Capital Directory

List of Small Business Investment and VC Companies
Arranged by State
Disclaimer:
This directory has been compiled from federal and state government sources.
LookingForVentureCapital.com.com makes no warranty for the accuracy or correctness
of the addresses or information provided below.
Alabama
FJC Growth Capital Corporation
Frank L. Collazo, General Manager

Mail: PO Box 1290
Huntsville, AL 35807
INVESTMENT CRITERIA
INVESTMENT SIZE RANGE
Preferred Min: $350,000
Preferred Max: $500,000
TYPE OF CAPITAL PROVIDED

Loans w/Equity Features
FUNDING STAGE PREFERENCE

Expansion
Later Stage
INDUSTRY PREFERENCE
Manufacturing
Health/Medical
Communications
Diversified
GEOGRAPHIC PREFERENCES
South
Southeast
Midwest
DESCRIPTION OF FIRM'S FOCUS

Harbert Mezzanine Partners II SBIC, L.P.
William Lucas, Contact

One Riverchase Parkway South
Birmingham, AL 35244
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Harbinger Mezzanine Partners, L.P.
John Harrison, Contact

One Riverchase Parkway South
Birmingham, AL 35244
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Hickory Venture Capital Corporation
J. Thomas Noojin, President

301 Washington Street, NW
Suite 100
Huntsville, AL 35801
INVESTMENT CRITERIA
Preferred Min: $1,000,000
Preferred Max: $2,000,000

Equity
Convertible Debt

Early Stage
Expansion
LBO
MBO
INDUSTRY PREFERENCE
Healthcare
Security & Crime Prevention
Retail
Mid-Atlantic
South
Southwest
Arizona
Grayhawk Venture Fund I, L.P.
Sherman Chu, Contact

5050 North 40th Street, Suite 310
Phoenix, AZ 85018
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Magnet Capital, L.P.
Gregory Mischel/Michael Shields, Contact

3550 North Central Ave., Suite 1400
Phoenix, AZ 85012
INVESTMENT CRITERIA

Loans
Mezzanine
Equity

Expansion
Acquisition
Growth
INDUSTRY PREFERENCE
Manufacturing
Wholesale
Service
Southwest

Arkansas
Diamond State Ventures, L.P.
Joe T. Hays, Contact

200 South Commerce Street
Suite 400
Little Rock, AR 72201-1728
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Small Business Investment Capital, Inc.
John R. Mills, President

12103 Interstate 30
Mail: P.O. Box 3627
Little Rock, AR 72203
INVESTMENT CRITERIA
Preferred Min:

Loans

Start-Ups
Debt Consolidations
INDUSTRY PREFERENCE
Supermarkets
Arkansas
Oklahoma
Texas
Louisiana

California
GCG SBIC Investors, L.P.
111 Sutter Street, Suite 1950

San Francisco, CA 94104
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

J.P. Morgan Partners (SBIC), LLC
101 California Street

27th Floor
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Seacoast Capital Partners, L.P.
Jeff Holland
One Sansome Street
Suite 2100
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

American River Ventures, L.P.
Attention: Sher Pastino

2270 Douglas Blvd., Suite 212
Roseville, CA 95661
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Bank of America Ventures
Hayley Hoad, Manager, Administration

950 Tower Lane, Suite 700
Foster City, CA 94404
INVESTMENT CRITERIA

Equity

Early Stage
Expansion
Later Stage
INDUSTRY PREFERENCE
Communications/Systems
Internet Infrastructure/Software/Svcs
BtoB e-Commerce
Medical Related Biotechnology
National

Bentley Capital (SSBIC)
John Hung, President

592 Vallejo Street, Suite #2
INVESTMENT CRITERIA
Preferred Min:

Loans
Equity

Early Stage
INDUSTRY PREFERENCE
Diversified
West

Celerity Partners SBIC, L.P.
Clifford A. Lyon, Contact

11111 Santa Monica Blvd., Suite 1127
Los Angeles, CA 90025
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Central Valley Fund, L.P. (The)
Daniel J. Jessee, Contact

1590 Drew Avenue
Suite 110
Davis, CA 95616
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

CVP SBIC, L.P.
Christopher J. Hadsell, Contact

1010 El Camino Real, Suite 250
Menlo Park, CA 94025
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Draper Associates, a California LP
Timothy C. Draper, President

2882 Sand Hill Road #150
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:
INDUSTRY PREFERENCE

Draper-Richards L.P.
William Draper III, President

50 California Street,
Suite 2925
INVESTMENT CRITERIA

Equity

Seed
Early Stage
INDUSTRY PREFERENCE
Internet
Software
California
Boston, MA
District of Columbia

Seed stage software/internet deals in
Silicon Valley, Boston or District
of Columbia areas.
East Gate Private Equity Fund III, L.P.
Ken Choi, Contact

514 High Street, Suite #5
Palo Alto, CA 94301
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Emergence Capital Partners SBIC, L.P.
Gordon Ritter, Contact

160 Bovet Road, Suite 300
San Mateo, CA 94402
INVESTMENT CRITERIA

Equity

First Institutional Round
INDUSTRY PREFERENCE
Technology
Nationwide

Technology Software and Services
Far East Capital Corp.
Eduardo Ho, Manager

350 S. Grand Ave., Suite 4100
INVESTMENT CRITERIA
Preferred Min: $0

Loans
Equity

Expansion
INDUSTRY PREFERENCE
Diversified
California

Fulcrum Venture Capital Corporation (SSBIC)
Brian Argrett, President

300 Corporate Pointe, Suite 380
Culver City, CA 90230
INVESTMENT CRITERIA
Preferred Min: $0

Sub. Debentures
Equity

Expansion
Acquisition
$1M in sales
INDUSTRY PREFERENCE
Low/Med Tech
Manufacturing
Communications
Service Industry
West Coast
Prefer CA

GKM SBIC, L.P.
Jonathan R. Bloch, Contact

11150 Santa Monica Blvd., Suite 825
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Hamilton BioVentures, LP
Richard Crosby, Contact

12555 High Bluff Drive, Suite 310
San Diego, CA 92130
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Horizon Ventures Fund II, LP
Debby Schilling, Contact

4 Main Street, Suite 50
Los Altos, CA 94022
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Housatonic Equity Investors SBIC, L.P.
Barry Reynolds, Will Thorndike

44 Montgomery Street, Suite 4010
INVESTMENT CRITERIA

Equity Investments

Later Stage
INDUSTRY PREFERENCE
Business Services
Media
Communications
National

Housatonic Micro Fund SBIC, L.P.
Barry Reynolds, Contact

44 Montgomery Street, Suite 4010
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Huntington Capital, L.P.
Morgan Miller and Barry Wilson, Contacts

San Diego, CA 92130
INVESTMENT CRITERIA

Mezzanine Debt and Equity

Later Stage
INDUSTRY PREFERENCE
Diversified. No bleeding
edge technology.
Southwest USA

Please see www.huntingtoncapital.com
Labrador Ventures V-B, L.P.
Sean Foote, Contact

101 University Avenue, 4th Floor
Palo Alto, CA 94301
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

LaiLai Capital Corp. (SSBIC)
Paul Kuo, President

17800 Castleton Street
#386
City of Industry, CA 91748
INVESTMENT CRITERIA

Loans
Equity

Expansion
INDUSTRY PREFERENCE
Diversified
California

Marwit Capital Company, L.P.
Chris Britt, President

100 Bayview Circle
Suite 550
Newport Beach, CA 92660
INVESTMENT CRITERIA

Sub. Debt w/Equity
Preferred Stock

Expansion
Acquisitions
Buyouts
INDUSTRY PREFERENCE
Manufacturing/Distribution
Telecommunications/Media
Healthcare/Medical
Food/Consumer Products
Diversified
Western US

Founded in 1962, Marwit Capital is one of
the oldest SBICs in the country. Provides
capital to and acts as a financial sponsor
for growing middle market companies in a
wide range of industries Prefer sub-debt
financings, but will also invest equity.
Montreux Equity Partners II SBIC, L.P.
Daniel K. Turner III, General Partner

3000 Sand Hill Road
Building 1, Suite 260
Menlo Park, CA 94025-7073
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Montreux Equity Partners III SBIC, L.P.
Daniel K. Turner III, General Partner

3000 Sand Hill Road
Menlo Park, CA 94025-7073
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Novus Ventures II, L.P.
Daniel D. Tompkins, Managing GP

20111 Stevens Creek Blvd., Suite 130
Cupertino, CA 95014
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Odyssey Venture Partners II, LP
David Jones, Contact

600 Anton Blvd., Suite 1750
Costa Mesa, CA 92626
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Opportunity Capital Corporation (SSBIC)
J. Peter Thompson, President

2201 Walnut Avenue, Suite 210
Fremont, CA 94538
INVESTMENT CRITERIA

Debt w/Warrants
Equity

Expansion
Later Stage
Acquisitions
INDUSTRY PREFERENCE
Manufacturing
Healthcare
Telecommunications
Diversified
West Coast
National

Provides financing to minority entrepreneurs
who seek to acquire or expand profitable,
well-managed companies that have the
potential to produce significant investment
returns via a combination of current
income and equity appreciation.
Opportunity Capital Partners II, L.P.
J. Peter Thompson, General Partner

2201 Walnut Avenue, Suite 210
Fremont, CA 94538
INVESTMENT CRITERIA

Debt w/Warrants
Equity

Expansion
Later Stage
Acquisitions
INDUSTRY PREFERENCE
Manufacturing
Healthcare
Telecommunications
Diversified
West Coast
National

Provides financing to minority entrepreneurs
who seek to acquire or expand profitable,
well-managed companies that have the
potential to produce significant investment
returns via a combination of current
income and equity appreciation.
Outlook Ventures III, L.P.
Carl Nichols, Contact

INVESTMENT CRITERIA

Seed
Early Stage
Expansion
INDUSTRY PREFERENCE
Technology
Software
Western United States

Outlook Venture's strategy is to be the
first institutional investor in sustainable
software-based businesses.
Pacific Mezzanine Fund, L.P.
Nathan W. Bell, General Partner

2200 Powell St., Suite 1250
Emeryville, CA 94608
INVESTMENT CRITERIA

Loans w/Equity Features

Expansion
Later Stage
Buyouts
INDUSTRY PREFERENCE
Diversified
Western US

Peninsula Equity Partners SBIC, L.P.
Gregory C. Ennis, Contact

3000 Sand Hill Road
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Pinecreek Capital Partners, L.P.
Randall F. Zurbach, President

24 Corporate Plaza, Suite 180
Newport Beach, CA 92660
INVESTMENT CRITERIA

Sub. Debt w/Warrants

Later Stage
Growth
Acquisition
INDUSTRY PREFERENCE
Basic Industries
Diversified
Western US

Invests in companies with revenues ranging
from $5 to $50 million and a three-year
history of positive cash flow and operating
profits. Will consider all types of
financial situations. Prefer companies in
the western US operating in basic industries
Positive Enterprises, Inc. (SSBIC)
Kwok Szeto, President

1489 Webster Street, Suite 228
INVESTMENT CRITERIA
Preferred Min:

Loans
Equity

Expansion
Early Stage
Later Stage
INDUSTRY PREFERENCE
Diversified
Rest Homes
Manufacturing
Light Industry
North
Regional

Red Rock Ventures SBIC III, L.P.
Carol M. T. Pereira, Contact

180 Lytton Avenue
Palo Alto, CA 94301
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Rembrandt Venture Partners II, L.P.
Gregory F. Eaton, Contact

2200 Sand Hill Road, Suite 160
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Rocket Ventures II SBIC, L.P.
David Adams
2200 Sand Hill Road
Suite 240
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Rustic Canyon Ventures SBIC, L.P.
Paul Notaras, Contact

2425 Olympic Blvd., Suite 6050 W
Santa Monica, CA 90404
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Selby Venture Partners II, L.P.
Robert Marshall, Contact

3500 Alameda De Las Pulgas, 2nd Floor
INVESTMENT CRITERIA

Equity
Convertible Debt

Seed
Early Stage
INDUSTRY PREFERENCE
Information Technology
Networking/Communications
Enterprise Software
Wireless/emerging technologies
Northern California
West Coast

Silicon-valley based venture capital fund
focusing on seed and early stage investments
networking and communications, enterprises
software, wireless and emerging technologies
Typical investment ranges from $3m to $7m.
Shepherd Ventures II, L.P.
George C. Kenney, Contact

San Diego, CA 92130
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Sorrento Growth Partners I, L.P.
Robert Jaffe, Manager

4370 La Jolla Village Drive, Suite 1040
San Diego, CA 92122
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:

Loans
Equity

Early Stage
INDUSTRY PREFERENCE
Med./Health
Special Retail
Communications/
Electronics
Southern
California

St. Cloud Capital Partners, L.P.
Ben Hom, Contact

10866 Wilshire Blvd., Suite 1450
INVESTMENT CRITERIA

Loans
Converible Debt Securities
Debt Securities with Warrants

Primarily Growth and
Expansion Financing
Some Turnaround,
Development and
Buyout Financing
INDUSTRY PREFERENCE
Diversified, subject to SBA limits
Western United
States preferred

St. Cloud seeks well-managed, established
companies with opportunites to significantly
grow their valuation by increasing sales
and/or enhancing margins to increase net
profitability. Prefer companies with strong
debt sevice capability.
Stone Canyon Venture Partners, L.P.
Mike Seibert, Contact

301 N. Canon Drive, Suite 302
Beverly Hills, CA 90210
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Telegraph Hill Partners SBIC, L.P.
Robert G. Shepler, Contact

