SBICs provide equity capital, long-term loans, debt-equity investments and management assistance to small businesses.
SBIC Investment and Financing Companies Located in New York
399 Venture Partners
William Comfort, Chairman
399 Park Avenue, 14th Floor/Zone 4
New York, NY 10043
Phone: (212)559-1127 Fax: (212)793-6164
Email: jjarema@cvcltd.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $1,000,000
Preferred Max: $5,000,000
TYPE OF CAPITAL PROVIDED
Equity
FUNDING STAGE PREFERENCE
MBO
INDUSTRY PREFERENCE
Industrial
Manufacturing
Distribution
No High Tech
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
Accretive Investors SBIC, L.P.
J. Michael Cline, Contact
55 East 59th Street, 22nd Floor
New York, NY 10022
Phone: (646)282-3131 Fax: (646)282-3138
Email: mcline@accretivetechnology.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $2,500,000
Preferred Max: $10,000,000
TYPE OF CAPITAL PROVIDED
Equity
FUNDING STAGE PREFERENCE
Seed and Growth
INDUSTRY PREFERENCE
Software
Business Process Outsourcing
andI T 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.
ACI Capital America Fund, L.P.
Gregory H. Warner, Thomas Israel
900 Third Avenue, 26th Floor
New York, NY 10022-4728
Phone: (212)634-3333 Fax: (212)634-3330
Email: jemattutat@acicapital.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
American Asian Capital Corporation (SSBIC)
Howard H. Lin, President
130 Water Street, Suite 6-L
New York, NY 10005
Phone: (212)422-6880 Fax: (212)422-6880
Email: linwillh@cs.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min:
Preferred Max:
TYPE OF CAPITAL PROVIDED
Loans
Equity
FUNDING STAGE PREFERENCE
Early Stage
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
Argentum Capital Partners II, L.P.
Daniel Raynor, Chairman
60 Madison Avenue, Suite 701
New York, NY 10110
Phone: (212)949-6262 Fax: (212)949-8294
Email: sberman@argentumvc.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $2,000,000
Preferred Max: $10,000,000
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, LP
Daniel Raynor, Chairman
60 Madison Avenue, Suite 701
New York, NY 10110
Phone: (212)949-8272 Fax: (212)949-8294
Email: sberman@argentumvc.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $1,000,000
Preferred Max: $5,000,000
TYPE OF CAPITAL PROVIDED
Equity
Mezzanine
FUNDING STAGE PREFERENCE
Expansion
Later Stage
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
Avalon Equity Fund, L.P.
Benjamin E. Brandes, Contact
800 3rd Avenue, 31st Floor
New York, NY 10022
Phone: (212)421-0600 Fax: (212)421-1742
Email: bbrandes@avalonequity.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
Bank Austria Creditanstalt SBIC, Inc.
Christopher Wrenn, President
245 Park Avenue, 32nd Floor
New York, NY 10167
Phone: (212)672-5656 Fax: (212)672-5500
Email: jvangeldern@hvbamericas.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $500,000
Preferred Max: $1,000,000
TYPE OF CAPITAL PROVIDED
Loans
Prefer Equity
FUNDING STAGE PREFERENCE
Later Stage
Expansion
INDUSTRY PREFERENCE
Medical/Health
Telecommunications
Manufacturing
GEOGRAPHIC PREFERENCES
Northeast
Midwest
South
Pacific
DESCRIPTION OF FIRM'S FOCUS
BNP Paribas Principal Incorporated
Steven Alexander, President
787 Seventh Avenue, 32nd Floor
New York, NY 10019-8018
Phone: (212)841-2000 Fax: (212)841-3558
Email: steve_alexander@paribas.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $1,500,000
Preferred Max: $5,000,000
TYPE OF CAPITAL PROVIDED
Equity Only
FUNDING STAGE PREFERENCE
Expansion
Later Stage
INDUSTRY PREFERENCE
Healthcare
Media
Business Service
Manufacturing
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
BNY Capital Partners, L.P.
Stratton Heath, Paul Echausse
445 Park Avenue
New York, NY 10022-
Phone: (212)821-1909 Fax: (212)832-6949
Email: pechausse@bankofny.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
BOCNY, LLC
W. Stephen Keller
c/o Stonehenge Capital Corporation
152 West 57th Street, 20th Floor
New York, NY 10019-
Phone: (212)944-2542 Fax: (212)656-1344
Email: wskeller@stonehengecapital.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
Brookside Pecks Capital Partners, L.P.
