SBICs provide equity capital, long-term loans, debt-equity investments and management assistance to small businesses.
SBIC Investment and Financing Companies Located in California
AltoTech II, L.P.
Walter Lee, Contact
1010 El Camino Real
Suite 340
Menlo Park, CA 94025
Phone: (650)330-0881 Fax: (650)330-0885
Email: wlee@altotechventures.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
American River Ventures, L.P.
Attention: Sher Pastino
2270 Douglas Blvd., Suite 212
Roseville, CA 95661
Phone: (916)780-2828 Fax: (916)780-5443
Email: plans@arventures.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Aspen Ventures III, L.P.
Alex Cilento, Thaddeus Whalen, Contacts
1000 Fremont Avenue, Suite 200
Los Altos, CA 94024
Phone: (650)917-5670 Fax: (650)917-5677
Email: DSchilling@AspenVentures.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
AVI Capital, L.P.
P. Wolken, B. Weinman & B. Grossi, Mgrs.
100 Hamilton Avenue
Suite 250
Palo Alto, CA 94301-
Phone: (650)687-0500 Fax: (650)687-0234
Email: wang@avicapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min:
Preferred Max: $1,000,000
TYPE OF CAPITAL PROVIDED
Equity Only
FUNDING STAGE PREFERENCE
Seed
Early Stage
INDUSTRY PREFERENCE
High Tech
Electronic Deals
GEOGRAPHIC PREFERENCES
California
West Coast
DESCRIPTION OF FIRM'S FOCUS
Bank of America Ventures
Hayley Hoad, Manager, Administration
950 Tower Lane, Suite 700
Foster City, CA 94404
Phone: (650)378-6000 Fax: (650)378-6040
Email: hayley.j.hoad@bankofamerica.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $3,000,000
Preferred Max: $12,000,000
TYPE OF CAPITAL PROVIDED
Equity
FUNDING STAGE PREFERENCE
Early Stage
Expansion
Later Stage
INDUSTRY PREFERENCE
Communications/Systems
Internet Infrastructure/Software/Svcs
BtoB e-Commerce
Medical Related Biotechnology
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
Bay Partners L.S. Fund, L.P.
John Freidenrich, Marcella Yano
10600 N. De Anza Blvd., Suite 100
Cupertino, CA 95014
Phone: (408)725-2444 Fax: (408)446-4502
Email: avallen@baypartners.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
Bay Partners SBIC II, L.P.
John Freidenrich & Neal Dempsey, Mgrs.
10600 N. De Anza Blvd., Suite 100
Cupertino, CA 95014
Phone: (408)725-2444 Fax: (408)446-4502
Email: avallen@baypartners.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
Bay Partners SBIC, L.P.
John Freidenrich & Neal Dempsey, Mgrs.
10600 N. De Anza Blvd., Suite 100
Cupertino, CA 95014
Phone: (408)725-2444 Fax: (408)446-4502
Email: avallen@baypartners.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
Bentley Capital (SSBIC)
John Hung, President
592 Vallejo Street, Suite #2
San Francisco, CA 94133
Phone: (415)362-2868 Fax: (415)398-8209
Email: bc8081@yahoo.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min:
Preferred Max: $200,000
TYPE OF CAPITAL PROVIDED
Loans
Equity
FUNDING STAGE PREFERENCE
Early Stage
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
West
DESCRIPTION OF FIRM'S FOCUS
Canaan SBIC, L.P.
Eric Young, Manager
Eric Young, Manager
2884 Sand Hill Road
Menlo Park, CA 94025
Phone: (415)854-8082 Fax: (415)854-8127
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Celerity Partners SBIC, L.P.
Clifford A. Lyon, Contact
11111 Santa Monica Blvd., Suite 1127
Los Angeles, CA 90025
Fax: (310)268-1712
Email: kraus@celeritypartners.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Champlain Capital Partners, L.P.