360 Post Street, Suite 601
INVESTMENT CRITERIA

Equity capital

Early, mid, late stage.
Capital to be used for
growth of revenue
generating businesses.
INDUSTRY PREFERENCE
Life sciences, healthcare,
medical devices, chemistry,
fine chemicals, modular biology.
Throughout US

Life science and healthcare companies
with proven business models.
The company should have revenues from unique
leading products and show strong growth
and a path to profitability
TeleSoft Partners II SBIC, L.P.
Arjun Gupta, Manager

Metro Center Tower
950 Tower Lane, Suite 1600
Foster City, CA 94404
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

UnionBanCal Venture Corporation
Robert S. Dawson, President

445 South Figueroa Street
13th Floor
INVESTMENT CRITERIA
Preferred Min:

Loans w/Equity

Expansion
Later Stage
INDUSTRY PREFERENCE
Communications
Cable TV
Television
Radio
Telecommunications
National

Invests in equity and equity-like
investments in small businesses
as defined by the Small Business
Administration.
Colorado
Appian Ventures SBIC I, L.P.
Phillip Dignan, Contact

1512 Larimer Street, Suite 200
Denver, CO 80202
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0

Equity

Seed - 10%
Early - 70%
Growth - 20%
INDUSTRY PREFERENCE
Colorado - 60%
Western U.S. - 40%

IT/Communicaitons technology with early
stage emphasis.
CapEx L.P.
Jeffrey Ross, Manager

518 Seventeenth Street, 17th Floor
Denver, CO 80202
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:
INDUSTRY PREFERENCE

Hanifen Imhoff Mezzanine Fund, L.P.
Edward C. Brown, Manager

1125 17th Street, Suite 2260
Denver, CO 80202
INVESTMENT CRITERIA

Debt w/Equity Features
Preferred Stock
Common Stock

Later Stage
MBO
LBO
Acquisition
Growth
INDUSTRY PREFERENCE
Manufacturing
Distribution
Service
Nat. Midwest
Rocky Mountain

Provider of mezzanine & equity capital to
small & middle market companies.
Funds are used to finance ownership
transitions, recapitalizations, strategic
acquisitions and growth for later
stage businesses.
Roaring Fork Capital SBIC, L.P.
Eugene McColley, Contact

8400 E Prentice Avenue, Suite 745
Greenwood Villag, CO 80111
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0

Expansion atage - 50%
Later stage - 50%
INDUSTRY PREFERENCE
N/A

publicly held small business (micro cap)
Vista Ventures Advantage, LP
Catharine M. Merigold, Contact

1011 Walnut Street, Suite 410
Boulder, CO 80302
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Appian Ventures SBIC I, L.P.
Phillip Dignan, Contact

1512 Larimer Street, Suite 200
Denver, CO 80202
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0

Equity

Seed - 10%
Early - 70%
Growth - 20%
INDUSTRY PREFERENCE
Colorado - 60%
Western U.S. - 40%

IT/Communicaitons technology with early
stage emphasis.
CapEx L.P.
Jeffrey Ross, Manager

518 Seventeenth Street, 17th Floor
Denver, CO 80202
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:
INDUSTRY PREFERENCE

Hanifen Imhoff Mezzanine Fund, L.P.
Edward C. Brown, Manager

Denver, CO 80202
INVESTMENT CRITERIA

Preferred Stock
Common Stock

Later Stage
MBO
LBO
Acquisition
Growth
INDUSTRY PREFERENCE
Manufacturing
Distribution
Service
Nat. Midwest
Rocky Mountain

Provider of mezzanine & equity capital to
small & middle market companies.
Funds are used to finance ownership
transitions, recapitalizations, strategic
acquisitions and growth for later
stage businesses.
Roaring Fork Capital SBIC, L.P.
Eugene McColley, Contact

8400 E Prentice Avenue, Suite 745
Greenwood Villag, CO 80111
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0

Expansion atage - 50%
Later stage - 50%
INDUSTRY PREFERENCE
N/A

publicly held small business (micro cap)
Vista Ventures Advantage, LP
Catharine M. Merigold, Contact

Boulder, CO 80302
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Connecticut
TD Lighthouse Capital Fund, L.P.
Two Greenwich Plaza, 4th Floor

Greenwich, CT 06830
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

AB SBIC, Inc.
Michael A. Bozzuto, President

275 School House Road
Cheshire, CT 06410
INVESTMENT CRITERIA
Preferred Min:

Loans

Expansion
INDUSTRY PREFERENCE
Food Stores
North

Altus Capital Partners SBIC, L.P.
Russell Greenberg, Contact

10 Wright Street, Suite 110
Westport, CT 06880
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Brookside Pecks Capital Partners, L.P.
David D. Buttolph, Corey Sclar; Contact

80 Field Point Road
Greenwich, CT 06830
INVESTMENT CRITERIA

Subordinated Debt

Acquisition
Expansion
Recapitalizations
MBO
INDUSTRY PREFERENCE
Manufacturing
Service
Value-Added Distribution
National

Provides subordinated debt investments to
profitable later-stage companies.
Cygnet Capital Partners L.P. SBIC
Owen S. Crihfield, Contact

281 Tresser Boulevard, 4th Floor
Stamford, CT 06901
INVESTMENT CRITERIA

Prefer Equity Investments

Later Stage
Expansion
Acquisitions
INDUSTRY PREFERENCE
Manufacturing, Distribution
Services, Outsourcing
Bus-to-Bus Applications
Industrial Process, Energy
Engineered Products, Utilities
National

Equity investments in profitable, smaller,
middle market businesses
Equinox Capital SBIC, L.P.
Steven C. Rodger, Contact

41 West Putnam Avenue
Greenwich, CT 06830
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

First New England Capital 2, L.P.
Richard Klaffky, Manager

100 Pearl Street
Hartford, CT 06103
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:
INDUSTRY PREFERENCE

First New England Capital, LP
Richard C. Klaffky, President

100 Pearl Street
Hartford, CT 06103
INVESTMENT CRITERIA

Subordinated Debt
Equity

Expansion
Later Stage
Acquisition
INDUSTRY PREFERENCE
Manufacturing
Distribution
Service
Northeast

Provides subordinated debt and
equity capital to later stage companies
for expansion and acquisition.
Target companies with revenues of at
least $5 million and profitability at
the time of investment.
Mark B. Shufro, Contact

10 Wright Street, Suite 110
Westport, CT 06880
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

GreenLeaf Capital, L.P.
Daniel J. O'Brien, Partner

177 Broad Street
Stamford, CT 06901
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:
INDUSTRY PREFERENCE

Ironwood Equity Fund LP
Marc A. Reich, Contact

200 Fisher Drive
Avon, CT 06001
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Ironwood Mezzanine Fund, L.P.
Marc Reich, President, Contact

200 Fisher Drive
c/o Ironwood Capital Advisors LLC
Avon, CT 06001
INVESTMENT CRITERIA

Subordinated Debt w/Warrants

Expansion
Acquisitions
Consolidations
Recapitalizations
MBO/Managemnt Successions
INDUSTRY PREFERENCE
Manufacturing
Service
Distribution
Consumer Products
Diversified
Mid-Atlantic
through Northeast

Gen. Mezzanine investor in established com-
panies. Seeking to invest in businesses ownd
by women & people of color & businesses
located in low and moderate income areas.
JHW Greentree Capital, L.P.
Michael B. Cowan, Contact

177 Broad Street, 15th Floor
Stamford, CT 06901
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0

Equity - 75%

Early stage - 25%
Growth and Expansion - 75
INDUSTRY PREFERENCE
$8 million to $10 million
National basis

Retail/wholesale distribution - 15%;
Manufacturing - 25%
Helathcare - 25%
Basic Industries and Services - 35%
Marketing 1 to 1 Ventures, L.P.
Bruce Blasnik, Contact

One Stamford Landing
Suite 101
Stamford, CT 06902
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

MSR I SBIC, L.P.
Daniel A. Levinson
8 Wright Street
Westport, CT 06880
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0

Growing stage
INDUSTRY PREFERENCE
four investments each year
Northeast region of U.S.
New York, New Jersey
Connecticut, Massachusett

value approach, no industry focus
RFE Investment Partners V, L.P.
James A. Parsons, General Partner

36 Grove Street
New Canaan, CT 06840
INVESTMENT CRITERIA


Later Stage
Expansion
Acquisitions
INDUSTRY PREFERENCE
Manufacturing
Services
Healthcare
Distribution
National
Eastern US

Equity investments in acquisitions,
recapitalizations and growth financings
of profitable manufacturing, service or
distribution businesses with at least
$15 million in annual revenues and
attractive growth prospects.
RFE VI SBIC, L.P.
James Parsons, Managing Member.

36 Grove Street
New Canaan, CT 06840
INVESTMENT CRITERIA


Later Stage
Expansion
Acquisitions
INDUSTRY PREFERENCE
Manufacturing
Healthcare
Distribution
Services
National
Eastern US

Equity investments in acquisitions,
recapitalizations and growth financings
of profitable manufacturing, service or
distribution businesses with at least
$15million in annual revenues and
attractive growth prospects.
Saugatuck Capital Company, L.P. IV, SBIC
Frank Hawley, Thomas Berardino

One Canterbury Green
Stamford, CT 06901
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:
INDUSTRY PREFERENCE

Valentis SB, L.P.
Paul M. Jacobi
411 West Putnam Avenue
Greenwich, CT 06830
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Madison Investment Partners II, L.P.
Susan Goodrich, Contact

82 Bradley Rd.
Madison, CT 06443
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Delaware
Inflection Point Ventures II, L.P.
Jeffrey A. Davison, Contact

1 Innovation Way
Suite 500
Newark, DE 19711
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Innovation Ventures, L.P.
David J. Freschman, Contact

Three Mill Road, Suite 201
Wilmington, DE 19806
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

GIV Venture Partners, L.P.
William Melton
One Innovation Way
Suite 500
Newark, DE 19711
INVESTMENT CRITERIA

Equity

Early Stage
Expansion
INDUSTRY PREFERENCE
Diversified
Mid-Atlantic

Opportunities to create substantial
efficiencies by the application of
technology and niche opportunities created
at the junctures between evolving
technologies.
Florida
CapitalSouth Partners Fund I, L.P.
David Reed
712 South Oregon Avenue, Suite 200
Tampa, FL 33606
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

CapitalSouth Partners Fund II, L.P.
David Reed
712 South Oregon Avenue
Suite 200
Tampa, FL 33606
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Power Equities, Inc.
Maureen Beavers
50 N. Laura Street, 9th Floor
FL9-001-09-03
Jacksonville, FL 32202
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Banyan Mezzanine Fund, L.P.
John A. Miller, Contact

1395 Brickell Avenue, Suite 900
Miami, FL 33131
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

BOCF, LLC
Steven F. Lux, Travis J. Milks

777 S. Harbour Island Blvd.
Suite 375
Tampa, FL 33602
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:
INDUSTRY PREFERENCE

KLH Capital, L.P.
Mark J. Hunter, Contact

101 E. Kennedy Blvd., Suite 3925
Tampa, FL 33602
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Market Capital Corp.
Eugene C. Langford, President

1715 W. Cleveland Street
Tampa, FL 33606
INVESTMENT CRITERIA
Preferred Min:

Secured Loans

All Stages
INDUSTRY PREFERENCE
Retail Grocery
Florida

Georgia
EGL/NatWest Equity Partners USA, L.P.
Salvatore Massaro, Manager

3495 Piedmont Road
Atlanta, GA 30305
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:
INDUSTRY PREFERENCE

First Growth Capital, Inc.
Vijay K. Patel, President

P.O. Box 815
I-75 & GA 42, Best Western Plaza
Forsyth, GA 31029
INVESTMENT CRITERIA
Preferred Min: $0

Mezzanine w/Equity

Expansion
INDUSTRY PREFERENCE
Diversified
National

Global Capital Funding Group, L.P.
Brad A. Thompson, Contact

106 Colony Park Drive, Suite 900
Cumming, GA 30040
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Hawaii
Pacific Venture Capital, Ltd.
Frank Tokioka
222 South Vineyard Street
PH.1
Honolulu, HI 96813
INVESTMENT CRITERIA
Preferred Min:

Loans
Equity
Subordinated Debt

Early Stage
Expansion
Later Stage
INDUSTRY PREFERENCE
Technology
Diversified
Regional

Illinois
Altus Capital Partners SBIC, L.P.
250 Parkway Drive, Suite 120

Lincolnshire, IL 60069
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

CFB Venture Fund III, L.P.
Dan W. O' Connell

120 S. Riverside, Suite 2160
Chicago, IL 60606
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

225 W. Washington Street

Chicago, IL 60606
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

LaSalle Capital Group, L.P.
Andrew Shackelford, CFO

Three First National Plaza, Suite 5710
Chicago, IL 60602
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

ABN AMRO Capital (USA) Inc.
Paul Widuch, Chairman

208 South LaSalle Street, 10th Floor
Chicago, IL 60674
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:
INDUSTRY PREFERENCE

Alpha Capital III SBIC, L.P.
Andrew H. Kalnow, Contact

122 South Michigan Avenue
Suite 1700
Chicago, IL 60603
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Banc One Equity Capital SBIC Fund II, L.L.C
Susane Klaus, Contact

55 West Monroe Street, 18th Floor
Mail Stop IL1-0382
Chicago, IL 60670
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

BancAmerica Capital Investors SBIC II, L.P.
Gregory V. Costigan, Sr. Compliance Mgr.

