SBICs provide equity capital, long-term loans, debt-equity investments and management assistance to small businesses.
SBIC Investment and Financing Companies Located in New Jersey
Alliance Mezzanine Investors, L.P.
Robert Eberhardt, Douglas Smith
96 Pompton Road
Verona, NJ 07044
Phone: (973)239-8900 Fax: (973)239-8909
Email: bob@mezcap.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $1,500,000
Preferred Max: $2,500,000
TYPE OF CAPITAL PROVIDED
Subordinated Debt w/Warrants
Equity
FUNDING STAGE PREFERENCE
Later Stage Only Include
Expansion
Growth Capital
LBO, MBO, Recaps
Acquisitions
INDUSTRY PREFERENCE
Diversified
Manufacturing
Distribution
Services
GEOGRAPHIC PREFERENCES
New Jersey
Pennsylvania
New York
New England
Mid-Atlantic(co-investrs)
DESCRIPTION OF FIRM'S FOCUS
Funding for expansion, acquisition, buyout
or recap of profitable later-stage companies
Capital Circulation Corporation (SSBIC)
Judy Kao, Manager
2035 Lemoine Avenue, Second Floor
Fort Lee, NJ 07024
Phone: (201)947-8637 Fax: (201)585-1965
Email: judykao@bellatlantic.net
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $100,000
Preferred Max: $200,000
TYPE OF CAPITAL PROVIDED
Loans Only
FUNDING STAGE PREFERENCE
Expansion
INDUSTRY PREFERENCE
Retail
High-Tech Services
GEOGRAPHIC PREFERENCES
Tri-State
New York
Pennsylvania
New Jersey
Connecticut
DESCRIPTION OF FIRM'S FOCUS
Emphasis on minority-owned
small businesses.
DFW Capital Partners, L.P.
Donald F. DeMuth, Manager
Glenpointe Center East, 5th Floor
300 Frank W. Burr Blvd.
Teaneck, NJ 07666
Phone: (201)836-2233 Fax: (201)836-5666
Email: DDemuth@DFWCapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $4,000,000
Preferred Max: $6,000,000
TYPE OF CAPITAL PROVIDED
Equity
FUNDING STAGE PREFERENCE
Early thru
Later Stage
MBO
Consolidations
Recapitalizations
INDUSTRY PREFERENCE
Manufacturing
Health Care
Services - Business
Services - Consumer
Information Technology
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
Provides direct private equity capital for
high growth, market niche companies
with revenues between $5 and $100 million
Typically an active investor and is
represented on the Board of Directors.
Early Stage Enterprises, L.P.
Ronald Hahn and James Millar, Managers
995 Route 518
Skillman, NJ 08558
Phone: (609)921-8896 Fax: (609)921-8703
Email: tammi@esevc.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min:
Preferred Max:
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
Seed
Early Stage
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
New Jersey and Area
DESCRIPTION OF FIRM'S FOCUS
Edison Fund V, L.P.
Ross Martinson, Contact
1009 Lenox Drive, #4
Lawrenceville, NJ 08648
Phone: (609)896-1900 Fax: (609)896-0066
Email: gayle@edisonventure.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
Edison Venture Fund IV SBIC, L.P.
Ross Martinson, Contact
1009 Lenox Drive, #4
Lawrenceville, NJ 08648
Phone: (609)896-1900 Fax: (609)896-0066
Email: rmartinson@edisonventure.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $1,000,000
Preferred Max: $6,000,000
TYPE OF CAPITAL PROVIDED
Equity Only
FUNDING STAGE PREFERENCE
Expansion
INDUSTRY PREFERENCE
Information Technology:
Software, Communications
Internet, Electronics
GEOGRAPHIC PREFERENCES
Mid-Atlantic
DESCRIPTION OF FIRM'S FOCUS
LV Equity Partners SBIC, L.P.
Scott Flamm, Richard Meckler Contacts
Waterfront Corporate Center
111 River Street, 10th Floor
Hoboken, NJ 07030-5776
Phone: (201)595-2926 Fax: (201)216-8605
Email: sflamm@lvep.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $1,000,000
Preferred Max: $3,000,000
TYPE OF CAPITAL PROVIDED
Equity
FUNDING STAGE PREFERENCE
Early thru
Later Stage
INDUSTRY PREFERENCE
Healthcare
Services
Technology
GEOGRAPHIC PREFERENCES
East Coast
DESCRIPTION OF FIRM'S FOCUS
MidMark Capital II, L.P.
Matthew W. Finlay, Contact
177 Madison Avenue
Morristown, NJ 07960
Phone: (973)971-9960 Fax: (973)971-9963
Email: mfinlay@midmarkcapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $8,000,000
Preferred Max: $10,000,000
TYPE OF CAPITAL PROVIDED
Equity Only
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
No High-Tech, Real Estate
No Oil & Gas
GEOGRAPHIC PREFERENCES
East of Mississippi
DESCRIPTION OF FIRM'S FOCUS
MidMark Capital, L.P.