Robert Cresci, Contact
One Rockefeller Plaza, Suite 900
New York, NY 10020
Phone: (212)332-1346 Fax: (212)332-1334
Email: dbuttolph@brooksideintl.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.
16 West Main Street
Rochester, NY 14614
Phone: (716)231-1528 Fax: (716)231-1530
Email: cephascwc@aol.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $500,000
Preferred Max: $1,000,000
TYPE OF CAPITAL PROVIDED
Debt
Subordinated Debt
Preferred Stock
FUNDING STAGE PREFERENCE
Acquisition
Growth
MBO
Recaptialization
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.
CIBC WG Argosy Merchant Fund 1, L.P.
Steven A. Flyer, Executive Director
425 Lexington Aventue, 3rd Floor
New York, NY 10017
Phone: (212)885-4735 Fax: (212)885-4350
Email: steven.a.flyer@us.cibc.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
CIBC WMV Inc.
Robi Blumenstein, Managing Director
425 Lexington Avenue, 9th Floor
New York, NY 10017
Phone: (212)856-3713 Fax: (212)697-1544
Email: David.Shotland@US.CIBC.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
Citicorp Venture Capital, Ltd.
William Comfort, Chairman of the Board
399 Park Avenue, 14th Floor/Zone 4
New York, NY 10043
Phone: (212)559-1127 Fax: (212)793-6164
Email: jjarema@cvcltd.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $5,000,000
Preferred Max: $10,000,000
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
Later Stage
Leverage Buyout
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
East Coast
National
DESCRIPTION OF FIRM'S FOCUS
CMNY Capital II, L.P.
Robert G. Davidoff, General Partner
135 East 57th Street
26th Floor
New York, NY 10022
Phone: (212)909-8428 Fax: (212)980-2630
Email: nshea@carlmarks.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min:
Preferred Max: $800,000
TYPE OF CAPITAL PROVIDED
Loans
Equity
Debt
FUNDING STAGE PREFERENCE
Expansion
Later Stage
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
Seek out equity-type investments in
manufacturing, distribution, service and
retail companies as well as management
buyouts and selected turnarounds.
Coqui Capital Partners, L.P.
Jeffrey S. Davidson, Contact
1775 Broadway, Suite 604
New York, NY 10019
Phone: (212)247-4590 Fax: (212)247-4801
Email: scott@coquicapital.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
Critical Capital Growth Fund, L.P.
Steven Sands Mgr; C. Robinson
90 Park Ave., 39th Floor
New York, NY 10016
Phone: (212)697-5200 Fax: (212)697-8035
Email: crobinson@sandsbros.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
DB Capital Partners SBIC, L.P.
Heide Silverstein, Director
130 Liberty Street, 25th Floor
New York, NY 10006
Phone: (212)250-8084 Fax: (212)250-7651
Email: heide.silverstein@db.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $5,000,000
Preferred Max: $25,000,000
TYPE OF CAPITAL PROVIDED
Equity Investments
FUNDING STAGE PREFERENCE
Expansion
Later Stage
MBO
LBO
Acquisition
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
DeltaPoint Capital III, L.P.
David H. Waterman, Contact
387 E. Main Street, Suite 201
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
Dresdner Kleinwort Capital, LLC
Richard Wolf, Partner
75 Wall Street, 34th Floor
New York, NY 10005
Phone: (212)429-3131 Fax: (212)429-3099
Email: Richard.Wolf@drkw.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $5,000,000
Preferred Max: $15,000,000
TYPE OF CAPITAL PROVIDED
Equity
Subordinated Debt
FUNDING STAGE PREFERENCE
LBO
MBO
Later Stage
INDUSTRY PREFERENCE
Healthcare
Engineering
Business Services
Consumer Products
GEOGRAPHIC PREFERENCES
Northeast
West Coast
Midwest
Southeast
DESCRIPTION OF FIRM'S FOCUS
Look to invest in businesses that have
at least three years of historical
operating results, strong management,
and favorable industry trends.
