Nile Capital LLC - Investment Banking Boutique

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    Nile Capital LLC - Investment Banking Boutique - Presentation Transcript

    1. This presentation is a high level summary of Nile Capital. For more information, visit www.nilecapital.com
      • Nile Capital, LLC, (“Nile”) is a minority owned, boutique investment firm focused upon closely held and publicly traded microcap companies
      • Nile facilitates access to capital, exit/liquidity events, corporate finance advisory, business development and strategic planning
      • The principals of Nile have broad and varied experience in private placements, venture capital, corporate finance, M&A, investor relations and operations
      • Nile proactively works with clients in a variety of industries to create and enhance shareholder value utilizing a strategic, operating and balance sheet perspective
      • Facilitate access to acquisition and growth capital for select companies with defined markets, solid fundamentals and extraordinary growth potential
        • PIPEs, private placements, public offerings, equity lines, venture capital, private equity and mezzanine debt financings
      • Implement structures to broaden the shareholder base of OTC bulletin board companies that possess solid fundamentals and prospects
        • SNAPP program
      • Accelerate the achievement of business and financial objectives
        • Resources and strategic partner relationships to enhance shareholder value
      • Wealth creation for principals and investors
      • Strategic Advisory Services
        • Consult to business owners regarding Financings, Divestitures, and Mergers & Acquisitions
      • Corporate Finance
        • Raise debt and equity capital to fund projected uses
        • Raise debt and equity for the acquisition of an existing business
      • Business Plan Development
        • Create business plans for companies seeking equity capital, debt financing, or to attract potential buyers or strategic partners
      • Nile’s primary business focus is to identify promising growth or acquisition opportunities that fit the risk/return profile for accredited and institutional investors
        • Promising companies at attractive valuations, possessing good management
      • Targeted investment opportunities include:
        • Private and publicly traded microcap companies with superior, risk adjusted ROI prospects below the radar screen of traditional private equity sources
        • Selective early stage venture capital situations
      • As an asset class, the microcap segment provide risk diversification as well as attractive risk-adjusted returns
      • Many small companies seek a more robust shareholder base
        • A limited shareholder base makes it more difficult for companies to raise sufficient capital to grow operations, move to a higher-level public exchange, and ultimately bring increased liquidity to their stock
      • While as an asset class, the microcap market offers investors risk & asset allocation diversification, price volatility is often a mitigating factor
        • As with many investments, cost basis is a key factor to generating superior, risk adjusted returns
      • Regulatory changes and Wall Street excesses have created a void in equity research for microcap companies
      • Investors seeking the risk/return profile of investing in smaller capitalization companies are severely limited in their options for identifying and researching such companies
      • Nile has partnered with the principals of Lucite Advisors, LLC to offer a unique program called SNAPP – Shareholder Net Acquisition Placement Program
        • SNAPP provides a platform to significantly increase the shareholder base of promising, microcap companies (market capitalization less than $300 MM) with defined markets, proven revenue and business models
        • Approved microcap companies offer up to $1 million of common equity shares to SNAPP investors at a significant discount to current market value
      • Accredited investors who participate in the SNAPP program are provided the opportunity to build a diverse portfolio of promising microcap companies with an initial cost basis below the then current market value plus potentially other enticing investment terms
      • A simple, cost effective process that benefits both investors and companies
      • Shareholder Net Acquisition Placement Program (SNAPP)
        • Issuer Benefits
          • Increases shareholder base
          • Raises additional capital
          • May qualify company for listing with a higher exchange
          • Positions company for more trading volume
          • Provides an investor relations function
        • Investor Benefits
          • Cost basis at a significant discount to current market value
          • Relatively low, per company investment exposure (up to $5,000)
          • Complete control of investment decision making and exit process
          • Ability to build a portfolio of SNAPP investments
      • Transaction Support
        • Provide transaction origination, structuring , due diligence and portfolio management support for investors
      • Hedge Funds
        • Provide marketing and capital raising support for hedge funds and fund of funds
      • Contract CFO
        • Strategic and tactical CFO services
      • Decision modeling, economic valuation and strategic planning tools for intellectual property-centric companies
      • Life Sciences Expertise
        • 200 years of combined experience in all aspects of pharmaceutical, R&D and marketing ( www.decisionoptions.com/html/people.htm )
        • Risk and portfolio management of projects, companies and intellectual property
        • Business, technology, intellectual property and candidate valuation and selection
