Generally, we look at a client's total corporate financial picture with particular attention to how the capital to be raised ties to the business and financial strategy. We then develop a financing structure which might include one (or more) of the following:

• PIPEs (Private Investment in Public Equity) sold primarily to fundamental buyers
• Follow-on and secondary offerings
• Convertibles
• Rights offerings
• Initial Public Offerings (IPOs)
• Debt Placements
• Advisory services
• Mergers and Acquisitions
• Going Private
• Recapitalizations
• Fairness Opinions / Valuations
• Private Placements

In transactions for public or private companies, we may act as sole manager or co-manager. In the case of IPOs, we always seek to work with a co-manager for retail distribution and to arrange a suitable syndicate. When debt is an important element of the total package, we will arrange the participations of the appropriate institutions. We normally distribute to "qualified institutional buyers".

When advising or acting as placement agent for venture capital, private capital, or hedge fund sponsors, our efforts are directed to public and private pension funds, insurance companies, endowments and foundations, and larger family offices.