Dennis M. Leary, Contact
One Market Street
Steuart Tower, Suite 2675
San Francisco, CA 94105-
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
Charterway Investment Corporation (SSBIC)
Edmund C. Lau, Chairman
9660 Flair Dr., Suite 328
El Monte, CA 91731
Phone: (626)279-1189 Fax: (626)279-9062
Email: toysanaba@aol.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $100,000
Preferred Max: $450,000
TYPE OF CAPITAL PROVIDED
Loans
FUNDING STAGE PREFERENCE
Expansion
INDUSTRY PREFERENCE
Retail
Wholesale
GEOGRAPHIC PREFERENCES
Los Angeles
County
DESCRIPTION OF FIRM'S FOCUS
CVP SBIC, L.P.
Christopher J. Hadsell, Contact
1010 El Camino Real, Suite 250
Menlo Park, CA 94025
Phone: (650)614-4860 Fax: (650)614-4865
Email: derek@cardinalvc.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
DB Capital Partners SBIC, L.P.
300 South Grand Avenue
Los Angeles, CA 90071
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Draper Associates, a California LP
Timothy C. Draper, President
400 Seaport Court, Suite 250
Redwood City, CA 94063
Phone: (650)599-9000 Fax: (650)599-9726
Email: karen@dfj.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
Draper-Richards L.P.
William Draper III, President
50 California Street,
Suite 2925
San Francisco, CA 94111
Phone: (415)616-4050 Fax: (415)616-4060
Email: clam@draperintl.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $200,000
Preferred Max: $400,000
TYPE OF CAPITAL PROVIDED
Equity
FUNDING STAGE PREFERENCE
Seed
Early Stage
INDUSTRY PREFERENCE
Internet
Software
GEOGRAPHIC PREFERENCES
California
Boston, MA
District of Columbia
DESCRIPTION OF FIRM'S FOCUS
Seed stage software/internet deals in
Silicon Valley, Boston or District
of Columbia areas.
East Gate Private Equity Fund III, L.P.
Ken Choi, Contact
514 High Street, Suite #5
Palo Alto, CA 94301
Phone: (650)325-5077 Fax: (650)325-5072
Email: bcbrant@eg-group.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Far East Capital Corp.
Eduardo Ho, Manager
350 S. Grand Ave., Suite 4100
Los Angeles, CA 90071
Phone: (213)830-2430 Fax: (213)830-2415
Email: ed.ho@fareastnationalbank.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $250,000
TYPE OF CAPITAL PROVIDED
Loans
Equity
FUNDING STAGE PREFERENCE
Expansion
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
California
DESCRIPTION OF FIRM'S FOCUS
Fulcrum Venture Capital Corporation (SSBIC)
Brian Argrett, President
300 Corporate Pointe, Suite 380
Culver City, CA 90230
Phone: (310)645-1271 Fax: (310)645-1272
Email: brian@fulcrumventures.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $500,000
TYPE OF CAPITAL PROVIDED
Sub. Debentures
Equity
FUNDING STAGE PREFERENCE
Expansion
Acquisition
$1M in sales
INDUSTRY PREFERENCE
Low/Med Tech
Manufacturing
Communications
Service Industry
GEOGRAPHIC PREFERENCES
West Coast
Prefer CA
DESCRIPTION OF FIRM'S FOCUS
GCG SBIC Investors, L.P.
111 Sutter Street, Suite 1950
San Francisco, CA 94104
Phone: (415)273-3506 Fax: (415)362-3311
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
GKM SBIC, L.P.
Jonathan R. Bloch, Contact
11150 Santa Monica Blvd., Suite 825
Los Angeles, CA 90025
Phone: (310)268-2623 Fax: (310)268-0870
Email: jbloch@gkm.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Hall, Morris & Drufva II, L.P.
Ronald J. Hall, Managing Director
26161 La Paz Road, Suite E
Mission Viejo, CA 92691
Phone: (714)707-5096 Fax: (714)707-5121
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
Hamilton Apex Technology Ventures, L.P.
