Factors To Consider When Raising Capital:

• Meet management objectives
• Address investor and lender requirements
• Address internal business concerns and stakeholder issues

Potential Financing Sources:

• Traditional commercial bank financings
• Asset-based loans and lease transactions
• Subordinated/mezzanine financing
• Private placement of debt and equity with individual and institutional investors
• Non-traditional financing/hybrid financing/royalty financing and other
• Securities transactions conducted through a FINRA broker-dealer affiliate

Manage a Controlled Financing Process:

• Develop a clear understanding of the strategic objectives, financial position and operating parameters of Client
• Identify the appropriate capital sources
• Develop and distribute marketing materials to capital sources
• Structure the transaction
• Manage negotiations and closing process