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I N V E S T M E N T
MEMBER FINRA / SIPC
B A N K I N G
www.xnergy.com
ABOUT
Xnergy Financial, member FINRA / SIPC, is an international investment
banking firm providing debt and equity and merger and acquisition ser-
vices to emerging growth and middle market companies. Our extensive
expertise in a broad range of industries enables us to deliver prompt,
creative finance solutions to our clients regardless of complexity. Our
sector specific team of professionals continuously tailors the finance
solutions we provide to respond to the changing opportunities of our
clients. Our services include debt and equity corporate finance, merger,
acquisition, and disposition services, and business and financial advisory
services.
Xnergy Financial, LLC. All rights reserved
Nothing in this document is an offer to buy or sell securities and
should not be considered such an offer.
Table Of Contents
Title Cover
1
About Xnergy
2
Table of Contents
3
Our History
4
Mergers & Acquisitions
5-7
Corporate Finance
8-10
Investment Banking
Financial Advisory Services
11
12
Valuations
Business Advisory
13
14-15
Message from CEO Nia
16
Industry Focus
17-33
More Select Transactions 34-37
Meet Our Team
38-41
Back Cover
42
OUR COMPANY
Maintaining industry leadership and a competitive edge requires an advanced level
of business services integration. As our name implies, we leverage business syner-
gies to add value to our clients. Our global network of leading industry investors,
comprehensive industry specific experts, and personalized attention to our clients
result in a whole that is greater than the sum of its parts.
For decades we have responded to our clients' complex business challenges with
innovative, sound, and valuable solutions. We understand that in today's rapidly-
evolving economy, challenges and opportunities develop faster than ever, requir-
ing prompt, informed, and decisive action. Through prompt financing solutions and
rigorous research and analysis, we stay one step ahead of developing trends so that
we are able to offer our clients the insights, comprehensive suite of services, and in-
novative initiatives needed to succeed.
I N V E S T M E N T B A N K I N G
OUR SERVICES
Mergers, Acquisitions & Disposition
MERGERS, ACQUISITIONS & DISPOSITION
Buy Side
A merger or acquisition is the fastest way for a business
to dramatically change its position in the market place.
However, buying all or part of a business is one of the
most complex strategic moves a company can make. Ei-
ther transaction can alter the fundamental dynamics of an
organization almost overnight by changing the scope and
breadth of the products or services it provides, as well as
the model under which it competes. The potential rewards
are that many mergers and acquisitions can contribute to
growth by broadening product lines, increasing market
share, strengthening a financial position, stabilizing a cycli-
cal or seasonal business and providing key technical talent.
MERGERS, ACQUISITIONS & DISPOSITION
Buy Side
Our merger, acquisition and disposition practice provides
high-quality, comprehensive and strategically-focused tax,
accounting and advisory services. Through our global net-
work of resources, we have immediate access to our team
of specialists, comprised of members from multiple disci-
plines, each bringing the special skills our clients need to
find, evaluate, negotiate, structure, finance and complete a
transaction.
Support Our Clients in the Evaluation Process
Review and Analyze Potential Targets for Acquisition
Provide Guidance in Negotiations
Provide Due Diligence Services
Provide Valuation Services
OUR SERVICES
Mergers, Acquisitions & Disposition
MERGERS, ACQUISITIONS & DISPOSITION
Sell Side
Xnergy Financial serves as a valuable and proven execu-
tion partner to ensure the best price, terms and conditions
to maximize value. We have been expanding and maintain-
ing our connections with strategic and financial buyers to
provide our clients the best choice and offer in the market.
Our sell side team and valuation expert provide a number of
advantages for a seller:
Identify and present offers to a diverse buyer universe leading to more
competition and a maximum price.
Due diligence process to identify and resolve potential issues.
Negotiate aggressively on behalf of clients, so as not to damage relationship with
acquirer with whom management might work post-sale.
Minimize distraction to the management team who still must
operate the business day-to-day.
Leverage experienced professionals dedicated to the M&A process full time, with
significant track records of getting deals done.
Our professionals are focused on the middle market and we
provide significant attention and focus to each assignment:
Execution expertise developed at top-tier institutions, so comfortable with
sophisticated buyers.
Evaluate financial statements, historical and projected cash flows and
earnings and capital expenditures.
Assess quality of assets.
Identify cost reduction opportunities, contingencies and commitments.
Identify and quantify risks, opportunities and tax strategies
Evaluate employee benefits, technology systems and risk
management practices
OUR SERVICES
Mergers, Acquisitions & Disposition
MERGERS, ACQUISITIONS & DISPOSITION
Sell Side
Based upon the review, which consists of financial, busi-
ness, legal and tax considerations, we help our client struc-
ture the transaction for optimal results, leveraging general
business and tax advantage points. We help each client find
the right buyer, negotiate the right price, and design the
right deal.
We also provide additional support services including:
Input into
Contract
Post
Transaction
Transaction
Closing
Merger
Integration
OUR SERVICES
Corporate Finance
CORPORATE FINANCE
Overview
Having the right capital structure is crucial to any business.
We help our clients reach an optimal capital structure. We
review our client's capital structure and capital needs, the
financing sources available in the market and their advan-
tages, disadvantages and cost and devise an ideal capital
structure plan. We help implement the plan by finding ap-
propriate sources of capital and negotiating the best terms.
We assist our clients with angel and venture capital invest-
ment, private and public equity and debt placements and
commercial loans.
CORPORATE FINANCE
Pipe Financing
Our relationships and resources provide a broad range of
PIPE financing options.
Xnergy Financial has considerable experience and expertise
in structuring and placing private investment in public eq-
uity (PIPE) transactions for public companies. PIPE financ-
ings are tailored for a particular company's capital structure
and financing needs, including growth capital, acquisition
financing, and recapitalizations. We maintain relationships
with a broad array of PIPE financing sources, including
specialized growth funds, crossover funds, hedge funds and
private equity funds.
OUR SERVICES
Corporate Finance
CORPORATE FINANCE
Private Placement
Xnergy Financial is a premier provider of private placement
transactions.
We rely on our in-depth knowledge and investor relation-
ships to help create capital structures and value-added
strategies, including management buyouts, acquisitions, re-
capitalizations, share repurchases, growth capital, refinanc-
ings and restructurings.
We maintain relationships with a broad range of global
capital providers, including commercial banks, financial ser-
vices companies, hedge funds, insurance companies, spe-
cial situation funds, credit funds and private equity groups.
With a thorough understanding of capital structure and the
appetite for risk among debt and equity providers, we aim
to deliver a flexible, cost-competitive solution from an insti-
tution that can be supportive over the long term.
OUR SERVICES
Corporate Finance
CORPORATE FINANCE
Real Estate Strategic Advisory
Xnergy's Real Estate Strategic Advisory Group develops the
most appropriate execution strategy structuring transac-
tions to meet the quantitative and qualitative objectives of
the client. With local market knowledge and a global inves-
tor reach, our senior bankers can access the leading public,
private and institutional real estate investors and lenders.
We offer objective, unbiased advice involving:
Corporate Property
Monetization
Note
Sales
Equity & Debt
Placement
Public &
Private M&A
Property
Dispositions
Restructuring
Our clients include:
Strategic & Financial
Advisory
Real Estate
Investment
Trusts (REITs)
Mortgage &
Finance
Companies
Real Estate
Operating
Companies (REOCs)
Management &
Real Estate
Service Companies
Lodging
and Leisure
Companies
Home Builders
& Land Developers
Public & Private
Sector
Developers
Public & Private
Institutional
Investors
Real Estate
Intensive Healthcare
Companies
OUR SERVICES
Investment Banking
INVESTMENT BANKING
Overview
Having the right capital structure is crucial to any business.
We help our clients reach an optimal capital structure. We
review our client's capital structure and capital needs, the
financing sources available in the market and their advan-
tages, disadvantage and cost and devise an ideal capital
structure plan. We help implement the plan by finding ap-
propriate sources of capital and negotiating the best terms.
We assist our clients with angel and venture capital invest-
ment, private and public equity and debt placements and
commercial loans.
OUR SERVICES
Financial Advisory Services
FINANCIAL ADVISORY SERVICES
Capital Funding
Having the right capital structure is crucial to any business.
We help our clients reach an optimal capital structure. We
review our client's capital structure and capital needs, the
financing sources available in the market and their advan-
tages, disadvantages and cost and devise an ideal capital
structure plan. We help implement the plan by finding ap-
propriate sources of capital and negotiating the best terms.
We assist our clients with angel and venture capital invest-
ment, private and public equity and debt placements and
commercial loans.
EQUITY
PRIVATE
ANGEL
CAPITAL
PUBLIC
VENTURE
DEBT
OUR SERVICES
Valuations
VALUATIONS
Overview
Our Certified Valuation Analysts will accurately determine
the value of a business, or selected parts, for securities of-
fering, taxation, transactional, financing, litigation, or strate-
gic management purposes.
