MasterClassTM

Capital Roundtable

Marquis Sponsor

Contributing Sponsors

Association Partners

Data Partners

Partial List of
Past Attendees

Bank of Ireland Corporate Banking

Bank of New York Mellon Corp.

Brooks Houghton & Co. Inc.

BV Fund

CapX Partners

Charterhouse Group Inc.

Contemporary Healthcare Capital LLC

Deloitte Tax LLP

District Equity LLC

Dixon Hughes Goodman LLP

Donaldson & Diwik

Dos Rios Partners LP

EDK Consulting

EverWatch Financial Inc.

Gemini Investors

Graycliff Partners LP

Hamilton Lane

Hatteras Venture Partners LLC

HealthCare Royalty Partners

Kidd & Co. LLC

Lone Star Investment Advisors LLC

Matthews, Carter & Boyce

MCG Capital Corp.

McGladrey

Medley Capital LLC

NCT Ventures

New Mountain Capital LLC

Oxford Finance LLC

Pepper Hamilton LLP

Plexus Capital LLC

Prentice Capital Management LP

Providence Equity Partners LLC

Rosen Seymour Shapss Martin & Co. LLP

Rothstein Kass & Co. PC

Small Business Investor Alliance

Spell Capital Mezzanine Partners

Stone Pine Accounting Services LLC

TD Bank NA

Thompson Group

U. S. Small Business Administration

Victory Park Capital

































 

 

How Debt & Equity Funds Are
Successfully Tapping into the
SBIC Program

 

Best Practices
For Launching & Managing an SBIC

 

                                            CHAIRED BY                                       

Marilyn S. Adler, Managing Director
Medley Capital LLC & Head of Medley SBIC


FEATURED SPEAKER

Javier E. Saade, Associate Administrator,

U. S. Small Business Administration

& Head of the SBIC Program

 

MARQUIS SPONSOR
Pepper Hamilton LLP

Michael B. Staebler, Partner
& Head of the SBIC Law Practice

 

CONTRIBUTING SPONSORS

CohnReznick LLP
Christopher G. Aroh,
Partner

 

PEF Services LLC
David B. Gerogosian, Executive Vice President

 

FULL-DAY CONFERENCE

Thursday, November 20, 2014

8:00 am – 5:00 pm

New York City

 

Insights from 20 Expert Speakers

Robert R. Anders, Plexus Capital LLC

Christopher G. Aroh, CohnReznick LLP

E. Garrett Bewkes, GarMark Advisors LLC

Paul J. Echausse, Alcentra Capital Corp.

Seth I. Friedman, RLJ Credit Management LLC

David B. Gerogosian, PEF Services LLC

Thomas A. Hiatt, Centerfield Capital Partners

Justin M. Kaplan, Balance Point Capital Partners LP

Lawrence S. Mondschein, CRA Funding LLC

Barry A. Osherow, Enhanced Small Business Investment Company LP

Brett T. Palmer, Small Business Investor Alliance

Tim Rafalovich, Wells Fargo Bank

Christopher A. Rossi, Pepper Hamilton LLP

Peter E. Rothschild, OFS Management

Javier E. Saade, U. S. Small Business Administration

Steven J. Schaefer, Graycliff Partners LP

Corey L. Sclar, Brookside Mezzanine Partners

Sengal M. G. Selassie, Brightwood Capital Advisors LLC

Michael B. Staebler, Pepper Hamilton LLP

Michael A. Temple, Pepper Hamilton LLP

Richard G. Wheelahan, Capitala Investment Advisors LLC
Additional speakers to be announced

 

Register Now

 

SPECIAL HALF-DAY PRE-CONFERENCE WORSKHOP

Wednesday, November 19, 2014

“How to Launch Your First SBIC -- Basics & Nuances”

Led by Christopher A. Rossi

2:00 pm – 5:00 pm

Faculty | Schedule | Registration | Location | Sponsorship | Audio Package |

The attractiveness of the SBA’s Small Business Investment Company program is a given, but the hurdles can be daunting.  Insiders say that 4 out of 5 companies drop out of the process along the way.

 

Attend this conference from The Capital Roundtable, and you can significantly enhance your odds of being among the successful 20%.

 

Twenty SBIC experts -- including GPs, SBA administrators, lenders, attorneys, and consultants, will provide what you need to know … and outline the specific steps … to speed up your application and better your chances. 

 

This conference can put you on the fast track for up to $150 million of inexpensive money.  Or it can save you the agony of wasting your time and your money.

 

Come on Thursday, November 20, and we’ll deliver it all to you.

 

Here Are Three Reasons Why You Should Join Us

 

  1. Hear from seasoned practitioners with decades of experience, as well as from SBA examiners themselves.
  2. Discover what management teammates you need, and whether you must hire debt and compliance professionals -- and where to find them.
  3. Understand how BDCs can set up affiliated SBICs -- and why some current SBICs are thinking about becoming BDCs.