East Coast Venture Capital, Inc. (SSBIC)
Zindel Zelmanovitch, President
241 Fifth Avenue, Suite 302
New York, NY 10016-
Phone: (212)686-1515 Fax: (212)686-1131
Email: fstart@aol.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
Easton Hunt Capital Partners, L.P.
John H. Friedman, Contact
641 Lexington Avenue, 21st Floor
New York, NY 10022
Phone: (212)702-0950 Fax: (212)702-0952
Email: schneider@eastoncapital.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
Elk Associates Funding Corporation
Gary C. Granoff, President
747 Third Avenue
New York, NY 10017
Phone: (212)421-2111 Fax: (212)759-3338
Email: lforlenza@elkassociates.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $100,000
Preferred Max: $300,000
TYPE OF CAPITAL PROVIDED
Secured Loans
Some Debt /w Equity
FUNDING STAGE PREFERENCE
Later Stage
INDUSTRY PREFERENCE
Transportation
Diversified
GEOGRAPHIC PREFERENCES
Northeast
South FL
Illinois
DESCRIPTION OF FIRM'S FOCUS
Emigrant Capital Corporation
Lawrence Adolf and John Hart, Managers
6 East 43rd Street
8th Floor
New York, NY 10017
Phone: (212)850-4460 Fax: (212)850-4839
Email: adolfl@emigrant.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
Empire State Capital Corporation (SSBIC)
Dr. Joseph Wu, President
170 Broadway, Suite 1200
New York, NY 10038
Phone: (212)513-1799 Fax: (212)513-1892
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
Eos Partners SBIC II, L.P.
Steven Friedman & Brian Young, Manager
320 Park Avenue, 22nd Floor
New York, NY 10022
Phone: (212)832-5800 Fax: (212)832-5805
Email: bbernstein@eospartners.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
Eos Partners SBIC III, L.P.
Beth Bernstein, Contact
320 Park Avenue, 22nd Floor
New York, NY 10022
Phone: (212)832-5800 Fax: (212)832-5815
Email: bbernstein@eospartners.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
Eos Partners SBIC, L.P.
Steven Friedman, Partner
320 Park Avenue, 22nd Floor
New York, NY 10022
Phone: (212)832-5814 Fax: (212)832-5815
Email: bbernstein@eospartners.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $1,000,000
Preferred Max: $5,000,000
TYPE OF CAPITAL PROVIDED
Equity
Debt w/Equity
FUNDING STAGE PREFERENCE
Early Stage
Expansion
Later
LBO
INDUSTRY PREFERENCE
Telecommunications
Media
Health Services
Business Outsourcing
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
Exeter Capital Partners IV, L.P.
Keith Fox, Kurt Bergquist, Jeff Weber
10 East 53rd Street
32nd Floor
New York, NY 10022
Phone: (212)872-1170 Fax: (212)872-1198
Email: exeter@exeterfunds.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $1,000,000
Preferred Max: $3,000,000
TYPE OF CAPITAL PROVIDED
Equity Investments
FUNDING STAGE PREFERENCE
Expansion
Later Stage
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
Exeter Equity Partners, L.P.
Keith Fox, Timothy Bradley, Jeff Weber
10 East 53rd Street
New York, NY 10022
Phone: (212)872-1170 Fax: (212)872-1198
Email: exeter@exeterfunds.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $1,000,000
Preferred Max: $3,000,000
TYPE OF CAPITAL PROVIDED
Equity Investments
Subordinated Debt
FUNDING STAGE PREFERENCE
Expansion
Later Stage
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
Exeter Venture Lenders, L.P.
Keith Fox, Manager
10 East 53rd Street
New York, NY 10022
Phone: (212)872-1170 Fax: (212)872-1198
Email: exeter@exeterfunds.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $1,000,000
Preferred Max: $3,000,000
TYPE OF CAPITAL PROVIDED
Loans
Equity Investments
FUNDING STAGE PREFERENCE
Expansion
Later Stage
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
National
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@saudibank.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 County Capital Inc. (SSBIC)
Orest Glut, Financial Manager
40-48 Main Street, Suite 301
Flushing, NY 11354
Phone: (718)461-1778 Fax: (718)461-1835
Email: FirstCounty@AOL.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $100,000
Preferred Max: $200,000
TYPE OF CAPITAL PROVIDED
Loans
Equity
FUNDING STAGE PREFERENCE
All Stages
INDUSTRY PREFERENCE
Manufacturing
Retail
Wholesale
Food Service
Diversified
GEOGRAPHIC PREFERENCES
North
Greater NY
DESCRIPTION OF FIRM'S FOCUS
Concentrates on loan and equity
financing to small & medium size
concerns. Goal is to maintain diversity
of industry financing as well as
client structure.
