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Paulson Capital Corp.

Paulson Capital Corp.

Paulson Capital is a financial services holding company operating through its sole subsidiary, Paulson Investment Company. A full-service brokerage, Paulson Investment is one of the largest independent brokerage firms in the Pacific Northwest. Paulson Capital Corp. acts as an agent for its customers in the purchase and sale of stocks, options, and debt securities. Paulson Capital Corp. also offers market-making and underwriting services for small and emerging companies. Paulson Investment has more than 40 branches in about a dozen states; most are run by independent contractors. CEO Chester Paulson and his wife, secretary and director Jacqueline Paulson, together own 44% of Paulson Capital.

Delphi Ventures

Delphi Ventures

Delphi Ventures was founded in 1988 and is based in Menlo Park, California. Delphi Ventures is a venture capital firm specializing in seed early stage, and PIPE investments. The firm seeks to invest in healthcare companies with a focus on medical devices and biotechnology. Within medical devices, it invests in cardiovascular medicine, orthopedics, gynecology, minimally invasive surgery, urology, neurovascular medicine, and next-generation diagnostics. Within biotechnology, the firm typically invests after a company has either generated early human clinical data or completed preclinical efficacy and toxicity studies. It prefers to invest in companies that are discovering new ways to treat life-threatening diseases and designing new devices to make surgery less traumatic and treatments more precise. The firm primarily invests between $500,000 million and $12 million.

Berkery, Noyes & Co., LLC

Berkery, Noyes & Co., LLC

Berkery Noyes & Company was founded in 1980 and is based in New York City. The firm has offices in Newton, San Francisco, and Wiesbaden, Germany. Berkery, Noyes & Co., LLC is a boutique investment-banking firm. The firm focuses on providing merger and acquisition, corporate finance, mergers and acquisitions, restructuring, recapitalizing, financing, and valuation advice to companies in information, publishing, and communications industries.

Transamerica Investment Management LLC

Transamerica Investment Management LLC

Transamerica Investment Management, LLC was founded in 1967 and is based in Los Angeles, California with additional offices in Dayton, Ohio; Denver, Colorado; Fort Worth, Texas; and Los Angeles, California. Transamerica Investment Management, LLC (TIM) is a privately owned investment manager. The firm primarily provides its services to individuals, including high net worth individuals. It also manages accounts for banking or thrift institutions, investment companies, pension and profit sharing plans, charitable organizations, foundations, endowments, Taft-Hartley accounts, corporations, and state or municipal government entities. The firm manages separate client-focused equity, fixed income, and balanced portfolios. It also manages mutual funds for its clients. The firm invests in the public equity, fixed income, and alternative markets of the United States. Within the alternative markets, it seeks to invest in convertible securities. The firm invests in growth and value stocks of micro-cap companies with market capitalization between $10 million and $300 million, small-cap companies with market capitalization between $100 million and $2.5 billion, mid-cap companies with market capitalizations between $300 million and $5.0 billion and large-cap companies with market capitalization greater than $5.0 billion to make its equity investments.

Singapore Exchange Limited

Singapore Exchange Limited

Singapore Exchange Limited (SGX) is a demutualized and integrated securities and derivatives exchange. It has three segments: securities market, which provides listing, trading, clearing, account maintenance, and corporate action and price information services for the securities market; derivatives market, which provides trading, clearing and price information services for the derivatives market, and other operations, which provides other services. Its securities products include bonds, debentures and loan stocks; business trusts; equities; exchange traded funds; global depository receipts; infrastructure funds; real estate investment trusts and warrants. Its derivatives products include short-term and long-term interest rate futures and options on futures; equity index futures and options on futures; structured warrants, and certificates. It operates an over-the-counter clearing facility, SGX AsiaClear. On June 30, 2008, SGX acquired Singapore Commodity Exchange Limited.

Berkshire Partners LLC

Berkshire Partners LLC

Berkshire Partners, LLC was founded in 1986 and is based in Boston, Massachusetts. Berkshire Partners, LLC is a private equity and venture capital firm specializing in investments in private companies, public companies, and special situations. Within private companies, the firm seeks to invest in leveraged buyouts, acquisition; management buyouts; recapitalizations of a business in which management retains significant ownership either as a majority or a minority partner; growth capital; and privatization investments. It invests in companies where founder is seeking liquidity from his or her business for estate purposes; a company owned by another financial buyer seeking a realization on an investment; and a divestiture of a business line or segment from a larger corporation. In public companies, the firm primarily invests in going private transactions and PIPES. It also purchases preferred stock, common stock, and other public or non-public securities issued by public companies. Within special situations, the firm invests in private and public companies experiencing stress from financial or operating issues, requiring growth capital for new initiatives, requiring capital for internal expansion, minority investments in pre-IPO companies, and joint ventures with strategic operating partners.

Tortoise Energy Capital Corporation

Tortoise Energy Capital Corporation

Tortoise Energy Capital Corporation is a closed-end investment company investing in equity securities of Master Limited Partnerships (MLPs) operating energy infrastructure assets. Its investment objective is to seek a level of total return with an emphasis on current distributions to stockholders. The Company seeks to provide its stockholders with a vehicle to invest in the energy infrastructure sector. It invests at least 80% of its net assets, plus any borrowings for investment purposes, invested in equity securities of entities in the energy sector and at least 80% of its total assets in equity securities of MLPs and their affiliates in the energy infrastructure sector. It would not invest more than 15% of its total assets in any single issuer as of the time of purchase. The Company would invest up to 50% of its total assets in restricted securities. The investment advisor of the Company is Tortoise Capital Advisors, L.L.C.

Austin Ventures, L.P.

Austin Ventures, L.P.

Austin Ventures has corralled themselves a heapin' helpin' of a whole different breed -- the nerd herd. The venture capital firm offers funding mainly to software, computer hardware, semiconductor, communications, and business services startups. Focused on investment opportunities in the Southwest (and still with a heavy Texas concentration despite looking outward), Austin Ventures typically invests from $100,000 to $20 million per transaction, usually holds its investments long-term, and almost always takes a seat on the acquired firm's board. Austin Ventures also assists clients in hiring management, setting up compensation plans, and going public.

Mission Venture Management, LLC

Mission Venture Management, LLC

Mission Venture Management ministers to early-stage technology companies involved in software, information technology, enterprise applications, and infrastructure. The firm invests primarily in emerging companies in Southern California, providing them with capital and counsel. It usually serves as the lead investor and often takes a seat on the boards of the companies in which it invests, helping them to develop their management teams and to establish professional relationships. Typical initial investments range between $2 million and $10 million. Mission Ventures has some $500 million in capital under management. Portfolio companies have included Akonix Systems, CalAmp, and Entropic Communications.

Merchant House Group Plc

Merchant House Group Plc

Merchant House Group, which formerly provided support services to companies in the transportation industry, now offers corporate finance and investment advisory services. Merchant House Group Plc underwent a reorganization in 2006 after two straight years of losses. Merchant House Group now has six subsidiaries: Merchant Capital, Aldermary Secretaries, Merchant House Securities, Merchant House Finance, Merchant Legal, and Merchant Wealth Management, which was formed in January 2008. Merchant House Finance arranges leasing for private jets, race horses, and yachts. All of Merchant House Group Plc subsidiaries operate on a revenue-sharing basis.

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