SBICs provide equity capital, long-term loans, debt-equity investments and management assistance to small businesses.
SBIC Investment and Financing Companies Located in Connecticut
AB SBIC, Inc.
Michael A. Bozzuto, President
275 School House Road
Cheshire, CT 06410
Phone: (203)250-5201 Fax: (203)250-2954
Email: jsantoli@bozzutos.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min:
Preferred Max: $200,000
TYPE OF CAPITAL PROVIDED
Loans
FUNDING STAGE PREFERENCE
Expansion
INDUSTRY PREFERENCE
Food Stores
GEOGRAPHIC PREFERENCES
North
DESCRIPTION OF FIRM'S FOCUS
Altus Capital Partners SBIC, L.P.
Russell Greenberg, Contact
10 Wright Street, Suite 110
Westport, CT 06880
Phone: (203)429-2006 Fax: (203)429-2010
Email: rgreenberg@maxcapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Bon Secours Community Investment Fund, L.P.
Jennifer Plourde, CFO
c/o Smith Whiley & Company
242 Trumbull Street, 8th Floor
Hartford, CT 06103
Phone: (860)548-2513 Fax: (860)548-2518
Email: jennifer.plourde@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
Brookside Pecks Capital Partners, L.P.
80 Field Point Road, Third Floor
Greenwich, CT 06830
Phone: (203)618-0202 Fax: (203)618-0984
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Canaan SBIC, L.P.
Gregory Kopchinsky, Manager
105 Rowayton Avenue
Rowayton, CT 06853
Phone: (203)855-0400 Fax: (203)854-9117
Email: grusso@caanaan.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $3,000,000
TYPE OF CAPITAL PROVIDED
Equity
FUNDING STAGE PREFERENCE
Early Stage
Expansion
Later Stage
INDUSTRY PREFERENCE
Info Tech
Healthcare
Distribution
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
Cygnet Capital Partners L.P. SBIC
Owen S. Crihfield, Contact
281 Tresser Boulevard, 4th Floor
Stamford, CT 06901
Phone: (203)602-0011 Fax: (203)602-2206
Email: osc@hrco.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $1,000,000
Preferred Max: $5,000,000
TYPE OF CAPITAL PROVIDED
Prefer Equity Investments
FUNDING STAGE PREFERENCE
Later Stage
Expansion
Acquisitions
INDUSTRY PREFERENCE
Manufacturing, Distribution
Services, Outsourcing
Bus-to-Bus Applications
Industrial Process, Energy
Engineered Products, Utilities
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
Equity investments in profitable, smaller,
middle market businesses
FieldPoint Partners SBIC, L.P.
Nestor J.Olivier
One Sound Shore Drive
Suite 100
Greenwich, CT 06830
Phone: (203)869-5444 Fax: (203)869-6345
Email: nolivier@dublindpartners.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min:
Preferred Max:
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
First New England Capital 2, L.P.
Richard Klaffky, Manager
100 Pearl Street
Hartford, CT 06103
Phone: (860)293-3333 Fax: (860)293-3338
Email: rklaffky@fnec.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min:
Preferred Max:
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
First New England Capital, LP
Richard C. Klaffky, President
100 Pearl Street
Hartford, CT 06103
Phone: (860)293-3333 Fax: (860)293-3338
Email: rklaffky@fnec.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $500,000
Preferred Max: $1,000,000
TYPE OF CAPITAL PROVIDED
Subordinated Debt
Equity
FUNDING STAGE PREFERENCE
Expansion
Later Stage
Acquisition
INDUSTRY PREFERENCE
Manufacturing
Distribution
Service
GEOGRAPHIC PREFERENCES
Northeast
DESCRIPTION OF FIRM'S FOCUS
Provides subordinated debt and
equity capital to later stage companies
for expansion and acquisition.
Target companies with revenues of at
least $5 million and profitability at
the time of investment.
GCG SBIC Investors, L.P.
Mark B. Shufro, Contact
10 Wright Street, Suite 110
Westport, CT 06880
Phone: (203)429-2011 Fax: (203)429-2010
Email: shufro@greyrockcapitalgroup.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
GreenLeaf Capital, L.P.
Daniel J. O'Brien, Partner
177 Broad Street
Stamford, CT 06901
Phone: (203)973-1670 Fax: (203)973-1422
Email: dobrien@whitney.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min:
Preferred Max:
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
GreenLeaf Mezzanine Capital, L.P.