Chicago, IL 60697
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:
INDUSTRY PREFERENCE

Cardinal Growth, L.P.
Joseph M. McInerney, Contact

311 South Wacker Drive, Suite 5500
Chicago, IL 60606
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Channel Medical Partners, L.P.
Gregory Shearer, Contact

5750 Old Orchard Road, Suite 310
Skokie, IL 60077
INVESTMENT CRITERIA

Equity
INDUSTRY PREFERENCE
Medical Technology
National

Chicago Venture Partners, L.P.
John Fife, Manager

303 East Wacker Drive,
Suite 311
Chicago, IL 60601
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

CIVC Partners Fund, LLC
Christopher J. Perry - Managing Member

191 North Wacker Drive
Suite 1100
Chicago, IL 60606
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:
INDUSTRY PREFERENCE

Continental Illinois Venture Corp.
Terry Perucca, President

231 South LaSalle Street
Chicago, IL 60697
INVESTMENT CRITERIA

Subordinated Debt
Equity

Expansion
Later Stage
MBO
INDUSTRY PREFERENCE
Diversified
National

Makes majority and minority equity
investments in established service
and manufacturing businesses in the
U.S. with at least $20 million in sales
and $5 million in EBITDA.
DNJ Leasing II, L.P.
Jeffery S. Pfeffer, Contact

10 S. Wacker Drive, Suite 1840
Chicago, IL 60606
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Dunrath Capital Infrastructure Surety Fund,
Stephen S. Beitler, Contact

One North Franklin Street, Suite 750
Chicago, IL 60606
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

First Chicago Equity Corporation
David J. Vitale, President

Three First National Plaza
Suite 3800
Chicago, IL 60670
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:

Equity

Expansion
Later Stage
Buyouts
INDUSTRY PREFERENCE
Diversified
National

High Street Capital III SBIC, L.P.
Joseph R. Katcha, Contact

Chicago, IL 60603
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Hispania Private Equity, L.P.
Victor L. Maruri, Contact

311 South Wacker Drive
Suite 4200
Chicago, IL 60606
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0

Equity

Growth to later stage
INDUSTRY PREFERENCE
Hispanic owned business
in U.S. and Puerto Rico

media and entertainment,
business services,
food and beverage
financial services
education
Hopewell Ventures, L.P.
Craig Overmyer, Contact

20 North Wacker Drive, Suite 2200
Chicago, IL 60606
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Mercantile Capital Partners I, L.P.
Steven Edelson, Contact

1372 Shermer Road
Northbrook, IL 60062
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Midwest Mezzanine Fund II, L.P.
David Gezon & Allan Kayler, Mgrs.

135 South LaSalle Street
20th Floor
Chicago, IL 60603
INVESTMENT CRITERIA

Subordinated Debt
Preferred Stock
Common Stock

Expansion
Acquisition
MBO
Recapitalizations
INDUSTRY PREFERENCE
Manufacturing
Service
Media
Distribution
Midwest
Southeast
Mid-Atlantic
Southwest

Provides junior capital, principally
subordinated debt with equity, to
established businesses to finance growth,
acquisitions, recapitalizations,
and changes of ownership.
MK Capital SBIC, L.P.
Bret R. Maxwell, Contact

1033 Skokie Boulevard, Suite 430
Northbrook, IL 60062
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Prairie Capital II, L.P.
C. Bryan Daniels, Contact

191 N. Wacker Drive, Suite 800
Chicago, IL 60606
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Prairie Capital III QP, L.P.

Chicago, IL 60606
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Prairie Capital III, L.P.

Chicago, IL 60606
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Prairie Capital Mezzanine Fund, L.P.
Bryan Daniels & Stephen King, Partners

Chicago, IL 60606
INVESTMENT CRITERIA

Subordinated Debt
Equity

Later Stage
Expansion
Acquisition
MBO
LBO
INDUSTRY PREFERENCE
Manufacturing
Service
National

Private equity fund focused on lower-
middle market companies in the
manufacturing and service sectors
requiring capital to support growth
or a change of ownership.
Prism Mezzanine Fund SBIC, L.P.
Robert Finkel, Contact

444 N. Michigan Avenue, Suite 1910
Chicago, IL 60611
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Prism Opportunity Fund SBIC, L.P.
Robert A. Finkel, Managing Partner

444 N. Michigan Avenue, Suite 1910
Chicago, IL 60611
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:
INDUSTRY PREFERENCE

SvoCo, L.P.
John Svoboda, Michelle Collins, Contacts

1 North Franklin Street
Suite 1500
Chicago, IL 60606
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:
INDUSTRY PREFERENCE

Valor Equity Partners, L.P.
Antonio Gracias, Contact

225 W. Washington, Suite 2350
Chicago, IL 60606
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

BancBoston Ventures, Incorporated
Tia B. Schmitt - Chief Financial Officer

231 S. LaSalle Street
Mail Code: IL1-231-12-36
Chicago, IL 60604
INVESTMENT CRITERIA

Equity
Mezzanine

Early Stage
Expansion
Later Stage
INDUSTRY PREFERENCE
Healthcare
Media
Communications
Diversified
National

Indiana
1st Source Capital Corporation
Eugene L. Cavenaugh, Jr., Vice President

P.O. Box 1602
South Bend, IN 46634
INVESTMENT CRITERIA

Equity
Debt with Equity

Later Stage
Expansion
Acquisitions
MBO
INDUSTRY PREFERENCE
Diversified
Midwest

Financings sought include second/third stage
financings for companies with significant
growth potential, acquisitions, management
buyouts, and transfers of ownership.
Of primary interest are companies involved
in manufacturing, sales or distribution.
Cambridge Ventures, LP
Ms. Jean Wojtowicz, President

4181 East 96th Street
Suite 200
Indianapolis, IN 46240
INVESTMENT CRITERIA

Subordinate Debt
Equity
Debt

Expansion
Acquisition
MBO
INDUSTRY PREFERENCE
Diversified
Manufacturing
Within 200 miles of IN

Prefers to invest in companies that are
cash flow positive, in need of growth,
expansion or acquisition capital.
Centerfield Capital Partners, L.P.
D. Scott Lutzke, Contact

3030 Market Tower
10 West Market Street
Indianapolis, IN 46204
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Irwin Ventures SBIC LLC
David Meyercord, Contact

500 Washington Street
Columbus, IN 47201
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:
INDUSTRY PREFERENCE

Iowa
AAVIN Equity Partners I, L.P.
James D. Thorpe, Contact

118 Third Avenue, S.E., Suite 630
Cedar Rapids, IA 52401
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Lewis & Clark Private Equities, L.P.
David R. Schroder, Contact

101 Second Street, SE, Suite 800
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

MorAmerica Capital Corporation
David R. Schroder, President

101 Second Street, SE
Suite 800
INVESTMENT CRITERIA

Subordinated Debt
Preferred Stock-Warrants
Equity

Expansion
Later Stage
MB0
LBO
Acquisition
INDUSTRY PREFERENCE
Manufacturing
Service
Distribution
National

Invests nationally in growth and later stage
manufacturing, service and distribution
businesses with $5 to $40 million in sales
seeking $1 to $7 million in equity or near
equity financing to fund growth or buyouts.
North Dakota SBIC, L.P.
David R. Schroder, Manager

101 Second Street SE, Suite 800
INVESTMENT CRITERIA

Subordinated Debt
Preferred Stock-Warrants
Equity

Expansion
Later Stage
INDUSTRY PREFERENCE
Manufacturing
Service
Distribution
North Dakota
South Dakota
Minnesota
Montana
National

Invests nationally in growth and later stage
manufacturing, service, and distribution
businesses with $5 to $40 million in sales
seeking $1 to $7 million in equity or near
equity financing to fund growth or buyouts.
Focused on ND & contiguous states.
Kansas
Kansas Venture Capital, Inc.
John Dalton, Manager

Pinnacle Corporate Centre I, Suite 250
11300 Tomahawk Creek Parkway
Leawood, KS 66211-
INVESTMENT CRITERIA

Equity
Subordinated Debt

No Seed
All Other Stages
INDUSTRY PREFERENCE
Manufacturing
Diversified
Kansas Only

Invests in a variety of enterprises with
significant growth potential which are
operated by exceptional management teams.
Provides later stage capital for expansion
acquisition or stockholder
liquidity purposes.
MidStates Capital, L.P.
Timothy J. Keeble, Contact

7300 West 110th Street, 7th Floor
Overland Park, KS 66210
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Kentucky
Chrysalis Ventures II, L.P.
Lisa K. Aly, Contact

101 South Fifth Street, Suite 1650
Louisville, KY 40202
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Mountain Ventures, Inc.
L. Ray Moncrief, President

P.O. Box 1738, 362 Old Whitley Road
London, KY 40743
INVESTMENT CRITERIA

Loan
Debt
Equity

Seed
Early
Expansion
Later Stages
INDUSTRY PREFERENCE
Diversified
Southeast

Prefers to invest in small manufacturing
firms and service firms to be located
in Eastern Kentucky.
Louisiana
Audubon Capital SBIC, L.P.
Robert Cowin, Contact

217 N. Columbia Street
Covington, LA 70433-
INVESTMENT CRITERIA

Subordinated Debt
and Preferred Stock

Expansion
Later Stage
MBO/LBO
Acquisition
INDUSTRY PREFERENCE
Diversified
Gulf States Region
(including East Texas,
Louisiana, Mississippi,
Alabama, and the
Florida Panhandle.

Mezzanine financing for middle market
companies located throughout the
Gulf States Region.
Bank One Equity Investors-BIDCO, Inc.
Thomas J. Adamek, President

c/o Stonehenge Capital Corporation
236 Third Street
Baton Rouge, LA 70801
INVESTMENT CRITERIA

Equity
Subordinate Debt

Expansion
Later Stage
MBO
LBO
Acquisition
INDUSTRY PREFERENCE
Diversified
South
Midwest

Hibernia Capital Corp.
Thomas Hoyt, President

313 Carondelet Street
New Orleans, LA 70130
INVESTMENT CRITERIA

Equity Investments Only

Inter-Stage
MBO
LBO
Acquisitions
INDUSTRY PREFERENCE
Telecommunications
Diversified
MidSouth
Texas
Southeast

Jefferson Capital Partners I, L.P.
William J. Harper, Contact

3501 N. Causeway Blvd., Suite 420
Metairie, LA 70002
INVESTMENT CRITERIA

Subordinated Debt
Preferred Stock

Later Stage
MBO/LBO
Acquisition
INDUSTRY PREFERENCE
Low Tech
Diversified
Southeastern US
Texas
Midwest

Subordinated debt and preferred stock
investments in smaller middle market
companies
Maine
Masthead Venture Partners Capital, L.P.
Timothy Agnew, Contact

3 Canal Plaza, Suite 600
Portland, ME 04101
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

North Atlantic Venture Fund II, L.P.
David M. Coit, Manager

Two City Center, 5th Floor
Portland, ME 04101
INVESTMENT CRITERIA

Sub. Debt w/Equity Features
Equity

Buy-outs
Expansion Financing
INDUSTRY PREFERENCE
Diversified
Northeast

Target established companies seeking growth
through internal expansion or acquisitions.
Also finance the recapitalization or
ownership change of profitable, well
established businesses.
North Atlantic Venture Fund III, L.P.
Kimberley A. Niles, CFO

Two City Center, 5th Floor
Portland, ME 04101
INVESTMENT CRITERIA

Sub. Debt w/Equity Features
Equity

Expansion Financing
Acquisitions
Buyouts
Recapitalizations
Consolidations
INDUSTRY PREFERENCE
Diversified
Northeast

Seek quality investments in privately held
companies in underserved markets in the
eastern US. Primary focus in New England and
New York. Actively participates in
financing outside these areas w/local in-
vestors who share our investment interests.
Maryland
Allegiance Capital, L.P.
Gary Dorsch
10706 Beaver Dam Road
Suite 201
Cockeysville, MD 21030
INVESTMENT CRITERIA

Mezzanine

Later Stage
INDUSTRY PREFERENCE
Diversified
Mid-Atlantic

Subordinate debt to privately held companies
Anthem Capital II, L.P.
C. Edward Spiva, Contact

The Mangels Building
1414 Key Highway Suite 300
Baltimore, MD 21230
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Legg Mason SBIC Mezzanine Fund, L.P.
Andrew L. John, Contact

111 South Calvert Street
Suite 1800
Baltimore, MD 21202
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Patriot Capital, L.P.
Chris M. Royston, Contact

16 West Madison Street
Baltimore, MD 21201
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Security Financial and Investment Corp.
Jim Bonfils, Manager

7720 Wisconsin Avenue, Suite 207
Bethesda, MD 20814
INVESTMENT CRITERIA

Loans

Early Stage (One Year Op)
No Start Ups
INDUSTRY PREFERENCE
No Specialty
150 miles radius of DC

Loans made to going businesses
in need of capital for expansion.
Real estate collateral required.
Spring Capital Partners, L.P.
Mike Dongh, General Partner

The Latrobe Building, 5th Floor
2 East Read Street
Baltimore, MD 21202
INVESTMENT CRITERIA

Mezzanine
Expansion
Later Stage
INDUSTRY PREFERENCE
No Specialty
Mid-Atlantic

Toucan Capital Fund II, L.P.
Mrs. Linda Powers, Dr. Bruce Robertson,

7600 Wisconsin Avenue, 7th Floor
Bethesda, MD 20814
INVESTMENT CRITERIA

Equity (Preferred Stock)
Convertible Debt

Seed
1st Institutional Round
INDUSTRY PREFERENCE
Biotech
Advanced Batteries
Fuel Cells
NanoTechnology
East Coast

