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Roswell Brinkman & Partner’s mission is to deploy proven operational best practices and identify actionable upside opportunities that allow our customers, businesses, shareholders and employees to realize their full long-term value creation potential.

DIFFERENTIATED APPROACH

Roswell Brinkman & Partners takes pride in being a true partner in the value creation process, beyond simply a source of capital. The Roswell Brinkman team invests the time to understand critical opportunities, challenges and objectives facing our executives, utilizing both data analytics and thoughtful dialog. Moreover, Roswell Brinkman strives to foster a culture that produces results through hard work, open communication, collaboration, and creative solutions, all while upholding the highest ethical standards.

Through its professionals' collective experience, Roswell Brinkman strives to develop proven, methodical, deal sourcing, execution and operating models. The firm's strategy is unique and makes us the ideal partners for both portfolio companies and limited partners.

The firm invests in both equity and debt in order to create the right capital structure for the company to be successful over the long term.

EXCEL IN COMPLEX SITUATIONS

Roswell Brinkman excels in complex situations, including family-owned businesses, corporate carve-outs and distressed transactions, in which speed and certainty to close may be a priority. The firm's professionals have considerable experience structuring, financing and closing middle-market transactions in unique circumstances, including bankruptcy processes, restarts, take-privates and lift-outs. is Roswell Brinkman often considered the 'buyer-of-choice' by management teams, owners, financial intermediaries, and capital sources on behalf of its most enlighten customers.

AVOID EXCESSIVE RISK TAKING

Roswell Brinkman strives to create value in investments through developing and implementing a shared strategic vision of how to maximize business potential. In doing so, the firm builds value by utilizing time-tested operational best practices and prudent growth capital deployment, without relying on excessive amounts of leverage or unnecessary risk.

WHAT THEY'RE SAYING

"The leadership team at Roswell Brinkman served as a critical resource and strategic advisor for acquisition targets in responding to changing economic conditions. The team's business knowledge and industry experience allowed us to quickly identify actionable growth opportunities and address key operational challenges utilizing creative solutions."

Roswell Brinkman acquires businesses with strong strategic viability that are at an inflection point, where the combination of capital, operational support, and additional resources serves as a value‐enhancing catalyst.

Roswell Brinkman is industry-agnostic and situation specific, with substantive experience and relationships across a number of sectors. Our professionals have successfully deployed equity capital across a diverse set of manufacturing, distribution and value-add service vertical.

BUSINESS FEATURES

$40 million to $1 billion of revenues
Invest $10 to $150 million of equity and/or debt per platform
North American headquartered (overseas operations acceptable)
Leading, defensible market position with sustainable competitiveness
Differentiated and diversified products or services
At or near an inflection point in business life cycle

INVESTMENT PROFILE

Transition planning for private or family businesses
Under-resourced or in need of additional capital
Corporate carve-outs or orphaned divisions
Complex and special situations in out-of-favor, but protected niches
Take private of undersized public companies
Under performing or operationally challenged businesses

INDUSTRY FOCUS

Aerospace & Defense
Automotive
Building Products
Business Services
Chemicals
Construction & Infrastructure
Consumer Goods
Energy Services
Food & Beverage
Healthcare
Plastics & Packaging
Transportation & Logistics

As asset managers, we collaboratively partner with exceptional management teams of strategically viable middle-market companies to drive transformational upside through operational improvement and selective market sector equity picks from rotating relative values verses risk.

BACKGROUND

Roswell Brinkman & Partners with talented management teams to identify transformational opportunities and deploy best business practices. Since 2005, Roswell Brinkman team members have successfully sourced, executed and managed more than 70 transactions in large block distributions, underwritings, acquisitions and mergers across a range of industries, representing over 200 million in aggregate revenue. We currently manage over $2 billion in capital and invest in both equity and debt in order to create a bespoke, tailored capital solution for the company and our clients.

The firm's proven track record is the result of our value creation approach to partnership, extensive network of operators, and strong relationships with financial intermediaries and capital sources.

COHESIVE AND MULTIFACETED TEAM

The firm's leadership team has worked extensively together during the past ten years at both Roswell Brinkman and client firms. Roswell Brinkman has assembled a team with multifaceted skills in principal investing, operational improvement, investment banking, strategic consulting, restructuring, general management and corporate finance as well as proprietary trading and market making. It is this diverse collection of knowledge and experience in both finance and operations that positions the firm to serve as a valuable strategic resource for the management teams and companies that we support.

WHY PARTNER WITH Roswell Brinkman CAPITAL MARKETS?

The cornerstone of Roswell Brinkman philosophy is to develop collaborative partnerships with management teams to drive value and tackle challenges. The firm takes a long term perspective to investing, as we understand great businesses are not built overnight and value is created over multiple economic cycles. We recognize every situation is unique and look to find the optimal strategy to enhance and transform businesses. Our rigorous approach and flexibility allow us to move quickly and take advantage of developing opportunities.

