Dwin, Contact

810 Seventh Avenue, 26th Floor

New York, NY 10019

Phone: (646)957-9525 Fax: (646)957-9265

Email: sba@brightwoodlp.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $25,000

Preferred Max: $200,000

 

TYPE OF CAPITAL PROVIDED

Loan, Debt

Equity

Subordinated Debt

 

FUNDING STAGE PREFERENCE

Seed

Early Stage

Acquisition, MBO

Expansion

Later Stage

 

INDUSTRY PREFERENCE

Diversified

 

GEOGRAPHIC PREFERENCES

National

Mississippi

 

DESCRIPTION OF FIRM'S FOCUS

Focuses on a national marketing effort,

in addition to raising additional dollars.

 

 

Brookside Pecks Capital Partners, L.P.

 

Ray Weldon

405 Park Avenue, 12th Floor

New York, NY 10022

Phone: (212)935-6090 Fax: (212)759-4831

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

CapitalSpring SBIC, L.P.

 

Christina Hougton, CFO

950 3rd Avenue, 24th Floor

New York, NY 10022

Phone: (212)981-0153 Fax: (212)981-0159

Email: choughton@capitalspring.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

Deby

 

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

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

Cephas Capital Partners L.P.

 

Clint Campbell, Jeff Holmes, Mgrs.

11 Schoen Place, 8th Floor

Pittsford, NY 14534

Phone: (585)383-1610 Fax: (585)383-1613

Email: ccampbell@cephascapital.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $500,000

Preferred Max: $1,000,00

 

TYPE OF CAPITAL PROVIDED

Debt

Subordinated Debt

Preferred Stock

 

FUNDING STAGE PREFERENCE

Acquisition

Growth

MBO

Recaptalization

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

Upstate New York

 

DESCRIPTION OF FIRM'S FOCUS

Seeks to invest in established companies

with experienced management teams

with opportunities for growth.

 

 

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

 

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

 

Deerpath Funding, L.P.

 

James H. Kirby, Contact

405 Lexington Avenue, 71st Floor

New York, NY 10174

Phone: (646)786-1022 Fax: (646)417-7095

Email: jkirby@deerpathcapital.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

DeltaPoint Capital III, L.P.

 

David H. Waterman, Managing Director

45 East Avenue

6th Floor

Rochester, NY 14604

Phone: (585)454-6990 Fax: (585)454-3204

Email: dwaterman@deltapointcapital.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

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

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

DeltaPoint Capital 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

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

East Coast Capital Holdings Ltd. (SSBIC)

 

Yitzhak Zelmanovitch, CFO

30 East 29th Street, Suite 204

New York, NY 10016

Phone: (212)686-1515 Fax: (212)686-1131

Email: yz@eastcoastcapitalholdings.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $50,000

Preferred Max: $200,000

 

TYPE OF CAPITAL PROVIDED

Loans

Equity

 

FUNDING STAGE PREFERENCE

Seed

Expansion

 

INDUSTRY PREFERENCE

Diversified

 

GEOGRAPHIC PREFERENCES

Regional

 

DESCRIPTION OF FIRM'S FOCUS

 

 

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: $5,000,00

Preferred Max: $20,000,0

 

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, Suite 1201

New York, NY 10007

Phone: (212)513-1799 Fax: (212)513-1874

Email: ESC5131799@aol.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $500,000

 

TYPE OF CAPITAL PROVIDED

Loans

Equity Investments

 

FUNDING STAGE PREFERENCE

Early Stage

Expansion

 

INDUSTRY PREFERENCE

Diversified

 

GEOGRAPHIC PREFERENCES

Atlantic

Region

 

DESCRIPTION OF FIRM'S FOCUS

 

Enhanced Small Business Investment Company, L.P.