Flushing Capital Corporation (SSBIC)
Frank J. Mitchell, President
39-06 Union Street, Room 202
Flushing, NY 11354
Phone: (718)886-5866 Fax: (718)939-7761
Email: Flushing.capital@verizon.net
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
Founders Equity SBIC I, L.P.
John D. White, Jr., Contact
711 Fifth Avenue, 5th Floor
New York, NY 10022
Phone: (212)829-0900 Fax: (212)829-0901
Email: jdwhite@fequity.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
Freshstart Venture Capital Corporation
Alvin Murstein, President
437 Madison Avenue
New York, NY 10022
Phone: (212)328-2110 Fax: (212)328-2125
Email: esanchez@medallionfinancial.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
Fundex Capital Corp.
Larry Linksman, President
50 Main Street, Suite 1000
White Plains, NY 10606
Phone: (212)884-9360 Fax: (212)884-9346
Email: L.Linksman@fundexcapital.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $500,000
Preferred Max: $1,000,000
TYPE OF CAPITAL PROVIDED
Subordinated Debt w/Equity
Loans
Debt
FUNDING STAGE PREFERENCE
Early Stage
Expansion
INDUSTRY PREFERENCE
Consumer Products
Communications
Medical/Health
Specialty Retail
Diversiifed
GEOGRAPHIC PREFERENCES
Tri-State (NY, NJ, CT)
DESCRIPTION OF FIRM'S FOCUS
Focus on good management with good
products or services, with a proven track
record of successful operations, or absent
the above, require suitable
collateralizion.
Gefus SBIC, L.P.
William J. Beckett
375 Park Avenue, Suite 2401
New York, NY 10152
Phone: (212)308-1111 Fax: (212)308-1182
Email: wbeckett@gefinorusa.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
Hanam Capital Corp.
Robert Schairer, President
38 West 32nd Street, Suite 1512
New York, NY 10001
Phone: (212)564-5225 Fax: (212)564-5307
Email: hanam@aol.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $50,000
Preferred Max: $200,000
TYPE OF CAPITAL PROVIDED
Loans
Equity
FUNDING STAGE PREFERENCE
Early Stage
Expansion
Later Stage
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
Northeast
DESCRIPTION OF FIRM'S FOCUS
Hudson Venture Partners II, L.P.
Dr. Lawrence A. Howard, Contact
660 Madison Avenue, 14th Floor
New York, NY 10021
Phone: (212)644-9797 Fax: (212)644-7430
Email: cfeder@hudsonptr.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, L.P.
Lawrence Howard,Marilyn Adler,R. Glaser
660 Madison Avenue, 14th Floor
New York, NY 10022
Phone: (212)644-9797 Fax: (212)644-7430
Email: cfeder@hudsonptr.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
Ibero American Investors Corp. (SSBIC)
Domingo Garcia, President
104 Scio Street
Rochester, NY 14604
Phone: (716)262-3440 Fax: (716)262-3441
Email: iberoinv@rochester.rr.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $100,000
Preferred Max: $500,000
TYPE OF CAPITAL PROVIDED
Loans
Equity
Lines of Credit
FUNDING STAGE PREFERENCE
Early Stage
Expansion
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
Northeast
Southeast
DESCRIPTION OF FIRM'S FOCUS
Focus is in the manufacturing, service and
retail areas. Early stage and expansion
financing preferred.
Ibero American Investors Corp. (SSBIC)
Christine Ryan, Loan Officer
Statler Towers Bldg.