Richard Crosby, Contact
12526 High Bluff Drive, Suite 260
San Diego, CA 92130
Phone: (858)314-2350 Fax: (858)314-2355
Email: rcrosby@hamiltonventures.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Housatonic Equity Investors SBIC, L.P.
Barry Reynolds, Will Thorndike
44 Montgomery Street, Suite 4010
San Francisco, CA 94104
Phone: (415)955-9020 Fax: (415)981-0617
Email: breynolds@housatonicpartners.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $3,000,000
Preferred Max: $7,000,000
TYPE OF CAPITAL PROVIDED
Equity Investments
FUNDING STAGE PREFERENCE
Later Stage
INDUSTRY PREFERENCE
Business Services
Media
Communications
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
Housatonic Micro Fund SBIC, L.P.
Barry Reynolds, Contact
44 Montgomery Street, Suite 4010
San Francisco, CA 94104
Phone: (415)981-0616 Fax: (415)981-0617
Email: breynolds@housatonicpartners.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Huntington Capital, L.P.
Morgan Miller and Barry Wilson, Contacts
11988 El Camino Real, Suite 160
San Diego, CA 92130
Phone: (858)259-7654 Fax: (858)259-0074
Email: susan@huntingtoncapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $500,000
Preferred Max: $1,400,000
TYPE OF CAPITAL PROVIDED
Mezzanine Debt and Equity
FUNDING STAGE PREFERENCE
Later Stage
INDUSTRY PREFERENCE
Diversified. No bleeding
edge technology.
GEOGRAPHIC PREFERENCES
Southern California
DESCRIPTION OF FIRM'S FOCUS
Please see www.huntingtoncapital.com
Inglewood Ventures, L.P.
Dr. M. Blake Ingle, Daniel Wood
12526 High Bluff Drive, Suite 300
San Diego, CA 92130
Phone: (858)792-3579 Fax: (858)792-3417
Email: danwood@ix.netcom
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $500,000
Preferred Max: $1,500,000
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
Early Stage
INDUSTRY PREFERENCE
Healthcare
Biotechnology Companies
GEOGRAPHIC PREFERENCES
Southern California
DESCRIPTION OF FIRM'S FOCUS
J.P. Morgan Partners (SBIC), LLC
101 California Street
27th Floor
San Francisco, CA 94111
Phone: (415)393-1283 Fax: (415)393-1205
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Kline Hawkes California SBIC, L.P.
Frank R. Kline, Manager
11726 San Vicente Blvd.
Suite 300
Los Angeles, CA 90049
Phone: (310)442-4700 Fax: (310)442-4707
Email: kmagnin@klinehawkes.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $3,000,000
Preferred Max: $5,000,000
TYPE OF CAPITAL PROVIDED
Equity
Convertible Debt
FUNDING STAGE PREFERENCE
Expansion Capital
Roll-Ups
MBO
Later Stage
INDUSTRY PREFERENCE
Info Technology/Telecommunications
Medical Services/Equipment
Defense Spin-Out
Environmental
Services
GEOGRAPHIC PREFERENCES
Southern California
Northern California
Western U.S.
DESCRIPTION OF FIRM'S FOCUS
Invests in emerging growth/middle market
companies that have well-articulated growth,
acquisition or expansion strategies. Heavy
emphasis is placed on management teams and
overall market size. Typical investment
ranges from $2 million to $6 million
Labrador Ventures V-B, L.P.
