Investment Banking for Financial Services

AcquaFlow

Tobin & Company was referred to AcquaFlow by a boutique investment bank based in New York City. The Firm was retained to assist the owners in the sale of the company. The Firm created an extensive buyers list and assisted the client in the creation of an Executive Summary and a Confidential Information Memorandum. The Firm also created a valuation of the client company.

TOBIN contacted over 200 buyers on behalf of our client and executed 14 NDAs. In the end, our client sold to an undisclosed buyer that is an industry leader. The buyer will add our client’s technology and product to their already formidable portfolio.

Nexus Consulting Group, LLC

Tobin & Company Investment Banking Group LLC acted as strategic merger and acquisition advisor to Nexus Consulting Group LLC. Nexus is a unique information technology services Firm based in Chicago that provides business intelligence solutions to companies throughout the Midwest and in the Carolinas.

The company sold to Project Leadership Associates, Inc. (“PLA”), a leading provider of technology consulting services, which is also based in Chicago.

Significant interest in this property resulted in a highly attractive sales price for the client.

Nexus’ commitment to client satisfaction, financial strength and leadership skills proved to be excellent complements to the culture of PLA and the expectations of PLA’s investor, Celerity Partners.

MobileSmith Health

Tobin & Company Investment Banking Group LLC assisted the client through a significant strategic review, helping the company to build an offering document that encompassed a business plan and a “whole company” financial model. The Firm worked closely with the CEO and CFO of the client, helping to establish strategies for growth and success.

MobileSmith Health (OTCBB: MOST) provides turnkey mobile applications that improve health outcomes, patient satisfaction and adherence for the new generation of digital health consumers.

GreenWizard, Inc.

Tobin & Company Investment Banking Group LLC was retained by GreenWizard as the exclusive investment banker in the potential sale of the company’s assets. TOBIN contacted 74 prospective buyers and brought four of them to the table for negotiations with the client. The assets of the GreenWizard were acquired by UL.

GreenWizard provides a software as a service (“SaaS”) application that allows architects, specifiers, interior designers, contractors and other design and construction (“D&C”) professionals to make informed decisions throughout the building product management process.

Airimba Wireless Inc. d/b/a Windchannel Communications, Inc

Tobin & Company Investment Banking Group LLC acted as strategic merger and acquisition advisor to Airimba Wireless, Inc. Our client provides wireless mesh infrastructure solutions to municipalities and comprehensive converged communications services to multi-unit developments

Tobin & Company contacted more than ninety potential buyers. The candidate list was generated from our idea-generation development effort, which generated over 200 potential partners

Our Firm brought three letters of interest to the client – two from strategic partners and one from a financial buyer.

We assisted our client in the negotiations among the prospective buyers and successfully closed the transaction.

Do you have brokers who need to be supervised but your Managing Broker Dealer won’t do it? Ask us about our Soliciting Broker Dealer Services. We will happily work with your MBD.

Name(Required)

First Last

Phone

Email(Required)

Comments(Required)

Glen Lennox, LLC

Tobin & Company Securities LLC served as the managing broker-dealer for Glen Lennox, LLC ensuring compliance with securities laws and industry requirements, while providing a regulatory safe harbor through the capital raising process.

Glen Lennox, LLC is managed by Grubb Properties, Inc. Tobin & Company Securities LLC acted as the managing broker-dealer in the company’s offering which the company used to make investments in real estate throughout the Southeastern United States. Our team conducted due diligence to confirm the offering documents and to establish suitability of the offering. Tobin & Company confirmed accreditation of investors and assessed investor-specific suitability as well as conducted AML clearances. The Firm also managed all necessary filings with FINRA.