107 Delaware Avenue, Suite 64
Buffalo, NY 14202
Phone: (716)842-9908 Fax: (716)842-9925
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
ING Furman Selz Investments
Brian Friedman, Manager
520 Madison Avenue
8th Floor
New York, NY 10022
Phone: (212)284-1708 Fax: (212)284-1717
Email: mluxenberg@ingprivate.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $2,000,000
Preferred Max: $6,000,000
TYPE OF CAPITAL PROVIDED
Equity
Debt
FUNDING STAGE PREFERENCE
Expansion
Later Stage
No Start-ups
INDUSTRY PREFERENCE
Consumer and Retail
Healthcare
Information Technology
Industrial Manufacturing
Media/Communications
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
International Paper Cap. Formation, Inc. (SSBIC)
Julius A. Weiss, President
Two Manhattanville Road
Purchase, NY 10577-2196
Phone: (914)397-1960 Fax: (914)397-1630
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
J.P. Morgan Partners (23A SBIC), LLC
Jeffrey Walker, Managing Gen. Partner
1221 Avenue of the Americas, 40th Floor
New York, NY 10036
Phone: (212)899-3500 Fax: (212)899-7967
Email: Mary.Gormley@JPMorganPartners.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
J.P. Morgan Partners (SBIC), LLC
Jeffrey Walker, Managing Gen. Partner
1211 Avenue of the Americas, 40th Floor
New York, NY 10036
Phone: (212)899-3500 Fax: (212)622-3750
Email: Mary.Gormley@JPMorganPartners.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $5,000,000
Preferred Max: $100,000,0
TYPE OF CAPITAL PROVIDED
Venture Capital/Growth Equity
Senior Debt
FUNDING STAGE PREFERENCE
Mezzanine
Add-On Acquisitions
MBO/LBO
Second Stage
Recapitalization
INDUSTRY PREFERENCE
Aerospace/Automotive
Chemicals/Energy
Entertainment
Healthcare
Diversified
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Global private equity organization with
over $6 billion under management.
Affiliate of The Chase Manhattan Bank
which is a subsidiary of The Chase
Manhattan Corporation, the largest
bank holding company in the United States.
J.P. Morgan Partners Global Investors (SBIC
1221 Avenue of the Americas, 40th Floor
New York, NY 10020-
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
J.P. Morgan SBIC LLC
Jeffrey Walker, Managing Gen. Partner
1221 Avenue of the Americas, 40th Floor
New York, NY 10036
Phone: (212)899-3500 Fax: (212)648-5032
Email: Mary.Gormley@JPMorganPartners.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $5,000,000
Preferred Max: $10,000,000
TYPE OF CAPITAL PROVIDED
Equity
FUNDING STAGE PREFERENCE
Expansion
Later Stage
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
KBL Healthcare, L.P.
Marlene Krauss, Michael Kaswan
645 Madison Avenue
New York, NY 10022
Phone: (212)319-5555 Fax: (212)319-5591
Email: dcabo@kblhealthcare.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
LEG Partners Debenture SBIC, L.P.
Lawrence Golub, Manager
555 Madison Avenue
30th Floor
New York, NY 10022
Phone: (212)750-6060 Fax: (212)750-5505
Email: rzomback@golubassoc.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
LEG Partners III SBIC, L.P.
Lawrence Golub, Manager
555 Madison Avenue
30th Floor
New York, NY 10022
Phone: (212)750-6060 Fax: (212)750-5505
Email: rzomback@golubassoc.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
LEG Partners SBIC, L.P.
Lawrence E. Golub, Manager
555 Madison Avenue
30th Floor
New York, NY 10022
Phone: (212)750-6060 Fax: (212)750-5505
Email: rzomback@golubassoc.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $2,000,000
Preferred Max: $3,000,000
TYPE OF CAPITAL PROVIDED
Equity
Debt w/ Warrants
FUNDING STAGE PREFERENCE
Expansion
LBO
Acquisition
INDUSTRY PREFERENCE
Services
Media
Basic Manufacturing
Industrial Equipment
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
Seeks equity & equity related investments in
established, middle market companies.
Targets privately held businesses with
revenues between $10 - $150 million,
positive cash flow, growth potential
& sustainable earnings.
M & T Capital Corp.
Tom Scanlon, President
One Fountain Plaza
9th Floor
Buffalo, NY 14203
Phone: (716)848-3800 Fax: (716)848-3150
Email: tscanlon@mandtbank.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
Madison Investment Partners II, L.P.