 

Michael Korengold

600 Lexington Avenue, Suite 1401

New York, NY 10022

Phone: (212)207-3385 Fax: (212)207-9031

Email: mkorengold@enhancedcap.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

 

 

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

 

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

 

Flushing Capital Corporation (SSBIC)

 

Tetsuro Takada, President

113-19 14th Road

College Point, NY 11356

Phone: (718)886-5866 Fax: (718)321-2934

Email: flushingcapital@nyc.rr.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $300,000

 

TYPE OF CAPITAL PROVIDED

Loans

 

FUNDING STAGE PREFERENCE

Expansion

 

INDUSTRY PREFERENCE

Diversified

 

GEOGRAPHIC PREFERENCES

New York City Area

 

DESCRIPTION OF FIRM'S FOCUS

 

 

Freshstart Venture Capital Corporation

 

Alvin Murstein, President

437 Madison Avenue

New York, NY 10022

Phone: (212)328-2110 Fax: (212)328-2125

Email: mrusso@medallion.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $50,000

Preferred Max: $200,000

 

TYPE OF CAPITAL PROVIDED

Loans

Equity

 

FUNDING STAGE PREFERENCE

Seed

Expansion

 

INDUSTRY PREFERENCE

Diversified

 

GEOGRAPHIC PREFERENCES

Regional

 

DESCRIPTION OF FIRM'S FOCUS

 

Garrison Capital SBIC LP

 

Susan George

1290 Avenue of the Americas, Suite 914

New York, NY 10104

Phone: (212)372-9577 Fax: (212)372-9525

Email: sgeorge@garrisoninv.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

 

 

GC SBIC IV, L.P.

 

Gregory W. Cashman, Contact

666 Fifth Avenue, 18th Floor

New York, NY 10103

Phone: (212)750-6060 Fax: (212)750-3756

Email: sba@golubcapital.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

GC SBIC V, L.P.

 

Gregory W. Cashman, Contact

666 Fifth Avenue, 18th Floor

New York, NY 10103

Phone: (212)750-6060 Fax: (212)750-3756

Email: sba@golubcapital.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

GCM Grosvenor California Impact SBIC Fund, L.P.

 

Bernard Yancovich

767 5th Avenue, 14th Floor

New York, NY 10153

Phone: (646)362-3737 Fax: N/A

Email: byancovich@gcmlp.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

Gefus SBIC 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

 

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

 

 

Graycliff Mezzanine II LP

 

Andrew P. Trigg

500 Fifth Avenue, 47th Floor

New York, NY 10110

Phone: (212)300-2903 Fax: (646)439-0871

Email: atrigg@graycliffpartners.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

Hudson Ferry Capital II, L.P.

 

Timothy Ross, Contact

275 Madison Avenue, 36th Floor

New York, NY 10016

Phone: (212)682-5205 Fax: (212)308-3893

Email: tross@hudsonferry.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

Hudson Venture Partners II, L.P.

 

John P. Truehart, Jr., Contact

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: $2,000,00

Preferred Max: $5,000,00

 

TYPE OF CAPITAL PROVIDED

Loans

Equity

Debt w/Equity Features

 

FUNDING STAGE PREFERENCE

Early Stage

Expansion

Later Stage

 

INDUSTRY PREFERENCE

Internet, Software

 

GEOGRAPHIC PREFERENCES

Northeast United States

 

DESCRIPTION OF FIRM'S FOCUS

Technology and service related businesses.

 

 

KBL Healthcare, L.P.

 

Marlene Krauss

52 East 72nd Street-PH

New York, NY 10021

Phone: (212)319-5555 Fax: (212)319-5591

Email: ss@kblvc.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

Kinderhook Capital SBIC Fund I, L.P.

 

Robert Michalik, Contact

521 Fifth Avenue

34th Floor

New York, NY 10175

Phone: (212)201-6780 Fax: (212)201-6790

Email: rmichalik@kinderhookcapital.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

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

 

Medley SBIC, LP

 

Marilyn Adler

375 Park Avenue, 33rd Floor

New York, NY 10152

Phone: (646)465-8410 Fax: (212)759-0091

Email: MAdler@medleycapital.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

 

 

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: $2,500,00

Preferred Max: $7,500,00

 

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.

 

Jason Metakis

767 Fifth Avenue

14th Floor

New York, NY 10153

Phone: (212)538-3259 Fax: (646)362-0935

Email: jmetakis@gcmlp.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

 

Morgan Stanley Impact SBIC LP

 

Roy Swan

1585 Broadway, 14th Floor

New York, NY 10036

Phone: (212)761-7347 Fax: (212)507-8478

Email: roy.swan@morganstanley.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

 

 

Multiplier Capital, LP

 

Ezra Friedberg

360 Madison Avenue

20th Floor

New York, NY 10017-

 

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

 

New Mountain Finance SBIC, L.P.