Innovation Lofts and Indigo Hotel, LLC

Tobin & Company Securities LLC served as the managing broker-dealer for Roberts Properties Innovation Lofts and Indigo Hotel, LLC, ensuring compliance with securities laws and requirements and providing a safe harbor throughout the capital raising process. Our team conducted due diligence to confirm the offering documents and to establish suitability of the offering. Tobin & Company also accredited investors and ensured individual suitability as well as CIP and AML clearances. The Firm also managed all necessary filings with FINRA and responses to queries by FINRA.

The Firm entered into soliciting broker-dealer agreements with brokers of the client’s choice who helped the client sell the offering to a universe of retail and institutional investors. The Firm also provided introductions to prospective individual investors who invested in the offering.

Grubb Southeast Real Estate Fund VI, LLC

Tobin & Company Securities LLC served as the managing broker-dealer for Grubb Properties’ offering of Fund VI. The fund was very popular with investors and was extended and updated throughout the course of the offering.

Our team conducted due diligence to confirm the offering documents and to establish suitability of the offering. Tobin & Company also accredited investors and ensured individual suitability as well as complicated CIP compliance and AML clearances. The Firm also managed all necessary filings with and responses to FINRA.

Grubb Real Estate Investment Company, LLC

Tobin & Company Securities LLC served as the managing broker-dealer for Grubb Real Estate Investment Company, LLC, ensuring compliance with securities laws and industry requirements, while providing a regulatory safe harbor through the capital raising process.

Grubb Real Estate Investment Company, LLC is managed by Grubb Properties, Inc. Tobin & Company Securities LLC acted as the managing broker-dealer in the company’s $30,000,000 offering which the company used to make investments in real estate throughout the Southeastern United States. Our team conducted due diligence to confirm the offering documents and to establish suitability of the offering. Tobin & Company confirmed accreditation of investors and assessed investor-specific suitability as well as conducted AML clearances. The Firm also managed all necessary filings with FINRA.

Download Our In-Depth Guide on Due Diligence

Grubb Southeast Real Estate Fund IV, LLC

Tobin & Company Securities LLC served as the managing broker-dealer for Grubb Properties’ offering of Fund VI. The fund was among the first in which our client engaged a Managing Broker-Dealer in order to meet regulatory requirements of this prolific fundraiser.

Our team conducted due diligence to confirm the offering documents and to establish reasonable-basis suitability of the offering. The Firm accredited investor, ensured individual suitability and completed complicated CIP compliance and AML clearances.

Aceyus, Inc.

Tobin & Company Investment Banking Group LLC performed 409A valuations for Aceyus, Inc. for over ten years on an annual basis. A 409A valuation is the process of valuing a company in order to assist the company in setting the strike price for its employee stock options. The strike price must be set at or above the fair market value. Tobin & Company’s valuation provides a defensible appraisal by a qualified professional or acquiror and a safe harbor for the company from unnecessary IRS challenges.

Aceyus, Inc. provides contact center intelligence software which has business intelligence capability applied to contact center data and systems. Aceyus sells a specialized data warehouse that integrates data from a variety of contact center systems and provides the data mining/analysis/reporting/dashboard applications that run on top of it.

BroadSource, Inc.

TOBIN & Company Investment Banking Group LLC acted as the exclusive strategic merger and acquisition advisor to BroadSource, Inc. in a sell-side engagement.

TOBIN & Company brought four Letters of Intent to the client at the valuation predicted by the Firm after contacting over 100 prospective buyers, which were sourced by TOBIN and approved by the client.

The client decided not to accept any offers.

In early 2011, BroadSource, Inc. merged with Columbus, Ohio-based Integrated Mobile in a transaction valued at $14.8 million.

Decision Support LLC

Tobin & Company Investment Banking Group LLC acted as the exclusive financial advisor to Decision Support LLC in its objective to sell its subsidiary, Secure Elections Management.

Decision Support LLC provides data management, process management, and reporting software products for its customers in the elections, ad-hoc reporting, and data integration markets. Its subsidiary, Secure Elections Management, provides the electronic voter identification (â€œEViDâ€) product for election officials across the United States to better administer elections. The EViD electronic pollbook solution facilitates the administrative and voter check-in processes at polling places throughout the United States.