Sean Foote, Contact
101 University Avenue, 4th Floor
Palo Alto, CA 94301
Phone: (650)366-6000 Fax: (650)366-6430
Email: nlabatt@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
LaiLai Capital Corp. (SSBIC)
Danny Ku, President
18249-2 Valley Boulevard
City of Industry, CA 91744-
Phone: (626)333-5420 Fax: (626)934-9699
Email: lailaicapital@aol.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $100,000
Preferred Max: $500,000
TYPE OF CAPITAL PROVIDED
Loans
Equity
FUNDING STAGE PREFERENCE
Expansion
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
California
DESCRIPTION OF FIRM'S FOCUS
Magna Pacific Investments (SSBIC)
Howard Wong
330 North Brand Boulevard, Suite 670
Glendale, CA 91203
Phone: (818)547-0809 Fax: (818)547-9303
Email: Magnapacific@cs.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $50,000
Preferred Max: $300,000
TYPE OF CAPITAL PROVIDED
Loan
Equity
FUNDING STAGE PREFERENCE
All Stages
INDUSTRY PREFERENCE
Hi-Tech
Medical/Health
Defense Contractors
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
Concentration is primarily technology,
defense and medical.
Marwit Capital Company, L.P.
Matthew Witte, President
180 Newport Center Drive
Suite 200
Newport Beach, CA 92660
Phone: (949)640-6234 Fax: (949)720-8077
Email: mckay@marwit.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $500,000
Preferred Max: $5,000,000
TYPE OF CAPITAL PROVIDED
Sub. Debt w/Equity
Preferred Stock
FUNDING STAGE PREFERENCE
Expansion
Acquisitions
Buyouts
INDUSTRY PREFERENCE
Manufacturing/Distribution
Telecommunications/Media
Healthcare/Medical
Food/Consumer Products
Diversified
GEOGRAPHIC PREFERENCES
Western US
DESCRIPTION OF FIRM'S FOCUS
Founded in 1962, Marwit Capital is one of
the oldest SBICs in the country. Provides
capital to and acts as a financial sponsor
for growing middle market companies in a
wide range of industries Prefer sub-debt
financings, but will also invest equity.
Montreux Equity Partners II SBIC, L.P.
Daniel K. Turner III, General Partner
2500 Sand Hill Road, Suite 215
Menlo Park, CA 94025-7073
Phone: (650)234-1200 Fax: (650)234-1250
Email: dturner@montreuxequity.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Montreux Equity Partners III SBIC, L.P.
Daniel K. Turner III, General Partner
2500 Sand Hill Road, Suite 215
Menlo Park, CA 94025-7073
Phone: (650)234-1200 Fax: (650)234-1250
Email: dturner@montreuxequity.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
New Vista Capital Fund, L.P.
Roger Barry & Frank Greene, Managers
540 Cowper Street, Suite 200
Palo Alto, CA 94301
Phone: (650)328-9434 Fax: (650)329-6889
Email: rbarry@nvcap.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $500,000
Preferred Max: $2,000,000
TYPE OF CAPITAL PROVIDED
Equity
FUNDING STAGE PREFERENCE
Seed
Start-Up
First
Second
INDUSTRY PREFERENCE
Information Technology
GEOGRAPHIC PREFERENCES
West
DESCRIPTION OF FIRM'S FOCUS
Specializing in women and minority managed
information technology companies.
Novus Ventures II, L.P.
Daniel D. Tompkins, Managing GP
20111 Stevens Creek Blvd., Suite 130
Cupertino, CA 95014
Phone: (408)252-3900 Fax: (408)252-1713
Email: glahann@novusventures.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Opportunity Capital Corporation (SSBIC)
J. Peter Thompson, President
2201 Walnut Avenue, Suite 210
Fremont, CA 94538
Phone: (510)795-7000 Fax: (510)494-5439
Email: rcg@ocpcapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $150,000
Preferred Max: $300,000
TYPE OF CAPITAL PROVIDED
Debt w/Warrants
Equity
FUNDING STAGE PREFERENCE
Expansion
Later Stage
Acquisitions
INDUSTRY PREFERENCE
Manufacturing
Healthcare
Telecommunications
Diversified
GEOGRAPHIC PREFERENCES
West Coast
National
DESCRIPTION OF FIRM'S FOCUS
Provides financing to minority entrepreneurs
who seek to acquire or expand profitable,
well-managed companies that have the
potential to produce significant investment
returns via a combination of current
income and equity appreciation.