 

John Kline

787 Seventh Avenue, 48th Floor

New York, NY 10019

Phone: (212)720-0309 Fax: (646)304-7651

Email: jkline@newmountaincapital.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

 

 

OFS SBIC I, LP

 

Mark Hauser

540 Madison Avenue, Floor 8

New York, NY 10022

Phone: (212)419-2860 Fax: (646)783-4599

Email: mhauser@ofsmanagement.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

 

Pelham S2K SBIC, L.P.

 

Gwendolyn Iloani

PE

New York, NY 10017

Phone: (860)548-2513 Fax: N/A

Email: gwendolyn.iloani@smithwhiley.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

 

 

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

 

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

 

 

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 Fax: (518)677-1115

Email: laschm@pinecap.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $2,000,00

Preferred Max: $6,000,00

 

TYPE OF CAPITAL PROVIDED

Mezzanine Debt - 80%

Equity - 20%

 

FUNDING STAGE PREFERENCE

Later stage

Minimum revenue

of $10 million.

 

INDUSTRY PREFERENCE

Business & consumer services,

manufacturing, healthcare

 

GEOGRAPHIC PREFERENCES

East Coast

 

DESCRIPTION OF FIRM'S FOCUS

 

 

Praesidian Capital Investors, LP

 

Jason D. Drattell, Contact

419 Park Avenue South

New York, NY 10016

Phone: (212)520-2600 Fax: (212)520-2601

Email: jdrattell@praesidian.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $3,000,00

Preferred Max: $15,000,0

 

TYPE OF CAPITAL PROVIDED

Senior and Subordinated Debt

with Equity Kickers

 

FUNDING STAGE PREFERENCE

Expansion, Later Stage

Change of Control

and Recapitalizations

 

INDUSTRY PREFERENCE

None

 

GEOGRAPHIC PREFERENCES

Continental United States

 

DESCRIPTION OF FIRM'S FOCUS

Praesidian is opportunistic in terms of

financing those companies in the lower

middle market that have positive EBITDA of

between $3-$15 million, that have a defen-

sible market position, a strong management

team, & discernable growth characteristics.

 

 

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

 

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

 

QS Capital Strategies, L.P.

 

Henrik Falktoft, Contact

527 Madison Avenue, 11th Floor

New York, NY 10022

Phone: (212)920-3800 Fax: (212)920-3850

Email: hfalktoft@quilvestusa.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

 

 

Rand Capital SBIC, Inc.

 

Allen F. Grum, Jr., Contact

2200 Rand Building

Buffalo, NY 14203

Phone: (716)853-0802 Fax: (716)854-8480

Email: dpenberthy@randcapital.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

Riverside Micro-Cap Fund III, L.P.

 

Doug England

45 Rockefeller Center, Suite 400

New York, NY 10111

Phone: (216)535-1768 Fax: (216)344-1330

Email: dengland@riversidecompany.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

RMCF II SBIC Fund, L.P.

 

Doug England, Contact

45 Rockefeller Center, Suite 2400

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

 

Mike Grisius

535 Madison Avenue, 4th Floor

New York, NY 10022

Phone: (212)906-7966 Fax: (212)750-3343

Email: hsteenkamp@saratogapartners.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

Triad Investments LP (SSBIC)

 

Serafin Mariel, Manager

39 West 37th Street, 7th Floor

New York, NY 10018

Phone: (212)243-7360 Fax: (212)243-7647

Email: smariel@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

 

SBIC Licensees Located in Ohio

 

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

Ohio

 

DESCRIPTION OF FIRM'S FOCUS

 

 

MCM Capital Partners III Parallel Fund, L.P.

 

Mark Mansour

25201 Chagrin Blvd., Suite 360

Beachwood, OH 44122

Phone: (216)514-1845

Email: mark@mcmcapital.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

 

NCT Ventures Fund II, L.P.

 

Michael C. Butler

274 Marconi Boulevard., Suite 400

Columbus, OH 43215

Phone: (614)794-2732 Fax: (614)228-2737

Email: michael.butler@nctventures.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

 

 

Northcreek Mezzanine Fund I, L.P.

 

Rodger Davis, Managing Partner

255 East Fifth Street, Suite 3010

Cincinnati, OH 45202

Phone: (513)985-6600 Fax: (513)985-6603

Email: rdavis@northcreekmezzanine.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

Northcreek Mezzanine Fund II, L.P.