Mission: Providing a framework to improve your investing PROCESS, while providing newsworthy information about trends in the investing world.

Roswell Brinkman is a highly regarded, non-partisan site with a focus on hedge funds, large asset managers, and value investing. We have provided beneficial information for the purpose of value investing for value investors. The site contains archives of famous investors, and many investor resource pages.

Many academics claim investing is a “random walk”. We believe this to be only partially true. It is our core belief that value investing can outperform the market.

Roswell Brinkman is well known throughout the value investing community to be a key source for both current and continuously relevant content. It is read on a daily basis by senior level executives at the largest banks, hedge funds, asset managers and Fortune 500 companies. The site has gained in popularity around the investment world due to its breaking stories regarding hedge funds, and investigative reports on investments by major funds- stories regarding performance, personnel changes, and any significant events for our institutional customers.

Roswell Brinkman is considered an authoritative financial news source especially in the asset management industry, and is frequently cited as a source in industry research. The site has also broken major economic and business news.

TRADING TECHNOLOGY

Roswell Brinkman’s POWERFUL TECHNOLOGY & INNOVATIVE TRADING TOOLS or technology is second to none.

Real-time streaming watch lists to monitor your strategies, positions and outcomes. You can also build portfolio lists with streaming data, custom views and the ability to store lot-level costs. This powerful technology helps you make informed investment decisions and react more quickly to market events. Roswell Brinkman is known for innovation. The Roswell Brinkman online trading platforms make it easy to buy or sell stocks and options from whichever sort of computer or touch-screen device you choose to use. Roswell Brinkman makes it easy and inexpensive to invest money online. Whether you choose to use only one trading platform that we offer or several, we strive to offer the best online trading platforms in the Industry.

Roswell Brinkman Connects Insights and thought leadership connecting markets east and west.

We’re always looking for opportunities born out of connected ideas. Whether they are found in emerging markets or empowered by new technologies, focused on Japan, sharpened by digitization or dedicated to managing volatility (VIX).

Roswell Brinkman connects these influences, in fresh and surprising ways, and combines them with the latest thinking in a single place for the benefit of every client / to help our clients maintain their business advantage.

Who we are

Roswell Brinkman is an Asia-headquartered financial services group with an integrated global network needs of individuals, institutions, corporates and governments through its four business divisions: Proprietary Trading, Asset Management, Wholesale (Global Markets and Investment Banking), and Merchant Banking. Founded in 2005, the firm is built on a tradition of disciplined entrepreneurship, serving clients with creative solutions and considered thought leadership.

What we do

At Roswell Brinkman, we connect a diverse range of clients globally, including financial institutions, corporate organizations, institutional investors, financial sponsors and governments. We offer them with the latest investment banking and advisory services, trading of global securities and access to our extensive research and insight capabilities.

Global Markets

Roswell Brinkman’s integrated, cross-asset platform includes global in-depth research, sales and trading in equities, currencies, rates and credit in cash and derivative products.

Investment Banking

We offer a comprehensive range of advisory, underwriting, capital-raising and risk management solutions as well as mergers and accusations, tailored to each and every client.

Roswell Brinkman investors in Japan through a broad range of channels including securities companies, banks, post offices and insurance companies. We also offer investment advisory services to a broad spectrum of institutional investors worldwide including pension funds, government organizations, central banks, commercial banks and insurance companies.

In addition to our traditional strength in Japanese and Asian equities, we offer alternative investment and other differentiated products, such as global high-yield bonds, absolute return funds, smart beta indexes and exchange traded funds (ETFs), M&A arbitrage and AI, Robotics and Litigation Funding.

Our aim is to deliver consistent outperformance for our clients to help them meet their investment objectives.

Governance | Risk Management

Roswell Brinkman implements processes to properly identify the possibility of potential losses arising from various operations and transactions, and seeks to establish a framework for assessing all risks and enforcing appropriate controls.

Fundamental Approach

The business activities of Roswell Brinkman are exposed to various risks such as market risk*1, credit risk*2, operational risk*3, model risk*4, and other risks caused by external factors.

We are working to further upgrade and strengthen our risk management systems, and we position the appropriate management of these risks as a management issue with the highest priority. Roswell Brinkman has prepared its Risk Appetite Statement. This statement sets forth the content of risks that the Group can undertake, and it takes account of the Group's business strategy and business targets, including the amount of capital and liquidity required under regulations, and the business environment.

