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SoundView Advisory Overview

SoundView Advisory Company Presentation

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SoundView Advisory Overview

  1. 1. Company Advisory Services Overview Summer/Fall 2012
  2. 2. About SoundViewSoundView is a research-driven strategic advisory firm specializing in InvestorPositioning, Advisory and Development (“IPAD”) services for emerging technologycompanies.The two senior partners, Kris Tuttle and Stephen Waite, have a passion for technologyand working with emerging tech companies. Each have three decades of direct experiencein investment research and management, and have worked extensively throughout theircareers with publicly-traded and private technology companies.The company specializes in producing strategic, thematic, fact-based, and company-focused fundamental research for investors. It also provides an array of advisory anddevelopment services, leveraging its extensive network. It is not a broker-dealer, but hasrelationships with broker dealers if these services are needed.The company is based in Boston, Mass. with locations in Paris, NYC and Connecticut. 2
  3. 3. What We DoProvide research that improves visibility with investors – illumination ofcompany’s technologies, strategy, management strategy and execution andintrinsic value.Build and maintain an independent, objective and defensible assessment ofintrinsic value for private or public markets and M&A.Form our own overall investor positioning based on all the elements of thecompany from the perspective of active investors.Link in additional organizations that can accelerate business developmentand growth – like channels, marketing, additional products & services.Assist with capital structure formation and development and provideintroductions to potential investors or partners. 3
  4. 4. What SoundView Is NotNot a broker-dealer or registered investment advisor: Our publishedresearch reports are unencumbered by securities regulations which limitsbreath, time horizon and distribution.Not an IR or PR firm: Our ‘IPAD’ services are complementary to IR.For some clients, we can provide emerging IR services as an add-on andthen migrate these clients to full service IR firms when they are ready.We don’t do “promotion”: There are services that cater to a trading-oriented audience. They may help improve trading volume but that’s notour core business.In summary we focus on “pure” research based on an understanding ofthe markets and companies we cover with an emphasis on facts (versusopinion) and intrinsic value (versus ratings.) 4
  5. 5. SoundView Clients 5
  6. 6. Testimonials“The response to your research report has been very positive from shareholdersand parties that have called us. Additionally, whether it is causative, correlative orjust plain serendipitous, there has been an explosion in our stock price over thepast two days.” - Doug Jamison, CEO, Harris & Harris Group“This in-depth analysis of Motorola by line of business with separate valuationmodels was just the research and insight we needed for our board-level decisions.”- Bill Hambrecht, Board Member, Motorola“Your research report on the IBM software business was excellent. We will use itas a basis of our strategy discussion in our next board meeting.” - Bill Janeway,Board Member at BEA Systems“Your note on Google was the shortest and most on target of all the ones I read.”– Tim O’Reilly, Founder and CEO of O’Reilly Media 6
  7. 7. Testimonials“I doggy-eared your report on us.” “This report is comprehensive, balanced and- Chris McGurk, CEO, Cinedigm well written. Thanks for writing it – it’s a very well crafted product!”“We were impressed with the quality of the - Vern Brownell, President and CEO, D-Wavecontent given the limited amount of time Systemsyou required of the management team.”-Bill Beck, Co-founder, EVP Business “We don’t pay ‘analyst firms,’ but would likeDevelopment, Laser Light Engines to license your report to distribute to potential investors.” – Steve Perlman, “The report looks great! We would like share Founder and CEO of Rearden and OnLiveit with other investors.” - Jeff Yurek,Corporate Communications Manager, “You did a really nice job of summarizing allNanosys of that science.” -Dr. M. Karen Newell- Rodgers, Professor of Medicine, Texas A&M“Great job on the report!” - John Ryals, University, Chief Scientist, Viral GeneticsCEO, Metabolon 7
  8. 8. Growth Partners We are part of the GigaOM Pro platform and can leverage their infrastructure, We work with resources and readership. Sharespost on research reports and analyst coverage of their Online-savvy IR services being used private companies. by more companies like Dell. We use this for our emerging IR add-on. Covestor provides the Folio provides management services for marketing and client services our IPO Candy Folio of post-IPO for the SoundView TechFund. investments. 8