 

Rodger Davis

255 East 5th Street, Suite 3010

Cincinnati, OH 45202

Phone: (513)985-6600 Fax: (513)985-6603

Email: rdavis@northcreekmezzanine.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

River Cities Financial Institutions Fund V, L.P.

 

Daniel T. Fleming

221 East Fourth Street, Suite 2240

Cincinnati, OH 45202

Phone: (513)621-9700 Fax: (513)579-8939

Email: dfleming@rccf.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

Stonehenge Opportunity Fund II, L.P.

 

B. Michael Affinito, Contact

191 West Nationwide Boulevard, Suite 600

Columbus, OH 43215

Phone: (614)246-2500 Fax: (614)246-2582

Email: bmaffinito@stonehengepartners.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $3,000,00

Preferred Max: $15,000,0

 

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 Boulevard, Suite 600

Columbus, OH 43215

Phone: (614)246-2500 Fax: (614)246-2431

Email: pgdavies@stonehengepartners.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

Stonehenge Opportunity Fund III-B, L.P.

 

Peter G. Davies, Contact

191 West Nationwide Boulevard, Suite 600

Columbus, OH 43215

Phone: (614)246-2500 Fax: (614)246-2431

Email: pgdavies@stonehengepartners.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

Triathlon Medical Ventures Fund LP

 

Suzette L. Dutch, Contact

300 E-Business Way, Suite 200

Cincinnati, OH 45241

Phone: (513)247-6122 Fax: (513)247-6199

Email: sdutch@tmvp.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

SBIC Licensees Located in Oklahoma

 

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: $1,000,00

Preferred Max: $10,000,0

 

TYPE OF CAPITAL PROVIDED

Loans

Equity

 

FUNDING STAGE PREFERENCE

Early Stage

Expansion

 

INDUSTRY PREFERENCE

Diversified

 

GEOGRAPHIC PREFERENCES

Oklahoma

 

DESCRIPTION OF FIRM'S FOCUS

 

 

SBIC Licensees Located in Oregon

 

 

SEAM Fund II, L.P.

 

Steven R. Wilkins

920 SW 6th Avenue, Suite 1400

Portland, OR 97204

Phone: (503)517-4628 Fax: (503)223-1384

Email: srw@endeavourseam.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

 

SBIC Licensees Located in Pennsylvania

 

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)971-9685 Fax: (610)964-9524

Email: kirk@argosycapital.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $3,000,00

Preferred Max: $9,000,00

 

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 V, L.P.

 

Kirk B. Griswold

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

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

Boathouse Capital II LP

 

Kenneth E. Jones, Contact

353 West Lancaster Avenue, Suite 200

Wayne, PA 19087

Phone: (610)977-2787 Fax: (610)688-3410

Email: ken.jones@boathousecapital.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

 

 

Boathouse Capital LP

 

Kenneth E. Jones, Contact

353 West Lancaster Avenue, Suite 200

Wayne, PA 19087

Phone: (610)977-2787 Fax: (610)688-3410

Email: ken.jones@boathousecapital.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $2,000,00

Preferred Max: $15,000,0

 

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: $1,000,00

 

TYPE OF CAPITAL PROVIDED

Equity

Debt

 

FUNDING STAGE PREFERENCE

Expansion

Later Stage

 

INDUSTRY PREFERENCE

Life Sciences

Communications

Financial Services

 

GEOGRAPHIC PREFERENCES

East Coast

 

DESCRIPTION OF FIRM'S FOCUS

 

 

F.N.B. Capital Partners, L.P.

 

Stephen J. Gurgovits, Jr.

6031 Wallace Road Extension, Suite 100

Wexford, PA 15090

Phone: (724)602-4401 Fax: (412)945-5905

Email: SGurgovits@FNBCP.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

Meridian Venture Partners II, L.P.

 

Robert E. Brown, Jr., Contact

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: $5,000,00

Preferred Max: $10,000,0

 

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: $3,000,00

Preferred Max: $10,000,0

 

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.

 

 

New York Credit SBIC Fund, L.P.

 

Anthony Donofrio

One Presidential Boulevard, 4th Floor

Bala Cynwyd, PA 19004

Phone: (610)617-5328 Fax: (610)617-9853

Email: adonofrio@hamiltonlane.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

 

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

 

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

 

 

NewSpring Mezzanine Capital III, L.P.

