Investment Banking

As a leading full-service investment bank, we provide a full array of investment banking services, including merger and acquisitions advisory to public and private companies, initial and secondary public offerings and institutional private placements.

Our hands-on approach to traditional investment banking allows the firm's professionals to better understand our clients’ business objectives and efficiently execute strategic alternatives to meet these needs. Whether the client is an entrepreneur seeking to recapitalize a business, a company in search of capital or an institution looking to monetize a portfolio holding, we can proactively develop a strategy and work collaboratively to develop a creative solution to maximize shareholder value.

Industry Expertise:

Our clients span a wide range of industries and encompass businesses owned by entrepreneurs, institutional investors and publicly-traded companies. We have specialized industry relationships and transaction experience in the following sectors:

Automotive & Motorsports
Aviation, Aerospace, & Defense
Business Services
Consumer Products & Services
Financial Institutions
Healthcare & Medical Devices
Industrials & Basic Materials
Internet Services
Optical Technology
Restaurants & Food Products
Semiconductors & Capital Equipment
Software & Technology Services
Retail, Apparel & Footwear
Technology
Telecommunication Equipment
Telecommunication Services

Each of our industry sectors is comprised of a dedicated team of highly experienced professionals that understand the unique characteristics of their respective industry. We maintain relationships with decision makers of most industry leading companies, as well as institutional investors with specific industry interests and industry portfolio holdings.

For general Investment Banking inquiries, please email .(JavaScript must be enabled to view this email address).

Investment Banking At A Glance

Transactions

$13,180,000

(Nasdaq: BOFI) Series B Preferred Stock Placement Agent

$88,820,000

(NASDAQ: RDA)
Follow-On Offering
American Depositary Shares
Co-Manager

$206,000,000

(NYSE: APP)
Senior Secured Notes
Co-Manager

$83,500,000

(NASDAQ: CDZI)
Financial Restructuring and Placement Agent

$47,900,000

(NASDAQ: CAMP)
Public Offering Common Stock
Joint Book-Runner

$35,000,000

has been acquired by II-VI Inc.

Provided financial advisory services and a fairness opinion to the company

$53,000,000

(Nasdaq: CAMP) has announced an all cash pending acquisition of Wireless Matrix USA

Corporate sale of its European business to

$46,000,000

(NASDAQ: PRGX)
Public Offering Common Stock
Co-Manager

$25,000,000

(OTCQX:ALDA) Provided financial advisory services related to its announced sale to

has been acquired in an all cash transaction by

$10,000,000

(Nasdaq: EMKR)
Public Offering Common Stock
Sole Book-Runner

$300,000,000

(NASDAQ:VSAT)
Senior Notes Co-Manager

$45,000,000

Acquired by

$112,125,000

(NYSE: KW)
Public Offering Common Stock
Co-Manager

$72,000,000

acquired Spinal USA through a Leveraged Management Buyout

$136,400,000

(Nasdaq:WWWW)
Secondary Offering Common Stock
Co-Manager

$100,000,000

(Nasdaq: KTOS)
Sole Underwriter Public Offering
Common Stock

$11,000,000

(Nasdaq: CIDM)
Public Offering Common Stock
Lead-Manager

$118,800,000

(Nasdaq: SVVC)
Public Offering Common Stock
Co-Manager

$59,800,000

(Nasdaq: CKEC)
Public Stock Offering
Co- Manager

has been acquired in an all cash transaction by

$25,000,000

Subordinated Debt and Preferred Equity Private Placement

has been acquired in an all cash transaction by

$13,800,000

(Nasdaq: BOFI)
Sole Underwritten
Common Stock Offering

$17,500,000

financial advisory and fairness opinion related to the acquisition of

(OTCQX: CRFT) Provided financial advisory services in connection with the acquisition by Litex Industries

Private placement of subordinated debt through

$21,746,585

sell-side advisory and fairness opinion related to an acquisition by

(OTCQX: TIXC) Sell-side advisory and fairness opinion related to the divestiture of the Tix productions subsidiary

$225,000,000

(Nasdaq: KTOS)
Senior Secured Notes
Co-Manager Fixed Income Offering

(Nasdaq: BNHN.A)

provided financial advisory services to the Strategic Committee

(OTCQX: ATGN) provided financial advisory services and OTCQX sponsorship

$16,800,000

(Nasdaq: OMEX) Common Stock Co-Manager Follow-On Offering

(OTCQX: ALDA) provided financial advisory services and OTCQX sponsorship

$23,000,000

The O'Gara Group Senior Secured Facility

Financial advisory related to a recapitalization

has acquired software, IP and related assets from

(Nasdaq: NTSC) Provided corporate governance financial advisory services to the Board of Directors

$39,000,000

fairness opinion related to the sale of Numbering Solutions business to

$15,940,000

(Nasdaq: BOFI) Common Stock, Sole Underwritten & Follow-On Offering

$125,600,000

Provided a fairness opinion related to the acquisition of China-based Enson Assets from CG International

(Nasdaq: ABTL) Provided Corporate Governance Financial Advisory Services to the Board of Directors

divested its Test Advantage Hardware division to

Upcoming Events

05/20/13 14th Annual B. Riley & Co. Investor Conference
06/20/13 Analyst Eric Wold marketing in Portland.
06/21/13 Analyst Eric Wold marketing in Seattle.

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Testimonials

"B. Riley was a great partner in this transaction, and their involvement helped us broaden our investor base."

