Established Central Florida Based Financial Services Company Seeks Bridge Funding

by Bradley Fay
(United States, Tampa, FL)

Central Florida based financial services company (FINRA registered BD, SEC Registered Investment Advisor, and Insurance Co) that seeks to raise $3-4 million in bridge funding to complete an acquisition. I've done business with both the acquiring firm and the firm being acquired for many years, the acquiring firm is a quality firm, excellent reputation, roughly 150 registered reps and growing nicely. In fact, my company added another $4 million in production in Q2-2013.

Excellent management team, the firm is profitable, long operational history, 25 years +, audited financials for every year of operation, profitable, and does not have any regulatory issues or a material litigation log. I've place many producers and managers there over the past 4-5 years. The CEO is the majority shareholder and he and his executive team runs the day to day.

The firm will raise $3-4 million to complete the acquisition for up to 36 months, is willing to pay 10% interest and will put up collateral (shares of the company) as a claw back. The CEO will consider a personal guarantee as well. I'm not charging a finder's fee to any party.
Snapshot of transaction:
• Both Companies have 25+ years of operating history
• Revenues of acquiring company $20 million (2012)
• Revenues of company being acquired $9 million (2012)
• EBITDA of at least $1.9 million (est. 2013)
• Audited Financials from inception
• Highly regulated industry
• Acquiring Company took Management Control (4/2013)
• Experienced management team
• General Counsel of acquiring firm on FINRA's Board of Governors
• Southeast U.S. based: acquiring firm Orlando, firm being acquired Boca Raton
Diversified platforms include:
• SEC Registered Investment Advisor
• FINRA- Registered Broker-Dealer (2)
• Insurance Company
• Institutional Bond Team
• 190 Registered Rep
• Over $1 Billion AUM
• Capital Markets Platform
Investment Size and Structure
• $3-4 Million
• 10% Interest
• 36 Month Term

I have the audited 2012 financials on the companies, an executive summary and YTD combined financials. If you execute the attached NDA I'm happy to forward those to you if you or your company is interested I will make the introduction to the CEO. I look forward to hearing back from you.

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