DealerWire

Tobin & Company Investment Banking Group LLC represented WiredLogic, doing business as DealerWire, in the M&A sale process and ultimate acquisition by DealerTrack Holdings.

DealerWire provided inventory management solutions to the automotive industry.

Tobin & Company worked with DealerWire to represent it to prospective acquirers and to communicate the successes of the company since its founding. Ultimately, DealerWire’s innovative products, strong customer relationships and leadership in the industry proved to be excellent complements to the leadership position and driving force that DealerTrack represents in the automotive retail industry.

Adventure Forest LLC

Tobin & Company Investment Banking Group LLC server as the exclusive M&A advisor to the Adventure Forest, LLC,, doing business as GoApe, in its search for an acquirer. Adventure Forest LLC is the U.S. subsidiary of Adventure Forest Limited based in the UK and operates more than a dozen zip line adventure parks throughout the United States.

Tobin & Company developed a comprehensive buyers list and contacted 114 buyers for its client. TOBIN’s process led to a restructuring of GoApe in the US, including a new outside investor and a new CEO, allowing the company to remain as a subsidiary of the UK parent.

BreakFront, Inc.

Tobin & Company Investment Banking Group LLC acted as a sell side advisor to BreakFront which was acquired by an undisclosed buyer.

BreakFront provides marketing and software services to cabinet dealers and remodelers throughout North America.

We assisted our client in the negotiations among the prospective buyers and successfully closed the transaction.

AccessOne Medcard, Inc.

Tobin & Company Investment Banking Group LLC was retained by AccessOne Medcard, Inc. to complete a number of valuation projects over the life of the company before it was acquired by a private equity group. The Firm also helped the client assess various options around mergers and acquisitions.

AccessOne is a leading provider of patient financing solutions designed to help consumers manage their healthcare costs. Founded by a third-generation physician, the company has helped over one million consumers pay out-of-pocket medical expenses in health systems nationwide.

United Mortgage & Loan Investment Corporation

Tobin & Company Investment Banking Group LLC rendered a fairness opinion for the benefit of the employee stock ownership plan in a highly complex transfer of subsidiaries and various forms of consideration within this financial services company.

Tobin & Company conducted an extensive technical valuation analysis of the underlying subsidiaries’ value and the related forms of consideration.

Tobin & Company completed a sophisticated rate study to determine the fairness of loan vehicles put into place.

Tobin & Company rendered an opinion as to the consideration to be paid by the purchaser, related contributions to the transaction, as well as other economic terms and conditions from a financial point of view.

Relativity Technologies, Inc.

Tobin & Company Investment Banking Group LLC acted as strategic advisor to Relativity Technologies, Inc. Tobin & Company provided a fairness opinion for a change in control transaction.

Relativity Technologies, Inc. offers enterprise application modernization and application portfolio management software. It offers Modernization Workbench, which creates business intelligence for application portfolios; Analyzer Express that offers eclipse-based business intelligence for applications; Application Analyzer, which offers business intelligence about application portfolio; and Application Architect that provides automated path to renovating and refactoring enterprise applications.

Raggs, LLC

Tobin & Company Investment Banking Group LLC assisted Raggs LLC in raising over $2.5 million from early-stage investors to fund the production and launch of its new television series. Raggs is a Carolinas-based originator and developer of children’s entertainment properties.

Tobin & Company conducted due diligence on the business, drafted private placement offering memorandum, built an extensive financial projection model, developed an investor list, and enabled the client to achieve business goals through a capital raise.

Quantum Clinical Navigation System

Tobin & Company Investment Banking Group LLC acted as financial advisor to Quantum Clinical Navigation System, a subsidiary of Southeast Anesthesiology Consultants, P.A.