Opportunity Capital Partners II, L.P.
J. Peter Thompson, General Partner
2201 Walnut Avenue, Suite 210
Fremont, CA 94538
Phone: (510)795-7000 Fax: (510)494-5439
Email: rcg@ocpcapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $1,500,000
Preferred Max: $3,000,000
TYPE OF CAPITAL PROVIDED
Debt w/Warrants
Equity
FUNDING STAGE PREFERENCE
Expansion
Later Stage
Acquisitions
INDUSTRY PREFERENCE
Manufacturing
Healthcare
Telecommunications
Diversified
GEOGRAPHIC PREFERENCES
West Coast
National
DESCRIPTION OF FIRM'S FOCUS
Provides financing to minority entrepreneurs
who seek to acquire or expand profitable,
well-managed companies that have the
potential to produce significant investment
returns via a combination of current
income and equity appreciation.
Outlook Ventures III, L.P.
Carl Nichols, Contact
135 Main Street, Suite 1350
San Francisco, CA 94105
Phone: (415)547-0000 Fax: (415)547-0010
Email: carl@outlookventures.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $1,000,000
Preferred Max: $5,000,000
TYPE OF CAPITAL PROVIDED
Seed
Early Stage
Expansion
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
Technology
Software
GEOGRAPHIC PREFERENCES
Western United States
DESCRIPTION OF FIRM'S FOCUS
Outlook Venture's strategy is to be the
first institutional investor in sustainable
software-based businesses.
Pacific Mezzanine Fund, L.P.
Nathan W. Bell, General Partner
2200 Powell St., Suite 1250
Emeryville, CA 94608
Phone: (510)595-9800 Fax: (510)595-9801
Email: mcs@pacmezz.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $2,000,000
Preferred Max: $3,000,000
TYPE OF CAPITAL PROVIDED
Loans w/Equity Features
FUNDING STAGE PREFERENCE
Expansion
Later Stage
Buyouts
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
Western US
DESCRIPTION OF FIRM'S FOCUS
Peninsula Equity Partners SBIC, L.P.
Gregory C. Ennis, Contact
3000 Sand Hill Road
Building 3, Suite 125
Menlo Park, CA 94025
Phone: (650)854-0314 Fax: (650)854-0670
Email: ennis@peninsulaequity.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Pinecreek Capital Partners, L.P.
Randall F. Zurbach, President
24 Corporate Plaza, Suite 180
Newport Beach, CA 92660
Phone: (949)720-4620 Fax: (949)720-4629
Email: paul@pinecreekcap.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $1,000,000
Preferred Max: $2,000,000
TYPE OF CAPITAL PROVIDED
Sub. Debt w/Warrants
FUNDING STAGE PREFERENCE
Later Stage
Growth
Acquisition
INDUSTRY PREFERENCE
Basic Industries
Diversified
GEOGRAPHIC PREFERENCES
Western US
DESCRIPTION OF FIRM'S FOCUS
Invests in companies with revenues ranging
from $5 to $50 million and a three-year
history of positive cash flow and operating
profits. Will consider all types of
financial situations. Prefer companies in
the western US operating in basic industries
Positive Enterprises, Inc. (SSBIC)
Kwok Szeto, President
1489 Webster Street, Suite 228
San Francisco, CA 94115
Phone: (415)885-6600 Fax: (415)928-6363
Email: Pei-sba@pei-sba.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min:
Preferred Max: $150,000
TYPE OF CAPITAL PROVIDED
Loans
Equity
FUNDING STAGE PREFERENCE
Expansion
Early Stage
Later Stage
INDUSTRY PREFERENCE
Diversified
Rest Homes
Manufacturing
Light Industry
GEOGRAPHIC PREFERENCES
North
Regional
DESCRIPTION OF FIRM'S FOCUS
Red Rock Ventures II, L.P.