OUR SERVICES
Business Advisory Services
BUSINESS ADVISORY SERVICES
Business Entity Consulting
Business success is fueled by fresh information, sound in-
sights, and the right solution. Our consultants can help
clients enhance their operating efficiency and improve the
financial performance of their companies.
BUSINESS ADVISORY SERVICES
Management Consulting
Our management consultants help our clients solve a wide
range of business issues. After assessing a client's needs,
we assemble a team of specialists experienced in resolving
its specific issues. Our consultants evaluate the company's
concerns and goals, carefully assess the current situation,
and devise comprehensive, practical and specific solutions
appropriate to the company, industry and market. We pre-
pare comprehensive assessment reports of the company's
strengths and weaknesses, performance, opportunities,
management, market and competition, capitalization, debt
structure, revenue, costs, cash flow, technology and person-
nel. Upon completion of our assessment report, we prepare
an enterprise-wide, flexible plan for resolving issues, utiliz-
ing opportunities, minimizing costs, improving cash flow
and profits and increasing the value of the company.
OUR SERVICES
Business Advisory Services
BUSINESS ADVISORY SERVICES
Business Planning
A well thought-out business plan is essential to the devel-
opment and management of every business. The prepa-
ration of a business plan requires an analysis of the com-
pany's current situation, management's vision, length of
time to achieve it, the costs involved in realizing it, and the
company's current and projected financial condition. The
business plan provides a solid foundation for management
decisions, raising capital, budgeting, cash flow planning,
marketing and operations. We consult with management
about the company's current status and plans, examine the
company's present situation, review and analyze the com-
pany's industry and create a comprehensive business plan
addressing: management; personnel; capital investment;
financing; products and services; industry dynamics and
trends; competitive and strategic positioning; technology;
marketing and sales; business development; and revenue,
expense, cash flow, profit and value projections. With a
business plan, management is able to accurately assess the
performance of the company using the plan as a bench-
mark and will have the information needed to strategically
direct the company.
BUSINESS ADVISORY SERVICES
Federal and State Regulatory
Compliance Services
We ensure that our clients' businesses comply with all as-
pects of state and federal regulatory rules. We assess, and if
necessary revise, existing financial, operational and compli-
ance processes.
"We have the
passion to
provide the
much needed
capital for
companies."
Nia Stefani
Chief Executive Officer
INDUSTRY FOCUS
AEROSPACE, DEFENSE, AND GOVERNMENT
AEROSPACE, DEFENSE, AND GOVERNMENT
Xnergy Financial delivers experience and knowledge to
the diverse aerospace and defense industry with a team
of professionals possessing significant investment banking
experience. We offer a broad range of investment bank-
ing products and services to meet the needs of our client
base. Through our broad contacts and extensive transaction
experience, we can assist you in origination, structuring,
and executing the transactions that can allow you to take
advantage of the current industry environment. In this high-
ly specialized and cyclical industry our strong credentials
provide us with a broad understanding of the economic and
technological trends that drive the strategic needs of our
clients. Xnergy Financial specialized investment banking
team will assist with merger & acquisition advisory, private
capital raising, and financial services to the aerospace, de-
fense and government companies.
Safety Systems
Astro-Tek Industries Inc.
E-Views Safety System
Universal Detection Technology
Stock Sale
$13,000,000
Aerospace Manufacturing
Private Placement
$8,000,000
Homeland Security
Private Placement
Undisclosed Amount
Homeland Security
INDUSTRY FOCUS
ASSISTED LIVING AND HEALTHCARE
ASSISTED LIVING AND HEALTHCARE
Xnergy Financial offers a nationwide lending and equity ap-
proach to managing financing for your assisted living facil-
ity. We've offered healthcare real estate financing for as-
sisted living facilities for many years. Healthcare real estate
financing includes assisted living facilities, independent care
facilities, skilled nursing facilities, medical office buildings,
surgery centers, non-for-profit hospitals, and proprietary
hospitals. We offer healthcare real estate financing that is
not only competitive, but also offers the very best pricing.
If you are a borrower, owner or investor looking to finance
healthcare real estate and have found that perfect location
to purchase and existing facility or build an assisted living
property, we can also provide the appropriate financing
structure.
With our deep industry relationships in the Healthcare sec-
tor, we are just the team to assist with your disposition
merger or acquisition needs.
Champion Pain Care Corp
Exercise Your Eyes
Hytham Inc.
Debt & Equity Placement
$8,000,000
Healthcare
Financial Services
Undisclosed Amount
Healthcare Technology
(NASDQ: HTYM)
$5,000,000
Healthcare
EXERC ISE YOUR EYES
INDUSTRY FOCUS
BUSINESS AND FINANCIAL SERVICES
BUSINESS AND FINANCIAL SERVICES
The Xnergy Financial Team provides investment bank-
ing services to banks, thrifts, mutual companies and other
financial services companies; including: finance real estate
investment trusts, business development companies and
insurance companies. The credit crisis has produced a glob-
al shockwave for the financial services industry. Lingering
pools of troubled assets, increased regulatory implications,
government assistance, as well as the fall of major players
continue to present unique challenges along with complex,
mounting pressures and aggressive legislative develop-
ments. Our senior bankers have developed financing op-
tions for numerous businesses over multiple economic/
market cycles. Xnergy Financial's Institution Investment
Banking professionals have extensive experience in: public
underwriting of common stock, preferred stock and debt
securities; private financing; initiating, structuring and ne-
gotiating mergers & acquisitions, valuations, and tender
offers.
John Roberts Powers
Talent School System
Mergers & Acquisition
Advisory Services
Stock Sale
Talent School
American Guardian
Rudder Capital LLC
Corporate Financial and Mergers &
Acquisition Services
Undisclosed Amount
Financial Services
$4,000,000
Mortgage Company
RUDDER CAPITAL
LLC
INDUSTRY FOCUS
CLEAN TECH AND RENEWABLE ENERGY
CLEAN TECH AND RENEWABLE ENERGY
Xnergy Financial's investment banking group is fully dedi-
cated to offering a full suite of advisory and capital raising
services to public and private companies throughout the
Clean Tech industry. Our banking team has deep domain
expertise across a wide variety of Clean Tech technologies
including batteries and biofuels, solar energy, high effi-
ciency lighting, wind turbines and farms, waste-to-energy,
smart grid, electric and hydrogen propulsion, water and soil
re mediation, and other areas. We are committed to provid-
ing prudent strategic advice to "green" companies seek-
ing to raise capital or form strategic commercial alliances.
Clean Tech companies include those working on alternative
renewable sources of energy and potable water as well as
those developing technologies that assist in elimination the
world's dependency on fossil fuels and petroleum-based
products.
Solar Alliance
OF A M E R I C A , I N C .
Earth Search Sciences, Inc.
Full Circle Recycling
Solar Alliance
Stock Sale
Undisclosed Purchase Price
Oil & Gas Technology
Financial Services
Stock Sale
$12,000,000
Renewable Energy
Waste to Energy
essi
EARTH SEARCH SCIENCES, INT
INDUSTRY FOCUS
FRANCHISING
FRANCHISING
We are experts in the franchise business model and work
with our clients to provide capital, merger and disposition
services. With decades of experience in franchising, our
investment banking team has the strategic, financial and
corporate relationship to both realize & increase the value
of your opportunity.
OR A N G E C O U N T Y
E L M O R E T O Y O T A
BMW
Budget
Merger & Acquisition
Advisory Services
Elmore Toyota
Business Valuation Services
Valuation & Fairness Opinion
Automobile Dealership
Automobile Franchise
Automobile Franchise
ExxonMobil
Jose Eber
Wolfgang Puck
Financial Services
Private Placement
Debt & Equity Placement
$480,000,000
Oil & Gas
Financial Services
Beauty Salon Franchise
Corporate Restructure
Restaurant Franchise
INDUSTRY FOCUS
RETAIL AND DISTRIBUTION CHANNELS
RETAIL AND DISTRIBUTION CHANNELS
Our Retail Distribution Group has achieved a leading posi-
tion in the middle market through deep sector knowledge,
international reach, unique advisory and capital raising
services. We carefully arrange and analyze the investment
considerations of our clients.
Our expertise encompasses the convergence of retail, e-
commerce & digital media, including mobile marketing op-
portunities and advertising trends. Xnergy Financial offers
a unique cross-sector perspective that has been essential
to our retail and media strategies. At Xnergy Financial, a
core competency involves understanding consumer trends
and strategies around brand recognition. The impact of the
internet, mobile devices and social media, with ubiquity of
goods and services, democratization of price and pervasive
ratings and reviews, is transforming the distribution and
retail landscape.
gear y interactive
C-Shore International, Inc.