Susan Goodrich, Contact
52 Vanderbilt Avenue
Suite 1010
New York, NY 10017-
Phone: (212)949-0400 Fax: (212)949-6049
Email: smaher@madisonpartners.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 Corporation
Alvin Murstein, President
437 Madison Avenue
New York, NY 10022
Phone: (212)328-2110 Fax: (212)328-2125
Email: mrusso@medallionfinancial.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
Merchants Capital Partners, L.P.
Jake Wessner
1120 Avenue of the Americas - 4th Floor
New York, NY 10036-
Phone: (212)626-6832 Fax: (212)626-6833
INVESTMENT CRITERIA
INVESTMENT 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, Manager
153 East 53rd Street
49th Floor
New York, NY 10022
Phone: (212)838-0888 Fax: (212)759-3897
Email: hal@dlfi.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $2,500,000
Preferred Max: $7,500,000
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.
NBT Capital Corporation
Daryl Forsythe & Joe Minor, Managers
19 Eaton Avenue
Norwich, NY 13815
Phone: (607)337-6810 Fax: (607)336-8730
Email: rpowell@nbtbank.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $300,000
Preferred Max: $500,000
TYPE OF CAPITAL PROVIDED
Equity
Subordinated Debt
Loans
FUNDING STAGE PREFERENCE
Expansion
Acquisition
Later Stage
Early Stage
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
Upstate NY
Northeast
Mid-Atlantic
DESCRIPTION OF FIRM'S FOCUS
Our primary interest is to provide a source
of capital for business expansion
in upstate NY.
Needham Capital SBIC II, L.P.
George Needham, John Michaelson, Mgrs.
445 Park Avenue
New York, NY 10022
Phone: (212)371-8300 Fax: (212)751-1450
Email: galban@needhamco.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
Needham Capital SBIC III, L.P.
Glen Albanese, Contact
445 Park Avenue
New York, NY 10022
Phone: (212)371-8300 Fax: (212)751-1450
Email: galban@needhamco.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
NYBDC Capital Corp.
Chester A. Sadowski, Sr. V. President
633 Third Avenue
36th Floor
New York, NY 10017
Phone: (212)803-3672 Fax: (212)803-3675
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
NYBDC Capital Corp.
Robert W. Lazar, President
41 State Street
P.O. Box 738
Albany, NY 12207
Phone: (518)463-2268 Fax: (518)463-0240
Email: pvannost@nybdc.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $100,000
Preferred Max: $100,000
TYPE OF CAPITAL PROVIDED
Loans
Equity
FUNDING STAGE PREFERENCE
Early Stage
Expansion
Later Stage
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
New York
DESCRIPTION OF FIRM'S FOCUS
NYBDC Capital Corp.
Stephen A. Ross, Vice President
16 West Main Street
Suite 236
Rochester, NY 14614
Phone: (716)232-6250
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Penny Lane Partners, L.P.
William R. Denslow, Manager
108 Forest Avenue
P.O. Box 447
Locust Valley, NY 11560-
Phone: (516)609-8065 Fax: (516)759-4653
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $0
Preferred Max: $0
TYPE OF CAPITAL PROVIDED
FUNDING STAGE PREFERENCE
INDUSTRY PREFERENCE
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Pierre Funding Corp.
Elias Debbas, President
805 Third Avenue, 6th Floor
New York, NY 10022
Phone: (212)888-1515 Fax: (212)688-4252
Email: PierreFunding@AOL.COM
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $100,000
Preferred Max: $500,000
TYPE OF CAPITAL PROVIDED
Collateralized Loans
FUNDING STAGE PREFERENCE
Expansion
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
East Coast
DESCRIPTION OF FIRM'S FOCUS
Psilos Group Partners II SBIC, L.P.
Jeffrey M. Krauss, Contact
625 Avenue of the Americas, 4th Floor
New York, NY 10011
Phone: (212)242-8844 Fax: (212)242-8855
Email: jeffkrauss@psilos.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
Pyramid Ventures, Inc.
Brian Talbot, Vice President
130 Liberty Street, 31st Floor
New York, NY 10006
Phone: (212)250-9571 Fax: (212)250-7651
Email: heide.silverstein@db.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min:
Preferred Max: $10,000,000
TYPE OF CAPITAL PROVIDED
Equity Investments
FUNDING STAGE PREFERENCE
Expansion
Later Stage
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
Quad Venture Partners SBIC, L.P.