 

Jonathan Schwartz, Contact

555 East Lancaster Avenue, Suite 444

Radnor, PA 19087

Phone: (610)567-2387 Fax: (610)567-2388

Email: jschwartz@newspringventures.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

 

 

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: $5,000,00

Preferred Max: $10,000,0

 

TYPE OF CAPITAL PROVIDED

Subordinate Debt w/warrants

Equity

Loans

 

FUNDING STAGE PREFERENCE

Primarily Growth and

Expansion Financing

Recapitalizations

Buyout Financing

 

INDUSTRY PREFERENCE

Late-stage technology

Business services

Specialty manufacturing

Healthcare services in the

lower middle market.

 

GEOGRAPHIC PREFERENCES

East Coast

Primarily Mid-Atlantic

Region

 

DESCRIPTION OF FIRM'S FOCUS

NewSpring Mezzanine leverages the NewSpring

family of private equity funds and partner

relationships to source and underwrite both

sponsored and unsponsored transactions ac-

ross diversified industries and economic

cycles.

 

 

NewSpring Ventures, L.P.

 

Michael DiPiano, Managing G P

Radnor Financial Center

555 E. Lancaster Ave, Suite 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: SBACommunications@renovuscapital.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

 

SBIC Licensees Located in Puerto Rico

 

There are no SBIC Licensees currently located in Puerto Rico

 

SBIC Licensees Located in Rhode Island

 

BCA Mezzanine Fund II, L.P.

 

Gregory F. Mulligan, Managing Member

One Turks Head Place

Suite 1492

Providence, RI 02903

Phone: (401)396-0931 Fax: (401)228-3835

Email: greg@baycapllc.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

BCA Mezzanine Fund, L.P.

 

Gregory F. Mulligan, Managing Member

One Turks Head Place

Suite 1492

Providence, RI 02903

Phone: (401)228-3834 Fax: (401)228-3835

Email: Greg@baycapllc.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

SBIC Licensees Located in South Carolina

 

There are no SBIC Licensees currently located in South Carolina

 

SBIC Licensees Located in South Dakota

 

There are no SBIC Licensees currently located in South Dakota

 

SBIC Licensees Located in Tennessee

 

CCSD II, L.P.

 

R. Burton Harvey

40 Burton Hills Boulevard., Suite 250

Nashville, TN 37215

Phone: (615)690-7183 Fax: (615)690-7183

Email: bharvey@capfunds.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

 

Claritas Capital Specialty Debt Fund, L.P.

 

R. Burton Harvey, Contact

40 Burton Hills Boulevard, Suite 250

Nashville, TN 37215

Phone: (615)690-7183 Fax: (615)690-7183

Email: bharvey@capfunds.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

 

 

Contemporary Healthcare Fund I, LP

 

Craig Taylor, Contact

801 Broad Street, Suite 200

Suite 200

Chattanooga, TN 37402

Phone: (423)424-1842 Fax: (877)424-1842

Email: ctaylor@contemporarycapital.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

Contemporary Healthcare Senior Lien Fund I, LP

 

Craig Taylor, Contact

801 Broad Street, Suite 200

Chattanooga, TN 37402

Phone: (423)424-1842 Fax: (877)424-1842

Email: ctaylor@contemporarycapital.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

Harbert Mezzanine Partners II SBIC, L.P.

 

Pryor Smartt, Contact

618 Church Street, Suite 500

Nashville, TN 37219-

Phone: (615)301-6395 Fax: (615)301-6401

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

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: mlb@petracapital.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

Petra Growth Fund III, L.P.

 

Robert A. Smith

3825 Bedford Avenue, Suite 101

Nashville, TN 37215

Phone: (615)313-5997 Fax: (615)313-5990

Email: ras@petracapital.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

Pharos Capital Partners II, L.P.

 

Kneeland Youngblood, Contact

8 Cadillac Drive, Suite 180

Brentwood, TN 37027

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

 

 

Pharos Capital Partners III-A, L.P.

 

Kneeland Youngblood

8 Cadillac Drive, Suite 180

Brentwood, TN 37027

Phone: (615)234-5522 Fax: (615)263-0234

Email: jgoldberg@pharosfunds.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

Tenth Street Fund III, L.P.