Robert Todd, Jr., Curtis K. Meyers
180 Lytton Avenue
Palo Alto, CA 94301
Phone: (650)325-3111 Fax: (650)853-7044
Email: carol@redrockventures.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
Red Rock Ventures SBIC III, L.P.
Carol M. T. Pereira, Contact
180 Lytton Avenue
Palo Alto, CA 94301
Phone: (650)325-3111 Fax: (650)853-7044
Email: carol@redrockventures.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Rocket Ventures II SBIC, L.P.
David Adams
3000 Sand Hill Road, Building 1
Suite 170
Menlo Park, CA 94025
Phone: (650)561-9100 Fax: (650)561-9183
Email: david@rocketventures.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Rustic Canyon Ventures SBIC, L.P.
Lee Bailey, Contact
2425 Olympic Blvd., Suite 6050 W
Santa Monica, CA 90404
Phone: (310)998-8084 Fax: (310)998-8014
Email: lee@rusticcanyon.com
INVESTMENT CRITERIA
INVESTMENT 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, L.P.
Jeff Holland
One Sansome Street
Suite 2100
San Francisco, CA 94104
Phone: (415)956-1400 Fax: (415)956-1459
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Selby Venture Partners II, L.P.
Robert Marshall, Contact
3500 Alameda De Las Pulgas, 2nd Floor
Menlo Park, CA 94025
Phone: (650)854-7399 Fax: (650)854-7039
Email: bob@selbyventures.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $1,000,000
Preferred Max: $7,000,000
TYPE OF CAPITAL PROVIDED
Equity
Convertible Debt
FUNDING STAGE PREFERENCE
Seed
Early Stage
INDUSTRY PREFERENCE
Information Technology
Networking/Communications
Enterprise Software
Wireless/emerging technologies
GEOGRAPHIC PREFERENCES
Northern California
West Coast
DESCRIPTION OF FIRM'S FOCUS
Silicon-valley based venture capital fund
focusing on seed and early stage investments
networking and communications, enterprises
software, wireless and emerging technologies
Typical investment ranges from $3m to $7m.
Shepherd Ventures II, L.P.
George C. Kenney, Contact
12250 El Camino Real, Suite 116
San Diego, CA 92130
Phone: (858)509-4744 Fax: (858)509-3662
Email: olga@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
Smart Technology Ventures III SBIC, L.P.
Joseph Marks, Contact
1801 Century Park West, 5th Floor
Los Angeles, CA 90067
Phone: (310)203-3800 Fax: (310)203-3801
Email: sbic@smarttechnologyventures.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Sorrento Growth Partners I, L.P.
Robert Jaffe, Manager
4370 La Jolla Village Drive, Suite 1040
San Diego, CA 92122
Phone: (858)452-3100 Fax: (858)452-7607
Email: ecampbell@sorrentoventures.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min:
Preferred Max:
TYPE OF CAPITAL PROVIDED
Loans
Equity
FUNDING STAGE PREFERENCE
Early Stage
INDUSTRY PREFERENCE
Med./Health
Special Retail
Communications/
Electronics
GEOGRAPHIC PREFERENCES
Southern
California
DESCRIPTION OF FIRM'S FOCUS
St. Cloud Capital Partners, L.P.
Ben Hom, Contact
10866 Wilshire Blvd., Suite 1450
Los Angeles, CA 90024-
Phone: (310)475-2700 Fax: (310)475-0550
Email: BHom@stcloudcapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $500,000
Preferred Max: $2,000,000
TYPE OF CAPITAL PROVIDED
Loans
Converible Debt Securities
Debt Securities with Warrants
FUNDING STAGE PREFERENCE
Primarily Growth and
Expansion Financing
Some Turnaround,
Development and
Buyout Financing
INDUSTRY PREFERENCE
Diversified, subject to SBA limits
GEOGRAPHIC PREFERENCES
Western United
States preferred
DESCRIPTION OF FIRM'S FOCUS
St. Cloud seeks well-managed, established
companies with opportunites to significantly
grow their valuation by increasing sales
and/or enhancing margins to increase net
profitability. Prefer companies with strong
debt sevice capability.