Top priorities in biotech - cell therapy,
tissue engineering & RNA technologies. Top
focus in information technology is security.
Walker Investment Fund II SBIC, L.P.
Gina Dubbe, Contact

3060 Washington Road, Suite 200
Glenwood, MD 21738
INVESTMENT CRITERIA

Equity
Convertible Notes

Seed
Early Stage
INDUSTRY PREFERENCE
Technology
e-Commerce
Internet Related
Maryland
DC
Virginia
West Virginia

Focus generally in technology, e-commerce,
internet related companies.
Massachusetts
Ironwood Equity Fund LP
18 Tremont St., Suite 1120

Boston, MA 02108
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Masthead Venture Partners Capital, L.P.
40 Beach Street
Manchester, MA 01944
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Summer Street Capital Fund I, L.P.
Richard Steele
171 Dwight Rd.
Suite 310
Longmeadow, MA 01106-
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Ascent Venture Partners II, L.P.
Walter Dick, General Partner

255 State Street, 5th Floor
Boston, MA 02109
INVESTMENT CRITERIA

Equity
Debt w/Equity

Seed
Early Stage
Expansion
INDUSTRY PREFERENCE
Network and Communication Systems
Enterprise Software
Medical
Specialized IT Services
Industrial Technology
New England

Ascent Venture Partners IV-A, L.P.
Brian Girvan, Contact

Boston, MA 02109
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Brook Venture Fund IIA, L.P.
Andrew Clapp, Contact

301 Edgewater Place, Suite 425
Wakefield, MA 02110
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Chestnut Venture Partners, L.P.
David D. Croll, President

75 State Street, Suite 2500
Boston, MA 02109
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:

Equity

Any Stage
INDUSTRY PREFERENCE
Media
Telecommunications
National

Citizens Ventures, Inc.
Gail Long - Manager

Boston, MA 02109
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:

Subordinated Debt
Equity

MBO
Acquisition
Growth
INDUSTRY PREFERENCE
Northeast
Midwest
Southeast

Crescent Private Capital II, L.P.
Nancy S. Amer, Contact

One Copley Place, Suite 602
Boston, MA 02116
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Draper Fisher Jurvetson New England Fund I
Scott Johnson, Contact

One Broadway, 14th Floor
Cambridge, MA 02142
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Gemini Investors III, L.P.
David F. Millet, Contact

20 William Street
Wellesley, MA 02481
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

GMN Investors II, L.P.
James J. Goodman, Manager

20 William Street
Wellesley, MA 02481
INVESTMENT CRITERIA

Equity

Later Stage
INDUSTRY PREFERENCE

Focus is on later stage expansion and
acquisition capital for middle-market
companies with revenues between
$5 and $50 million.
Lancet Capital Health Ventures, L.P.
William Golden, Manager

124 Mount Auburn Street
Suite 200N
Cambridge, MA 02138
INVESTMENT CRITERIA

Private Equity

Seed
Early Stage
INDUSTRY PREFERENCE
Biomedical
Northeast US

Invest primarily in medical device, drug
discovery, bioinformatics companies.
Longworth Venture Partners II-A, L.P.
Paul A. Margolis, Contact

1050 Winter Street, Suite 2600
Waltham, MA 02451
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

New England Partners Capital, L.P.
Robert Hanks, Prin. & Todd Fitzpatrick

One Boston Place, Suite 2100
Boston, MA 02108
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:

Equity

Early Stage
Expansion
Later Stage
INDUSTRY PREFERENCE
Consumer Products
Food
Telecommunications
Medical/Health
East of Mississippi

Invest primarily in later stage, small to
medium-sized companies which represent
opportunities for significantly enhanced
revenues and earnings growth. Companies
manufacture/distribute distinctive,
value-added proprietary products.
North Hill Ventures II, L.P.
Brett Rome, Contact

Ten Post Office Square, Suite 1100
Boston, MA 02109
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

RockPort Capital Partners, L.P.
Bettina Metais, Contact

160 Federal Street, 18th Floor
Boston, MA 02110
INVESTMENT CRITERIA

Equity
Debt w/Equity

Early Stage
Expansion
INDUSTRY PREFERENCE
Energy Technologies
Environmental Technologies
Advanced Materials & Processes
New England

Invests in leading-edge technology with the
potential to significantly impact industries
superior management team; large markets with
high growth rate; and sustainable
competitive advantages.
Seacoast Capital Partners II, L.P.
Walt Leonard, Contact

55 Ferncroft Road
Danvers, MA 01923
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Seacoast Capital Partners, L.P.
Walt Leonard, Manager

55 Ferncroft Road
Danvers, MA 01923
INVESTMENT CRITERIA

Loans
Equity

Expansion
Later Stage
INDUSTRY PREFERENCE
Manufacturing
Business Services
Distribution
Retail
Healthcare
National

Dedicated to providing growth capital
for the acquisition and expansion
of small and mid-size companies.
SEED Ventures, L.P.
Thomas Wooters, Contact

80 Dean Street
Taunton, MA 02780
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Ticonderoga SBIC, L.P.
Craig A.T. Jones, Contact

40 William Street, Suite G20
Wellesley, MA 02481
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Velocity Equity Partners I SBIC, L.P.
David Vogel, Contact

121 High Street
Boston, MA 02110
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Venture Capital Fund of New England IV, L.P
Kevin J. Dougherty, Contact

30 Washington Street
Wellesley Hills, MA 02481
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Zero Stage Capital SBIC VII, L.P.
Paul M. Kelly, Contact

101 Main Street, 17th Floor
Cambridge, MA 02142
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Zero Stage Capital V, L.P.
Paul M. Kelley, Manager

Kendall Square
Cambridge, MA 02142
INVESTMENT CRITERIA

Equity
Debt w/Equity

Early Stage
Later Stage
Expansion
INDUSTRY PREFERENCE
Biotech
Computer Hardware & Software
Energy
Northeast

Michigan
Dearborn Capital Corp. (SSBIC)
William D. Lang, President

c/o Ford Motor Credit Corporation
The American Road
Dearborn, MI 48121
INVESTMENT CRITERIA

Loans

Expansion
Later Stage
LBO
Acquisition
INDUSTRY PREFERENCE
Automotive
National

Provides financial and management
assistance to minority-owned businesses
that are suppliers of Ford Motor Company.
EDF Ventures II, L.P.
Mary Campbell, Contact

425 North Main Street
Ann Arbor, MI 48104-1147
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:
INDUSTRY PREFERENCE

InvestCare Partners, L.P.
Malcolm Moss, Manager

32330 W. 12 Mile Road
Farmington Hills, MI 48334
INVESTMENT CRITERIA

Equity

Mid Stage
Later Stage
INDUSTRY PREFERENCE
Healthcare
Medical Devices/Products
National

InvestCare provides growth capital to
established healthcare companies that focus
on services, technology & medical products/
devices. With three major hospital systems
representing 8,000 physicians & medical pro-
fessionals, we deliver more than just equity
North Coast Technology Investor, L.P.
Hugo E. Braun III, Lindsay D. Aspegren

206 S. Fifth Avenue Suite 550
Ann Arbor, MI 48104-0648
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:
INDUSTRY PREFERENCE

Shorebank Capital Corporation (SSBIC)
Kathryn J. Polansky, President

P.O. Box 7009
Marquette, MI 49855
INVESTMENT CRITERIA
Preferred Min:
Preferred Max: $0

Subordinated Debt
Equity

Acquisition
Expansion
INDUSTRY PREFERENCE
Manufacturers
Distributors
Midwest

TD Lighthouse Capital Fund, L.P.
Joan Neuscheler, Contact

303 Detroit Street, Suite 301
Ann Arbor, MI 48104
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Minnesota
AAVIN Equity Partners I, L.P.
Daryl Erdman
2500 Rand Tower
Minneapolis, MN 55402
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Affinity Ventures III, L.P.
Robin M. Dowdle, Contact

901 Marquette Avenue, Suite 2820
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Affinity Ventures IV, L.P.
Robin M. Dowdle, Contact

901 Marquette Avenue, Suite 2820
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Agio Capital Partners I, L.P.
Kenneth F. Gudorf, President & CEO

5050 Lincoln Drive, Suite 420
Edina, MN 55436
INVESTMENT CRITERIA

Equity

Growth
MBO
Acquisition
INDUSTRY PREFERENCE
Manufacturing
Distribution
Services
Midwest

Private investment partnership making
equity investments of up to $5.0 million
in a wide variety of companies with a
primary interest in management buyouts
within the manufacturing, distribution, and
service sectors.
Bayview Capital Partners II LP
Cary Musech, Contact

301 Carlson Parkway, Suite 325
Minnetonka, MN 55305
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Bayview Capital Partners, L.P.
Cary Musech, Manager

301 Carlson Parkway, Suite 325
Minnetonka, MN 55305
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:
INDUSTRY PREFERENCE

Convergent Capital Partners I, L.P.
John Mason, Keith Bares

5353 Wayzata Boulevard,
Suite 205
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:
INDUSTRY PREFERENCE

GMB Mezzanine Capital, L.P.
Barry Lindquist, Contact

50 South Sixth Street, Suite 1460
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Marquette Capital Fund I, L.P.
Thomas Jenkins, Contact

60 South Sixth Street, Suite 3230
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Medallion Capital, Inc.
Tom Hunt, President

3000 W. County Road 42, Suite 301
Burnsville, MN 55337-4827
INVESTMENT CRITERIA

Senior Debt
Subordinated Debt

Acquisition
MBO
Later Stage
Bridge Loans
INDUSTRY PREFERENCE
Communications
Technology
Manufacturing
Services
Midwest
National

Milestone Growth Fund, Inc. (SSBIC)
Esperanza Guerrero-Anderson, President

401 Second Avenue South, Suite 1032
INVESTMENT CRITERIA

Loans
Loans w/Warrants

Expansion
Early Stage
Later Stage
INDUSTRY PREFERENCE
Diversified
Minnesota

To provide long-term, high-risk financing
to minority-owned businesses. Will
participate in National deals.
Sightline Healthcare Capital IV SBIC, L.P.
Maureen Harder, Contact

50 South Sixth Street
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Mississippi
CapSource Fund, L.P.
James R. Herndon, Contact

795 Woodlands Parkway, Suite 100
Ridgeland, MS 39157
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

CapSource Fund, L.P.
Bobby Weatherly & James Herndon, Mgrs.

795 Woodlands Parkway, Suite 100
Ridgeland, MS 39157
INVESTMENT CRITERIA


Expansion
INDUSTRY PREFERENCE
Diversified
South
National

Provides growth stage financing in the form
of subordinated debt with warrants to
companies with two to five years track
record with a strong management team
with an exit strategy.
Sun-Delta Capital Access Center, Inc. (SSBIC)
Cindy Ayers-Elliott, President

819 Main Street
Greenville, MS 38701
INVESTMENT CRITERIA

Loan, Debt
Equity
Subordinated Debt

Seed
Early Stage
Acquisition, MBO
Expansion
Later Stage
INDUSTRY PREFERENCE
Diversified
National
Mississippi

Focuses on a national marketing effort,
in addition to raising additional dollars.
Missouri
Greg L. Gaeddert
1000 Walnut, 18th Floor
Kansas City, MO 64106
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

MorAmerica Capital Corporation
Kevin F. Mullane, Vice President

Commerce Tower Building
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

American Century Ventures II, L.L.C.
Mark Hyde, Contact

4500 Main Street
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Bankers Capital Corp.
Raymond E. Glasnapp, President

3100 Gillham Road
INVESTMENT CRITERIA
Preferred Min: $0

Loans
Equity

Expansion
Later Stage
INDUSTRY PREFERENCE
Diversified
Midwest

BOME Investors II, L.L.C.
Shelley Whittington, Thomas Adamek

c/o Gateway Capco II, LLC
8000 Maryland Avenue, Suite 330
Saint Louis, MO 63105
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:
INDUSTRY PREFERENCE

BOME Investors III, LLC
Shelley G. Whittington, Contact

INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

BOME Investors, Inc.
Gregory R. Johnson & John McCarthy, Mgrs

INVESTMENT CRITERIA
Preferred Min:
Preferred Max:
INDUSTRY PREFERENCE

C3 Capital Partners, LP
Patrick F. Healy and Mikala January

INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

CFB Venture Fund II, LP
James F. O'Donnell, Chairman

11 South Meramec, Suite 1430
INVESTMENT CRITERIA

Debt w/Warrants
Preferred Stock

Expansion
Later Stage
MBO
LBO
Acquisition
INDUSTRY PREFERENCE
Diversified
Midwest

James F. O'Donnell, Chairman

11 South Meramec, Suite 1430
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:
INDUSTRY PREFERENCE

FULLY INVESTED
Eagle Fund I, L.P.
Scott Fesler
Bush O'Donnell Capital
101 S. Hanley Road, Suite 1250
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:
INDUSTRY PREFERENCE

KCEP Ventures II, L.P.
William Reisler, Manager

233 West 47th Street
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:
INDUSTRY PREFERENCE

RiverVest Venture Fund I, L.P.
Thomas C. Melzer, Contact

7733 Forsyth Boulevard, Suite 1650
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

UMB Capital Corporation, Inc.
Christian P. Roth, Manager

1010 Grand Boulevard
Mail Stop 1020204
Kansas City, MO 64106-
INVESTMENT CRITERIA
Preferred Min:

Loans
Equity
Debt w/Equity

Later Stage
INDUSTRY PREFERENCE
Manufacturing
Midwest

Montana
Glacier Venture Fund Limited Partnership
Jon Marchi, Contact

40 West 14th Street, Suite 4B
Helena, MT 59624
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

&evada
Atalanta Investment Company, Inc.
L. Mark Newman, Chairman of the Board

601 Fairview Blvd.
P.O. Box 7718
Incline Village, NV 89452
INVESTMENT CRITERIA
Preferred Min: $0

Equity

Expansion
Later Stage
INDUSTRY PREFERENCE
Technology
National

&ew Hampshire
MerchantBanc Venture Partners, L.P.
Jeffrey M. Pollock
66 Hanover Street
Suite 303
Manchester, NH 03101
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

&ew Jersey
NJTC Venture Fund SBIC, L.P.
4 Becker Farm Road

Roseland, NJ 07068
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

&ew York
BNP Paribas Principal Incorporated
TEMPORARY
40 East 52nd Street - 12th Floor
New York, NY 10022-
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Brookside Pecks Capital Partners, L.P.
Ray Weldon
405 Park Avenue, 12th Floor
New York, NY 10022-
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Ibero American Investors Corp. (SSBIC)
Christine Ryan, Loan Officer

Statler Towers Bldg.
107 Delaware Avenue, Suite 64
Buffalo, NY 14202
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Merchants Capital Partners, L.P.
Jake Wessner
1120 Avenue of the Americas - 4th Floor
New York, NY 10036-
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Merchants Capital Partners, L.P.
G. Cohen, P. Beach, R. Martin, Mgrs.

