Frequently Asked Questions

Do we act as a fundraising agent?
We are not a registered broker/dealer and do not act as a placement agent in connection with the sale of securities. However, we can assist you in developing and preparing for capital raising program, including preparation of information memoranda, development of presentation materials, and negotiation support for any specific funding proposals. We can take a more active role in the placement of debt with a variety of types of financial institutions.

Do you make Venture Capital investments?
We are not a venture capital firm. However, we have relationships with venture capital firms nationwide and have extensive experience with their investment criteria and funding preferences. We can help you identify those venture firms that best match your business opportunity and can serve as your financial advisor throughout the negotiation and funding process.

Do you handle Public Offerings?
While we do not underwrite the public offering of debt or equity securities, we can help you establish your criteria for selecting an investment banking firm to serve as your underwriter. We can also monitor the performance of investment bankers and serve as a third-party advisor throughout the offering process.

Do you make passive, minority investments as part of your sponsored investment activities?
We only sponsor direct investments in businesses in which we can be actively involved on an ongoing basis and have sufficient board level influence to effect a significant degree of strategic and, if we deem necessary, operational control of the investee company.

Do you provide a complete set of “Family Home Office” services?
We do provide a subset of what are generally known as “Family Home Office” services to high net-worth individuals and their families. However, we rely extensively on third party investment managers, particularly with respect to publicly traded securities.

Do you serve as Business Brokers?
While we do represent business sellers in an M&A context, we do not serve as a business broker in the traditional sense. We do not “list” a business for a specific period of time. However, we assist clients in developing a plan for selling businesses, which, in addition to some internal preparatory diligence, can include the identification of strategic acquirer candidate groups and/or specific acquirer candidates. We then are available, based on the client’s preferences, to serve as the contact intermediary, due diligence coordinator, and/or a principal contract negotiator.

Do you serve in part-time/virtual financial or operating positions?
We do sometimes assume financial or operating roles as part of a turnaround, corporate finance or M&A assignment. These positions are better characterized as “interim” and are intended by design to phase-out upon the recruitment of a permanent employee or the occurrence of a particular event or transaction. We also provide, under appropriate circumstances, recurring business and investor advisory services under a retainer arrangement. These typically would be without a title or day-to-day operational responsibility.

I have a great sponsored investment opportunity for you, but it needs to close by the end of the month?
It is highly unlikely that we could properly vet an opportunity, negotiate investment terms, and then syndicate a financing in less than 60 days. In most instances, 3-6 months is a more realistic timeframe.
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