Risk culture

Fostering a sound risk culture is essential for our company and institutional clients to maintain social credibility and sustain its business activities. At Roswell Brinkman, all employees, irrespective of their function or geographic location, must understand their specific responsibilities related to risk management, and actively work to manage risks. We aim to embed this risk culture throughout the firm through various training courses, a as well as company rules and regulations.

Risk Management Systems

The Risk Appetite Statement is proposed by the Chief Risk Officer (CRO) and the Chief Financial Officer (CFO), and submitted for final approval to the Executive Management Board. The statement covers all types of risk that the Group is exposed to, including capital adequacy and balance sheet measures, liquidity risk, market and credit risk, operational risk, and model risk.

With a basic policy of controlling risks that arise in the course of operations within the limits of the Group's risk appetite, the Executive Management Board or the Group Integrated Risk Management Committee, which has been delegated responsibility by the Executive Management Board, is responsible for deliberating and determining important matters pertaining to risk management.

Risk Management Structure

Market risk: Risk of losses arising from fluctuations in values of financial assets and debt due to fluctuations in interest rates, foreign exchange rates, and securities prices
Credit risk: Risk of losses arising from the decrease of asset values (including off-balance sheet items) due to deterioration in creditworthiness or default of an obligor or counter party
Operational risk: Risk of losses arising from inadequate or failed internal processes, people, and systems or from external events.
Model risk: Risk of losses arising from errors in the model or from illicit or inappropriate use of the model.
Integrated Risk Management: A Committee that is chaired by the Group CEO and comprised of Vice Chairman, Deputy President, the Group Co-COO, business division CEOs, the Chief Risk Officer, the Chief Financial Officer, the Chief Legal Officer, a Co-CRO, and other members appointed by the chairman.

Financial Soundness and Transparency

Roswell Brinkman is always working to further enhance and strengthen risk management systems from a full range of perspectives. To give a specific example, in addition to the credit risk management methods applied thus far to counter parties in derivative transactions, Roswell Brinkman has introduced a "single name limit" approach that sets an overall limit on risks arising from issuers of bonds, equities, and other securities as well as on counter parties, while also identifying groups of bond issuers from a comprehensive perspective. In addition, Roswell Brinkman is also structuring a system to identify and manage so-called "wrong way risk" which arises when there is a strong correlation between deterioration in the creditworthiness of a counter party and the size of credit extended to that party.

Creating Synergies between Retail and Wholesale.

In the financial services industry, underwriting and other Wholesale businesses can generally be considered upstream while sales and distribution is downstream. Having worked in both Retail and Wholesale at Roswell Brinkman, we can say confidently that we have a holistic approach, adding to our strength. Issuers are well aware of our distribution capabilities and, by delivering on the trust they place in us, we have been able to forge close business partnerships with over 60 percent of companies listed.

We also have broad coverage of financial institutions and other institutional investors across the globe which allows us to provide liquidity to a wide range of clients, giving us a competitive edge in our Global Markets business. That is why our Wholesale and Retail businesses have never been separated and operate in unison, deriving synergies from each other.

Corporate clients highly rate our ability to make compelling proposals as well as our extensive distribution capabilities. Retail clients recognize our consulting expertise and diverse product offering. These are the reasons they choose Roswell Brinkman Partners.

Growing with Asia as Asia's global investment bank

We believe that our successful Retail-Wholesale two pronged business model in South East Asia can be exported to some other regions internationally. We recognize that it will be challenging to build a Retail brand from scratch in Europe or the US where there are multiple high-profile brands with long histories. But in Asia including Japan, the region we consider our home, we have an advantage and we believe we can build a credible business.

Thailand is about to enter that Retail-Wholesale phase and has 500 financial advisers who provide consulting services to their clients.

In China, we have set up a joint venture with a local financial firm in the Shanghai Free Trade Zone as part of our efforts to steadily build out our business platform there.

The Wholesale Business in Asia, and investment banking in particular, is known for its low fees and fierce competition. So by establishing a robust Retail business and setting up a strong distribution network across the region, we believe we can avoid people's lifestyles and behavior are expected to change significantly as the population declines and ages and as a result of technological innovation. With people now living into their nineties, it is essential that personal financial assets are managed from a long-term perspective so that they live a fulfilling life in old age.

For asset builders, it is critical to proactively use latest technologies such as artificial intelligence and big data. To this end, Roswell Brinkman offers goal-based Robo-advisory services and asset management unnecessary competition. Having a two pronged business model in Asia that connects Asia including Japan to Europe and the US will be our true competitive advantage which peers may find hard to replicate. That is the essence of Connecting Markets East & West.

We have set up a dedicated department in the firm to guide our use of the latest technologies and to drive open innovation by teaming up with start-ups.

At Roswell Brinkman & Partners we seek out underwriting opportunities in Pre-IPO and IPOs for our valued private equity and institutional customers.

Contact Us for our latest ideas in these regards