275 Madison Avenue, 21st floor
New York, NY 10016-
INVESTMENT CRITERIA

Common stock, convertible
preferred stock or subordinate
debt with stock warrants

Later stage
growth capital
INDUSTRY PREFERENCE
Business services
No geopraphic perference

Invests in seasoned & expansion-stage growth
companies with experienced management teams.
Prefer middle market companies in growth
industries such as restaurants,
communications, and business services.
Require $5MM in rev. and $1MM in cash flow.
Motor Enterprises, Inc. (SSBIC)
Scott Simon, VP and Treasurer

General Motors Corp. Treasurer's Office
767 Fifth Ave, 14th Floor
New York, NY 10153
INVESTMENT CRITERIA

Loans

Early Stage
Expansion
Later Stage
INDUSTRY PREFERENCE
Suppliers to General Motors
National

399 Venture Partners
William Comfort, Chairman

399 Park Avenue, 14th Floor/Zone 4
New York, NY 10043
INVESTMENT CRITERIA

Equity

MBO
INDUSTRY PREFERENCE
Industrial
Manufacturing
Distribution
No High Tech
National

Accretive Investors SBIC, L.P.
J. Michael Cline, Contact

55 East 59th Street, 22nd Floor
New York, NY 10022
INVESTMENT CRITERIA

Equity

Seed and Growth
INDUSTRY PREFERENCE
Software
Business Process Outsourcing
and IT Enable Services.
National

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.
Kevin Penn, Thomas Israel, Jim Mattutat

12 East 49th Street; 27th Floor
New York, NY 10017-
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:
INDUSTRY PREFERENCE

AEA Investors Small Business Fund LP
John F. Cozzi, Contact

65 East 55th Street, 27th Floor
New York, NY 10022
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Argentum Capital Partners II, L.P.
Daniel Raynor, Chairman

60 Madison Avenue, Suite 701
New York, NY 10110
INVESTMENT CRITERIA

Equity
Debt

Later Stage
Acquisitions
MBO
INDUSTRY PREFERENCE
Healthcare Information
Waste Management
Software
Communications
General
East Coast
National

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
INVESTMENT CRITERIA

Equity
Mezzanine

Expansion
Later Stage
INDUSTRY PREFERENCE
Diversified
National

Avalon Equity Fund, L.P.
Benjamin E. Brandes, Contact

800 3rd Avenue, 31st Floor
New York, NY 10022
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

BMO Nesbitt Burns Equity Investments, Inc.
Peter Hurwitz - Managing Director

3 Times Square
28th. Floor
New York, NY 10036-
INVESTMENT CRITERIA

No Start-Ups
Min Revenue $20K

Acquisition
Mezzanine
Buyouts
Expansion
INDUSTRY PREFERENCE
Diversified
National

Invest in companies with established mgt.
teams and stable cash flows. Will consider
investments in turnaround situations and
later stage growth capital. No start-ups,
minimum revenue $20 million.
BNP Paribas Principal Incorporated
Steven Alexander, President

787 Seventh Avenue, 32nd Floor
New York, NY 10019-8018
INVESTMENT CRITERIA

Equity Only

Expansion
Later Stage
INDUSTRY PREFERENCE
Healthcare
Media
Business Service
Manufacturing
National

BNY Capital Partners, L.P.
Stratton Heath, Paul Echausse

445 Park Avenue
New York, NY 10022
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:
INDUSTRY PREFERENCE

BOCNY, LLC
W. Stephen Keller
c/o Stonehenge Capital Corporation
152 West 57th Street, 20th Floor
New York, NY 10019
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:
INDUSTRY PREFERENCE

Cephas Capital Partners L.P.
Clint Campbell, Jeff Holmes, Mgrs.

57 Monroe Avenue, Suite D
Pittsford, NY 14534
INVESTMENT CRITERIA

Debt
Subordinated Debt
Preferred Stock

Acquisition
Growth
MBO
Recaptialization
INDUSTRY PREFERENCE
Upstate New York

Seeks to invest in established companies
with experienced management teams
with opportunities for growth.
CIBC WMV Inc.
David Shotland, Managing Director

425 Lexington Avenue, 9th Floor
New York, NY 10017
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:
INDUSTRY PREFERENCE

Citicorp Venture Capital, Ltd.
William Comfort, Chairman of the Board

399 Park Avenue, 14th Floor/Zone 4
New York, NY 10043
INVESTMENT CRITERIA

Later Stage
Leverage Buyout
INDUSTRY PREFERENCE
Diversified
East Coast
National

Critical Capital Growth Fund, L.P.
Steven Sands Mgr; C. Robinson

90 Park Ave., 39th Floor
New York, NY 10016
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:
INDUSTRY PREFERENCE

DeltaPoint Capital III, L.P.
David H. Waterman, Contact

45 East Avenue
Rochester, NY 14604
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

East Coast Venture Capital, Inc. (SSBIC)
Fredrick Schulman, President

241 Fifth Avenue, Suite 302
New York, NY 10016
INVESTMENT CRITERIA

Loans
Equity

Seed
Expansion
INDUSTRY PREFERENCE
Diversified
Regional

Easton Hunt Capital Partners, L.P.
John H. Friedman, Contact

767 Third Avenue, 7th Floor
New York, NY 10017
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Elk Associates Funding Corporation
Gary C. Granoff, President

747 Third Avenue
New York, NY 10017
INVESTMENT CRITERIA

Secured Loans
Some Debt /w Equity

Later Stage
INDUSTRY PREFERENCE
Transportation
Diversified
Northeast
South FL
Illinois

Emigrant Capital Corporation
Kenneth L. Walters Jr.

6 East 43rd Street
8th Floor
New York, NY 10017
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:
INDUSTRY PREFERENCE

Empire State Capital Corporation (SSBIC)
Dr. Joseph Wu, President

170 Broadway, Suite 1200
New York, NY 10038
INVESTMENT CRITERIA
Preferred Min: $0

Loans
Equity Investments

Early Stage
Expansion
INDUSTRY PREFERENCE
Diversified
Atlantic
Region

Eos Partners SBIC II, L.P.
Steven Friedman & Brian Young, Manager

320 Park Avenue, 22nd Floor
New York, NY 10022
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:
INDUSTRY PREFERENCE

Eos Partners SBIC III, L.P.
Beth Bernstein, Contact

New York, NY 10022
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Eos Partners SBIC, L.P.
Steven Friedman, Partner

New York, NY 10022
INVESTMENT CRITERIA

Equity
Debt w/Equity

Early Stage
Expansion
Later
LBO
INDUSTRY PREFERENCE
Telecommunications
Media
Health Services
Business Outsourcing
National

Exeter Capital Partners IV, L.P.
Keith Fox, Kurt Bergquist, Jeff Weber

10 East 53rd Street
32nd Floor
New York, NY 10022
INVESTMENT CRITERIA

Equity Investments

Development - 10% to 20%
Expansion - 20% to50%
Later stage - 35% to 65%
INDUSTRY PREFERENCE
Diversified
National

Falcon Private Equity, L.P.
Gregga Baxter, Matthew Snyder, Contacts

330 Madison Avenue - 37th Floor
New York, NY 10017-4627
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:
INDUSTRY PREFERENCE

First Niagra Capital Corporation
James Trainor, Manager

32 Second Street
Troy, NY 12180
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Flushing Capital Corporation (SSBIC)
Tetsuro Takada, President

39-06 Union Street, Room 202
Flushing, NY 11354
INVESTMENT CRITERIA
Preferred Min: $0

Loans

Expansion
INDUSTRY PREFERENCE
Diversified
New York City Area

Founders Equity SBIC I, L.P.
John D. White, Jr., Contact

711 Fifth Avenue, 5th Floor
New York, NY 10022
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Freshstart Venture Capital Corporation
Alvin Murstein, President

437 Madison Avenue
New York, NY 10022
INVESTMENT CRITERIA

Loans
Equity

Seed
Expansion
INDUSTRY PREFERENCE
Diversified
Regional

Fundex Capital Corp.
Larry Linksman, President

White Plains, NY 10606
INVESTMENT CRITERIA

Subordinated Debt w/Equity
Loans
Debt

Early Stage
Expansion
INDUSTRY PREFERENCE
Consumer Products
Communications
Medical/Health
Specialty Retail
Diversiifed
Tri-State (NY, NJ, CT)

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
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Hanam Capital Corp.
Robert Schairer, President

38 West 32nd Street, Suite 1512
New York, NY 10001
INVESTMENT CRITERIA

Loans
Equity

Early Stage
Expansion
Later Stage
INDUSTRY PREFERENCE
Diversified
Northeast

High Peaks Ventures, L.P.
Russell Howard, Contact

10 Second Street,
Troy, NY 1218-0
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Hudson Venture Partners II, L.P.
Dr. Lawrence A. Howard, Contact

New York, NY 10017
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Ibero American Investors Corp. (SSBIC)
Domingo Garcia, President

104 Scio Street
Rochester, NY 14604
INVESTMENT CRITERIA

Loans
Equity
Lines of Credit

Early Stage
Expansion
INDUSTRY PREFERENCE
Diversified
Northeast
Southeast

Focus is in the manufacturing, service and
retail areas. Early stage and expansion
financing preferred.
ING Furman Selz Investments
Brian Friedman, Manager

520 Madison Avenue
8th Floor
New York, NY 10022
INVESTMENT CRITERIA

Equity
Debt

Expansion
Later Stage
No Start-ups
INDUSTRY PREFERENCE
Consumer and Retail
Healthcare
Industrial Manufacturing
Media/Communications
National

J.P. Morgan Partners (23A SBIC), LLC
Jeffrey Walker, Managing Gen. Partner

1211 Avenue of the Americas, 40th Floor
New York, NY 10036
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:
INDUSTRY PREFERENCE

J.P. Morgan Partners (SBIC), LLC

New York, NY 10036
INVESTMENT CRITERIA

Venture Capital/Growth Equity
Senior Debt

Mezzanine
Add-On Acquisitions
MBO/LBO
Second Stage
Recapitalization
INDUSTRY PREFERENCE
Aerospace/Automotive
Chemicals/Energy
Entertainment
Healthcare
Diversified

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

New York, NY 10020
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:
INDUSTRY PREFERENCE

J.P. Morgan SBIC LLC

New York, NY 10036
INVESTMENT CRITERIA

Equity

Expansion
Later Stage
INDUSTRY PREFERENCE
Diversified
National

KBL Healthcare, L.P.
Marlene Krauss, Michael Kaswan

645 Madison Avenue
New York, NY 10022
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Kinderhook Capital SBIC Fund I, L.P.
Robert Michalik, Contact

888 7th Avenue
16th Floor
New York, NY 10106
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

L Capital Partners SBIC, LP
Oded Weiss, Contact

10 East 53rd Street, 37th Floor
New York, NY 10022
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

LEG Partners Debenture SBIC, L.P.
Lawrence Golub, Manager

551 Madison Avenue
6th Floor
New York, NY 10022
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:
INDUSTRY PREFERENCE

LEG Partners III SBIC, L.P.
Lawrence Golub, Manager

551 Madison Avenue
6th Floor
New York, NY 10022
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:
INDUSTRY PREFERENCE

LEG Partners SBIC, L.P.
Lawrence E. Golub, Manager

551 Madison Avenue
6th Floor
New York, NY 10022
INVESTMENT CRITERIA

Equity
Debt w/ Warrants

Expansion
LBO
Acquisition
INDUSTRY PREFERENCE
Services
Media
Basic Manufacturing
Industrial Equipment
National

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
3rd Floor
Buffalo, NY 14203
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:
INDUSTRY PREFERENCE

Medallion Funding Corporation
Alvin Murstein, President

437 Madison Avenue
New York, NY 10022
INVESTMENT CRITERIA

Sr. & Sub. Debt w/Warrants

Expansion
INDUSTRY PREFERENCE
Service
Retail
Mid-Atlantic
Northeast

Mercury Capital, L.P.
Chris Stokes, Vice President

590 Madison Avenue
30th Floor
New York, NY 10022
INVESTMENT CRITERIA

Equity Only

Later Stage
INDUSTRY PREFERENCE
Manufacturing
Distribution
Serv. Businesses
National