Denis Newman, Manager
177 Madison Avenue
Morristown, NJ 07960
Phone: (973)971-9960 Fax: (973)971-9963
Email: jswerner@midmarkcapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $3,000,000
Preferred Max: $5,000,000
TYPE OF CAPITAL PROVIDED
Equity
FUNDING STAGE PREFERENCE
Expansion
Later Stage
INDUSTRY PREFERENCE
Diversified
Manufacturing
Distribution
Services
GEOGRAPHIC PREFERENCES
East
Southeast
Midwest
DESCRIPTION OF FIRM'S FOCUS
Focuses growth on equity investments and
acquisition activities on privately-owned
family companies and corporate divestitures
at the lower end of the middle market.
Navigator Growth Partners, L.P.
Bernard B. Markey, Contact
P. O. Box 159
Summit, NJ 07902-
Phone: (908)273-7733 Fax: (908)273-5566
Email: bbmarkey@navigatorequity.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $2,000,000
Preferred Max: $5,000,000
TYPE OF CAPITAL PROVIDED
Equity
FUNDING STAGE PREFERENCE
Later stage,
recapitalizations,
and buyouts
INDUSTRY PREFERENCE
Services, publishing,
and specialty manufacturing
GEOGRAPHIC PREFERENCES
Mid-Atlantic & Northeast
but will look anywhere
DESCRIPTION OF FIRM'S FOCUS
We partner with strong, experienced
management to build profitable, growing
companies that are leaders in their industry
Navigator's equity supports long-term growth
plans, often coupled with change of control.
NJTC Venture Fund SBIC, L.P.
4 Becker Farm Road
Roseland, NJ 07068
Phone: (973)994-0606 Fax: (973)992-6336
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
NJTC Venture Fund SBIC, L.P.
James T. Gunton, Contact
1001 Briggs Road, Suite 280
Mt. Laurel, NJ 08054
Phone: (856)273-6800 Fax: (856)273-0990
Email: jim@njtcvc.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
Norwood Venture Corp.
Mark R. Littell, President
65 Norwood Avenue
Montclair, NJ 07043-
Phone: (973)783-1117 Fax: (973)783-1117
Email: nvc@norven.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $300,000
Preferred Max: $800,000
TYPE OF CAPITAL PROVIDED
Equity-Oriented Debt Invest.
FUNDING STAGE PREFERENCE
Expansion
Later Stage
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
Equity-linked debt financing for private
and public companies in the $1,000,000 to
$20,000,000 sales range.
Penny Lane Partners, L.P.
William R. Denslow, Jr., Manager
One Palmer Square, Suite 309
Princeton, NJ 08542
Phone: (609)497-4646 Fax: (609)497-0611
Email: pennylanepartner@msn.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $1,000,000
Preferred Max: $2,000,000
TYPE OF CAPITAL PROVIDED
Equity
FUNDING STAGE PREFERENCE
Expansion
Later Stage
Buyout
INDUSTRY PREFERENCE
Medical/Health
Information Technology
Distribution
Manufacturing
Diversified
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
Sycamore Venture Capital, L.P.
John Whitman
845 Alexander Road
Princeton, NJ 08543-
Phone: (609)759-8888 Fax: (609)759-8900
Email: dlichtenstein@sycamorevc.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $2,000,000
Preferred Max: $6,000,000
TYPE OF CAPITAL PROVIDED
Equity
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
Tappan Zee Capital Corporation
Jeffrey Birnberg, President
201 Lower Notch Road
Mail: P.O. Box 416
Little Falls, NJ 07424
Phone: (973)256-8280 Fax: (973)256-2841
Email: tzcc@aol.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min:
Preferred Max:
TYPE OF CAPITAL PROVIDED
Loans
Debt/Equity
FUNDING STAGE PREFERENCE
Expansion
Later Stage
Buyouts
INDUSTRY PREFERENCE
Diversified
Retail
Manufacturing
GEOGRAPHIC PREFERENCES
Northeast
DESCRIPTION OF FIRM'S FOCUS
University Ventures, Inc. (SSBIC)
Oscar Figueroa, President
180 University Avenue
3rd Floor
Newark, NJ 07102
Phone: (973)353-5627 Fax: (973)353-1175
Email: ofiguero@andromeda.rutgers.edu
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
Ziegler Healthcare Fund I, L.P.
Douglas Korey, Contact
Executive Center #2, Third Floor
1040 Broad Street
Shrewsbury, NJ 07702
Phone: (732)578-0533 Fax: (732)578-0501
Email: esmith@zieglerhealthcare.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
Zon Capital Partners, L.P.
William D. Bridgers, Contact
5 Vaughn Drive, Suite 104
Princeton, NJ 08540
Phone: (609)452-1653 Fax: (609)452-1693
Email: v.glassman@zon2k3.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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