Geary Interactive
Business and Financial
Advisory Services
KMA Global Solutions
Financial Services
$10,000,000
Distribution
(OTCBB: KMAG)
$5,000,000
Entertainment Gaming
& Technology
Online Marketing &
Advertising Agency
INDUSTRY FOCUS
FOOD AND BEVERAGE
FOOD AND BEVERAGE
Xnergy Financial works across the food and beverage in-
dustry from franchisors to producers and processors to dis-
tributors and retailers. Applying broad experience, Xnergy
Financial helps companies address the diverse issues facing
this multi-faceted industry. We have worked with compa-
nies offering a range of products and modalities of distribu-
tion.
Food and Beverage services include the following:
Private Label
Snack
Foods
Food
Equipment
Food
Manuacturing
Beverage
Distribution
Health &
Wellness
Restaurants
Food Service
Retail
AsomBroso
Stampede Light
Wolfgang Puck
Financial Services
Private Placement
Financial Services
$5,000,000
Manufacturer & Importer of
AsomBroso Tequila
Private Placement
$1,000,000
Beverage
Corporate Restructure
Restaurant Franchise
INDUSTRY FOCUS
ENERGY
ENERGY
Our energy practice provides sophisticated financing so-
lutions and strategic investment advice to domestic and
international natural resources companies. Xnergy Finan-
cial's combined knowledge in the Energy Sector enables us
to provide a highly competitive level of investment banking
competency for mergers & acquisitions advisory, public &
private debt, and equity offerings. Our extensive network
of relationships in the energy sector, and continued pres-
ence in the strategic & capital markets, allows us to provide
our clients with actionable advice combined with an inde-
pendent perspective. Our investment banking professionals
have years of combined experience in the energy sector.
We specialize in the following
sub-sectors:
Exploration and
Production
Oilfield
Services
Integrated Gas &
Electric Utilities
Electricity
Transmission
Gathering and
Processing
Refining &
Marketing
Natural Gas,
Refined Products and
Crude Oil Transportaion
Middle Fork
Development Services
ExxonMobil
Penn Octane Corporation
Sale of Assets
$5,000,000
Natural Resources
Debt & Equity Placement
$480,000,000
Oil & Gas
(NASDAQ: POCC)
$15,000,000
Oil & Gas Pipeline
INDUSTRY FOCUS
FUND OF FUNDS
FUND OF FUNDS
The Xnergy Financial team provides investment solutions to
a wide variety of institutions.
Investment vehicles include tailored Fund-of-Funds, sepa-
rately managed accounts, collective trusts and direct hedge
funds . Xnergy Financial's focused approach is organized
into specific directions aligned by client type, including cor-
porate pension funds, financial institutions, not-for-profit,
public pension funds, as well as government institutions,
central banks and unions.
Diverse Funding
Associates
Diverse Funding Associates
Investor Relation Services, Inc.
Mergers & Acquisition
Advisory Services
Equity Placement
Special Purpose Aquisition
Peacock Financial Corporation
Debt Placement
$18,000,000
Financial Services
Private Placement
$5,000,000
Business Development Corporation
INDUSTRY FOCUS
HEALTHCARE AND LIFE SCIENCES
HEALTHCARE AND LIFE SCIENCES
Xnergy Financial is focused on helping our clients achieve
their objectives by delivering exceptional advisory and
capital raising expertise to the biotech and life sciences
industry. Given the degree of specialization in healthcare/
life sciences/devices marketplace, there is strong growth
and fragmentation inherent in many sub-sectors. We focus
on helping our clients understand the opportunities in the
current market so that they are best positioned to achieve
their goals. We believe that senior level attention coupled
with deep and relevant industry and product experience
are critical components to delivering the right corporate
finance solution to our clients. We present creative capital-
raising, merger and acquisition and corporate advisory
services that meet the business needs of companies in this
dynamic and rapidly evolving sector. Our team has exten-
sive relationships with public and private strategic and
financial investors, and our clients include some of the most
well-respected companies in the industry.
Champion Pain Care Corp
Boston Therapeutics
Hytham Inc.
(NASDQ: HTYM)
$5,000,000
Healthcare
Debt & Equity Placement
$8,000,000
Healthcare
Financial Services
Undisclosed Amount
Diagnostics
INDUSTRY FOCUS
MANUFACTURING AND INDUSTRIAL
MANUFACTURING AND INDUSTRIAL
The manufacturing sector of the economy is large and
diverse. Our investment banking professionals can assist
many industrial companies in garnering the financing op-
tions they need. Our experience cuts across many produc-
tion process and scale of equipment, including advanced
materials as well as specialized industries such as aero-
space/defense. The Xnergy Financial approach is to lever-
age your industry expertise and market position to identify
value-add opportunities, with the right financial partner.
TURBO SYSTEMS
Astro-Tek Industries Inc.
Innovative Turbo Systems
OSI System, INC
Stock Sale
$13,000,000
Aerospace Manufacturing
Financial Services
$10,000, 000
Automotive Manufacturing
Corporate Finance, M&A Advisory
$96,000,000
(NASDQAQ: OSIS)
Systems Manufacturing
INDUSTRY FOCUS
MEDIA AND ENTERTAINMENT
MEDIA AND ENTERTAINMENT
Located in the heart of the entertainment industry, Xnergy
Financial provides a full range of services to assist our cli-
ents in virtually every aspect of their film, television, music,
action sports and new media projects, including maximizing
the role of finance, distribution, packaging, advertising and
cross-promotional opportunities. We have the capabilities
to handle all project aspects including writers, directors,
producers, managers, actors, artists, sports figures, produc-
tion and distribution companies, networks and studios in
the film, television, cable, and interactive media sectors.
Xnergy Financial has a unique combination of seasoned
entertainment industry counsel and access to key players
in the entertainment industry within a boutique setting,
which allows us to timely and effectively serve our clients.
We demonstrate an ability to provide clients with creative,
pragmatic, and measured approaches to entertainment-
based projects, critical elements in today's marketplace.
f uzz y bunny f ilms
Fuzzy Bunny Films
Lumenas Animation Studio
Merger & Aquisition
Advisory Services
Vergence Entertainment
Corporate Finance
$50,000,000
8 Film Slate
Financial Services
Entertainment Technology
Entertainment Gaming &
Technology
INDUSTRY FOCUS
REAL ESTATE, LODGING AND LEISURE
REAL ESTATE, LODGING AND LEISURE
Let us guide you through the process of finding the best
financial solution for your project. We're at the forefront
of this evolving sector and are actively involved with every
facet of these complex projects.
Our dedicated team works closely with:
MANAGEMENT COMPANY
CORPHQ
Kennedy Wilson
TRG Management
Business and
Financial Advisory Services
Financial Services
$10,000,000
(Pink Sheets: COHQ: P/C)
Corporate Development Company
Financial Services
$250,000,000
Real Estate
Corporate structuring and engaging Grand
Illusions Entertainment to produce a state of
entertainment properties including
Rin-Tin-Tin, Naked City and Route 66.
INDUSTRY FOCUS
TRANSPORTATION AND LOGISTICS
TRANSPORTATION AND LOGISTICS
Xnergy Financial provides timely advice to a wide range of
firms in the transportation and logistics markets. Our suc-
cess is driven by the depth of our expertise and thorough
understanding of the internal and external forces driving
industry trends and the financial markets. Our team is com-
mitted to providing the highest quality investment banking,
financial advisory, and corporate banking services through
in-depth analysis and a thorough understanding of the com-
panies in the following industry sectors:
Marine
Transportation
Rail
Third Party
Logistics
Truckload
Air Cargo
Transportation
Equipment
Barber Automotive Group
Opticon USA
Mergers & Acquisition
Advisory Services
OFO Trucking
Business Valuation Services
Financial Services
Undisclosed Amount
Transportation Logistics
Automobile Dealership
Logistics
INDUSTRY FOCUS
COMMUNICATIONS
COMMUNICATIONS
The Communications sector is competitive and dynamic,
driven by technological and regulatory change. The tremen-
dous growth in communications and desire for new data
applications and technologies coupled with an increasing
demand for communication services around the world has
created significant opportunities. Our team is focused on
the success and growth of your company. We are a full-
service investment bank, offering top-ranked research done
by our team to shape the Communications sector's future.
Xnergy Financial provides strategic and capital markets ser-
vices as well as innovative financing solutions.
Entertainment Technologies
and Programs, Inc.
Entertainment Technologies
and Programs, Inc.
Air Link
Telia Company AB
Debt Placement
$5,000,000
Communications
Financial Services
$20,000,000
Telecom Carrier
Debt Restructure
Undisclosed Amount
Communication Services
INDUSTRY FOCUS
TECHNOLOGY HARDWARE AND SOFTWARE
TECHNOLOGY HARDWARE AND SOFTWARE
A wave of technological innovation has created unprec-
edented market potential for today's companies who are
targeting enormous opportunities, growing fast, selling
globally, and creating sustainable value. In recent years, the
industry has seen unprecedented change in the way con-
sumers interact and the way enterprises utilize and manage
IT infrastructure. The ability of bandwidth and number of
connected devices has created significant network effects.