        • Technology and business due diligence
        • Licensing deal structuring and intermediation
        • Project design, capacity planning, manufacturing optimization and incentive design
        • Strategic and operational planning and management
      • Objective: Select the best projects/entities to maximize value
        • Value of intellectual property, product, R&D program, technology, market position and brand
        • Facilitate project selection, pricing, transactions and deal structuring
      • Objective: Allocate limited resources to create the best portfolio to maximize enterprise value
        • Allocation of all resources: people, skills, money, capacity and time
      • Objective: Design projects/entities to maximize value
        • Assist in deciding the timing and intensity of investments, nature of investments, exit strategies, resource planning, as well as in-house versus outsourcing alternatives
      • Lucite Advisors, LLC is an investment advisory firm that assists both public and private companies raise growth capital ( www.luciteadvisors.com )
      • Lucite partners with management teams and leading financial institutions to provide the capital, expertise, and strategic relationships necessary to build market-leading businesses
      • Lucite Advisors developed the SNAPP program to significantly increase a company’s shareholder base while providing accredited investors with investment opportunities at a discount to current market values
      • Lucite Advisors conducts all securities-related activity through Nile Capital
      • Companies:
        • Access to growth capital
        • M&A and strategic expertise
        • When appropriate, access to investment banking community for additional, significant financing
        • Broadening of shareholder base and investor awareness
      • Investors:
        • Nile identifies suitable companies with solid fundamentals, good growth trajectories, good management, and with reasonable valuation
        • Favorable investment terms for the participating investors often at a discount to the public market price of a growth oriented microcap company
        • Upon approval, access to in depth equity research
    2. Robert G. Roach, Jr. CEO & Managing Director [email_address] Boston, MA
      • SNAPP
      • Venture Capital Opportunities
      • Acquisitions/roll ups
      • PIPES
      • Hedge Fund Marketing
      • Contract CFO
      Graham Phillips Managing Director [email_address] Los Angeles, CA
      • Acquisitions/roll ups
      • PIPES
      • Later Stage Opportunities
      • Hedge Fund Marketing
      • Contract CFO
      Mary Lecca Vice President &Compliance Officer [email_address] Boston, MA
      • Compliance & Operations
      • Transaction Support
      Bilal Basrai Vice President [email_address] Chicago, IL
      • SNAPP Program Manager
      • PIPES
      • Equity Lines of Credit
      Debra Goundrey Vice President [email_address] New York, NY
      • Hedge Fund Marketing
      • Acquisitions/roll ups
      Henry Noel Vice President [email_address] Boston, MA
      • SNAPP
      • Venture Capital Opportunities
      • Acquisitions/roll ups
      • PIPES
      • Bob Roach, CEO & Co-Founder – Boston. Bob has over 20 years of investment, investment banking and operating experience primarily serving companies with revenues from $0 to $100 million. As an institutional buyside investment professional for 9 years, Bob primarily focused on acquisition financings, private placements and venture capital. Since 1995, he has been actively involved in providing investment banking services for start-up, middle market and technology companies. During his career, Bob has also served as CFO or COO/CFO for growth-oriented operating companies. Possessing extensive and varied transaction experience, Bob has closed in excess of $640 million of private placements in a variety of industry sectors and company stages including venture capital, growth capital and acquisitions. Bob has held investment or corporate finance positions at Merrill Lynch, US West Financial Services, GE Capital Corporate Finance Group, Travelers Insurance (Private Placements), and First National Bank of Chicago (First Scholar Program). Bob holds a MBA from the University Of Chicago Graduate School Of Business and an AB in Economics from Dartmouth College. In addition, he holds the Series 7, 24, 28, 63, 65 and 87 FINRA licenses.
      • Graham Phillips, Managing Director – Los Angeles. Graham manages the West Coast office. He is also the Founder and Managing Member of Kayhan Capital LLC, a firm specializing in advising and restructuring emerging growth companies.  He was previously a Portfolio Manager at Cloudbreak Capital, a Los Angeles hedge fund manager focused on micro and small capitalization public companies.   At Cloudbreak he was responsible for quantitative and qualitative due diligence and developed a formula for rating companies and their potential performance based on trading data and fundamental analysis factors. In addition, he built a valuation and pricing model for restricted securities. Prior to Cloudbreak, Graham held the position of Vice President, Private Placement Group at Knight Capital Markets (Nasdaq: NITE) focused on private placement transactions and mergers and acquisitions for small capitalization public and private companies and CFO/COO of a technology company.  He was also a Vice President at Credit Suisse First Boston's CSFB direct , formerly Donaldson, Lufkin & Jenrette's DLJ direct . He received a JD/MBA from University of Pennsylvania Law School/The Wharton School and a BA, from the University of Pennsylvania.  In addition, he holds the Series 7, 24, and 66 FINRA licenses and is a member of the New York and Massachusetts Bars.