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

52 South Broad Street
Norwich, NY 13815
INVESTMENT CRITERIA

Equity
Subordinated Debt
Loans

Expansion
Acquisition
Later Stage
Early Stage
INDUSTRY PREFERENCE
Upstate NY
Northeast
Mid-Atlantic

Our primary interest is to provide a source
of capital for business expansion
in upstate NY.
Pierre Funding Corp.
Elias Debbas, President

805 Third Avenue, 6th Floor
New York, NY 10022
INVESTMENT CRITERIA

Collateralized Loans

Expansion
INDUSTRY PREFERENCE
Diversified
East Coast

Praesidian Capital Investors, LP
Jason D. Drattell, Contact

30 Broad Street, 21st Floor
New York, NY 10004
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Quad Venture Partners SBIC, L.P.
Lincoln E. Frank, Contact

650 Fifth Avenue, 31st Floor
New York, NY 10019
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Radius Venture Partners II, L.P.
Daniel C. Lubin, Contact

400 Madison Avenue, 8th Floor
New York, NY 10017
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Rand Capital SBIC, L.P.
Allen F. Grum, Jr., Contact

2200 Rand Buidling
Buffalo, NY 14203
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

RBC Equity Investments, Inc.
Sindy Jagger, Manager

One Liberty Plaza
New York, NY 10006
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:
INDUSTRY PREFERENCE

RBS Capital Corporation
Andrew S. Weinberg, Sr. Vice President

101 Park Avenue, 10th Floor
New York, NY 10178
INVESTMENT CRITERIA

Equity

Second Stage
Mezzanine
MBO
INDUSTRY PREFERENCE
Health
Consumer Services
Industrial Equipment
Technology
Food Services/Products
National

Invest in equity and mezzanine financing of
corporations which are viewed as target
customers.
Regent Capital Partners, L.P.
Richard Hochman, Managing Partner

14 East 60th Street
Suite 1000
New York, NY 10022
INVESTMENT CRITERIA

Debt w/Equity
Equity

Later Stage
MBO
LBO
Acquisition
INDUSTRY PREFERENCE
Consumer Oriented
Media
Communications
Business Services
National

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

New York, NY 10022
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Scorpion Capital Partners, L.P.
Kevin R. McCarthy, Contact

New York, NY 10016
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Sixty Wall Street SBIC Fund, L.P.

New York, NY 10036
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:
INDUSTRY PREFERENCE

Summer Street Capital Fund I, L.P.
Brian D'Amico
70 West Chippewa St.
Suite 500
Buffalo, NY 14202
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Sunrise Equity Partners, L.P.
Marilyn S. Adler, Contact

641 Lexington Avenue, 25th Floor
New York, NY 10022
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

The 1818 SBIC Fund, L.P.
Richard J. Ragoza, Contact

c/o Brown Brothers Harriman & Co.
140 Broadway, 2nd Floor
New York, NY 10005
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Toronto Dominion Capital (U.S.A.), Inc.
Stephen Reinstadtler, Contact

31 West 52nd Street
New York, NY 10019
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:

Equity
Subordinated Debt
Debt

Expansion
Later Stage
MBO
Acquisitions
INDUSTRY PREFERENCE
Telecommunications
Healthcare
Energy
Forest Products
Media
National

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
INVESTMENT CRITERIA


Expansion
INDUSTRY PREFERENCE
Diversified
National

Trumpet SBIC Partners, L.P.
Marc Utay, Contact

110 East 59th Street, Suite 2100
New York, NY 10022
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

UBS Capital II LLC
Justin S. Maccarone, President

299 Park Avenue
New York, NY 10171
INVESTMENT CRITERIA
Preferred Min:

Equity

Expansion
Later Stage
INDUSTRY PREFERENCE
Diversified

Walden Capital Partners, L.P.
John Costantino & Allen Greenberg, Mgrs.

708 Third Avenue, 21st Floor
New York, NY 10017
INVESTMENT CRITERIA

Equity

Early Stage
Later Stage
Expansion
INDUSTRY PREFERENCE
Manufacturing
Distribution
Service Industry
Northeast
Mid-Atlantic

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

New York, NY 10019-6163
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Wasserstein SBIC Ventures II, L.P.
Robert Mersten
1301 Avenue of the Americas
44th Floor
New York, NY 10019
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Westbury Equity Partners SBIC, L.P.
Richard P. Sicoli, Contact

100 Motor Parkway, Suite 165
Hauppauge, NY 11788
INVESTMENT CRITERIA

Equity

Mid to Late Stage
INDUSTRY PREFERENCE
Information Technology,
Training & Education
Outsourcing,
Specialty Manufacturing
None

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.
&orth Carolina
Blue Ridge Investors Ltd. Partnership
Richard MacLean
922 East Boulevard
Charlotte, NC 28203-5204
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Jack McGlinn
2530 Meridian Parkway, Suite 200
Research Triangle Park
Durham, NC 27713-
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Jack McGlinn
2530 Meridian Parkway, Suite 200
Research Triangle Park
Durham, NC 27713-
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

BA Capital Company, L.P.
J. Travis Hain, Managing Member

100 North Tryon Street, 25th Floor
NCI-007-25-02
Charlotte, NC 28255
INVESTMENT CRITERIA

Equity

Later Stage
Expansion
MBO
LBO
Acquisition
INDUSTRY PREFERENCE
Healthcare
Technology
Media
Telecommunications
Diversified
National

Invests in middle market companies as well
as smaller, higher growth firms in a broad
array of industries. Provide venture &
risk capital for growth financings,
buyouts, acquisitions, recapitalizations &
other situations requiring equity.
Banc of America Capital Investors SBIC, L.P
J. Travis Hain, Managing Member

100 North Tryon Street, 25th Floor
NC-1-007-25-02
Charlotte, NC 28255
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:
INDUSTRY PREFERENCE

BB&T Capital Partners, LLC
David Townsend & Martin Gilmore, Mgrs.

200 West Second Street, 4th Floor
Winston-Salem, NC 27101
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:

Equity
Subordinated Debt

Later Stage
Acquisitions
MBO
Recapitalization
Consolidation
INDUSTRY PREFERENCE
Southeast

Seeks to invest in companies with
experienced management, a demonstrated
need for the company's products
or services, and sustainable competitive
advantages allowing for profitable growth
Only invest in later-stage companies.
BB&T Capital Partners/Windsor Mezzanine Fun
Christopher N. Jones, Contact

200 West 2nd Street, 4th Floor
Winston-Salem, NC 27101
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Blue Ridge Investors II, L.P.
Russel Myers and Ronald Stanley

300 N. Greene Street,
Suite 2100
Greensboro, NC 27401
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:
INDUSTRY PREFERENCE

Blue Ridge Investors Ltd. Partnership
Kevin Jessup, Partner

300 North Greene St.,
Suite 2100
Greensboro, NC 27401
INVESTMENT CRITERIA

Equity Investments

Expansion
Later Stage
MBO
Acquisition
INDUSTRY PREFERENCE
Manufacturing Services
Distribution
Light Industrial
Outsourcing
Southeast
Mid-Atlantic

Seeks to invest in privately held companies
whose growth will provide opportunities
for substantial capital appreciation.
Investments made in either MBOs or companies
seeking to strengthen their equity base to
fund exceptional growth opportunities.
Joseph B. Alala, III, Contact

1011 East Morehead Street, Suite 150
Charlotte, NC 28204
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Joseph B. Alala, Contact

1011 East Morehead Street, Suite 150
Charlotte, NC 28204
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Frontier Fund I, L.P.
Andrew Lender, Contact

1900 South Boulevard
Suite 300
Charlotte, NC 28203
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

North Carolina Economic Opportunities Fund,
H. Dabney Smith, Contact

316 West Edenton Street, Suite 110
Raleigh, NC 27603
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Oberlin Capital, L.P.
Robert Shepley, Manager

702 Oberlin Road, Suite 150
Raleigh, NC 27605
INVESTMENT CRITERIA

Subordinated Debt

Mid to Later Stage
Later Stage
Acquisition
MBO
INDUSTRY PREFERENCE
Southeast

Provides subordinated debt for both
established, profitable enterprises looking
for growth capital and emerging companies
with strong growth potential.
Salem Capital Partners, LP
Philip Martin, Contact

112 Cambridge Plaza Drive, #201
Mail: PO Box 24785
Winston-Salem, NC 27114-4785
INVESTMENT CRITERIA

Equity
Subordinated Debt

Expansion
Later Stage
INDUSTRY PREFERENCE
Manufacturing
Light Industrial
Services
Distribution
Southeast

Provides capital for growth, expansion,
acquisition, LBO, MBO to rapidly growing
companies with historical or imminent
positive cash flow; sales of $3-$50 million.
Triangle Mezzanine Fund LLLP
Brent Burgess
3600 Glenwood Avenue, Suite 104
Raleigh, NC 27612
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Wachovia Capital Partners, Inc.
Kevin Ellefson, Director of Finance

One First Union Center, 12th Floor
301 South College Street
INVESTMENT CRITERIA

Equity
Subordinated Debt

Expansion
Later Stage
INDUSTRY PREFERENCE
Media
Communications
Retail
Consumer
Health
National

Wachovia Private Capital, Inc.
Kevin Ellefson, Director of Finance

One First Union Center, 12th Floor
301 South College Street
INVESTMENT CRITERIA

Loans
Equity

Early
Expansion
Later Stage
INDUSTRY PREFERENCE
Diversified
East
CT to VA

&orth Dakota
North Dakota SBIC, L.P.
John G. Cosgriff, Manager

51 Broadway, Suite 400
Fargo, ND 58102
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Ohio
Capvest Ventures, L.P.
One West 4th Street

Suite 415
Cincinnati, OH 45202
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Stonehenge Opportunity Fund II, L.P.
Richard Martinko, Principal

526 Superior Ave., Suite 1140
Cleveland, OH 44114
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

ACP-I, L.P.
Jeff A. Dombcik, Contact

10 1/2 East Washington Street
Chagrin Falls, OH 44022
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Capvest Ventures, L.P.
Jakki Haussler, Contact

14 S. High Street
P.O. Box 673
New Albany, OH 43054
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Clarion Capital Corp.
Tom Niehaus, CFO

Ohio Savings Plaza
1801 East 9th Street, Suite 1120
Cleveland, OH 44114
INVESTMENT CRITERIA

Equity Investments

Expansion
Later Stage
INDUSTRY PREFERENCE
Life Sciences
Technology Related
Diversified
Midwest
National

Enterprise Ohio Investment Company (SSBIC)
Janet White, Manager

8 North Main Street
Dayton, OH 45402
INVESTMENT CRITERIA

Equity Loan Investments

Expansion
Later Stage
Franchise
INDUSTRY PREFERENCE
Diversified
Southwest
Ohio

Key Equity Capital Corporation
David Given, President

127 Public Square, 51st Floor
Cleveland, OH 44114
INVESTMENT CRITERIA
Preferred Min:

Willing to make Equity Invs.

Later Stage
INDUSTRY PREFERENCE
Diversified
National

National City Equity Partners, Inc.
William H. Schecter, President & G.M.

1965 East Sixth Street, Suite 1010
Cleveland, OH 44114
INVESTMENT CRITERIA

Equity
Subordinated Debt
Debt w/Equity

Expansion
Growth
Later Stage
INDUSTRY PREFERENCE
Manufacturing
Distribution
Consumer Products
Retail
Midwest

Invests subordinated debt and equity in a
variety of industries throughout the
Midwest. President and G.M.:
William H. Schecter.
Peppertree Capital Fund, L.P.
Howard Mandel, Contact

3550 Lander Road, Suite 300
Pepper Pike, OH 44124
INVESTMENT CRITERIA

Equity

Later state growth equity
Recapitalizations
Buyouts
INDUSTRY PREFERENCE
Media
Telecommunications
Business Services

We seek non-technology investments in our
target industries. We prefer investments
with recurring revenue, non-IPO exit
strategies and asset protection (e.g., FCC
licenses) on the downside.
River Cities Capital Fund L.P.
R. Glen Mayfield, Manager

221 East Fourth Street
Suite 1900
INVESTMENT CRITERIA

Equity

Early Stage
Expansion
Later Stage
Acquisition
INDUSTRY PREFERENCE
Healthcare
Telecommunications
Manufacturing
Ohio
Kentucky
Indiana
Midwest
Southeast

Seek to invest in exceptional managers
operating companies that exhibit the
potential to be market leaders in
industries with strong business economics.
River Cities SBIC III, L.P.
Edwin T. Robinson, Contact

221 East Fourth Street, Suite 1900
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE
Stonehenge Opportunity Fund II, L.P.
B. Michael Affinito, Contact

191 West Nationwide Blvd., Suite 600
Columbus, OH 43215
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Triathlon Medical Ventures Fund LP
Suzette L. Dutch, Contact

250 East 5th Street 1100 Chiquita Center
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Walnut Investment Partners, L.P.
James Gould, Managing Partner

INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Walnut Private Equity Fund, L.P.
R. Scott Barnes, Contact

INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Oklahoma
Chisholm SBIC, L.P.
John B. Frick, Contact

800 Research Parkway, Suite 385
Oklahoma City, OK 73104
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:
INDUSTRY PREFERENCE