Large amounts of data being generated on the web make
analytical tools critical. The Xnergy Financial senior bankers
have executed dozens of transactions in a range of technol-
ogy domains from hardware to software, and IT services.
We leverage our deep domain knowledge and understand-
ing of these drivers of innovation to help our clients achieve
the most optimal financing outcome as they look for capital
to support growth of their companies or consider strategic
alternatives.
Interpreter + Translators
Unlimited
Equity Metrix
Ramp Rate
Equity Placement
$5,000,000
Technology & Software
Debt Placement
$5,000,000
Software Services
Financial Services
$3,000,000
IT Consulting
INDUSTRY FOCUS
FINANCIAL TECHNOLOGY
FINANCIAL TECHNOLOGY
Financial Technology (Fintech) has been a rapidly grow-
ing sector and the industry is expanding rapidly. Fintech
companies integrate technologies (like AI, block chain and
data science) into traditional financial sectors to make them
safer, faster and more efficient. Fintech is one of the fastest-
growing tech sectors, with companies innovating in almost
every area of finance. Fintech unicorns have received highly
attractive valuations as many banks and financial institu-
tions and investors are customers and supporters. Xnergy
Financial's Investment Banking Team continues at the fore-
front of capital funding to the Fintech industry which has
already reached new highs globally.
COPILOT
IBD
Merger & Aquisition
Advisory Services
i Bill
Mergers & Acquisition
Advisory Services
$53,000,000
Financial Technology
Corporate Finance
Undisclosed Amount
Financial Technology
Financial Technology
MORE
SELECT
TRANSACTIONS
Car Wash Consolidator
I N T E R N A T I O N A L , I N C .
Ambassadors International, Inc.
Car Wash Consolidator
Commodore
(NASDAQ:AMI)
$100,000,000
Represented this company in connection
with the public spin-off of its wholly
owned $100,000,000 subsidiary.
Ambassadors Education Group, In.
(NASDA:PAX).
Debt & Equity Placement
$20,000,000
Car Wash Consolidator
Equity Placement
Computer Hardware
DRAKE GOLD
RESOURCES, INC.
Drake Gold Resources, Inc.
Dynamic Imports Corporation
Galpin Ford
Business and Financial
Advisory Services
Financial Services
$3,000,000 (DKGR.PK)
Natural Resources
Financial Services
$5,000,000
Beverage Distribution
Automobile Dealership
Harvest Petroleum
Business and Financial
Advisory Services
Havoc
Hollywood Celebrity
Equity Placement
$10,000,000
(OTC BB: UDTT)
Beverage
Equity Placement
$5,000,000
Healthcare
Oil & Gas Technology
Hollywood Prescription
In Tune Product Company
Lamas Beauty
Financial Services
$3,000,000
Cosmetics
Equity Placement
$900,000
Consumer Product
IPO Services
Organic Food
D ev e l o p m e n t S er v i c es
Natural Performance
Technologies
Middle Fork
Development Services
Novak Capital, Inc.
Corporate Financial
Advisory Services
Equity Placement
$8,000,000
Natural Resources
Private Placement
$20,000,000
Consumer Goods
Financial Services
Onion Map
PentHouse
Petro Probe
Financial Services
Undisclosed Amount
eCommerce
Financial Services
(Pink Sheets: PHSL)
Holding Company
Oil & Gas Technology
Precis Vodka
Progressive Brands
Tensleep Corporation
Equity Placement
$5,000,000
Beverage
Equity Placement
$2,700,000
Beverage Distribution
Financial Services
$110,000,000
Distribution Company
Swiftech
Business and Financial
Advisory Services
Tara Gold
XXXCite Brands
Financial Services
Undisclosed Amount
(TRGD.PK)
Natural Resources
Financial Services
Undisclosed Amount
Energy Drink
Provided business and financial advisory
services for this manufacturer of heat
sinks and thermal coolers for
computers (principal customers Intel,
IBM and Gateway).
MEET
OUR
TEAM
Johnney Zhang
Chairman of the Board
Mr. Zhang's unique expertise in real
estate development and investment
management spans high-end commercial
properties, luxury custom homes and
multi-family properties. He leverages
that expertise to formulate a distinctive
portfolio for each client.
Nia Stefani
Founder & CEO
Nia brings nearly two decades of experi-
ence in mergers and acquisitions, invest-
ment banking, private equity, finance,
and law to Xnergy. Her experience ex-
tends from startups to New York Stock
Exchange-listed companies and over a
diverse range of industries.
Bill Timmerman
Managing Director
A professional with over 25 years in lead-
ership roles as CEO, CFO and investment
banker. He has completed dozens of
M&A deals in a wide range of industries
from IT, tech, manufacturing, and various
others.
Donald J. Haskell
Managing Director
Don is a Managing Director of Xnergy
Financial. Don brings a new dimension of
services to Xnergy with his 30+ years of
experience in the Wealth Management,
corporate pension and employee bene-
fits and real estate investment industries.
In 2006 Don is the founder of Santa Fe’
Wealth Management, Inc,
Mark Jacobs
Managing Director
Mark Jacobs is an Investment Banker at
Xnergy. His expertise in funding
companies and his vast relationships
with family offices, private equity and
debt funds makes him an invaluable
asset to Xnergy's clients.
Historically his sector involvement has
successfully been in the biotechnology
and technology industries.
Donald G Johnson
Director
Mr. Johnson brings to Xnergy nearly
30 years of experience as an attorney
specializing in mergers and acquisitions,
corporate finance, private equity, special
financial products, franchising, regulatory
compliance, and related matters.
Chad Clark
Investment Banker
Chad is an Investment Banker who has
a background in Sales and Cognitive
Science. His focus is on business
development and raising capital for
middle market companies.
Ellen Zhang
Vice President of
Investment Banking
With more than 20 years’ experience in
Financial services, E-commerce
platform, Real estate development and
international trading, she is very
persistent and committed in supporting
business owners in raising funds,
corporate financing, merger &
acquisitions and business consultant.
Zubair Hassan
Vice President of
Investment Banking
Mr. Hassan is a Vice President of
Investment Banking at Xnergy Financial.
He specializes in financing for emerg-
ing growth companies and works with
Xnergy’s clients to in align with the right
investors and capital structure.
Ken Hines
Vice President of
Investment Banking
Ken is a Vice President of Investment
Banking at Xnergy based in San Diego.
Ken provides clients with strategic
advice, capital raising and risk
management services. He is industry
agnostic giving him the ability to share
his expertise with a wide range of
clientele.
Damien Jackson
Vice President of
Investment Banking
Damien has had a varied and accom-
plished career in the financial services
industry over his 15 year tenure. His com-
mitment to his clients and dedication to
presenting only the most optimal finan-
cial strategies in the most trying of eco-
nomic times, has created an environment
of trust and loyalty among his clients.
Jane Wachiradejkul
VP – Global Business
Development &
Investments US-APAC
Jane serves as US-APAC Strategic leader. She
brings 25 years of invaluable experience across
real estate investment, global business
development, and internationalization strategic
advisory, with expertise in Private Advisory to
US-Asia Family Offices and Investor relations.
John Sabater
Vice President of
Investment Banking
John is a Vice President of Investment
Banking at Xnergy Financial. His main
role is on the funding side with emerging
growth companies with an emphasis on,
Cyber Security, Clean Energy and
Material Sciences.
Jon Wu
VP of Investment
Banking
Jon is a Vice President of Investment
Banking at Xnergy Financial, where he
works on business development and
capital raising for middle to large
companies mainly in the technology and
financial services sectors.
Robert Calamunci
Chief Compliance Officer
Mr. Calamunci is the Chief Compliance
Officer at Xnergy Financial. He is
primarily responsible for overseeing and
managing regulatory compliance with
FINRA, State and Federal Securities
Laws.
Paul Goodson
VP Life Sciences &
Healthcare
Paul Goodson is VP, Head of Healthcare
Investment banking at Xnergy. In this role,
Paul leads Xnergy’s practice in sourcing,
review, and funding transactions in the
biotechnology, diagnostic, medical device,
and other life science fields.
Yihe Luo
Investment Banker
Yihe Luo is an Investment Banker at
Xnergy Financial. Prior to joining, Yihe
worked as the CEO of a P2P lending
platform and later founded both a
consumer lending company and a
charitable animal donation platform. He
has also managed over 200 million
dollars clients’; assets at HSBC. Through
his consistent hard work, he was rated
one of the top Financial Advisors
David Song
Capital Markets Advisor
As a Capital Markets Advisor, David
brings over 27 years of sales and sales
management experience to Xnergy.
Backgrounds in Capital Improvements
and Real Estate industry provides
systematic and practical aspects to
analyze and vet the marketability of issuer
offerings and investor benefits.
