AM RAZO & CO. SECURITIES INC.
18101 Von Karman Ave., Ste. 350
Irvine 92612
Phone/fax: (949) 251-6567/(949) 251-6568
Web site: amrazo.com
E-mail: info@amrazo.com
Top local official/title: Andrew M. Razo, chairman/CEO
Range: $2-$5 million
Specialties: Printing, software, aerospace, technology, hi-tech, computer hardware
BARRINGTON ASSOCIATES
4675 MacArthur Court., # 670
Newport Beach 92660
Phone/fax: (949) 442-7800/(949) 442-7860
Web site: barringtonassociates.com
E-mail: jfreedman@baib.com
Top local official/title: James B. Freedman, managing director
Specialties: Mergers and acquisitions
BUCHANAN STREET PARTNERS
610 Newport Center Drive
Phone/fax: (949) 721-1414/(949) 721-1919
Web site: buchananstreet.com
E-mail: rsb@buchananstreet.com
Top local official/title: Robert Brunswick, president
Range: $5 million-$100 million
Specialties: Mezzanine debt, preferred equity
CHASE H & Q
1100, Newport Center Drive, Ste. 200
Newport Beach 92660
Phone/fax: (949) 718-6100/(949) 718-6199
Web site: chase.com
Top local official/title: Stephen S. Shirley, senior vice president
Specialties: Retail
EUREKA CAPITAL MARKETS GROUP
4400 MacArthur Blvd., Ste. 980
Phone/fax: (949) 852-5190/(949) 476-2790
Top local official/title: Art Perrone, chairman
Specialties: Raise capital for early-stage technologies & healthcare companies; provide merger & acquisition services for middle-market private companies
FIRST FIDELITY
3061 Edinger Ave.
Tustin 92710
Phone/fax: (949) 863-0222/(949) 936-1889
Web site: 1stfidelity.com
Top local official/title: Susan Froboese, chief credit officer
Range: $200,000 – $4 million
Specialties: Commerical, industrial
FIRST SECURITY THRIFT COMPANY
803 E. Katella Ave.
Orange 92867
Phone/fax: (714) 538-3481/(714) 538-0126
E-mail: jbresnan@firstam.com
Top local official/title: Jim Bresnan, CEO/president
Range: $100,000 – $2.5 million
FIRST SECURITY VAN KASPER
610 Newport Center Drive, Ste. 500
Newport Beach 92660
Phone/fax: (949) 718-4500/(949) 719-1808
Web site: fsvk.com
E-mail: rsample@fsvk.com
Top local official/title: Richard J. Sample, senior vice president
Range: $5 million-$50 million
Specialties: Technology, biotechnology, specialty finance, financial services, enterprise software
FRIEDMAN BILLINGS
RAMSEY & CO. INC.
18101 Von Karman Ave., Ste. 1860
Phone/fax: (949) 477-3100/(949) 477-3101
Web site: fbr.com
E-mail: jneuhauser@fbr.com
Top local official/title: James C. Neuhauser, managing director
Range: $10 million-$500 million
Specialties: Financial services, real estate, technology
GARTE & ASSOCIATES INC.
567 St. Nicholas Drive, # 360
Phone/fax: (949) 622-5503/(949) 219-2198
E-mail: garte@worldnet.att.net
Top local official/title: Harvey Garte, president
GLOBAL VANTAGE LTD.
2424 S. E. Bristol, Ste. 280
Newport Beach 92660
Phone/fax: (949) 250-0007/(949) 250-0018
Top local official/title: R. M. Torre, chairman
Range: All
Specialties: Mergers and acquisitions, merchant banking, international finance, equipment leasing/captive finance, corporate debt, equity financing
GRANT BETTINGEN, INC.
19800 MacArthur Blvd., Ste. 975
Irvine 92612
Phone/fax: (949) 851-5830/(949) 756-0981
Top local official/title: Grant Bettingen, president
Specialties: Control stock, securities, emerging technologies
HANKIN INVESTMENT BANK
13 Corporate Plaza, Ste. 210
Phone/fax: (714) 478-0644/(714) 669-9050
Web site: Hankinco.com
E-mail: Raskew@Hankinco.com
Top local official/title: Ron Askew, managing director
Specialties: Technology, middle market
HUNTER WISE FINANCIAL GROUP
3991 MacArthur Blvd. #340
Newport Beach 92660
Phone/fax: (949) 263-0033/(949) 263-0022
Web site: hunterwise.com
E-mail: fjager@hunterwise.com
Top local official/title: Fred G. Jager, president
Specialties: Institutional finance, mergers, acquisitions, divestitures
HUNTINGTON RESOURCES INC.