 

Bill Nutter

30 Burton Hills Boulevard, Suite 350

Nashville, TN 37215

Phone: (615)665-3636 Fax: (615)665-3896

Email: bill@tenthstreetcapital.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

 

SBIC Licensees Located in Texas

 

BA Capital Company, L.P.

 

Doug Williamson, Sr. Vice President

5207 McKinney Ave, Suite 21

Dallas, TX 75205-

Phone: (214)508-0900 Fax: (214)508-0985

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

Banc of America Capital Investors SBIC, L.P.

 

5207 McKinney Ave, Suite 21

Dallas, TX 75205-

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

Blue Sage Capital II, L.P.

 

Peter J. Huff

114 West 7th Street, Suite 820

Austin, TX 78701

Phone: (512)536-1901 Fax: (512)236-9215

Email: peter.huff@bluesage.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

 

 

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: $3,000,00

Preferred Max: $10,000,0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

Later stage - small- mid

market.

 

INDUSTRY PREFERENCE

Revenue size: $5 mil to $100 mil

$10 to $100 mil enterprise value

 

GEOGRAPHIC PREFERENCES

Texas

New Mexico

Oklahoma

Arkansas

Louisiana

 

DESCRIPTION OF FIRM'S FOCUS

Manufacturers, distributions, and services.

 

C3 Capital Partners II, L.P.

 

2100 McKinney Avenue, Suite 1550

Dallas, TX 75201

Phone: (214)292-2000 Fax: (214)292-2007

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

Capital Southwest Venture Corp.

 

Tracy L. Morris, Chief Operating Officer

5400 Lyndon B. Johnson Freeway

Suite 1300

Dallas, TX 75240

Phone: (972)233-8242 Fax: (972)233-7362

Email: tmorris@capitalsouthwest.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $1,000,00

Preferred Max: $6,000,00

 

TYPE OF CAPITAL PROVIDED

Prefer Equity-Type Investments

Subordinated Debt

 

FUNDING STAGE PREFERENCE

Early

Expansion

Later Stages

MBO

 

INDUSTRY PREFERENCE

Manufacturing

Retail

Technology

No Real Estate or Banking

Medical/Health

 

GEOGRAPHIC PREFERENCES

National

 

DESCRIPTION OF FIRM'S FOCUS

Capital Southwest has the flexibility to

hold investments indefinitely, which has

provided its managers a stable ownership

platform since its founding in 1961. For

more info., visit the company's website @

www.capitalsouthwest.com.

 

 

Dos Rios Partners - A, L.P.

 

Pat McKinney Baskin, Jr.

205 Wild Basin Road S.

Building 3, Suite 100

Austin, TX 78746

Phone: (512)298-0801 Fax: (512)298-0810

Email: kevin.benoit@dosriospartners.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

 

Dos Rios Partners, L.P.

 

Pat McKinney Baskin, Jr.

205 Wild Basin Road S.

Building 3, Suite 100

Austin, TX 78746

Phone: (512)298-0801 Fax: (512)298-0810

Email: kevin.benoit@dosriospartners.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

 

 

Escalate Capital Partners SBIC I, L.P.

 

Tony Schell, Contact

300 West 6th Street, Suite 2230

Austin, TX 78701

Phone: (512)651-2105 Fax: (512)651-2101

Email: SBIC@escalatecapital.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

Escalate Capital Partners SBIC III, LP

 

Anthony Schell

300 West 6th Street, Suite 2230

Austin, TX 78701

Phone: (512)651-2105 Fax: (512)628-3004

Email: sbic@escalatecapital.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

Independent Bankers Capital Fund II, L.P.

 

Tom Hoyt, Contact

1700 Pacific Avenue, Suite 3660

Dallas, TX 75201

Phone: (214)722-6200 Fax: (214)722-6220

Email: thoyt@ibcfund.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $3,000,00

Preferred Max: $5,000,00

 

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 III, L.P.

 

Tom Hoyt, Contact

1700 Pacific Avenue, Suite 3660

Dallas, TX 75201

Phone: (214)722-6200 Fax: (214)722-6220

Email: thoyt@ibcfund.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

 

 

Independent Bankers Capital Fund, L.P.