Corporate Office:
LOS ANGELES
Office 310.552.0000
Email: info@xnergy.com
Web: www.xnergy.com
ADDRESS
1801 Century Park East
25th Floor
Los Angeles, CA 90067
www.xnergy.com
MEMBER FINRA / SIPC
B A N K I N G
www.xnergy.com
ABOUT
Xnergy Financial, member FINRA / SIPC, is an international investment
banking firm providing debt and equity and merger and acquisition ser-
vices to emerging growth and middle market companies. Our extensive
expertise in a broad range of industries enables us to deliver prompt,
creative finance solutions to our clients regardless of complexity. Our
sector specific team of professionals continuously tailors the finance
solutions we provide to respond to the changing opportunities of our
clients. Our services include debt and equity corporate finance, merger,
acquisition, and disposition services, and business and financial advisory
services.
Xnergy Financial, LLC. All rights reserved
Nothing in this document is an offer to buy or sell securities and
should not be considered such an offer.
Table Of Contents
Title Cover
1
About Xnergy
2
Table of Contents
3
Our History
4
Mergers & Acquisitions
5-7
Corporate Finance
8-10
Investment Banking
Financial Advisory Services
11
12
Valuations
Business Advisory
13
14-15
Message from CEO Nia
16
Industry Focus
17-33
More Select Transactions 34-37
Meet Our Team
38-41
Back Cover
42
OUR COMPANY
Maintaining industry leadership and a competitive edge requires an advanced level
of business services integration. As our name implies, we leverage business syner-
gies to add value to our clients. Our global network of leading industry investors,
comprehensive industry specific experts, and personalized attention to our clients
result in a whole that is greater than the sum of its parts.
For decades we have responded to our clients' complex business challenges with
innovative, sound, and valuable solutions. We understand that in today's rapidly-
evolving economy, challenges and opportunities develop faster than ever, requir-
ing prompt, informed, and decisive action. Through prompt financing solutions and
rigorous research and analysis, we stay one step ahead of developing trends so that
we are able to offer our clients the insights, comprehensive suite of services, and in-
novative initiatives needed to succeed.
I N V E S T M E N T B A N K I N G
OUR SERVICES
Mergers, Acquisitions & Disposition
MERGERS, ACQUISITIONS & DISPOSITION
Buy Side
A merger or acquisition is the fastest way for a business
to dramatically change its position in the market place.
However, buying all or part of a business is one of the
most complex strategic moves a company can make. Ei-
ther transaction can alter the fundamental dynamics of an
organization almost overnight by changing the scope and
breadth of the products or services it provides, as well as
the model under which it competes. The potential rewards
are that many mergers and acquisitions can contribute to
growth by broadening product lines, increasing market
share, strengthening a financial position, stabilizing a cycli-
cal or seasonal business and providing key technical talent.
MERGERS, ACQUISITIONS & DISPOSITION
Buy Side
Our merger, acquisition and disposition practice provides
high-quality, comprehensive and strategically-focused tax,
accounting and advisory services. Through our global net-
work of resources, we have immediate access to our team
of specialists, comprised of members from multiple disci-
plines, each bringing the special skills our clients need to
find, evaluate, negotiate, structure, finance and complete a
transaction.
Support Our Clients in the Evaluation Process
Review and Analyze Potential Targets for Acquisition
Provide Guidance in Negotiations
Provide Due Diligence Services
Provide Valuation Services
OUR SERVICES
Mergers, Acquisitions & Disposition
MERGERS, ACQUISITIONS & DISPOSITION
Sell Side
Xnergy Financial serves as a valuable and proven execu-
tion partner to ensure the best price, terms and conditions
to maximize value. We have been expanding and maintain-
ing our connections with strategic and financial buyers to
provide our clients the best choice and offer in the market.
Our sell side team and valuation expert provide a number of
advantages for a seller:
Identify and present offers to a diverse buyer universe leading to more
competition and a maximum price.
Due diligence process to identify and resolve potential issues.
Negotiate aggressively on behalf of clients, so as not to damage relationship with
acquirer with whom management might work post-sale.
Minimize distraction to the management team who still must
operate the business day-to-day.
Leverage experienced professionals dedicated to the M&A process full time, with
significant track records of getting deals done.
Our professionals are focused on the middle market and we
provide significant attention and focus to each assignment:
Execution expertise developed at top-tier institutions, so comfortable with
sophisticated buyers.
Evaluate financial statements, historical and projected cash flows and
earnings and capital expenditures.
Assess quality of assets.
Identify cost reduction opportunities, contingencies and commitments.
Identify and quantify risks, opportunities and tax strategies
Evaluate employee benefits, technology systems and risk
management practices
OUR SERVICES
Mergers, Acquisitions & Disposition
MERGERS, ACQUISITIONS & DISPOSITION
Sell Side
Based upon the review, which consists of financial, busi-
ness, legal and tax considerations, we help our client struc-
ture the transaction for optimal results, leveraging general
business and tax advantage points. We help each client find
the right buyer, negotiate the right price, and design the
right deal.
We also provide additional support services including:
Input into
Contract
Post
Transaction
Transaction
Closing
Merger
Integration
OUR SERVICES
Corporate Finance
CORPORATE FINANCE
Overview
Having the right capital structure is crucial to any business.
We help our clients reach an optimal capital structure. We
review our client's capital structure and capital needs, the
financing sources available in the market and their advan-
tages, disadvantages and cost and devise an ideal capital
structure plan. We help implement the plan by finding ap-
propriate sources of capital and negotiating the best terms.
We assist our clients with angel and venture capital invest-
ment, private and public equity and debt placements and
commercial loans.
CORPORATE FINANCE
Pipe Financing
Our relationships and resources provide a broad range of
PIPE financing options.
Xnergy Financial has considerable experience and expertise
in structuring and placing private investment in public eq-
uity (PIPE) transactions for public companies. PIPE financ-
ings are tailored for a particular company's capital structure
and financing needs, including growth capital, acquisition
financing, and recapitalizations. We maintain relationships
with a broad array of PIPE financing sources, including
specialized growth funds, crossover funds, hedge funds and
private equity funds.
OUR SERVICES
Corporate Finance
CORPORATE FINANCE
Private Placement
Xnergy Financial is a premier provider of private placement
transactions.
We rely on our in-depth knowledge and investor relation-
ships to help create capital structures and value-added
strategies, including management buyouts, acquisitions, re-
capitalizations, share repurchases, growth capital, refinanc-
ings and restructurings.
We maintain relationships with a broad range of global
capital providers, including commercial banks, financial ser-
vices companies, hedge funds, insurance companies, spe-
cial situation funds, credit funds and private equity groups.
With a thorough understanding of capital structure and the
appetite for risk among debt and equity providers, we aim
to deliver a flexible, cost-competitive solution from an insti-
tution that can be supportive over the long term.
OUR SERVICES
Corporate Finance
CORPORATE FINANCE
Real Estate Strategic Advisory
Xnergy's Real Estate Strategic Advisory Group develops the
most appropriate execution strategy structuring transac-
tions to meet the quantitative and qualitative objectives of
the client. With local market knowledge and a global inves-
tor reach, our senior bankers can access the leading public,
private and institutional real estate investors and lenders.
We offer objective, unbiased advice involving:
Corporate Property
Monetization
Note
Sales
Equity & Debt
Placement
Public &
Private M&A
Property
Dispositions
Restructuring
Our clients include:
Strategic & Financial
Advisory
Real Estate
Investment
Trusts (REITs)
Mortgage &
Finance
Companies
Real Estate
Operating
Companies (REOCs)
Management &
Real Estate
Service Companies
Lodging
and Leisure
Companies
Home Builders
& Land Developers
Public & Private
Sector
Developers
Public & Private
Institutional
Investors
Real Estate
Intensive Healthcare
Companies
OUR SERVICES
Investment Banking
INVESTMENT BANKING
Overview
Having the right capital structure is crucial to any business.
We help our clients reach an optimal capital structure. We
review our client's capital structure and capital needs, the
financing sources available in the market and their advan-
tages, disadvantage and cost and devise an ideal capital
structure plan. We help implement the plan by finding ap-
propriate sources of capital and negotiating the best terms.
We assist our clients with angel and venture capital invest-
ment, private and public equity and debt placements and
commercial loans.
OUR SERVICES
Financial Advisory Services
FINANCIAL ADVISORY SERVICES
Capital Funding
Having the right capital structure is crucial to any business.
We help our clients reach an optimal capital structure. We
review our client's capital structure and capital needs, the
financing sources available in the market and their advan-
tages, disadvantages and cost and devise an ideal capital
structure plan. We help implement the plan by finding ap-
propriate sources of capital and negotiating the best terms.
We assist our clients with angel and venture capital invest-
ment, private and public equity and debt placements and
commercial loans.
EQUITY
PRIVATE
ANGEL
CAPITAL
PUBLIC
VENTURE
DEBT
OUR SERVICES
Valuations
VALUATIONS
Overview
Our Certified Valuation Analysts will accurately determine
the value of a business, or selected parts, for securities of-
fering, taxation, transactional, financing, litigation, or strate-
gic management purposes.