8071 Slater Ave., Ste. 205
Huntington Beach 92647
Phone/fax: (714) 375-5290/(714) 375-5290
E-mail: manu@gsrservices.com
Top local official/title: Dr. Manu Hinduja, president
Range: $100,000-$400 million
Specialties: Energy, software, power, asset-based lending
L. H. FRIEND, WEINRESS, FRANKSON & PRESSON LLC
3333 Michelson Drive, Ste. 650
Phone/fax: (949) 852-9911/(949) 852-8109
Top local official/title: Gregory E. Presson, chairman/CEO
Specialties: High-tech, healthcare, IT services, specialty retailing, basic industrial manufacturing
MARKWOOD CAPITAL ALLIANCE
6 Hutton Center Drive, Ste. 1110
Santa Ana 92707
Phone/fax: (714) 540-8020/(714) 957-2799
Web site: markwoodcapital.com
E-mail: bill@markwoodcapital.com
Top local official/title: Brian Callahan, managing director
Specialties: Computers, Internet, hi-tech electronics
NORTH AMERICAN CAPITAL
PARTNERS
1500 Quail St., Ste. 550
Phone/fax: (949) 263-5940/(949) 955-2134
Top local official/title: Michael D. Henton, president
Specialties: All
PACIFIC SUMMIT SECURITIES
2082 Michelson Drive, Ste. 100
Irvine 92612
Phone/fax: (949) 261-0800/(949) 261-6898
Web site: pacificsummit.com
E-mail: jwatts@pacificsummit.com
Top local official/title: James A. Watts, president
Range: $500,000-$10 million
Specialties: Technology, Internet
ROTH CAPITAL PARTNERS INC.
24 Corporate Plaza
Newport Beach 92660
Phone/fax: (949) 720-5700/(949) 720-7223
Web site: rothcp.com
Top local official/title: Byron Roth, chairman/CEO
Specialties: Corporate finance
SPECTRUM VENTURES LLC
5319 University Drive, Ste. 357
Phone/fax: (949) 863-1990/(949) 725-1160
Web site: spectrumventures.com
E-mail: jfm@spectrumventures.com
Top local official/title: Joseph F. Martinez, managing director
Specialties: Technology, medical, aerospace, Internet, wireless telecom
STEWART SECURITIES
1100 Quail St., Ste. 209
Phone/fax: (949) 250-0080/(949) 250-0070
Web site: stewartsecurities.com
E-mail: info@stewartsecurities.com
Top local official/title: Mark Stewart, president
Range: $300,000-$10 million
Specialties: Financing restricted stock
TAURUS CAPITAL GROUP LLC
19800 MacArthur Blvd., Ste. 280
Irvine 92612
Phone/fax: (949) 655-1444/(949) 655-1445
Web site: tauruscap.com
E-mail: mgreer@tauruscap.com
Top local official/title: Michael J. Greer, managing director
Range: $2.5 million-$7 million
Specialties: Medical device manufacturers
THE CORPORATE DEVELOPMENT GROUP
23120 Alicia Pkwy., Ste. 200
Mission Viejo 92692
Phone/fax: (949) 460-0925/(949) 460-0924
E-mail: cdg1@prodigy.net
Top local official/title: Ketan I. Mehta, managing partner
Range: $2 million-$50 million
Specialties: Consumer, industrial products, manufacturing, distribution
THE R.C. FULLER CO.
P. O. Box 2876
Newport Beach 92659
Phone/fax: (949) 673-2988/(949) 673-2720
Web site: rcfuller.com
E-mail: rc@rcfuller.com
Top local official/title: R. C. Fuller, president
Specialties: Mergers and acquisitions, mid-size manufacturing
TRENWITH SECURITIES
450 Newport Center Drive, Ste. 550
Newport Beach 92660
Phone/fax: (949) 729-3200/(949) 729-1513
Web site: trenwith.com
E-mail: ainsworth@trenwith.com
Top local official/title: Ron Ainsworth, managing partner
Range: $10 million-$30 million (equity rounds); $20 million-$100 million (debt)
Specialties: Middle-market companies
WESTPARK CAPITAL INC.
2600 Michelson Drive, 17th Floor
Phone/fax: (949) 852-3610/(949) 852-3620
Top local official/title: Barry Ross, managing director
Range: $2 million – $20 million
Specialties: Public offerings, private placements, mergers & acquisitions, advisory, securities research, brokerage services