Scott Slater
Chief Executive Officer
Cadiz, Inc. (Nasdaq: CDZI)
"B. Riley's depth of experience and relationships in the Optics and Aerospace and Defense industries played a key role in marketing to the appropriate suitors and in receiving the right value for our company. LightWorks received significant interest from multiple suitors and ultimately selected II-VI, which was an ideal fit because its culture, engineering and manufacturing expertise were similar to those of LightWorks."

Daniel Barber
Co-Founder, President and CEO
LightWorks Optics, Inc.
“We were extremely pleased with B. Riley’s advice and execution throughout the course of our strategic review process. The team was singularly focused on achieving the best possible outcome for Aldila and its shareholders and was instrumental in navigating the deal through various structural and strategic challenges.”

Peter Mathewson
CEO
Aldila, Inc.
“Our selection of B. Riley to represent Affinity was based on the firm’s keen perspectives into the dynamics of the medical interconnect industry, clear understanding of the Company’s value proposition and extensive experience in completing corporate sale transactions. Their skillful management and execution of the transaction was exceptional,”

Mary Phillipp
Founder and CEO
Affinity Medical Technologies
"B. Riley's knowledge of the optical components industry, relationships with investors who understand our sector, and distribution strength were key to EMCORE's decision to engage B. Riley,"

Hong Hou
Chief Executive Officer and Director
EMCORE Corporation
“The team’s knowledge of the various financing solutions available to Prestige allowed us maximum flexibility in structuring the right transaction and identifying the right capital partner. My team and I look forward to working with the B. Riley team going forward as we continue to grow Prestige."

Sang Cho
CEO
Prestige Corporation
“B. Riley’s in-depth knowledge and research coverage of the financial services industry provides an experience and expertise that has served us well [...] We continue to be impressed with the professionalism of the B. Riley banking team.”

Gregory Garrabrants,
Chief Executive Officer & President
BOFI Holding, Inc.
The execution of the B. Riley team was excellent and exceeded our expectations.

Gregory Garrabrants
Chief Executive Officer and President
BOFI Holding, Inc.
B. Riley provided sound advice, canvassed the market and talked with every logical buyer for TPI. Their efforts helped refocus our company on our core business, which positions us for future growth.

Mitchell Francis
Chairman, CEO and President
TIX Corporation
We appreciate working with B. Riley, the transaction was done expeditiously and professionally. The B. Riley team exceeded our expectations.

Richard Kurtz
Chairman and Chief Executive Officer
Advanced Photonix
B. Riley worked well with our team in developing and executing our strategic initiative. They were both professional and efficient in helping close this transaction.

Jeffrey H. Coats
President and CEO
Autobytel
Trojan has always viewed B. Riley as an integral part of our corporate team as it relates to our current and future growth plans. This transaction is yet another in a series of successful mandates they have completed for us over the last several years. We could not have done this without them.

Jeff Elder
President
Trojan Battery
We continue to be impressed with the B. Riley team’s skill of execution and insightful capital markets access and timing.

Rick Godber
Chairman and Chief Executive Officer
Trojan Battery
B. Riley helped us evaluate a number of funding alternatives, they worked with us very closely throughout the process and were instrumental in helping us navigate through the debt capital markets and in ultimately securing an important relationship with Monroe.

Bill O’Gara
Chief Executive Officer
The O’Gara Group
B. Riley is an important partner to Dynamics Research Corporation and their investment banking team moved swiftly in arranging our subordinated debt financing for this transaction. B. Riley’s knowledge of the financing markets, and the firm's relationships with leading debt and equity providers, were critical in getting us across the finish line.

Dave Keleher
SVP and CFO
Dynamics Research Corporation
The B. Riley team did an excellent job in representing Cardiogenesis, without B. Riley’s exceptional efforts, we would not have completed such a favorable transaction for our shareholders.

Paul McCormick
Chairman
Cardiogenesis
B. Riley’s banking team was efficient in identifying and coordinating the right combination of new and existing API investors to participate in our private placement. Their experience in the defense sector was a benefit to API.

Brian Kahn
Chairman and Chief Executive Officer
API Technologies
We’ve known the B. Riley team for several years. Their extensive relationships with quality capital sources were instrumental in helping us secure funding for acquisitions and our overall growth needs.

Donald Tringali
Chairman of the Board
National Technical Systems, Inc.
B. Riley’s experience in the financing of defense and technology companies allowed us to secure needed capital quickly and efficiently.

William McGinnis
Chief Executive Officer
National Technical Systems, Inc.
For a company such as ours which is in a growth phase, we appreciate B. Riley coming to the table with their A-Team, who bring over 30 years of banking experience. This is in stark contrast to larger firms who do not bring this kind of talent to smaller deals. We’ve worked with B. Riley since the late 1990s, and they were integral in helping build one of my prior companies, Titan Corp., which was successfully sold to L3 Communications for approximately $2 billion dollars. We’ve found B. Riley to be relationship oriented and not transaction driven. For Kratos, the B. Riley team has represented us in three successful capital raises and two advisory engagements in the past 12 months. Each time, they have consistently exceeded our expectations. This offering was completed in 36 hours which is testimony to the strength of the existing Kratos shareholder base, the strength of B. Riley’s institutional relationships and the quality of our company’s fundamentals.

Eric DeMarco
President and CEO
Kratos Defense & Security Solutions

Disclaimer:
Testimonials may not be representative of the experience of other clients and should not be interpreted as a guarantee of future performance or success.