OUR SERVICES
Business Advisory Services
BUSINESS ADVISORY SERVICES
Business Entity Consulting
Business success is fueled by fresh information, sound in-
sights, and the right solution. Our consultants can help
clients enhance their operating efficiency and improve the
financial performance of their companies.
BUSINESS ADVISORY SERVICES
Management Consulting
Our management consultants help our clients solve a wide
range of business issues. After assessing a client's needs,
we assemble a team of specialists experienced in resolving
its specific issues. Our consultants evaluate the company's
concerns and goals, carefully assess the current situation,
and devise comprehensive, practical and specific solutions
appropriate to the company, industry and market. We pre-
pare comprehensive assessment reports of the company's
strengths and weaknesses, performance, opportunities,
management, market and competition, capitalization, debt
structure, revenue, costs, cash flow, technology and person-
nel. Upon completion of our assessment report, we prepare
an enterprise-wide, flexible plan for resolving issues, utiliz-
ing opportunities, minimizing costs, improving cash flow
and profits and increasing the value of the company.
OUR SERVICES
Business Advisory Services
BUSINESS ADVISORY SERVICES
Business Planning
A well thought-out business plan is essential to the devel-
opment and management of every business. The prepa-
ration of a business plan requires an analysis of the com-
pany's current situation, management's vision, length of
time to achieve it, the costs involved in realizing it, and the
company's current and projected financial condition. The
business plan provides a solid foundation for management
decisions, raising capital, budgeting, cash flow planning,
marketing and operations. We consult with management
about the company's current status and plans, examine the
company's present situation, review and analyze the com-
pany's industry and create a comprehensive business plan
addressing: management; personnel; capital investment;
financing; products and services; industry dynamics and
trends; competitive and strategic positioning; technology;
marketing and sales; business development; and revenue,
expense, cash flow, profit and value projections. With a
business plan, management is able to accurately assess the
performance of the company using the plan as a bench-
mark and will have the information needed to strategically
direct the company.
BUSINESS ADVISORY SERVICES
Federal and State Regulatory
Compliance Services
We ensure that our clients' businesses comply with all as-
pects of state and federal regulatory rules. We assess, and if
necessary revise, existing financial, operational and compli-
ance processes.
"We have the
passion to
provide the
much needed
capital for
companies."
Nia Stefani
Chief Executive Officer
INDUSTRY FOCUS
AEROSPACE, DEFENSE, AND GOVERNMENT
AEROSPACE, DEFENSE, AND GOVERNMENT
Xnergy Financial delivers experience and knowledge to
the diverse aerospace and defense industry with a team
of professionals possessing significant investment banking
experience. We offer a broad range of investment bank-
ing products and services to meet the needs of our client
base. Through our broad contacts and extensive transaction
experience, we can assist you in origination, structuring,
and executing the transactions that can allow you to take
advantage of the current industry environment. In this high-
ly specialized and cyclical industry our strong credentials
provide us with a broad understanding of the economic and
technological trends that drive the strategic needs of our
clients. Xnergy Financial specialized investment banking
team will assist with merger & acquisition advisory, private
capital raising, and financial services to the aerospace, de-
fense and government companies.
Safety Systems
Astro-Tek Industries Inc.
E-Views Safety System
Universal Detection Technology
Stock Sale
$13,000,000
Aerospace Manufacturing
Private Placement
$8,000,000
Homeland Security
Private Placement
Undisclosed Amount
Homeland Security
INDUSTRY FOCUS
ASSISTED LIVING AND HEALTHCARE
ASSISTED LIVING AND HEALTHCARE
Xnergy Financial offers a nationwide lending and equity ap-
proach to managing financing for your assisted living facil-
ity. We've offered healthcare real estate financing for as-
sisted living facilities for many years. Healthcare real estate
financing includes assisted living facilities, independent care
facilities, skilled nursing facilities, medical office buildings,
surgery centers, non-for-profit hospitals, and proprietary
hospitals. We offer healthcare real estate financing that is
not only competitive, but also offers the very best pricing.
If you are a borrower, owner or investor looking to finance
healthcare real estate and have found that perfect location
to purchase and existing facility or build an assisted living
property, we can also provide the appropriate financing
structure.
With our deep industry relationships in the Healthcare sec-
tor, we are just the team to assist with your disposition
merger or acquisition needs.
Champion Pain Care Corp
Exercise Your Eyes
Hytham Inc.
Debt & Equity Placement
$8,000,000
Healthcare
Financial Services
Undisclosed Amount
Healthcare Technology
(NASDQ: HTYM)
$5,000,000
Healthcare
EXERC ISE YOUR EYES
INDUSTRY FOCUS
BUSINESS AND FINANCIAL SERVICES
BUSINESS AND FINANCIAL SERVICES
The Xnergy Financial Team provides investment bank-
ing services to banks, thrifts, mutual companies and other
financial services companies; including: finance real estate
investment trusts, business development companies and
insurance companies. The credit crisis has produced a glob-
al shockwave for the financial services industry. Lingering
pools of troubled assets, increased regulatory implications,
government assistance, as well as the fall of major players
continue to present unique challenges along with complex,
mounting pressures and aggressive legislative develop-
ments. Our senior bankers have developed financing op-
tions for numerous businesses over multiple economic/
market cycles. Xnergy Financial's Institution Investment
Banking professionals have extensive experience in: public
underwriting of common stock, preferred stock and debt
securities; private financing; initiating, structuring and ne-
gotiating mergers & acquisitions, valuations, and tender
offers.
John Roberts Powers
Talent School System
Mergers & Acquisition
Advisory Services
Stock Sale
Talent School
American Guardian
Rudder Capital LLC
Corporate Financial and Mergers &
Acquisition Services
Undisclosed Amount
Financial Services
$4,000,000
Mortgage Company
RUDDER CAPITAL
LLC
INDUSTRY FOCUS
CLEAN TECH AND RENEWABLE ENERGY
CLEAN TECH AND RENEWABLE ENERGY
Xnergy Financial's investment banking group is fully dedi-
cated to offering a full suite of advisory and capital raising
services to public and private companies throughout the
Clean Tech industry. Our banking team has deep domain
expertise across a wide variety of Clean Tech technologies
including batteries and biofuels, solar energy, high effi-
ciency lighting, wind turbines and farms, waste-to-energy,
smart grid, electric and hydrogen propulsion, water and soil
re mediation, and other areas. We are committed to provid-
ing prudent strategic advice to "green" companies seek-
ing to raise capital or form strategic commercial alliances.
Clean Tech companies include those working on alternative
renewable sources of energy and potable water as well as
those developing technologies that assist in elimination the
world's dependency on fossil fuels and petroleum-based
products.
Solar Alliance
OF A M E R I C A , I N C .
Earth Search Sciences, Inc.
Full Circle Recycling
Solar Alliance
Stock Sale
Undisclosed Purchase Price
Oil & Gas Technology
Financial Services
Stock Sale
$12,000,000
Renewable Energy
Waste to Energy
essi
EARTH SEARCH SCIENCES, INT
INDUSTRY FOCUS
FRANCHISING
FRANCHISING
We are experts in the franchise business model and work
with our clients to provide capital, merger and disposition
services. With decades of experience in franchising, our
investment banking team has the strategic, financial and
corporate relationship to both realize & increase the value
of your opportunity.
OR A N G E C O U N T Y
E L M O R E T O Y O T A
BMW
Budget
Merger & Acquisition
Advisory Services
Elmore Toyota
Business Valuation Services
Valuation & Fairness Opinion
Automobile Dealership
Automobile Franchise
Automobile Franchise
ExxonMobil
Jose Eber
Wolfgang Puck
Financial Services
Private Placement
Debt & Equity Placement
$480,000,000
Oil & Gas
Financial Services
Beauty Salon Franchise
Corporate Restructure
Restaurant Franchise
INDUSTRY FOCUS
RETAIL AND DISTRIBUTION CHANNELS
RETAIL AND DISTRIBUTION CHANNELS
Our Retail Distribution Group has achieved a leading posi-
tion in the middle market through deep sector knowledge,
international reach, unique advisory and capital raising
services. We carefully arrange and analyze the investment
considerations of our clients.
Our expertise encompasses the convergence of retail, e-
commerce & digital media, including mobile marketing op-
portunities and advertising trends. Xnergy Financial offers
a unique cross-sector perspective that has been essential
to our retail and media strategies. At Xnergy Financial, a
core competency involves understanding consumer trends
and strategies around brand recognition. The impact of the
internet, mobile devices and social media, with ubiquity of
goods and services, democratization of price and pervasive
ratings and reviews, is transforming the distribution and
retail landscape.
gear y interactive
C-Shore International, Inc.