      • Mary L. Lecca, Vice President & Compliance Officer – Boston. Mary joined Nile Capital in 2007. Since joining Nile, Ms. Lecca has established and strengthened the Compliance Department, its processes and procedures. She has also provided transactional support for a variety of projects including private placements, M&A, PIPE and private equity transactions. In addition to her compliance and analytical responsibilities, Mary provides marketing and deal origination support. Due to Mary's fluency in both English and Spanish, she is also tasked with identifying and pursuing projects in Latin America or that serve the Hispanic Community. Prior to joining Nile Capital, Ms. Lecca was an associate at a small investment bank and held various positions at InterGen Services, a global power generation company and Fulfillment Plus, a woman-owned customer relationship management company. Born in Lima, Peru, Ms. Lecca brings a breadth of global experience to her work and clients. Ms. Lecca graduated Cum Laude with a BS in Business Management from Bentley College. In addition, she holds the Series 7, 24 and 66 FINRA licenses.
      • Bilal Basrai, Vice President – Chicago. Mr. Bilal Basrai joined Nile in 2009 as an investment banker and Program Manager for the SNAPP program. Prior to joining Nile, he was the Founder and President of Lucite Advisors, LLC, a corporate and financial advisory firm. Mr. Basrai spent the majority of his career in New York City covering the Health Care Services sector with leading investment banks including Salomon Smith Barney, UBS Financial, and Lehman Brothers. Mr. Basrai also spent two years with the Stanford Financial Group in South Florida. Mr. Basrai has been involved in over $4.4 billion worth of transactions in the healthcare sector over his Wall Street career.  Mr. Basrai has also been a top-ranked analyst for the majority of the Healthcare stocks that he has covered during his days as an equity research analyst and has generated an excess industry return of 11.1%, according to analyst ranking agency Starmine Monitor. The agency has ranked Mr. Basrai as the seventh best stock-picker in the Healthcare Services & Providers Industry. Mr. Basrai has been quoted numerous times in The Wall Street Journal articles along with other major financial and news publications. Mr. Basrai received his Bachelors of Science degree from the University of Illinois, Urbana-Champaign, and holds Series 7, 63, 86, and 87 FINRA licenses. 
      • Debra Goundrey, Vice President – New York. Debra joined Nile in 2008 and has over 17 years in senior financial services marketing and management experience having worked in Australia and North America. Prior to joining Nile, Debra worked as Investment Director Financial Services – North America for the Australian Consulate-General, New York. In this role she provided strategic business and marketing advice to over 90 pre-eminent US hedge funds, private equity firms, mutual funds and institutional banks on how to enter Australia. Debra made capital introductions leveraging her significant Rolodex securing multi-millions in investment deals. Prior to this, Debra held senior marketing roles at Australia’s largest domestic bank, National Australia Bank and at Halifax Bank of Scotland (Australia), the fourth largest UK bank. Debra’s other professional experiences include working at Rio Tinto where she worked in investor relations for the global iron ore division and managed the Future Fund. Debra attained both an MBA and Bachleor’s degrees in Education, English & Business Communications from the University of Melbourne. In addition, Debra has won several Australian awards in journalism. Debra holds the Series 7 & 63 FINRA licenses.
      • Henry Noel Jr., Vice President – Boston.  Henry joined Nile Capital in September 2006 and is focused on deal origination, evaluation and execution of new client opportunities.  Prior to joining Nile, Henry worked on venture financing at MCC Securities and Private Wealth Management at Merrill Lynch.  Henry began his career as a Bond Analyst with TIAA-CREF where he assisted Senior Portfolio Managers in the selection, evaluation and overall management of a Fixed Income portfolio.  With a focus on the telecommunications industry, Henry, performed fundamental analysis and research on potential portfolio companies, invested in public bonds, 144As and private placement transactions.  Henry received his MBA from the Zarb School of Business at Hofstra University and holds a BA in Business Administration from Atlantic Union College.  In addition, he holds the Series 7, 24 & 66 FINRA licenses.  Henry currently serves as a board member for the National Association of Securities Professionals (Boston Chapter) and the Nexus Alliance.
      • VRP Enterprises: Vehicle replacement protection company. Nile principals raised a small Angel capital round for this developmental stage provider of vehicle replacement protection for US car buyers. Nile also provided business development introductions.
      • Ability Reinsurance: Reinsurance company. Nile principals drafted the business plan and secured a $300MM private equity commitment to fund a start-up reinsurance company.
      • Fulfillment Plus: Call center and fulfillment company. Nile principals assumed the role of COO/CFO for the company. During a three year period, the company achieved a revenue increase from $9MM to $43MM. In addition, $3MM of expansion capital was raised from Angels and Nile principals developed comprehensive business plan financial and pricing models to drive and support profitable growth.
      • Time Domain Corporation : Ultra-wideband telecommunications technology company. Nile principals raised $2.5MM of venture capital for this developmental stage technology company.
      • Advanced Radio Telecom : Fixed broadband wireless services company. Nile principals assisted ART in raising $7.5 million in institutional venture capital and $2+ million in Angel capital. The principals also performed M&A advisory on three acquisitions, sourced a strategic relationship, and marketed the company to Wall Street investment firms, which lead to the eventual IPO.

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