  9. 9. SoundView Network•  DELL Corporation (Michael Dell) •  Keating Capital•  Gilder Technology Group (George •  Warburg Pincus Gilder) •  Alsop Louie Partners•  TheInfoPro (part of The 451 Research Group) •  Balderton Capital•  The NanoBusiness •  TVM Capital Commercialization Association •  Saugatuck Technology Research•  New York Biotechnology Alliance •  Elevation Partners•  Good Data Corporation •  The InVentures Group•  eTrade Investment Banking •  NanoMaterials Innovations Center•  The Strategic News Service•  Lippert/Heilshorn Media and •  Taylor-Frigon Capital Management Investor Relations •  Aberdeen Investment Management SoundView has a deep and diverse network that it leverages for clients 9
  10. 10. Sister Companies Independent research platform with world class distribution that includes Bloomberg, Thomson Reuters/ First Call, S&P/CapIQ, Factset as well as direct with email, blog/RSS and social/professional networks. Analysis of the overall IPO market as well as pre- and post- IPO research on companies. Typically ranked in the top 5 of IPO analyst firms on Seeking Alpha. Also manages the investable IPO Candy Folio of recently public stocks. Deal-focused information service covering company fundings, M&A and public offerings. (Recently acquired and in development.) 10
  11. 11. ‘IPAD’ ServicesIn-depth, institutional-quality research and reports including intrinsic valuationmodel; reports can be distributed widely to investors through Research 2.0’splatform at client’s request.Business development assistance: introductions to potential corporate partners,technology licensees, investors, analysts, IR firms, and investment banks/bankers.Pre- and post-IPO research and advisory services.SoundView’s ‘IPAD’ services have a base price of $30,000/year ($7,500/quarter)but scale down to $10,000/year for private companies and up to $60,000/year($5,000/month) for companies that also want emerging IR services. (Full serviceIR and PR firms each charge about $7,000 to $10,000, or more, per month.) 11
  12. 12. Broad Distribution Network Institutions Research Content Individuals IR •  Press Releases Content •  Conference Call Information •  Links to videos, articles and news 12
  13. 13. SVA Managing PartnersKris Tuttle – Director of ResearchKris became captivated by microcomputers in 1979 when you still needed to know how to use asoldering iron. He moved into artificial intelligence and expert systems at Carnegie MellonUniversity in 1981 while getting his undergraduate degree in Computer Science there.Moving to IBM in 1984 Kris spent the next 9 years there commercializing advanced technologiesand applying them to problems in transportation, telecommunications, and finance. After pickingup an MBA in Finance from NYU Stern Kris took his technology obsession into the world ofbusiness models and the stock market.After a few years at S.G. Warburg (now UBS) he became an equity analyst at SoundView TechnologyGroup where he worked with most of the leading public software and Internet technologycompanies. Kris subsequently become Director of Research at SoundView and ran a 70+ personresearch organization with offices in New York, San Francisco and London. Kris also served as theDoR for Adams Harkness (now Canaccord Adams) before starting his own research boutique inApril of 2005.He received his BS in Computer Science from Carnegie Mellon University in 1984, and acquired hisMBA from the NYU Stern School in 1992. 13
  14. 14. SVA Managing PartnersStephen Waite – Director of StrategySteve is a noted institutional investment manager, strategic corporate advisor, professor and author,with nearly three decades of experience on Wall Street. He was a co-founder of a multi-billion dollarinvestment management firm.Steve has extensive experience in global economic and financial market issues with tenures atMorgan Stanley & Co, The Capital Group, Merrill Lynch, and CSAM/BEA Associates. In addition,he helped found ThelnfoPro, Inc., an independent technology research firm that is now part of 451Research, and served as the company’s Chief Knowledge Officer and was a member of the Board ofDirectors. He is currently a member of the NanoMaterials Innovation Center Board of Directorsand also works closely with the NanoBusiness Commercialization Association and is a member of itsAdvisory Board. Steve also serves on the Strategic News Service Future in Review (FiRe) TechnologyConference Advisory Board and has worked with the partners at GaveKal Research.A former highly-rated Adjunct Professor of Finance at Quinnipiac University in Hamden,Connecticut, Steve is the author of the book Quantum Investing and co-author of the book,Boomernomics. Born in Ann Arbor, Michigan and raised in Saginaw, he has a Masters Degree inEconomics from The Pennsylvania State University and is a past participant at the Santa FeInstitute. 14
  15. 15. Contact InformationKris TuttleManaging Partner and Director of Researchkris@soundviewadvisory.com617-934-1877Stephen WaiteManaging Partner and Director of 15