Geary Interactive
Business and Financial
Advisory Services
KMA Global Solutions
Financial Services
$10,000,000
Distribution
(OTCBB: KMAG)
$5,000,000
Entertainment Gaming
& Technology
Online Marketing &
Advertising Agency
INDUSTRY FOCUS
FOOD AND BEVERAGE
FOOD AND BEVERAGE
Xnergy Financial works across the food and beverage in-
dustry from franchisors to producers and processors to dis-
tributors and retailers. Applying broad experience, Xnergy
Financial helps companies address the diverse issues facing
this multi-faceted industry. We have worked with compa-
nies offering a range of products and modalities of distribu-
tion.
Food and Beverage services include the following:
Private Label
Snack
Foods
Food
Equipment
Food
Manuacturing
Beverage
Distribution
Health &
Wellness
Restaurants
Food Service
Retail
AsomBroso
Stampede Light
Wolfgang Puck
Financial Services
Private Placement
Financial Services
$5,000,000
Manufacturer & Importer of
AsomBroso Tequila
Private Placement
$1,000,000
Beverage
Corporate Restructure
Restaurant Franchise
INDUSTRY FOCUS
ENERGY
ENERGY
Our energy practice provides sophisticated financing so-
lutions and strategic investment advice to domestic and
international natural resources companies. Xnergy Finan-
cial's combined knowledge in the Energy Sector enables us
to provide a highly competitive level of investment banking
competency for mergers & acquisitions advisory, public &
private debt, and equity offerings. Our extensive network
of relationships in the energy sector, and continued pres-
ence in the strategic & capital markets, allows us to provide
our clients with actionable advice combined with an inde-
pendent perspective. Our investment banking professionals
have years of combined experience in the energy sector.
We specialize in the following
sub-sectors:
Exploration and
Production
Oilfield
Services
Integrated Gas &
Electric Utilities
Electricity
Transmission
Gathering and
Processing
Refining &
Marketing
Natural Gas,
Refined Products and
Crude Oil Transportaion
Middle Fork
Development Services
ExxonMobil
Penn Octane Corporation
Sale of Assets
$5,000,000
Natural Resources
Debt & Equity Placement
$480,000,000
Oil & Gas
(NASDAQ: POCC)
$15,000,000
Oil & Gas Pipeline
INDUSTRY FOCUS
FUND OF FUNDS
FUND OF FUNDS
The Xnergy Financial team provides investment solutions to
a wide variety of institutions.
Investment vehicles include tailored Fund-of-Funds, sepa-
rately managed accounts, collective trusts and direct hedge
funds . Xnergy Financial's focused approach is organized
into specific directions aligned by client type, including cor-
porate pension funds, financial institutions, not-for-profit,
public pension funds, as well as government institutions,
central banks and unions.
Diverse Funding
Associates
Diverse Funding Associates
Investor Relation Services, Inc.
Mergers & Acquisition
Advisory Services
Equity Placement
Special Purpose Aquisition
Peacock Financial Corporation
Debt Placement
$18,000,000
Financial Services
Private Placement
$5,000,000
Business Development Corporation
INDUSTRY FOCUS
HEALTHCARE AND LIFE SCIENCES
HEALTHCARE AND LIFE SCIENCES
Xnergy Financial is focused on helping our clients achieve
their objectives by delivering exceptional advisory and
capital raising expertise to the biotech and life sciences
industry. Given the degree of specialization in healthcare/
life sciences/devices marketplace, there is strong growth
and fragmentation inherent in many sub-sectors. We focus
on helping our clients understand the opportunities in the
current market so that they are best positioned to achieve
their goals. We believe that senior level attention coupled
with deep and relevant industry and product experience
are critical components to delivering the right corporate
finance solution to our clients. We present creative capital-
raising, merger and acquisition and corporate advisory
services that meet the business needs of companies in this
dynamic and rapidly evolving sector. Our team has exten-
sive relationships with public and private strategic and
financial investors, and our clients include some of the most
well-respected companies in the industry.
Champion Pain Care Corp
Boston Therapeutics
Hytham Inc.
(NASDQ: HTYM)
$5,000,000
Healthcare
Debt & Equity Placement
$8,000,000
Healthcare
Financial Services
Undisclosed Amount
Diagnostics
INDUSTRY FOCUS
MANUFACTURING AND INDUSTRIAL
MANUFACTURING AND INDUSTRIAL
The manufacturing sector of the economy is large and
diverse. Our investment banking professionals can assist
many industrial companies in garnering the financing op-
tions they need. Our experience cuts across many produc-
tion process and scale of equipment, including advanced
materials as well as specialized industries such as aero-
space/defense. The Xnergy Financial approach is to lever-
age your industry expertise and market position to identify
value-add opportunities, with the right financial partner.
TURBO SYSTEMS
Astro-Tek Industries Inc.
Innovative Turbo Systems
OSI System, INC
Stock Sale
$13,000,000
Aerospace Manufacturing
Financial Services
$10,000, 000
Automotive Manufacturing
Corporate Finance, M&A Advisory
$96,000,000
(NASDQAQ: OSIS)
Systems Manufacturing
INDUSTRY FOCUS
MEDIA AND ENTERTAINMENT
MEDIA AND ENTERTAINMENT
Located in the heart of the entertainment industry, Xnergy
Financial provides a full range of services to assist our cli-
ents in virtually every aspect of their film, television, music,
action sports and new media projects, including maximizing
the role of finance, distribution, packaging, advertising and
cross-promotional opportunities. We have the capabilities
to handle all project aspects including writers, directors,
producers, managers, actors, artists, sports figures, produc-
tion and distribution companies, networks and studios in
the film, television, cable, and interactive media sectors.
Xnergy Financial has a unique combination of seasoned
entertainment industry counsel and access to key players
in the entertainment industry within a boutique setting,
which allows us to timely and effectively serve our clients.
We demonstrate an ability to provide clients with creative,
pragmatic, and measured approaches to entertainment-
based projects, critical elements in today's marketplace.
f uzz y bunny f ilms
Fuzzy Bunny Films
Lumenas Animation Studio
Merger & Aquisition
Advisory Services
Vergence Entertainment
Corporate Finance
$50,000,000
8 Film Slate
Financial Services
Entertainment Technology
Entertainment Gaming &
Technology
INDUSTRY FOCUS
REAL ESTATE, LODGING AND LEISURE
REAL ESTATE, LODGING AND LEISURE
Let us guide you through the process of finding the best
financial solution for your project. We're at the forefront
of this evolving sector and are actively involved with every
facet of these complex projects.
Our dedicated team works closely with:
MANAGEMENT COMPANY
CORPHQ
Kennedy Wilson
TRG Management
Business and
Financial Advisory Services
Financial Services
$10,000,000
(Pink Sheets: COHQ: P/C)
Corporate Development Company
Financial Services
$250,000,000
Real Estate
Corporate structuring and engaging Grand
Illusions Entertainment to produce a state of
entertainment properties including
Rin-Tin-Tin, Naked City and Route 66.
INDUSTRY FOCUS
TRANSPORTATION AND LOGISTICS
TRANSPORTATION AND LOGISTICS
Xnergy Financial provides timely advice to a wide range of
firms in the transportation and logistics markets. Our suc-
cess is driven by the depth of our expertise and thorough
understanding of the internal and external forces driving
industry trends and the financial markets. Our team is com-
mitted to providing the highest quality investment banking,
financial advisory, and corporate banking services through
in-depth analysis and a thorough understanding of the com-
panies in the following industry sectors:
Marine
Transportation
Rail
Third Party
Logistics
Truckload
Air Cargo
Transportation
Equipment
Barber Automotive Group
Opticon USA
Mergers & Acquisition
Advisory Services
OFO Trucking
Business Valuation Services
Financial Services
Undisclosed Amount
Transportation Logistics
Automobile Dealership
Logistics
INDUSTRY FOCUS
COMMUNICATIONS
COMMUNICATIONS
The Communications sector is competitive and dynamic,
driven by technological and regulatory change. The tremen-
dous growth in communications and desire for new data
applications and technologies coupled with an increasing
demand for communication services around the world has
created significant opportunities. Our team is focused on
the success and growth of your company. We are a full-
service investment bank, offering top-ranked research done
by our team to shape the Communications sector's future.
Xnergy Financial provides strategic and capital markets ser-
vices as well as innovative financing solutions.
Entertainment Technologies
and Programs, Inc.
Entertainment Technologies
and Programs, Inc.
Air Link
Telia Company AB
Debt Placement
$5,000,000
Communications
Financial Services
$20,000,000
Telecom Carrier
Debt Restructure
Undisclosed Amount
Communication Services
INDUSTRY FOCUS
TECHNOLOGY HARDWARE AND SOFTWARE
TECHNOLOGY HARDWARE AND SOFTWARE
A wave of technological innovation has created unprec-
edented market potential for today's companies who are
targeting enormous opportunities, growing fast, selling
globally, and creating sustainable value. In recent years, the
industry has seen unprecedented change in the way con-
sumers interact and the way enterprises utilize and manage
IT infrastructure. The ability of bandwidth and number of
connected devices has created significant network effects.