 

Register Now To Get Expert Advice from Marilyn Adler and Michael Staebler

  

You will be in very good hands with two noted industry leaders at the helm of this conference.

 

Chairing it is Marilyn S. Adler, managing director of New York City-based Medley Capital LLC and head of Medley SBIC. With more than 18 years of experience running SBICs, Marilyn is an authority on all aspects of SBIC funds.

 

Marilyn’s broad background includes serving as a partner at Sunrise Equity Partners, Hudson Venture Partners, plus significant credit responsibilities at TIAA-CREF and Donaldson, Lufkin, & Jenrette.

 

The conference also brings you the expert legal counsel of Michael B. Staebler, partner at Pepper Hamilton LLP, the country’s largest and most active small business investment company practice. Mike ran an SBIC for many years, leads Pepper’s SBIC practice, and has served on the advisory committee of the SBA’s investment division.


You’ll also have the opportunity to meet Javier E. Saade, who is a featured speaker.

 

Javier is the associate administrator of the SBA and heads its SBIC program. He has over 20 years of global principal investing, general management, strategic consulting, and entrepreneurial experience. He earned an MBA from Harvard Business School, an MS from Illinois Institute of Technology, and a BS from Purdue University.

 

Register Now to Gain Insight on the Best Practices That Ensure Success


Attending this conference will help you take full advantage of the SBIC program and prepare yourself for what’s to come.

  • What are you getting into in terms of regulations? Paperwork? Compliance requirements? Staffing needs?
  • What are the key mistakes firms make when pursuing an SBIC license, and how can you avoid them?
  • What are the specific techniques and investment strategies being used by today’s most successful SBICs?
  • What strengths should you showcase in your program application? And what information does the SBA not want to see?
  • What changes does the SBA’s new SBIC management team have on tap for the program?
  • Why has the SBA gotten tougher on BDCs wanting to create SBIC subsidiaries? How can your BDC pass muster? What additional benefits can you gain?

 

Three More Reasons Why You Should Join Us

 

  1. Gain insight from recent SBIC licensees on how they navigated the application process.
  2. Realize how back office services and regulatory advisors can help you leapfrog over the competition.
  3. Find out which ancillary SBA programs also offer benefits, such as taking over an SBIC that serves disadvantaged areas (SSBIC).

 

 

We also encourage you to Register Now to attend our pre-conference workshop on Wednesday afternoon, November 19th -- “How to Launch Your First SBIC -- Basics & Nuances.”

 

This optional workshop is ideal for attendees who are new to small business investment companies, and will go into greater detail on the specific procedures for getting started.

 

 

Register Now to Join Colleagues & Receive Your Best Rate

 

Benefit from a generous savings of $400 off our regular price by making your reservations for this conference before October 10, 2014.

 

Reap Valuable Contacts through Our Networking Opportunities

 

The day’s agenda includes ample time to let you --

  • Meet fellow attendees and featured speakers
  • Enhance your personal database with valuable connections
  • Share both ideas and business cards
  • If you’re an attorney or advisor -- meet new potential clients
  • If you work as an executive search professional -- meet potential prospects

Register Now To Receive Our Early Bird Rate

 

Keep in mind this conference is certain to fill up quickly, so you’ll want to register as soon as possible to assure yourself a seat. To avoid disappointment, please contact Joanna Russell today to confirm your attendance at 212-832-7300 ext. 0 or jrussell@capitalroundtable.com.

 


Click Below to Learn More

 

 

****

 

 Who Should Attend

 

Designed to meet the needs of GPs, LPs, & managers of buyout, growth equity, mezzanine, & lending funds, as well as independent sponsors, operating partners, portfolio company managers, and the bankers, lawyers, accountants, & other advisors who support them.

 

****

 

We look forward to having you join us on Thursday, November 20.

 

Conference Organizers

 

This conference is being produced by The Capital Roundtable, America’s leading conference organization focusing on “need-to-know” information for professionals in the middle-market private equity community. 

 

****

 

 Speaking & Marketing & Business Development Opportunities

 

We offer excellent speaking, marketing, and business development opportunities to reach the middle‑market private equity community. For more details, please contact Mara Kane or Claire Notton at 212-832-7300 or by email at mkane@capitalroundtable.com or cnotton@capitalroundtable.com.

 

****

 

Have a Question?

 

Please contact Joanna Russell at jrussell@capitalroundtable.com or 212-832-7300 ext. 0.