Daniel J. O'Brien, new contact
177 Broad Street
Stamford, CT 06901
Phone: (203)973-1400 Fax: (203)973-1422
Email: dobrien@whitney.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min:
Preferred Max:
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Ironbridge Mezzanine Fund, L.P.
Marc Reich, President, Contact
200 Fisher Drive
c/o Ironwood Capital Advisors LLC
Avon, CT 06001
Phone: (860)409-2101 Fax: (860)409-2120
Email: reich@ironwoodcap.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $1,000,000
Preferred Max: $4,000,000
TYPE OF CAPITAL PROVIDED
Subordinated Debt w/Warrants
FUNDING STAGE PREFERENCE
Expansion
Acquisitions
Consolidations
Recapitalizations
MBO/Managemnt Successions
INDUSTRY PREFERENCE
Manufacturing
Service
Distribution
Consumer Products
Diversified
GEOGRAPHIC PREFERENCES
Mid-Atlantic
through Northeast
DESCRIPTION OF FIRM'S FOCUS
Gen. Mezzanine investor in established com-
panies. Seeking to invest in businesses ownd
by women & people of color & businesses
located in low and moderate income areas.
Marketing 1 to 1 Ventures, L.P.
Bruce Blasnik, Contact
One Landmark Square
Stamford, CT 06901
Phone: (203)325-4000 Fax: (203)325-8900
Email: blasnik@1to1ventures.com
INVESTMENT CRITERIA
INVESTMENT 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
8 Wright Street
Westport, CT 06880
Phone: (203)227-5320 Fax: (203)227-5312
Email: kc@mainstreet-resources.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
RFE Capital Partners, L.P.
Robert M. Williams, Managing Partner
36 Grove Street
New Canaan, CT 06840
Phone: (203)966-2800 Fax: (203)966-3109
Email: djuricic@rfeip.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min:
Preferred Max:
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
RFE Investment Partners V, L.P.
James A. Parsons, General Partner
36 Grove Street
New Canaan, CT 06840
Phone: (203)966-2800 Fax: (203)966-3109
Email: djuricic@rfeip.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $5,000,000
Preferred Max: $9,000,000
TYPE OF CAPITAL PROVIDED
Prefer Equity Investments
FUNDING STAGE PREFERENCE
Later Stage
Expansion
Acquisitions
INDUSTRY PREFERENCE
Manufacturing
Services
Healthcare
Distribution
GEOGRAPHIC PREFERENCES
National
Eastern US
DESCRIPTION OF FIRM'S FOCUS
Equity investments in acquisitions,
recapitalizations and growth financings
of profitable manufacturing, service or
distribution businesses with at least
$15 million in annual revenues and
attractive growth prospects.
RFE VI SBIC, L.P.
James Parsons, Managing Member.
36 Grove Street
New Canaan, CT 06840
Phone: (203)966-2800 Fax: (203)966-3109
Email: djuricic@rfeip.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $8,000,000
Preferred Max: $15,000,000
TYPE OF CAPITAL PROVIDED
Prefer Equity Investments
FUNDING STAGE PREFERENCE
Later Stage
Expansion
Acquisitions
INDUSTRY PREFERENCE
Manufacturing
Healthcare
Distribution
Services
GEOGRAPHIC PREFERENCES
National
Eastern US
DESCRIPTION OF FIRM'S FOCUS
Equity investments in acquisitions,
recapitalizations and growth financings
of profitable manufacturing, service or
distribution businesses with at least
$15million in annual revenues and
attractive growth prospects.
Saugatuck Capital Company, L.P. IV, SBIC
Frank Hawley, Thomas Berardino
One Canterbury Green
Stamford, CT 06901
Phone: (203)348-6669 Fax: 203-324-6995
Email: otharrington@saugatuckcapital.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
TD Javelin Capital Fund II, L.P.
Two Greenwich Plaza, 4th Floor
Greenwich, CT 06830-
Phone: (203)629-8700
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
TD Javelin Capital Fund, L.P.
Joan Neuscheler, General Partner
Two Greenwich Plaza, 4th Floor
Greenwich, CT 06830-
Phone: (203)629-8700
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
TD Lighthouse Capital Fund, L.P.
Two Greenwich Plaza, 4th Floor
Greenwich, CT 06830-
Phone: (203)629-8700
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
TD Origen Capital Fund, L.P.
Two Greenwich Plaza, 4th Floor
Greenwich, CT 06830-
Phone: (203)629-8700
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Valentis SB, L.P.
Paul M. Jacobi
411 West Putnam Avenue
Greenwich, CT 06830
Phone: (203)862-7074 Fax: (203)862-7374
Email: pjacob@wexford.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
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