Equity Funding Opportunity

While global debt markets are all but dead, public equity financings and / or pre-public equity financings are not only feasible – they’re currently being funded on the London AIM Market [Alternative Investment Market].

The Team

Three highly experienced, senior professional investment bankers have formed a teaming arrangement to pursue opportunities on behalf of clients who want to raise development and / or expansion funding, with a view to having a listed public company on the AIM Market.  The team has been involved in varying aspects of 19 AIM financings in recent years.

Currently, the “sweet spot” when it comes to capital raised on the London AIM for clients is between $35 and $150 million.  Hot flavors of the month are hydro-carbon, health / medical services, alternative energy projects, mining projects, technology projects and media / entertainment projects.

In addition, The London Stock Exchange is currently actively promoting an off-shoot of The AIM Market, called The Specialist Fund Market [SFM].  The SFM is designed to accommodate such entities as single-strategy hedge funds, multi-strategy hedge funds, fund of hedge funds, private equity funds, property investment funds, infrastructure funds as well as sophisticated legal structures and security types (such as LPs, PCCs, non-voting shares)."

Process

The AIM Market is Institutional, not Retail.  Capital placements on the AIM Market are determined by specialists called Nominated Advisors [Nomads] who represent, among other fund sources, the Venture Capital Trusts [their clients].

Individual Venture Capital Trust [VCT] Investments are 200,000 British pounds in size each.  The investor gets an immediate 30% tax refund.  These investments are managed by the banks and the funds must be invested within a very short time (3 months) in qualified investments.  There are only 2 qualified investments: Private Placements, or IPO AIM stocks.  Because of the current state of almost all public markets, "Nomads" are investing these funds in pre-IPO Private Placements with the qualification that the company execute an IPO on the AIM Market within a negotiated period of time. 

These funds are piling up at an unprecedented rate.

The "Nomads" are currently having lunch with each other because there are few takers.

This is due to people’s market perceptions that markets are currently "locked down". 

This is not true of the London AIM Market today.  Therefore, the potential, immediate opportunity now is enormous for the right investment project!

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