| Company Name |
Transaction Date |
Transaction Type |
Industry |
Description of Engagement |
| Modern Home + Living [MHL] |
March 2009 |
M&A Financial Advisory |
Consumer - Electronic & Print Media |
Rendered opinion of value and an evaluation of the Company's strategic and financial alternatives. Corporate advisory services included refinement of existing business plan and establishment fund raising process. |
| Zenetti Wheels, Inc. |
March 2009 |
M&A Financial Advisory |
Consumer - Automotive Manufacturing |
Advisor to Zenetti Wheels concerning the sale of Company to China Wheel Co, Ltd. |
| MetroPacificBank |
February 2009 |
Fairness Opinion |
Financial Services - Commercial Lender |
Rendered fairness opinion to the Board of Directors and an evaluation of the Company's strategic and financial alternatives. |
| California NIDS Corp. |
January 2009 |
M&A Financial Advisory |
Healthcare - Acute Services |
Rendered opinion of value and an evaluation of the Company's strategic and financial alternatives. Corporate advisory services included refinement of existing business plan and management of Company's merger process. |
| Colonair, LLC |
November 2008 |
M&A Financial Advisory |
Healthcare - Medical Devices |
Rendered opinion of value and an evaluation of the Company's strategic and financial alternatives. Corporate advisory services included refinement of existing business plan and corporate documentation. |
| Everbright Development Overseas, Ltd. |
October 2008 |
Fairness Opinion |
M&A Financial Advisory |
Advisor to Everbright Development Overseas, Ltd. in the majority investment
in Gottschalks, Inc.. |
| MalCat, LLC |
October 2008 |
M&A Financial Advisory |
Natural Resources - Oil & Gas |
Rendered opinion of value and an evaluation of the Company's strategic and financial alternatives. Corporate advisory work included recapitalization of existing shareholder base. |
| Sinobiomed, Inc. |
September 2008 |
M&A Financial Advisory |
Healthcare - Pharmaceutical |
Rendered opinion of value and an evaluation of the Company's strategic and financial alternatives. Corporate advisory work included the establishment of recapitalization alternatives. |
| Innovate Motorsports, Inc. |
September 2008 |
M&A Financial Advisory |
Consumer - Automotive Manufacturing |
Rendered opinion and an evaluation of the Company's strategic and financial alternatives. |
| Novatech electro-luminescent, Inc. |
August 2008 |
Debt Placement |
Consumer - Electronics |
Advisor and agent for Private Placement of $10 Million of Accounts Receivable and Purchase Order financing. |
| CHF Technologies, Inc. [BioVentrix] |
July 2008 |
Private Equity Raise |
Healthcare - Medical Device |
Rendered opinion of value and an evaluation of the Company's strategic and financial alternatives. Advisor and agent for Private Placement of $1.5 Million of Convertible Debt.
|
| SMC Networks, Inc. |
July 2008 |
M&A Financial Advisory |
Consumer - Wireless Networks |
Rendered opinion and an evaluation of the Company's strategic and
financial alternatives. |
| Laser Eye Care of California, LLC |
January 2008 |
Private Equity Raise |
Healthcare - Services |
Advisor and agent for Private Placement of $10 Million of Subordinated Debt. |
| Menache, LLC |
December 2007 |
Private Equity Raise |
Consumer - Electronic Media |
Advisor and agent for Private Placement of $10 Million of Preferred Stock. |
| Environmental Processing Systems, LLC |
December 2007 |
M&A Financial Advisory |
Natural Resources - Mining |
Rendered opinion and an evaluation of the Company's strategic and
financial alternatives. |
| BioPharma Scientific, Inc. |
November 2007 |
Private Equity Raise |
Healthcare Neutraceutical |
Advisor and agent for Private Placement of $7.0 Million of Preferred Stock. |
| Stemedica Cell Technologies, Inc. |
July 2007 |
Private Equity Raise |
Healthcare - Therapeutic |