Lincoln E. Frank, Contact
650 Fifth Avenue, 31st Floor
New York, NY 10019-
Phone: (212)724-2200 Fax: (212)724-4310
Email: russ@quadventures.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
Radius Venture Partners II, L.P.
Daniel C. Lubin, Contact
400 Madison Avenue, 8th Floor
New York, NY 10020
Phone: (212)897-7784 Fax: (212)397-2656
Email: dlubin@radiusventures.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, L.P.
Allen F. Grum, Jr., Contact
2200 Rand Buidling
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
RBC Equity Investments, Inc.
Sindy Jagger, Manager
One Liberty Plaza
New York, NY 10006-
Phone: (212)858-7157 Fax: (212)858-7468
Email: sindy.jagger@rbcap.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
RBS Capital Corporation
Andrew S. Weinberg, Sr. Vice President
101 Park Avenue, 10th Floor
New York, NY 10178-
Phone: (212)401-1330 Fax: (212)401-1390
Email: andrew.weinberg@rbos.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $500,000
Preferred Max: $2,000,000
TYPE OF CAPITAL PROVIDED
Equity
FUNDING STAGE PREFERENCE
Second Stage
Mezzanine
MBO
INDUSTRY PREFERENCE
Health
Consumer Services
Industrial Equipment
Technology
Food Services/Products
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
Invest in equity and mezzanine financing of
corporations which are viewed as target
customers.
Regent Capital Partners, L.P.
J. Oliver Maggard, Managing Partner
505 Park Avenue, Suite 1700
New York, NY 10022
Phone: (212)735-9900 Fax: (212)735-9908
Email: omaggard@caymuspartners.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $2,000,000
Preferred Max: $3,500,000
TYPE OF CAPITAL PROVIDED
Debt w/Equity
Equity
FUNDING STAGE PREFERENCE
Later Stage
MBO
LBO
Acquisition
INDUSTRY PREFERENCE
Consumer Oriented
Media
Communications
Business Services
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
Invests in businesses w/strong, focused
management teams who have extensive
knowledge of their industry, leadership
skills & vision to achieve their objectives
Invests in rapidly growing companies who
need addition equity capital/debt to expand.
Rock Maple Ventures, L.P.
David W. Freelove, Contact
711 Fifth Avenue, 5th Floor
New York, NY 10022
Phone: (212)813-2720 Fax: (212)813-2730
Email: dfreelove@rockmapleventures.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
SGC Partners II LLC
Christopher M. Neenan, VP & COO
1221 Avenue of the Americas
8th Floor
New York, NY 10020
Phone: (212)278-5184 Fax: (212)278-5454
Email: frances.madrid@us.socgen.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $5,000,000
Preferred Max: $50,000,000
TYPE OF CAPITAL PROVIDED
Loans
Equity
Debt w/Equity
FUNDING STAGE PREFERENCE
Expansion
Later Stage
MBO
LBO
Acquisitions
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
Sixty Wall Street SBIC Fund, L.P.
1211 Avenue of the Americas, 40th Floor
New York, NY 10036
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
Summer Street Capital Fund I, L.P.
Brian D'Amico
70 West Chippewa St.
Suite 500
Buffalo, NY 14202-
Phone: (716)566-2900 Fax: (716)566-2910
Email: bdamico@summerstreetcapital.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
Sunrise Equity Partners, L.P.
Marilyn S. Adler, Contact
641 Lexington Avenue, 25th Floor
New York, NY 10022
Phone: (212)421-1616 Fax: (212)750-7277
Email: marilyn@sunrisecorp.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
T.S. Capital Corporation
James Trainor, Manager
The Rice Building
216 River Street
Troy, NY 12180
Phone: (518)687-4430 Fax: (518)687-4435
Email: jtrainor@tscapital.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
The 1818 SBIC Fund, L.P.
Richard J. Ragoza, Contact
59 Wall Street
New York, NY 10005
Phone: (212)493-7910 Fax: (212)493-7280
Email: rick.ragoza@bbh.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
Toronto Dominion Capital (U.S.A.), Inc.