 

Barry Conrad, Tom Hoyt, Contacts

1700 Pacific Avenue, Suite 3660

Dallas, TX 75201

Phone: (214)722-6200 Fax: (214)722-6220

Email: mtaylor@independentbankerscap.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $2,000,00

Preferred Max: $5,000,00

 

TYPE OF CAPITAL PROVIDED

Equity

 

FUNDING STAGE PREFERENCE

Later-stage growth

Acquisition and expansion

 

INDUSTRY PREFERENCE

Diversified

 

GEOGRAPHIC PREFERENCES

Texas

Southwest

 

DESCRIPTION OF FIRM'S FOCUS

Investment strategy focused upon financings

of lower-middle-market companies with proven

operating histories located within the

Southwestern United States.

 

 

LiveOak Venture Partners IA, L.P.

 

Venu Shamapant

805 Las Cimas Parkway, Suite 125

Austin, TX 78746

Phone: (512)413-5886 Fax: (512)498-4999

Email: venu@liveoakvp.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

 

Main Street Capital II, LP

 

Rodger Stout, 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: $2,000,00

Preferred Max: $15,000,0

 

TYPE OF CAPITAL PROVIDED

Loans

Equity

 

FUNDING STAGE PREFERENCE

Expansion

Buyout

Recapitalization

 

INDUSTRY PREFERENCE

Diversified

 

GEOGRAPHIC PREFERENCES

Southwest, Gulf Coast

 

DESCRIPTION OF FIRM'S FOCUS

Expansion or Transaction Financing.

 

 

Main Street Mezzanine Fund, L.P.

 

Rodger Stout, 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: $2,000,00

Preferred Max: $15,000,0

 

TYPE OF CAPITAL PROVIDED

Loans

Equity

 

FUNDING STAGE PREFERENCE

Expansion

Buyout

Recapitalization

 

INDUSTRY PREFERENCE

Diversified

 

GEOGRAPHIC PREFERENCES

Southwest, Gulf Coast

 

DESCRIPTION OF FIRM'S FOCUS

Expansion or Transaction Financing.

Samll concerns with cash flow positive

 

 

Parallel Investment Opportunity Partners II L.P.

 

Andrei Dorenbaum

1000 Main Street, Suite 2500

Houston, TX 77002

Phone: (713)209-7365 Fax: (713)559-3058

Email: adorenbaum@capitalroyalty.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

 

Stellus Capital SBIC LP

 

Dean D'Angelo

4400 Post Oak Parkway, Suite 2200

Houston, TX 77027

Phone: (713)292-5403 Fax: (713)292-5450

Email: SBIC@stelluscapital.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

 

 

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

Debt

 

FUNDING STAGE PREFERENCE

Expansion

Later Stage

MBO

Acquisitions

 

INDUSTRY PREFERENCE

Telecommunications

Healthcare

Energy

Forest Products

Media

 

GEOGRAPHIC PREFERENCES

National

 

DESCRIPTION OF FIRM'S FOCUS

Extensive experience in the media

and communications industries

complemented by the knowledge base

and resources of other industry groups

such as healthcare, energy, and forest

products.

 

 

Valesco Commerce Street Capital, L.P.

 

Daniel H. Moore, Contact

325 North St. Paul, Suite 3200

Dallas, TX 75201

Phone: (214)880-8690 Fax: (214)880-8646

Email: bmoore@valescoind.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $2,000,00

Preferred Max: $7,000,00

 

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

 

SBIC Licensees Located in Utah

 

EPIC Venture Fund IV, LLC

 

Nick Efstratis

15 W. South Temple, Suite 500

Salt Lake City, UT 84101

Phone: (801)524-8939 Fax: (801)524-8941

Email: ryan@epicvc.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

Pelion Ventures V Financial Institutions Fund, LP

 

Blake Moderniski

2750 E. Cottonwood Parkway, Suite 600

Salt Lake City, UT 84121

Phone: (801)365-0262 Fax: (801)365-0233

Email: jdreyfous@pelionvp.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

Utah Ventures III, L.P.