Stone Canyon Venture Partners, L.P.
Kenneth R. Kilroy, Contact
2121 Avenue of the Stars, Suite 2800
Los Angeles, CA 90067
Phone: (310)551-2210 Fax: (310)556-0547
Email: kkilroy@ix.netcom.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Telegraph Hill Partners SBIC, L.P.
Robert G. Shepler, Contact
360 Post Street, Suite 601
San Francisco, CA 94108
Phone: (415)765-6980 Fax: (415)765-6983
Email: rgs@thpartners.net
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
Participating
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
TeleSoft Partners IA L.P.
Arjun Gupta, Manager
1450 Fashion Island Boulevard
Suite 610
San Mateo, CA 94404
Phone: (650)358-2500 Fax: (650)358-2501
Email: telesoft@telesoftvc.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $500,000
Preferred Max: $3,000,000
TYPE OF CAPITAL PROVIDED
Equity
FUNDING STAGE PREFERENCE
Seed
Early Stage
Expansion
Later Stage
Special Situation
INDUSTRY PREFERENCE
Telecommunications
Technology
Software
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
New fund focused on next generation
telecommunications companies
(software, services and equipment).
TeleSoft Partners II SBIC, L.P.
Arjun Gupta, Manager
1450 Fashion Island Boulevard
Suite 610
San Mateo, CA 94404
Phone: (650)358-2500 Fax: (650)358-2501
Email: telesoft@telesoftvc.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
UnionBanCal Venture Corporation
Robert S. Clarke, President
445 South Figueroa Street
Suite 2100
Los Angeles, CA 90071
Phone: (213)236-6566 Fax: (213)236-7619
Email: corinne.heyning@uboc.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min:
Preferred Max: $1,000,000
TYPE OF CAPITAL PROVIDED
Loans w/Equity
FUNDING STAGE PREFERENCE
Expansion
Later Stage
INDUSTRY PREFERENCE
Communications
Cable TV
Television
Radio
Telecommunications
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
Invests in equity and equity-like
investments in small businesses
as defined by the Small Business
Administration.
Utah Ventures II L.P.
Allan Wolfe
32511 Sea Island Drive
Dana Pt., CA 92629
Phone: (949)661-2861
INVESTMENT CRITERIA
INVESTMENT 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-SBIC, L.P.
Arthur S. Berliner, Manager
750 Battery Street, 7th Floor
San Francisco, CA 94111
Phone: (415)391-7225 Fax: (415)391-7262
Email: info@waldenvc.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $5,000,000
Preferred Max: $10,000,000
TYPE OF CAPITAL PROVIDED
Equity
Debt
FUNDING STAGE PREFERENCE
Seed
Early Stage
Expansion
Later Stages
INDUSTRY PREFERENCE
New Media
Technology
Health
Retail
GEOGRAPHIC PREFERENCES
Western
DESCRIPTION OF FIRM'S FOCUS
An experienced international venture
capital firm that has provided seed
& start-up capital for emerging growth
companies, as well as capital for expansion
financing & leveraged acquisitions.
Western General Capital Corporation (SSBIC)
Alan Thian, President
13701 Riverside Drive, Suite 610
Sherman Oaks, CA 91423
Phone: (818)907-8272 Fax: (818)905-9220
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $100,000
Preferred Max: $300,000
TYPE OF CAPITAL PROVIDED
Loans Only
FUNDING STAGE PREFERENCE
Later Stage
Expansion
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
Regional
DESCRIPTION OF FIRM'S FOCUS
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