Role
Financial Advisor

Company
Equity Financial Holdings Inc. — previously a capital pool company, that acquired a financial services business

Assignment
Raising of mezzanine financing for its qualifying transaction

Result
Closed with an Institutional Investor

Postscript
Subsequently sold the Investor's shares in two years at over three times the original cost (an example of an Exit transaction)

Role
CEO

Company
Synapse Technologies Inc. — a company that developed a diagnostic/therapeutic drug delivery technology for the brain

Assignment
Management, financing and subsequent sale

Result
Managed the company, raised financing from existing shareholders, and sold the entity to a public company at a price significantly above the unofficial fairness opinion

Role
CFO

Company
Cadherin Biomedical Inc. — a spin-off from a public drug development firm

Assignment
Financing for growth or sale of the company

Result
Company was sold to its ex-parent, whereby shareholders' return was doubled from a previous offer

Role
Financial Advisor

Company
Advanced Utility Systems Corporation— a software provider for the North American utility industry

Assignment
Sale of the company

Result
Company was sold at a price considerably above its previously negotiated offer