Investment Banking & Strategic Advice

Mergers and acquisitions, corporate finance and strategic advisory services
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Investment Banking & Strategic Advisory Services

We help our clients understand, evaluate and manage risks and opportunities, in order to maximize enterprise value.  We advise on the best way and time to sell or buy a business.

We offer traditional investment banking services, including capital raising, capital structure optimization, mergers and acquisitions, and private equity investments. Our typical clients are privately-owned, family-run mid-sized companies who have carved out a strong competitive niche in Southern California.

Preparing Business Owners for the Eventual Sale of their Business.

We deliver.

Selling a business can be tough. Unfortunately, many business owners wait until they're ready or need to sell, which often leads to a stressful process, minimizing the potential value, or failing in the end to successfully sell.  At PPSA, we understand these challenges very well and have created a service for our clients that helps prepare them and their business for an eventual sale without adding incremental cost to the eventual sale of the business.

We know that proper planning and preparation are essential for a successful sale and why we encourage our clients to start the succession planning process as soon as possible, even if they don't plan to sell for years. Starting early has significant benefits, giving you more time to prepare your business for sale, increase its value, and structure the process for the right type of buyer. With PPSA by your side, you'll have a dedicated team to ensure a successful eventual sale, no matter when the right time comes to sell.

Advisory Services:

  • Valuation and forecasting: Conduct initial corporate valuation and create a 3 to 5-year financial forecast model.
  • Profitability and optimization: Monitor profitability margins, optimize the balance sheet, and monitor possible improvements to capital structure.
  • Planning and preparation: Perform risk analysis, optimize corporate structure and organizational chart, provide estate and tax planning, and maintain a list of potential buyers.
  • Professional services: Assemble a team as needed of professionals, including M&A attorney, tax advisor, Q of E accountant, and wealth manager, to support the sales process.

We often start working with clients early in the process to provide strategic advice on how to best maximize the value of their company and structure to minimize tax consequences.   By looking at customer mix, concentration, expense structures, etc.. we can help companies move towards an optimal structure as they approach an eventual liquidy event.

Raise Capital

(debt and/or equity)

We develop a financial strategy that is customized to achieve your unique funding needs. Once a funding model is in place we tap our broad network of private equity, family offices, venture funds, and high networth individuals to achieve your equity and/or debt raise.

Choosing Debt, Equity, or a Combination for your Capital Needs

There are two types of financing available to a company when it needs to raise capital: equity financing and debt financing.

  • Debt financing involves the borrowing of money whereas equity financing involves selling a portion of equity in the company.
  • The main advantage of equity financing is that there is no obligation to repay the money acquired through it.
  • Equity financing places no additional financial burden on the company, however, the downside can be quite large.
  • The main advantage of debt financing is that a business owner does not give up any control of the business as they do with equity financing.


A company would choose debt financing over equity financing if it prefers to retain full ownership and control of the business. Debt financing involves borrowing funds from lenders or investors with a promise to repay the principal plus interest within a set time frame. This is often a good option for established companies with a proven track record of financial success and predictable cash flows. Additionally, debt financing may offer more flexibility than equity financing as lenders typically do not require a stake in the company and are only interested in receiving their repayment on time. However, taking on too much debt can also be risky, as it can lead to financial instability and potential default if the company is unable to meet its repayment obligations.


A company would choose equity financing over debt financing if it is willing to give up a portion of ownership in exchange for funding. This is often a good option for companies that are still in the early stages and don't have a proven track record of financial success. By offering equity to investors, they are able to raise capital without taking on debt and adding interest payments to their financial obligations. Additionally, investors who purchase equity in the company become stakeholders with a vested interest in the company's success and may provide valuable guidance and expertise to help the company grow.

Not Dilutive

Higher risk of bankruptcy

The process to raise capital generally falls into 3 Stages:


Step 1: Define funding strategy & Terms and Conditions


What deal are you looking for? What are you hoping to walk away with? What percentage of your business are you willing to part with in return for capital? Are you looking for mentorship or purely funds? The first step in the capital raise process is deciding exactly what success looks like for you.

If you have a clear plan in mind for the funds you want to secure, you’re more likely to secure investment, plus execution then becomes as easy as simply following your plan.

Step 2: Prepare business detail

Your business cannot exist in your head when you present to investors. Now is the time to research, document and project your numbers (users/customers, revenue, expenditure etc).

Investors will want to know about the market potential, your business model, your marketing strategy, budgets and so much more. Make sure you have this information at your fingertips.

Step 3: Find investors

Identify investors active in the companies space and leverage our network to gain warm introductions. 

Step 4: Create pitch presentation

We want to create and tell a compelling story that investors can’t refuse.


Step 5: Organize meetings


The private capital raising process can be a numbers game in more ways than one. We create interest in taking meetings during the presentation roadshow so that investors can learn more about the opportunity directly from the CEO. 


Step 6: Facilitate the due diligence process

The work isn’t done just because the pitch is over. Once you’ve wowed investors with your presentation, it’s time to follow through with some impressive evidence. Interested investors will want to do due diligence, so having everything already prepared for them in a virtual data room is part of our preperation prior to going to market and a huge plus when it comes to attracting the attention of potential investors.


Step 7: Negotiate partnership agreement


We work with legal teams to draw up the partnership/debt agreement so it works for you, your investor, and the overall business. 

Step 8: Sign and celebrate

Congratulations! Your patience and hard work have paid off - now you can put your plan into action and show the investor/debt holder that your business is the success you know it can be.

For smaller capital needs, Pasadena Private has an in-house private bank that can provide debt financing from $1MM to $10MM to help acquire a competitor, buy out a shareholder, pay a dividend, or capture new business opportunities.

Sell your Company

As a Pasadena Private client, we get to know your business and your financial goals.  We will often build relationships with clients several years before a transaction occurs. As you start to look towards a liquidity event (such as selling your company) we work with you to make sure that your company is well positioned.  This includes giving general advice on capital structure, estate planning and/or taxation, and introducing your business to potential acquirers when you are ready.

Our Process:

Stage 1: Pre-Marketing*

  • Clean up your financials
  • Generate marketing materials
  • Create your buyer/investor list
*Provides as part of Advisory services.
Stage 2: Marketing

  • Make initial contact with buyers
  • Execute NDAs and send CIP to interested buyers
  • Qualify buyers
  • Conduct management presentations
  • Distribute process letters for next steps
  • Receive first-round bids

Stage 3: Diligence

  • Accrue and open a data room
  • Schedule on-site meetings
  • Accept second-round bids
Stage 4: Documentation

  • Finalize third-party diligence under exclusivity
  • Review the proposed purchase agreement
  • Create a funds flow spreadsheet
  • Sign the purchase agreement and initiate wire transfers

Behind the Story

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Pasadena Private was decades in the making, beginning as a vision by the founding partners to create a financial firm, for successful business owners, that could be more creative and more responsive than traditional firms to the unique financial needs of lower-mid cap business owners.

Since the launch of our wealth management firm in May 2018, Pasadena Private has added  supporting lines of business that help our clients grow their businesses and achieve their financial goals.

Pasadena Private Strategic Advisory services was launched in 2022 as a full service investment bank to advise our clients on how best to meet their financial challenges through debt, equity, and M&A services.

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