Council Oak Investment Corporation
William O. Johnstone - Manager

101 North Broadway
Suite 400
Oklahoma City, OK 73102
INVESTMENT CRITERIA
Preferred Min:

Loans
Equity

Early Stage
Expansion
INDUSTRY PREFERENCE
Diversified
Oklahoma

First United Venture Capital Corporation
Bert Davison - Manager

1400 West Main Street
Durant, OK 74701
INVESTMENT CRITERIA

Equity & Debt

Early Stage and Growth
No Seed Money Investments
INDUSTRY PREFERENCE
Most Industries Considered
No High-Tech or Life Sciences
Oklahoma and North Texas

Oregon
Northern Pacific Capital Corporation
Joseph P. Tennant, President

937 S.W. 14th Street, Suite 200
Mail: P.O. Box 1658
Portland, OR 97207
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:


Expansion
Later Stage
INDUSTRY PREFERENCE
Diversified
Pacific
Northwest

Focus on providing expansion capital and
funding for management buyouts.
SmartForest Ventures I, L.P.
Hugh Mackworth, Contact

209 SW Oak Street, 1st Floor
Portland, OR 97204
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0

Equity

Seed
Early Stage
INDUSTRY PREFERENCE
Technology
Oregon
Pacific Northwest

Tamarack Mezzanine Partners, L.P.
John Woolley, Contact

522 SW Fifth Ave., Suite 915
Portland, OR 97204
INVESTMENT CRITERIA


Later Stage
Expansion
INDUSTRY PREFERENCE
Diversified
Northwest

Pennsylvania
Argosy Investment Partners II, L.P.
Knute C. Albrecht, Manager

950 West Valley Road, Suite 2900
Wayne, PA 19087
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Argosy Investment Partners III, L.P.
Michael Bailey, Manager

Wayne, PA 19087
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Argosy Investment Partners, L.P.
Knute C. Albrecht, Manager

Wayne, PA 19087
INVESTMENT CRITERIA

Convertible Preferred Stock

Later Stage
LBO
Recapitalization
INDUSTRY PREFERENCE
Manufacturing
Distribution
Services
East Coast

Funding for expansion, acquisition, buyout
or recap of later stage, profitable
companies engaged in basic industries and
which have attractive growth potential.
Prefer investments that include a
current return feature.
CIP Capital L.P.
Ed Carey, Manager
1200 Liberty Ridge Drive
Suite 300
Wayne, PA 19087
INVESTMENT CRITERIA

Equity
Debt

Expansion
Later Stage
INDUSTRY PREFERENCE
Life Sciences
Communications
Financial Services
East Coast

Inverness Capital Partners, L.P.
Mike Todd, Contact

3811 West Chester Pike
Newtown Square, PA 19073
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Liberty Ventures II, L.P.
Thomas R. Morse, Contact

One Commerce Square
2005 Market Street, Suite 2040
Philadelphia, PA 19103
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Mellon Ventures, L.P.
Lawrence Mock & Ronald Coombs, Managers

One Mellon Center
Suite 5210
Pittsburgh, PA 15258
INVESTMENT CRITERIA

Debt w/Equity
Equity

Early Stage
Expansion
Later Stage
Acquisition
INDUSTRY PREFERENCE
Manufacturing
Services
Later Stage Technology
Diversified
National

Invests primarily in companies with
profitable existing operations, a defensible
plan for future growth, and
experienced, entrepreneurial leadership.
Meridian Venture Partners II, L.P.
Robert E. Brown, Jr., Contact

201 King of Prussia Road
Suite 240
Radnor, PA 19087
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:
INDUSTRY PREFERENCE

Merion Investment Partners, L.P.
William M. Means, Contact

700 South Henderson Road, Suite 202
King of Prussia, PA 19406
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

NewSpring Mezzanine Capital, L.P.
Marc Lederman, Contact

500 North Gulph Road
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

NewSpring Ventures, L.P.
Michael DiPiano, Managing G P

500 North Gulph Road
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:
INDUSTRY PREFERENCE

Select Capital Ventures I, L.P.
Michael E. Salerno, Contact

4718 Old Gettysburg Road, Suite 405
Mechanicsburg, PA 17055
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Rhode Island
Domestic Capital Corp.
Nathaniel B. Baker, President

815 Reservoir Avenue
Cranston, RI 02910
INVESTMENT CRITERIA
Preferred Min: $0

Loans

Expansion
INDUSTRY PREFERENCE
Diversified
Regional

Fleet Equity Partners VI, L.P.
Ed Resnick, Sr. Portfolio Administrator

Mail Stop: RI MO F12C
50 Kennedy Plaza, 12th Floor
Providence, RI 02903
INVESTMENT CRITERIA

Equity

Leverage Buyouts
Expansion
INDUSTRY PREFERENCE
Media/Information
Communications
Healthcare
Consumer
Manufacturing/Business Services
National

Private equity firm specializing in
telecommunications services, media
& information, healthcare services
industrial mfg., business services &
consumer products and services.
Also invests in other private equity funds.
Fleet Venture Resources, Inc.
Ed Resnick, Sr. Portfolio Administrator

50 Kennedy Plaza, 12th Floor
Providence, RI 02903
INVESTMENT CRITERIA

Equity

Leverage Buyouts
Expansion
INDUSTRY PREFERENCE
Media
Communications
Healthcare
Printing
Manufacturing
National

South Carolina
CF Investment Company
William S. Hummers III, Manager

104 South Main Street, Poinsett Plaza
Greenville, SC 29601
INVESTMENT CRITERIA

Loan
Equity
Debt
INDUSTRY PREFERENCE
Bank Technology
Southeast

Invests in technology companies that
provide banking-related products and
services. Seek to cultivate synergies among
its investors to promote a full-range of
automated banking services for customers.
Tennessee
Commerce Capital, L.P.
Andrew Higgins, Pres & Rudy Ruark, V.P.

5115 Maryland Way
Suite 304
Brentwood, TN 37027
INVESTMENT CRITERIA

Debt w/Warrants

Expansion
Acquisition
MBO
INDUSTRY PREFERENCE
Healthcare
Telecommunications
Environmental
Manufacturing
Southeast
Midwest

Delta Venture Partners I, L.P.
Donald L. Mundie, Contact

c/o Delta Capital Management, LLC
8000 Centerview Parkway, Suite 100
Cordova, TN 38018
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

FCA Venture Partners III SBIC, L.P.
Stuart C. McWhorter, Contact

113 Seaboard Lane, Suite A-250
Franklin, TN 37067
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Morgan Keegan Mezzanine Fund, L.P.
William J. Nutter, Contact

30 Burton Hills Blvd., Suite 500
Nashville, TN 37215
INVESTMENT CRITERIA

Subordinated Debt
Equity
Loans

Expansion
Late Stage
MBO
LBO
Acquisition
INDUSTRY PREFERENCE
Healthcare
Manufacturing
Service
Southeast
Mid-Atlantic
Midwest
Southwest

Provides growth and acquisition capital in
the form of mezzanine financing to companies
with annual revenues of at least
$10 million that can service debt with cash
flow generated from operations.
Petra Growth Fund, L.P.
Michael Blackburn, Robert A. Smith

172 Second Avenue North
Suite 112
Nashville, TN 37201
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:
INDUSTRY PREFERENCE

Pharos Capital Partners II, L.P.
Kneeland Youngblood, Contact

1 Burton Hills Boulevard
Suite 180
Nashville, TN 37215
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Valley Capital Corp. (SSBIC)
Lamar J. Partridge, President

535 Chestnut Street, Suite 368
P.O. Box 11086
Chattanooga, TN 37402
INVESTMENT CRITERIA

Loans
Equity

Early Stage
Expansion
Later Stage
INDUSTRY PREFERENCE
Diversified
Communications
Health Care
Wholesale Dist
Southeast

West Tennessee Venture Capital Corporation (SSBIC)
Frank Banks, President

5 North Third Street
Memphis, TN 38103
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:
INDUSTRY PREFERENCE

Texas
Alliance Enterprise Corporation
Donald R. Lawhorne, President

2435 North Central Expressway
Suite 200
Richardson, TX 75080
INVESTMENT CRITERIA

Debt with Equity
Straight Equity

Later Stage
Expansion
Buyouts
INDUSTRY PREFERENCE
Mfg. Specialty
Electronics
Broadcast
Food Processors
Mostly Southwest

To provide long-term venture capital
to well-managed growing businesses
owned and managed by minority
entrepreneurs.
BA Capital Company, L.P.
Doug Williamson, Sr. Vice President

901 Main Street, 22nd Floor
Dallas, TX 75202
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Blue Sage Capital, L.P.
Peter Huff, Contact

114 West 7th Street, Suite 820
Austin, TX 78701
INVESTMENT CRITERIA

Later stage - small- mid
market.
INDUSTRY PREFERENCE
Revenue size: $5 mil to $100 mil
$10 to $100 mil enterprise value
Texas, New Mexico, Oklaho
Arkansas, Lousiana

Manufacturers, distriubtions, and services.
Capital Southwest Venture Corp.
William R. Thomas, President

12900 Preston Road, Suite 700
Dallas, TX 75230
INVESTMENT CRITERIA

Prefer Equity-Type Investments
Subordinated Debt
Loans

Early
Expansion
Later Stages
MBO
INDUSTRY PREFERENCE
Manufacturing
Retail
Technology
No Real Estate or Banking
Medical/Health
National

To achieve capital appreciation through
long-term investments in businesses
given the capital provided by our
investment believed to have favorable
growth potential.
Catalyst Fund, Ltd. (The)
Richard L. Herrman, Manager

Two Riverway, Suite 1710
Houston, TX 77056
INVESTMENT CRITERIA

Subordinated Debt
Equity

Acquisition
MBO
Second Stage
Third Stage
Expansion
INDUSTRY PREFERENCE
Diversified
National

Expansion or transaction financing
to companies with revenues greater than
$5 million and profitable.
Working with affiliates, fundings up to
$10 million available.
Catalyst/Hall Growth Capital, LP
Rick Herrman, Contact

Houston, TX 77056
INVESTMENT CRITERIA

Subordinated Debt
Equity

Acquisition
MBO
Second Stage
Third Stage
Expansion
INDUSTRY PREFERENCE
Diversified
National

Expansion or transaction financing
to companies with revenues greater than
Chen's Financial Group, Inc. (SSBIC)
Samuel S. C. Chen, President

8303 Southwest Freeway, Suite 750
Houston, TX 77074
INVESTMENT CRITERIA

Loans
Equity

Seed
Acquisition
INDUSTRY PREFERENCE
Hotel/Motel
Houston, TX

Specializes in hotel and motel developments
and acquisitions.
Cogene Biotech Ventures II, L.P.
C. Thomas Caskey, M.D., Contact

5 Post Oak Park
4400 Post Oak Parkway, Suite 1400
Houston, TX 77027
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0

Equity - 99%

Early Stage - 15%
Expansion - 75%
Later - 10%
INDUSTRY PREFERENCE
Texas - 50%
California - 25%
Southeast - 25%

Industry - Life Science
First Capital Group of Texas II, L.P.
Wm. Ward Greenwood

100 Congress Avenue, Suite 730
Austin, TX 78701
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

First Capital Group of Texas II, L.P.
Messrs. Blanchard, Greenwood, & Locy

750 East Mulberry, Suite 305
San Antonio, TX 78212
INVESTMENT CRITERIA

Convertible Preferred
Convertible Sub Debt

Early Stage
Expansion
Later Stage
MBO
INDUSTRY PREFERENCE
Communications
Electronic Technology
Manufacturing
Healthcare/Medical
Energy/Environment
Texas
Southwest

Invests in well-managed, middle-market
companies located primarily in Texas
or the near Southwest.
First Capital Group of Texas III, L.P.
Jeffrey P. Blanchard, Contact

750 E. Mulberry, Suite 305
San Antonio, TX 78212
INVESTMENT CRITERIA

Early stage - IRR 50%,75%
Expansion stage-IRR 35%
Management buyout
INDUSTRY PREFERENCE
Early stage - $1.5 mil to $2.5 mil
Expansion - $3 mil to 4.5 mil
Management buyouts - $3 mil to $5 mil
Texas, and southwest.

small an middle market companies
Independent Bankers Capital Fund, L.P.
Floyd Collins, Barry Conrad, Contacts

1700 Pacific Avenue,
Suite 2740
Dallas, TX 75201
INVESTMENT CRITERIA

Equity

Expansion
Later Stage
INDUSTRY PREFERENCE
Diversified
Texas
Southwest

Jardine Capital Corp.
Lawrence Wong, President

6638 Sharpstown Green Circle
Houston, TX 77036
INVESTMENT CRITERIA
Preferred Min:

Loans
Equity

Expansion
INDUSTRY PREFERENCE
Diversified
North
South

Main Street Capital II, LP
Todd Reppert, Contact

1300 Post Oak Blvd., Suite 800
Houston, TX 77056
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Main Street Mezzanine Fund, L.P.
Todd A. Reppert, Contact

1300 Post Oak Blvd., Suite 800
Houston, TX 77056
INVESTMENT CRITERIA

Loans
Equity

Expansion
Buyout
Recapitalization
INDUSTRY PREFERENCE
Diversified
Southwest, Gulf Coast

Expansion or Transaction Financing
MESBIC Ventures, Inc.
Donald R. Lawhorne, President

Suite 200
INVESTMENT CRITERIA

Debt w/Equity
Straight Equity

Expansion
Later Stage
Buyouts
INDUSTRY PREFERENCE
Mfg. Specialty
Electronics
Broadcast
Food Processors
Mostly Southwest

to well-managed growing businesses owned
and managed by minority entrepreneurs.
North Texas MESBIC, Inc. (SSBIC)
Allan Lee, President

4563 W. Walnut Street
Suite 200
Garland, TX 75042-5143
INVESTMENT CRITERIA

Loans

Early Stage
Expansion
INDUSTRY PREFERENCE
Retail
Wholesalers
Distributors
State of Texas

PMC Investment Corporation (SSBIC)
Andrew S. Rosemore, President

17950 Preston Road
Suite 600
Dallas, TX 75252
INVESTMENT CRITERIA
Preferred Min:

Secure Lender

All Stages
including Start-Ups
INDUSTRY PREFERENCE
Diversified
Specializing in Motel & Franchise
National

Power Equities, Inc.
Donald Lawhorne and Thomas Gerron

Suite 200
INVESTMENT CRITERIA


Early Stage
Expansion
Acquisition
INDUSTRY PREFERENCE
Manufacturing
Wholesale Distribution
Franchise
Services
Diversified
Southeast
Mid-Atlantic

to well-managed growing businesses owned
and managed by minority entrepreneurs.
Red River Ventures I, L.P.
J. Bruce Duty, Contact

15301 Dallas Parkway, Suite 820
Addison, TX 75001
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0

Early stage - 20%
Later stage - 80%
INDUSTRY PREFERENCE
$3 million - $5 million
2/3 will be in Texas and
Southeast area

Telecom, manufacturing, distribution and
Info Tech
SBIC Partners, L.P.
Gregory Forrest & Jeffrey Brown, Manager

Fort Worth, TX 76102
INVESTMENT CRITERIA

Equity Only

Early Stage
Expansion
Later Stage
INDUSTRY PREFERENCE
Diversified
National

Southwest/Catalyst Capital, Ltd.
Ronald Nixon and Richard Herrman, Mgrs.