Rendered opinion of value and an evaluation of the Company's strategic and financial alternatives. Advisor and agent for Private Placement of $10 Million Private Placement. |
| Vitreo Retinal Technologies, Inc. |
June 2007 |
Private Equity Raise |
Healthcare - Pharmaceutical |
Advisor and agent for Private Placement of $9.5 Million of Preferred Stock. |
| Nordic Group of Companies, Ltd. |
May 2007 |
M&A Financial Advisory |
Industrial - Manufacturing |
Rendered opinion and an evaluation of the Company’s strategic and financial alternatives regarding Company's credit facilities. |
| Brookstone Telecom, Inc. |
March 2007 |
M&A Financial Advisory |
Telecommunications - Wireless |
Rendered opinion and an evaluation of the Company’s strategic and financial alternatives. |
| Century City Doctors Hospital LP |
March 2007 |
Restructuring & Advisory |
Healthcare - Acute Hospital |
Rendered opinion and an evaluation of the Company’s strategic and financial alternatives and advised the Company in the restructuring of Company's credit facilities. |
| Epinex Diagnostics, Inc. |
January 2007 |
Financial Advisory |
Healthcare - Medical Device |
Rendered opinion and an evaluation of the Company’s strategic and financial alternatives. |
| Hawaii Kai, Inc. |
December 2006 |
Financial Advisory |
Consumer - Specialty Retail |
Rendered opinion and an evaluation of the Company’s strategic and financial alternatives. |
| Black, Starr & Frost, Inc. |
November 2006 |
M&A Sell-Side Advisory |
Consumer - Specialty Retail |
Advisor to Black, Starr & Frost concerning the sale of Company to Molina Fine Jewelers. |
| Neuro Resource Group, inc. |
October 2006 |
Private Equity Raise |
Healthcare - Medical Device |
Advisor and agent for Private Placement of $10 Million of Preferred Stock. |
| Integrated Healthcare Holdings, Inc. |
September 2006 |
Restructuring & Advisory |
Healthcare - Acute Hospital |
Rendered opinion and an evaluation of the Company’s strategic and financial alternatives and advised the Company in the restructuring of Company's $120 million credit facilities. |
| Snow Valley Mountain Resort |
September 2006 |
M&A Financial Advisory |
Consumer - Recreational Park |
Rendered opinion and an evaluation of the Company’s strategic and financial alternatives. |
| Weld Racing, Inc. |
September 2006 |
M&A Sell-Side Advisory |
Industrial - Manufacturing |
Advisor to Mr. Greg Weld concerning the sale of Company to American Racing Equipment. |
| Giroux Glass, Inc. |
August 2006 |
M&A Financial Advisory |
Industrial - Manufacturing |
Rendered opinion and an evaluation of the Company’s strategic and financial alternatives. |
| Cognistar Interactive Corporation |
May 2006 |
M&A Financial Advisory |
Consumer - eLearning |
Rendered opinion and an evaluation of the Company’s strategic and financial alternatives. |
| Georgiou Studio, Inc. |
May 2006 |
M&A Financial Advisory |
Consumer - Retail Apparel |
Rendered opinion and an evaluation of the Company’s strategic and financial alternatives. |
| Insignia Solutions Plc |
May 2006 |
Restructuring & Advisory |
Telecommunications - Software |
Rendered opinion and an evaluation of the Company’s strategic and financial alternatives and advised on restructuring of existing credit facilities. |
| SimpleCash LLC |
April 2006 |
Restructuring & Advisory |
Consumer - eCommerce |
Rendered opinion and an evaluation of the Company’s strategic and financial alternatives, and advised on the divestiture of the Company from its parent ClickPay. |
| The Concours Group |
February 2006 |
M&A Financial Advisory |
Consumer - Learning |
Rendered opinion and an evaluation of the Company’s strategic and financial alternatives. |
| Boyd Coddington Wheels, Inc. |
January 2006 |
M&A Sell-Side Advisory |
Industrial - Manufacturing |
Advisor to Boyd Coddington Wheels concerning the sale of Company to American Racing Equipment. |
| Fortune Diversified Industries, Inc. |
November 2005 |
Convertible Debt - Senior Debt |
Telecommunications - Wireless |