 

Blake Modersitzki

2750 E. Cottonwood Parkway

Suite 600

Salt Lake City, UT 84121

Phone: (801)365-0262 Fax: (801)365-0233

Email: jaquie@pelionvp.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $3,000,00

Preferred Max: $10,000,0

 

TYPE OF CAPITAL PROVIDED

Equity

Bridge loans

 

FUNDING STAGE PREFERENCE

Early Stage

 

INDUSTRY PREFERENCE

Software, SAS

Digital Media

Networking/ Telecomm

Security

Medical Devices

 

GEOGRAPHIC PREFERENCES

Utah

Mountain West

California

 

DESCRIPTION OF FIRM'S FOCUS

Find and help develop early state high

growth companies in software, services,

networking, security, digital media,

infrastructure, telecommunications and

medical devices.

 

 

UTFC Fund II, LLC

 

Scott Stenberg, Managing Director

268 S. State Street, Suite 260

Salt Lake City, UT 84111

Phone: (801)741-4200 Fax: (801)741-4249

Email: scott@innoventures.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $100,000

Preferred Max: $500,000

 

TYPE OF CAPITAL PROVIDED

Debt

 

FUNDING STAGE PREFERENCE

Early growth

 

INDUSTRY PREFERENCE

Technology and service

 

GEOGRAPHIC PREFERENCES

Utah and surrounding

states

 

DESCRIPTION OF FIRM'S FOCUS

Companies that have seen an acceptance of

their product and need working capital to

continue to grow sales.

 

UV Partners IV Financial Institutions Fund, L.P.

 

Blake Modersitzki

2750 East Cottonwood Parkway, Suite 600

Salt Lake City, UT 84121

Phone: (801)365-3262 Fax: (801)365-0233

Email: jaquie@uvpartners.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

vSpring III D, L.P.

 

Scott Petty, Contact

2795 E. Cottonwood Parkway, Suite 360

Salt Lake City, UT 84121

Phone: (801)942-8999 Fax: (801)942-1636

Email: travis@vspring.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

vSpring SBIC, L.P.

 

Travis Heath, Contact

2795 E. Cottonwood Parkway, Suite 360

Salt Lake City, UT 84121

Phone: (801)942-8999 Fax: (801)942-1636

Email: travis@signalpeakvc.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

Wasatch Venture Fund II, LLC

 

Nick Efstratis

15 W. South Temple, Suite 500

Salt Lake City, UT 84101

Phone: (801)524-8936 Fax: (801)524-8941

Email: ryan@epicvc.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min:

Preferred Max:

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

Wasatch Venture Fund III, L.L.C.

 

Nick Efstratis

15 W. South Temple, Suite 500

Salt Lake City, UT 84101

Phone: (801)524-8939 Fax: (801)524-8941

Email: ryan@epicvc.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

 

Zions SBIC, L.L.C.

 

Nick Efstratis

15 W. South Temple, Suite 500

Salt Lake City, UT 84101

Phone: (801)524-8939 Fax: (801)524-8941

Email: ryan@epicvc.com

 

INVESTMENT CRITERIA

INVESTMENT SIZE RANGE

Preferred Min: $0

Preferred Max: $0

 

TYPE OF CAPITAL PROVIDED

 

FUNDING STAGE PREFERENCE

 

INDUSTRY PREFERENCE

 

GEOGRAPHIC PREFERENCES

 

DESCRIPTION OF FIRM'S FOCUS

 

SBIC Licensees Located in Virginia

 

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: $1,000,00

 

TYPE OF CAPITAL PROVIDED

Loans

Equity

 

FUNDING STAGE PREFERENCE

Growth

Expansion

Later Stage

 

INDUSTRY PREFERENCE

Diversified

 

GEOGRAPHIC PREFERENCES

North

South

Midwest

 

DESCRIPTION OF FIRM'S FOCUS

 

 

Leeds Novamark Capital I, L.P.

 

Mark Raterman

Plaza America Tower II

11710 Plaza America Drive, Suite 160

Reston, VA 20190

Phone: (703)651-2149 Fax: (703)651-2149

Email: raterman@LNC-partners.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

 

SBIC Licensees Located in Virgin Islands

 

There are no SBIC Licensees currently located in Virgin Islands

 

SBIC Licensees Located in Vermont

 

There are no SBIC Licensees currently located in Vermont

 

SBIC Licensees Located in Washington

 

There are no SBIC Licensees currently located in Washington

 

SBIC Licensees Located in Wisconsin

 

There are no SBIC Licensees currently located in Winconsin

 

SBIC Licensees Located in West Virginia

 

There are no SBIC Licensees currently located in West Virginia