Houston, TX 77056
INVESTMENT CRITERIA

Subordinated Debt
Equity

Acquisition
MBO
Second Stage
Third Stage
Expansion
INDUSTRY PREFERENCE
Diversified
National

Expansion or transaction financing to
companies with revenues greater than
Stratford Capital Partners, L.P.
John Farmer, Manager

300 Crescent Court, Suite 500
Dallas, TX 75201
INVESTMENT CRITERIA

Equity
Sub. Debt w/Equity

Expansion
Later Stage
Acquisition
INDUSTRY PREFERENCE
Manufacturing
Distribution
Niche Services
Diversified
National

Provide later stage growth and
acquisition capital to middle market
companies primarily in the manufacturing,
distribution, and service industries
throughout the United States.
Stratford Equity Partners, L.P.
John Farmer, Manager

200 Crescent Court, Suite 1600
Dallas, TX 75201
INVESTMENT CRITERIA

Subordinated Debt
Preferred Stock
Common Stock

Acquisition
Second Stage
Expansion
MBO
INDUSTRY PREFERENCE
Manufacturing
Distribution
Business Services
Diversified
Continental USA

Provide later stage growth and acquisition
capital to middle market companies
primarily in the manufacturing,
distribution, and service industries
throughout the United States.
SunTx Fulcrum Fund II - SBIC, L.P.
Ned N. Fleming, Contact

14001 N. Dallas Parkway, Suite 111
Dallas, TX 75240
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0

Equity Capital Investments

30% - development stage
30% - growth stage
30% - expansion stage
10% - turnaround stage
INDUSTRY PREFERENCE
Sunbelt region - Alabama,
Arkansas, Arizona, Florid
Georgia, Kentucky, Louisi
New Mexico, etc.

manufacturing, distribution and services
Toronto Dominion Capital (U.S.A.), Inc.
Martha L. Gariepy, VP/Secretary/Treas.

909 Fannin
Suite 1700
Houston, TX 77010
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Trident Growth Fund, L.P.
Larry St. Martin, Contact

700 Gemini, Suite 100
Houston, TX 77058
INVESTMENT CRITERIA

Expansion/Growth Stage Company
Buyouts
No Startups

Later Stage, no startups
INDUSTRY PREFERENCE
None
Southwest
with focus in Texas

Western Financial Capital Corporation
Andrew S. Rosemore, President

17950 Preston Road
Suite 600
Dallas, TX 75252
INVESTMENT CRITERIA
Preferred Min:

Secure Lender

All Stages
including Start-Ups
INDUSTRY PREFERENCE
Diversified
Specializing in Motel & Franchise
National

Utah
Peterson Partners III, L.P.
Rick Stratford, Contact

2825 E. Cottonwood Parkway
Suite 400
Salt Lake City, UT 84121-
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Utah Ventures III, L.P.
James C. Dreyfous, Contact

2755 E. Cottonwood Parkway
Suite 520
Salt Lake City, UT 84121
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

UTFC Financing Solutions, LLC
Steve Grizzell, Contact

699 East South Temple, Suite 220
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

vSpring SBIC, L.P.
Dinesh Patel, Contact

2795 E. Cottonwood Parkway, Suite 360
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Wasatch Venture Corporation
Todd J. Stevens, Secretary

1 South Main Street
Suite 1400
INVESTMENT CRITERIA

Debt
Equity

Early Stage
Growth Stage
INDUSTRY PREFERENCE
High Technology
Computer
Internet
Communications
Midwest
West

Early stage, technology based investor.
Wasatch Venture Fund II, LLC
Todd Stevens, Manager

1 South Main Street
Suite 1400
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:
INDUSTRY PREFERENCE

Wasatch Venture Fund III, L.L.C.
Todd J. Stevens
One South Main Street, Suite 1660
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Zions SBIC, L.L.C.
Todd J. Stevens, Contact

One South Main Street, Suite 1660
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Vermont
North Atlantic Venture Fund II, L.P.
Gregory B. Peters, Vice President

76 St. Paul Street, Suite 600
Burlington, VT 05401
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Virginia
BIA Digital Partners, L.P.
Lloyd R. Sams, Contact

15120 Enterprise Court, Suite 200
Chantilly, VA 20151
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Continental SBIC (SSBIC)
Arthur Walters, President

4141 N. Henderson Road,
Suite 8
Arlington, VA 22203
INVESTMENT CRITERIA

Loans
Equity

Early Stage
Expansion
Later Stage
INDUSTRY PREFERENCE
Diversified
North
South
Midwest

Development Capital Ventures, L.P.
Wayne S. Foren, Contact

4443 Brookfield Corporate Drive
Suite 110
Chantilly, VA 20151
INVESTMENT CRITERIA

Equity

Growth Stage
INDUSTRY PREFERENCE
Diversified
National
Puerto Rico

Growth stage companies w/demonstrated
performance, cash flows, & realistic growth
potential. It intends to make some invest-
ments in SBA "New Markets" concerns,
provided basic fund criteria is met
eCentury Capital Partners, L.P.
Thomas Dann, Managing Director

8180 Greensboro Drive
Suite 1150
McLean, VA 22102
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

GIV Venture Partners, L.P.
10790 Parkridge Blvd 300

Reston, VA 20191-
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Virginia Capital SBIC, L.P.
Frederick Russell & Tom Deardorff, Mgrs.

1801 Libbie Avenue, Suite 201
Richmond, VA 23226
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:
INDUSTRY PREFERENCE

Waterside Capital Corporation
Alan Lindauer, President

500 East Main Street, Suite 800
Norfolk, VA 23510
INVESTMENT CRITERIA
Preferred Min:

Loans
Equity

Early Stage
Expansion
Later Stage
INDUSTRY PREFERENCE
Diversified
Eastern
Virginia

Washington
Bancshares Capital, L.P.
John E. Thoresen, Contact

1000 Second Avenue, Suite 1200
Seattle, WA 98104
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Fluke Venture Partners II, L.P.
Kevin C. Gabelein, Contact

11400 SE 6th Street, Suite 230
Bellevue, WA 98004
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Integra Ventures III, L.P.
Tim T. Black, Contact

300 E. Pine, 2nd Floor
Seattle, WA 98122
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Northwest Venture Partners III, L.P.
Jean Balek-Miner, Contact

221 North Wall Street, Suite 628
Spokane, WA 99201
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Washington DC
Allied Investment Corporation
Kelly Anderson, Executive Vice President

1919 Pennsylvania Avenue, NW
Washington, DC 20006-3434
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0

Subordinate Debt w/Equity

Later Stage
INDUSTRY PREFERENCE
All Industries
but Biotech
National

Alpine Equity Fund, L.P.
George McCabe, Contact

1055 Thomas Jefferson Street, NW
Suite 218
Washington, DC 20007-5256
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0

52.8% entity institutional inv
29.8% indiv institutional inv
17.4% dual commitments

15% Exapnsion
35% Later Stage
50% Change-of-Control
INDUSTRY PREFERENCE
$10 million - $75 million
in total enterprise value
("micro cap companies")
East Coast w/ emphasis on
Mid-Atlantic region

Financial services
Educational products and services
Selected consumer products
Select federal government contractors
Broadcast Capital, Inc. (SSBIC)
Rehka C. Henderson, President

1001 Connecticut Avenue
Suite 705
Washington, DC 20036
INVESTMENT CRITERIA

Debt
Equity Investments

Expansion
Later Stage
INDUSTRY PREFERENCE
Broadcast & Comm Related
National

Focus on telecommunications industry,
mainly radio and television.
Core Capital Partners II-S, L.P.
William Dunbar, Contact

INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Core Capital Partners, L.P.
William Dunbar, Jonathan Silver, Contact

INVESTMENT CRITERIA
Preferred Min:
Preferred Max:
INDUSTRY PREFERENCE

Grosvenor Special Ventures IV, L.P.
Bruce B. Dunnan
1808 Eye Street, N.W. , Suite 900
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Halifax Growth Partners, L.P.
David W. Dupree, Contact

1133 Connecticut Ave., N.W. - Suite 725
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Mountaineer Capital, L.P.
Patrick A. Bond, Contact

107 Capitol Street, Suite 300
Charleston, WV 25301
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

West Virginia
Whitney Capital Corporation
Gale Gray, Manager

707 Virginia Street, East
Suite 1700
Charleston, WV 25301
INVESTMENT CRITERIA
Preferred Min:

Loans
Equity

Early Stage
Expansion
Later Stage
INDUSTRY PREFERENCE
Diversified
Regional

Wisconsin
Banc One Stonehenge Capital Fund WI, LLC
Mr. Kent Velde, Manager

3424 N. Shepard Avenue
Milwaukee, WI 53211
INVESTMENT CRITERIA
Preferred Min: $0
Preferred Max: $0
INDUSTRY PREFERENCE

Facilitator Capital Fund, L.P.
Robert Zobel, Gustavus Taylor

301 East Vienna Avenue
Milwaukee, WI 53212-
INVESTMENT CRITERIA
Preferred Min:
Preferred Max:
INDUSTRY PREFERENCE

M & I Ventures, L.L.C.
John T. Byrnes, President

411 E. Wisconsin Avenue, Suite 1280
Milwaukee, WI 53202
INVESTMENT CRITERIA

Fully Invested
INDUSTRY PREFERENCE

Capital Directory

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List of Small Business Investment and VC Companies

Frank L. Collazo, General Manager

TYPE OF CAPITAL PROVIDED

FUNDING STAGE PREFERENCE

DESCRIPTION OF FIRM'S FOCUS

William Lucas, Contact

TYPE OF CAPITAL PROVIDED

FUNDING STAGE PREFERENCE

DESCRIPTION OF FIRM'S FOCUS

John Harrison, Contact

TYPE OF CAPITAL PROVIDED

FUNDING STAGE PREFERENCE

DESCRIPTION OF FIRM'S FOCUS

J. Thomas Noojin, President

TYPE OF CAPITAL PROVIDED

FUNDING STAGE PREFERENCE

Sherman Chu, Contact

TYPE OF CAPITAL PROVIDED

FUNDING STAGE PREFERENCE

DESCRIPTION OF FIRM'S FOCUS

Gregory Mischel/Michael Shields, Contact

TYPE OF CAPITAL PROVIDED

FUNDING STAGE PREFERENCE

DESCRIPTION OF FIRM'S FOCUS

Joe T. Hays, Contact

TYPE OF CAPITAL PROVIDED

FUNDING STAGE PREFERENCE

DESCRIPTION OF FIRM'S FOCUS

John R. Mills, President

TYPE OF CAPITAL PROVIDED

FUNDING STAGE PREFERENCE

DESCRIPTION OF FIRM'S FOCUS

111 Sutter Street, Suite 1950

TYPE OF CAPITAL PROVIDED

FUNDING STAGE PREFERENCE

DESCRIPTION OF FIRM'S FOCUS

101 California Street

TYPE OF CAPITAL PROVIDED

FUNDING STAGE PREFERENCE

DESCRIPTION OF FIRM'S FOCUS

TYPE OF CAPITAL PROVIDED

FUNDING STAGE PREFERENCE

DESCRIPTION OF FIRM'S FOCUS

Attention: Sher Pastino

TYPE OF CAPITAL PROVIDED

FUNDING STAGE PREFERENCE

DESCRIPTION OF FIRM'S FOCUS

Hayley Hoad, Manager, Administration

TYPE OF CAPITAL PROVIDED

FUNDING STAGE PREFERENCE

DESCRIPTION OF FIRM'S FOCUS

John Hung, President

TYPE OF CAPITAL PROVIDED

FUNDING STAGE PREFERENCE

DESCRIPTION OF FIRM'S FOCUS

Clifford A. Lyon, Contact

TYPE OF CAPITAL PROVIDED

FUNDING STAGE PREFERENCE

DESCRIPTION OF FIRM'S FOCUS

Daniel J. Jessee, Contact

TYPE OF CAPITAL PROVIDED

FUNDING STAGE PREFERENCE