Advisor and agent for Private Placement of $7.5 Million of Convertible Preferred Debt. |
| GWA Capital Partners LLC |
October 2005 |
Restructuring & Advisory Services |
Consumer - Specialty Financial |
Rendered opinion and an evaluation of the Company’s strategic and financial alternatives. |
| Nashville Shores, Inc. |
July 2005 |
Financial Advisory |
Consumer - Recreational Park |
Rendered opinion and an evaluation of the Company’s strategic and financial alternatives and advised on the minority investment in the Company by Investors Equity Holdings, Inc.. |
| Kaizen Capital LLC |
July 2005 |
Financial Advisory |
Consumer - Specialty Financial |
Rendered opinion and an evaluation of the Company’s strategic and financial alternatives. |
| Irvine Electronics, Inc. |
April 2005 |
Financial Advisory |
Industrial - Electronic/Aerospace |
Rendered opinion and an evaluation of the Company’s strategic and financial alternatives. |
| Snapware, Inc. |
February 2005 |
M&A Financial Advisory |
Consumer - Specialty Retail |
Rendered opinion and an evaluation of the Company’s strategic and financial alternatives. |
| Center Line Wheels, Inc. |
January 2005 |
Financial Advisory |
Industrial - Manufacturing |
Rendered opinion and an evaluation of the Company’s strategic and financial alternatives. |
| Black, Starr & Frost, Inc. |
March 2005 |
Fairness Opinion & Advisory |
Consumer - Specialty Retail |
Rendered a fairness opinion to Black, Starr & Frost, inc in connection with the Company's pending sale. |
| CPC of America, Inc. |
December 2004 |
M&A Financial Advisory |
Healthcare - Medical Device |
Rendered opinion and an evaluation of the Company’s strategic and financial alternatives. |
| Everbright Development Overseas, Ltd. |
August 2004 |
Financial Advisory |
Consumer - Specialty Financial |
Rendered opinion and an evaluation of the Company’s strategic and financial alternatives and assisted the Company in it's public filings with respect to annual report formation. |
| Snapware, Inc. |
April 2004 |
M&A Buy-Side Advisory |
Consumer - Specialty Retail |
Rendered opinion and an evaluation of the Company’s strategic and financial alternatives. |
| Z Pascal's LLC |
May 2004 |
Financial Advisory |
Consumer - Restaurants |
Rendered opinion and an evaluation of the Company’s strategic and financial alternatives. |
| Electronic Financial Services, Inc. |
February 2004 |
Financial Advisory |
Financial Services - Software |
Rendered opinion and an evaluation of the Company’s strategic and financial alternatives. |
| JIVAGO, Inc. |
September 2003 |
Financial Advisory |
Consumer - Specialty Retail |
Rendered opinion and an evaluation of the Company’s strategic and financial alternatives. |
| STOVACT, Inc. |
August 2003 |
M&A Sell-Side Advisory |
Consumer - Retail Electronics |
Rendered opinion and an evaluation of the Company’s strategic and financial alternatives. |
| JINRO Ltd. |
April 2003 |
Restructuring & Advisory Services |
Consumer - Specialty Retail |
Represented the Special Committee of JINRO Ltd. with respect to the Company's alternatives regarding out-of-court restricting of the Company's credit facilities. |
| Steakhouse Partners, Inc. |
February 2003 |
Restructuring & Advisory Services |
Consumer - Restaurants |
Represented the Special Committee of NRV Acquisition, LLC in their restructuring bid for the acquisition Steakhouse Partners, Inc. |
| The Cherokee Group, Inc. |
November 2002 |
M&A - Leveraged MBO |
Consumer - Specialty Retail |
Represented the Special Acquisition Group in their MBO bid for the acquisition of The Cherokee Group. |
| Lasonic Electronics, Inc. |
August 2002 |
Financial Advisory |
Consumer - Retail Electronics |
Rendered opinion and an evaluation of the Company’s strategic and financial alternatives. |
| Cucina! Cucina!, Inc. |
May 2002 |
M&A Sell-Side Advisory |
Consumer - Restaurants |
Advisor to Cucina! Cucina!, Inc. concerning the sale of Company to Wolfgang Puck Worldwide. |