Large amounts of data being generated on the web make
analytical tools critical. The Xnergy Financial senior bankers
have executed dozens of transactions in a range of technol-
ogy domains from hardware to software, and IT services.
We leverage our deep domain knowledge and understand-
ing of these drivers of innovation to help our clients achieve
the most optimal financing outcome as they look for capital
to support growth of their companies or consider strategic
alternatives.
Interpreter + Translators
Unlimited
Equity Metrix
Ramp Rate
Equity Placement
$5,000,000
Technology & Software
Debt Placement
$5,000,000
Software Services
Financial Services
$3,000,000
IT Consulting
INDUSTRY FOCUS
FINANCIAL TECHNOLOGY
FINANCIAL TECHNOLOGY
Financial Technology (Fintech) has been a rapidly grow-
ing sector and the industry is expanding rapidly. Fintech
companies integrate technologies (like AI, block chain and
data science) into traditional financial sectors to make them
safer, faster and more efficient. Fintech is one of the fastest-
growing tech sectors, with companies innovating in almost
every area of finance. Fintech unicorns have received highly
attractive valuations as many banks and financial institu-
tions and investors are customers and supporters. Xnergy
Financial's Investment Banking Team continues at the fore-
front of capital funding to the Fintech industry which has
already reached new highs globally.
COPILOT
IBD
Merger & Aquisition
Advisory Services
i Bill
Mergers & Acquisition
Advisory Services
$53,000,000
Financial Technology
Corporate Finance
Undisclosed Amount
Financial Technology
Financial Technology
MORE
SELECT
TRANSACTIONS
Car Wash Consolidator
I N T E R N A T I O N A L , I N C .
Ambassadors International, Inc.
Car Wash Consolidator
Commodore
(NASDAQ:AMI)
$100,000,000
Represented this company in connection
with the public spin-off of its wholly
owned $100,000,000 subsidiary.
Ambassadors Education Group, In.
(NASDA:PAX).
Debt & Equity Placement
$20,000,000
Car Wash Consolidator
Equity Placement
Computer Hardware
DRAKE GOLD
RESOURCES, INC.
Drake Gold Resources, Inc.
Dynamic Imports Corporation
Galpin Ford
Business and Financial
Advisory Services
Financial Services
$3,000,000 (DKGR.PK)
Natural Resources
Financial Services
$5,000,000
Beverage Distribution
Automobile Dealership
Harvest Petroleum
Business and Financial
Advisory Services
Havoc
Hollywood Celebrity
Equity Placement
$10,000,000
(OTC BB: UDTT)
Beverage
Equity Placement
$5,000,000
Healthcare
Oil & Gas Technology
Hollywood Prescription
In Tune Product Company
Lamas Beauty
Financial Services
$3,000,000
Cosmetics
Equity Placement
$900,000
Consumer Product
IPO Services
Organic Food
D ev e l o p m e n t S er v i c es
Natural Performance
Technologies
Middle Fork
Development Services
Novak Capital, Inc.
Corporate Financial
Advisory Services
Equity Placement
$8,000,000
Natural Resources
Private Placement
$20,000,000
Consumer Goods
Financial Services
Onion Map
PentHouse
Petro Probe
Financial Services
Undisclosed Amount
eCommerce
Financial Services
(Pink Sheets: PHSL)
Holding Company
Oil & Gas Technology
Precis Vodka
Progressive Brands
Tensleep Corporation
Equity Placement
$5,000,000
Beverage
Equity Placement
$2,700,000
Beverage Distribution
Financial Services
$110,000,000
Distribution Company
Swiftech
Business and Financial
Advisory Services
Tara Gold
XXXCite Brands
Financial Services
Undisclosed Amount
(TRGD.PK)
Natural Resources
Financial Services
Undisclosed Amount
Energy Drink
Provided business and financial advisory
services for this manufacturer of heat
sinks and thermal coolers for
computers (principal customers Intel,
IBM and Gateway).
MEET
OUR
TEAM
Johnney Zhang
Chairman of the Board
Mr. Zhang's unique expertise in real
estate development and investment
management spans high-end commercial
properties, luxury custom homes and
multi-family properties. He leverages
that expertise to formulate a distinctive
portfolio for each client.
Nia Stefani
Founder & CEO
Nia brings nearly two decades of experi-
ence in mergers and acquisitions, invest-
ment banking, private equity, finance,
and law to Xnergy. Her experience ex-
tends from startups to New York Stock
Exchange-listed companies and over a
diverse range of industries.
Bill Timmerman
Managing Director
A professional with over 25 years in lead-
ership roles as CEO, CFO and investment
banker. He has completed dozens of
M&A deals in a wide range of industries
from IT, tech, manufacturing, and various
others.
Donald J. Haskell
Managing Director
Don is a Managing Director of Xnergy
Financial. Don brings a new dimension of
services to Xnergy with his 30+ years of
experience in the Wealth Management,
corporate pension and employee bene-
fits and real estate investment industries.
In 2006 Don is the founder of Santa Fe’
Wealth Management, Inc,
Mark Jacobs
Managing Director
Mark Jacobs is an Investment Banker at
Xnergy. His expertise in funding
companies and his vast relationships
with family offices, private equity and
debt funds makes him an invaluable
asset to Xnergy's clients.
Historically his sector involvement has
successfully been in the biotechnology
and technology industries.
Donald G Johnson
Director
Mr. Johnson brings to Xnergy nearly
30 years of experience as an attorney
specializing in mergers and acquisitions,
corporate finance, private equity, special
financial products, franchising, regulatory
compliance, and related matters.
Chad Clark
Investment Banker
Chad is an Investment Banker who has
a background in Sales and Cognitive
Science. His focus is on business
development and raising capital for
middle market companies.
Ellen Zhang
Vice President of
Investment Banking
With more than 20 years’ experience in
Financial services, E-commerce
platform, Real estate development and
international trading, she is very
persistent and committed in supporting
business owners in raising funds,
corporate financing, merger &
acquisitions and business consultant.
Zubair Hassan
Vice President of
Investment Banking
Mr. Hassan is a Vice President of
Investment Banking at Xnergy Financial.
He specializes in financing for emerg-
ing growth companies and works with
Xnergy’s clients to in align with the right
investors and capital structure.
Ken Hines
Vice President of
Investment Banking
Ken is a Vice President of Investment
Banking at Xnergy based in San Diego.
Ken provides clients with strategic
advice, capital raising and risk
management services. He is industry
agnostic giving him the ability to share
his expertise with a wide range of
clientele.
Damien Jackson
Vice President of
Investment Banking
Damien has had a varied and accom-
plished career in the financial services
industry over his 15 year tenure. His com-
mitment to his clients and dedication to
presenting only the most optimal finan-
cial strategies in the most trying of eco-
nomic times, has created an environment
of trust and loyalty among his clients.
Jane Wachiradejkul
VP – Global Business
Development &
Investments US-APAC
Jane serves as US-APAC Strategic leader. She
brings 25 years of invaluable experience across
real estate investment, global business
development, and internationalization strategic
advisory, with expertise in Private Advisory to
US-Asia Family Offices and Investor relations.
John Sabater
Vice President of
Investment Banking
John is a Vice President of Investment
Banking at Xnergy Financial. His main
role is on the funding side with emerging
growth companies with an emphasis on,
Cyber Security, Clean Energy and
Material Sciences.
Jon Wu
VP of Investment
Banking
Jon is a Vice President of Investment
Banking at Xnergy Financial, where he
works on business development and
capital raising for middle to large
companies mainly in the technology and
financial services sectors.
Robert Calamunci
Chief Compliance Officer
Mr. Calamunci is the Chief Compliance
Officer at Xnergy Financial. He is
primarily responsible for overseeing and
managing regulatory compliance with
FINRA, State and Federal Securities
Laws.
Paul Goodson
VP Life Sciences &
Healthcare
Paul Goodson is VP, Head of Healthcare
Investment banking at Xnergy. In this role,
Paul leads Xnergy’s practice in sourcing,
review, and funding transactions in the
biotechnology, diagnostic, medical device,
and other life science fields.
Yihe Luo
Investment Banker
Yihe Luo is an Investment Banker at
Xnergy Financial. Prior to joining, Yihe
worked as the CEO of a P2P lending
platform and later founded both a
consumer lending company and a
charitable animal donation platform. He
has also managed over 200 million
dollars clients’; assets at HSBC. Through
his consistent hard work, he was rated
one of the top Financial Advisors
David Song
Capital Markets Advisor
As a Capital Markets Advisor, David
brings over 27 years of sales and sales
management experience to Xnergy.
Backgrounds in Capital Improvements
and Real Estate industry provides
systematic and practical aspects to
analyze and vet the marketability of issuer
offerings and investor benefits.
Corporate Office:
LOS ANGELES
Office 310.552.0000
Email: info@xnergy.com
Web: www.xnergy.com
ADDRESS
1801 Century Park East
25th Floor
Los Angeles, CA 90067
www.xnergy.com