Mr. Marc H. Michel, President
31 West 52nd Street
New York, NY 10019
Phone: (212)827-7000 Fax: (212)974-8429
Email: gariem@tdusa.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.
Triad Capital Corp. of New York (SSBIC)
Oscar Figueroa, Manager of Rutgers Inv.
305 Seventh Avenue, 20th Floor
New York, NY 10001
Phone: (212)243-7360 Fax: (212)243-7647
Email: mrobiou@bcf-triad.org
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
Trusty Capital Inc. (SSBIC)
Yungduk Hahn, President
25 West 37th Street, 5th Floor
New York, NY 10118
Phone: (212)719-3760 Fax: (212)869-8577
Email: ydhahn@earthlink.net
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min:
Preferred Max:
TYPE OF CAPITAL PROVIDED
Loans
FUNDING STAGE PREFERENCE
No Preference
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
Regional
DESCRIPTION OF FIRM'S FOCUS
UBS Capital II LLC
Justin S. Maccarone, President
299 Park Avenue
New York, NY 10171
Phone: (212)821-6490 Fax: (212)821-6333
Email: marc.unger@ubs.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min:
Preferred Max: $20,000,000
TYPE OF CAPITAL PROVIDED
Equity
FUNDING STAGE PREFERENCE
Expansion
Later Stage
INDUSTRY PREFERENCE
Diversified
GEOGRAPHIC PREFERENCES
DESCRIPTION OF FIRM'S FOCUS
Walden Capital Partners, L.P.
John Costantino & Allen Greenberg, Mgrs.
708 Third Avenue, 21st Floor
New York, NY 10017
Phone: (212)355-0090 Fax: (212)755-8894
Email: walden@sbicservices.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $1,500,000
Preferred Max: $4,000,000
TYPE OF CAPITAL PROVIDED
Equity
FUNDING STAGE PREFERENCE
Early Stage
Later Stage
Expansion
INDUSTRY PREFERENCE
Manufacturing
Distribution
Service Industry
GEOGRAPHIC PREFERENCES
Northeast
Mid-Atlantic
DESCRIPTION OF FIRM'S FOCUS
Invests in companies that have a need
for growth capital with strong proven
management teams, and competitive
advantages. Capital provided for internal
growth, acquisitions and
management led buyouts.
Wall Street Technology Partners, L.P.
Richard H. Wolf, Contact
75 Wall Street, 34th Floor
New York, NY 10005
Phone: (212)429-2817 Fax: (212)429-2261
Email: richard.wolf@dresdnerkc.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
Wasserstein Adelson Ventures, L.P.
Townsend Ziebold, Jr., Manager
1301 Avenue of the Americas
44th floor
New York, NY 10019
Phone: (212)702-5688 Fax: (212)969-7879
Email: tz@wasserco.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $2,000,000
Preferred Max: $6,000,000
TYPE OF CAPITAL PROVIDED
Equity
FUNDING STAGE PREFERENCE
Early to Mid Stage
INDUSTRY PREFERENCE
Media
Entertainment
Internet
Communications
Healthcare
GEOGRAPHIC PREFERENCES
National
DESCRIPTION OF FIRM'S FOCUS
Wasserstein SBIC Ventures II, L.P.
Robert Mersten
1301 Avenue of the Americas
44th Floor
New York, NY 10019
Phone: (212)969-2698 Fax: (212)702-5635
Email: rm@wasserco.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
Westbury Equity Partners SBIC, L.P.
Richard P. Sicoli, Contact
1400 Old Country Road, Suite 313
Westbury, NY 11590
Phone: (516)333-0218 Fax: (516)333-2724
Email: rsicoli@westburypartners.com
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $3,000,000
Preferred Max: $9,000,000
TYPE OF CAPITAL PROVIDED
Equity
FUNDING STAGE PREFERENCE
Mid to Late Stage
INDUSTRY PREFERENCE
Information Technology,
Training & Education
Outsourcing,
Specialty Manufacturing
GEOGRAPHIC PREFERENCES
None
DESCRIPTION OF FIRM'S FOCUS
Since its founding in 1994, Westbury Partner
has been providing value-added capital to
privately owned, emerging growth companies.
Westbury invests as lead investor or
participant, partnering with experienced,
like-minded firms.
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