Quantum Clinical Navigation System is a perioperative quality measurement and outcomes reporting tool with both web and paper input capabilities. The tool allows clients to measure over fifty quality indicators (efficiency, practitioner performance, clinical outcomes and patient satisfaction). This provides real time reports and benchmark capabilities allowing our clients to reap dividends in error reduction, optimized outcomes and decreased case delays.

Quaero Corporation

Tobin & Company Investment Banking Group LLC issued a review letter evaluating Quaero Corporation’s historical valuation analyses of common stock to assess the reasonableness and appropriateness of such analyses in light of IRS Code Section 409A for a pending change of control transaction.

Quaero Corporation is an interactive media and entertainment company providing various marketing and customer engagement agency services. The company offers strategy, customer intelligence, technology, direct marketing and interactive services.

Princeton Softech, Inc.

Tobin & Company Investment Banking Group LLC acted as financial advisor to Princeton Softech, Inc. Princeton Softech was acquired by Aionex, a healthcare solutions company.

Princeton Softech, Inc. provided enterprise data archiving and test data management software. The company offers Princeton Data Ace, a data management tool that accelerates testing, as well as Version Merger, an intelligent version reconciliation tool, which accelerates the upgrade process. They also offer project mentoring, systems consulting, and training programs.

PMG Research, Inc.

Tobin & Company Investment Banking Group LLC performed a valuation to mark to market for the owner of PMG Research, Inc.

PMG Research, Inc. is an integrated network of clinical research facilities in the southeast region of the United States, and has conducted 6,800 research studies for hundreds of pharmaceutical sponsors and contract research organizations since 1979.

Perry’s Jewelry Emporium, Inc.

Tobin & Company Investment Banking Group LLC acted as a sell-side advisor for Perry’s Jewelry TV, a subsidiary of Perry’s Jewelry Emporium, Inc.

Perry’s Jewelry specializes in fine antique, estate, wedding and one of a kind vintage jewelry. Perry’s Jewelry also buys, sells and trades vintage, antique and estate jewelry, gold, diamonds, coins, silver and platinum.

Paragon 28, Inc.

Tobin & Company Investment Banking Group LLC has performed several valuations for Paragon 28, Inc. in order to provide continual bases for equity capital raises and equity investments. The Firm has also performed a valuation of the client’s stock options.

Paragon 28 strives to provide value-driven surgical solutions by specializing in the design and manufacture of customized and commodity foot & ankle implants.

Established in 2010, our client is dedicated to creating industry leading solutions and tools to improve the treatment of the most challenging foot and ankle conditions.

Knightsbridge Solutions, LLC

Tobin & Company Investment Banking Group LLC acted as strategic merger and acquisition advisor to Knightsbridge Solutions, LLC in its search for acquisition candidates in the data-warehousing consulting field. Knightsbridge was the largest independent data-warehousing services provider in the marketplace. Knightsbridge was acquired by HP in 2007.

Knightsbridge made itself known to over 550 companies in the marketplace, and became involved in active dialogue with over 50 companies.

While Knightsbridge did not actually purchase any company during this period of engagement, it developed strategic alliances with several players in the marketplace.

Knightsbridge was able to complete venture financing, due in part to the credibility it established with investors from its search process.

Kewaunee Scientific Corporation, Inc.

Tobin & Company Investment Banking Group LLC acted as financial advisor to Kewaunee Scientific Corporation at the referral of Bank of America Merrill Lynch.

Tobin & Company developed an assessment and report of the fair market value of the stake not owned by the parent company in order to create a basis for negotiating the purchase of the stake.

Our team developed public and transaction comparables based in Southeast Asia through independent research. The analysis provided a rigorous evaluation of various discounts for Minority Interest and Key Person.

Tobin & Company advised the CEO and CFO on negotiation approaches, and presented the 27 page financial model and reports to the company’s Board of Directors.

Instantel, Inc.

Tobin & Company Investment Banking Group LLC acted as strategic merger and acquisition advisor to Instantel, Inc. The company was sold to a financial buyer based in Chicago.