 

****

 

Who We Are

 

This Capital Roundtable conference in midtown, New York City, is all-business, all-targeted, all-designed to be a completely focused day of practical information and revealing insights about SBICs. You’ll gain valuable insights from --

  • Three informative panel discussions
  • Two revealing keynote presentations
  • Real-world perspectives from SBIC company investors
  • Industry outlooks from noted sector experts
  • War stories and lessons learned from experienced hands
  • Intelligence on managing portfolio companies from well-known GPs

^ Back to Top ^

Faculty

Chaired By

  • Marilyn S. Adler, Managing Director & Head of Medley SBIC, Medley Capital LLC

Hosted By

  • Burt Alimansky, Chairman & CEO, The Capital Roundtable

Speakers

  • Robert R. Anders, Managing Partner, Plexus Capital LLC

  • Christopher G. Aroh, Partner, CohnReznick LLP

  • E. Garrett Bewkes, Managing Principal, GarMark Advisors LLC
  • Paul J. Echausse, President & CEO, Alcentra Capital Corp.

  • Seth I. Friedman, Managing Director, RLJ Credit Management LLC
  • David B. Gerogosian, Executive Vice President, PEF Services LLC

  • Thomas A. Hiatt, Founding Partner, Centerfield Capital Partners

  • Justin M. Kaplan, Partner, Balance Point Capital Partners LP

  • Lawrence S. Mondschein, Managing Director, CRA Funding LLC
  • Barry A. Osherow, Managing Partner, Enhanced Small Business Investment Company LP
  • Brett T. Palmer, President, Small Business Investor Alliance

  • Tim Rafalovich, S.V.P. & Institutional Investor, Wells Fargo Bank

  • Christopher A. Rossi, Partner, Pepper Hamilton LLP

  • Peter E. Rothschild, Managing Director, OFS Management

  • Javier E. Saade, Associate Administrator, U. S. Small Business Administration

  • Steven J. Schaefer, Chief Financial Officer, Graycliff Partners LP
  • Corey L. Sclar, Managing Partner, Brookside Mezzanine Partners

  • Sengal M. G. Selassie, Co-Founder, Brightwood Capital Advisors LLC

  • Michael B. Staebler, Partner, Pepper Hamilton LLP

  • Michael A. Temple, Senior Attorney, Pepper Hamilton LLP

  • Richard G. Wheelahan, Director & CCO, Capitala Investment Advisors LLC

  • Speakers to be announced

^ Back to Top ^

Schedule

 


  

 

07:30-08:15 Networking & Registration & Breakfast
08:15-09:00 Welcoming Remarks & Audience Self-Introductions
09:00-09:30

Introductory Keynote --

  • Mike Staebler, Pepper Hamilton
09:30-10:00

Chairman’s Keynote/Interview --

  • Marilyn Adler, Medley Capital
10:00-10:45 Networking & Coffee
10:45-11:45

Panel 1 -- SBIC Strategies & Considerations -- Why We Pursued SBIC Licensing & Examples of Successful Strategies

11:45-12:30

Morning Conversation -- Update from SBA & SBIA

12:30-01:30 Networking & Luncheon
01:30-02:30

Panel 2 -- A Day in the Life of a Successful SBIC Fund -- Rigors of Running the Back Office

02:30-02:45 Networking & Dessert
02:45-03:30

Afternoon Conversation -- Key Considerations When Fundraising -- What Investors Are Looking From an SBIC

03:30-4:30

Panel 3 -- War Stories -- Seasoned SBIC Managers Discuss Managing an SBIC

04:30 Networking & Adjournment
  

 

^ Back to Top ^

Registration

Keep in mind this conference is certain to fill up quickly, so you’ll want to register as soon as possible to assure yourself a seat. To avoid disappointment, please contact Joanna Russell today to confirm your attendance at 212-832-7300 ext. 0 or jrussell@capitalroundtable.com.

 

  • Best Rate -- Early Bird Registration -- Save $400 off the standard fee of $1395 when you register by Friday, October 10. Just $995.

 

  • Premiere Registration -- save $200 off the standard fee!
    Register by Friday, October 17, and the fee for the conference is $1195.

 

  • Conference Rate -- $1,395 increasing to $1,495 day of conference, space permitting

 

  • Group Rate -- Take an additional $100 off when two or more people attend from the same company.

 

Register Now

 

You can pay by credit card (using the links above) or by check. Mail your check and business card to: The Capital Roundtable, 12 East 44 Street, Penthouse, New York, NY 10017.

Have a special question? Please contact Joanna Russell jrussell@capitalroundtable.com or 212-832-7300 ext 0.

^ Back to Top ^

Location

The University Club

College Hall – First Floor

One West 54 Street (at 5th Avenue)

New York City

(Jacket and tie required)

 

^ Back to Top ^

Audio Package

Can't attend but want to hear the program? You can buy the audio package along with the handouts. Purchase the audio package online now.

^ Back to Top ^

Conference Partnerships

We offer excellent marketing and business development opportunities to reach the middle‑market private equity community. For more details, please contact Claire Notton at 212-832-7300 ext.101, or by email at cnotton@capitalroundtable.com.

^ Back to Top ^