Instantel is the leader in the newborn abduction-prevention marketplace for hospitals.

The client also provides tracking products for the nursing industry and vibration monitoring products for the construction and mining industries.

Tobin & Company located a strategic buyer, whose offer was declined, as well as a proposed financial buyer.

Grubb Qualified Opportunity Fund, LLC

Tobin & Company Securities LLC served as the managing broker-dealer for Grubb Properties’ first Qualified Opportunity Fund, ensuring compliance with securities laws and requirements and providing a safe harbor through the capital raising process. Grubb Properties has been a pioneer in Qualified Opportunity Zones and has long been a leader in meeting the market opportunity created by middle-income housing and office demand.

The Firm worked closely with many members of the client’s team, ensuring compliance with securities laws and a smooth investment process for the client’s valued investors.

Exervio

Tobin & Company Investment Banking Group LLC acted as financial advisor to the president of Exervio Consulting Management. The president of Exervio sold his ownership stake to the senior management team.

Exervio is a management consulting Firm that provides process improvement, business and operations analysis, and information technology services.

Entrinsik, Inc.

Tobin & Company Investment Banking Group performed a 409A valuation for Entrinsik, Inc. A 409A valuation is the process assisting a company in setting the strike price for its employee stock options. The strike price must be set at or above the fair market value. Tobin & Company’s valuation provides defensible appraisal by a qualified professional and a safe harbor for the company.

Entrinsik develops, implements, and supports information management solutions that enable organizations to maximize performance and improve their bottom line. Over 1000 organizations around the world use Entrinsik’s software every day.

Cox Technologies, Inc.

Tobin & Company Investment Banking Group LLC developed and executed a Fairness Opinion for the Board of Directors of this publicly-traded company in a private placement transaction with company insiders.

Details of the fairness opinion were filed in publicly disclosed financial statements with the Securities and Exchange Commission.

Tobin & Company was successful in winning the follow-up assignment to value all of the employee options within the company in order to execute a general revaluation of the outstanding options.

Charles & Colvard Ltd.

Tobin & Company Investment Banking Group LLC provided a valuation assessment of the client’s shareholder rights plan. Tobin & Company delivered a recommendation on the continuation of the plan as well as the exercise price for the new term.

Tobin & Company worked with the client to assess the current environment around poison pills and to make an independent recommendation regarding the renewal of the plan.

Tobin & Company provided an analysis of the potential impact on shareholder value of an extension of the shareholder rights plan.

Tobin & Company executed a market analysis of the company’s susceptibility to a takeover attempt.

Cass Information Systems, Inc.

Tobin & Company Investment Banking Group LLC acted as strategic merger and acquisition advisor to Cass Information Systems, Inc. in its search for acquisition candidates in the outsourced financial exchange, business intelligence and data processing services spaces.

Cass is one of the largest, most reliable and flexible processing services Firms, specializing in payments and data.

Tobin assisted Cass in making itself known to over 350 companies in over 60 different verticals, ranging from Audit Recovery to Warranty Processing.

Active discussions were pursued with 23 target companies and a handful of offers were made by the client.

Bridgeforce, Inc.

Tobin & Company Investment Banking Group LLC acted as strategic merger and acquisition advisor to BridgeForce, Inc. in its search for an acquirer. BridgeForce is a credit, collections and risk management consulting Firm serving the largest global financial institutions.

Tobin & Company worked with owners of BridgeForce in seeking an acquirer. BridgeForce was founded by experienced large-Firm consultants who saw a need for niche, high-touch strategic business planning services focused on defining or changing a market position, technology infrastructure, organizational design and operational training in credit risk and management.

Tobin & Company identified over 200 strategic buyers. The Firm contacted 50 of those buyers, and twelve signed an NDA.

Ultimately, the client decided to remain independent.

Financial Services

Subscribe To Our Newsletter

You have Successfully Subscribed!