Hartwick Capital is a premier investment banking firm headquartered in the Midwest. Focused on achieving client objectives since 1999, our experience has made us a market leader in providing the highest quality investment banking advisory services for middle market companies across a wide spectrum of industries.

Hartwick Capital provides Merger & Acquisition, Capital Sourcing (debt and equity financing), Recapitalization, Restructuring, Merchant Banking and other financial advisory services to both publicly held as well as privately owned businesses. Our professionals combine the required technical and financial skills to navigate the complex financial structures which characterize today’s capital markets and an unsurpassed creative approach that differs from the standard “boutique” investment banking firm. We differentiate ourselves through our individuality, agility and creativity and bring a personal and committed style to meet our clients’ needs.

Mergers and Acquisitions

Through concentrating on the unique strengths of each client and limiting marketing efforts to a highly focused set of strategic and financial acquirers, Hartwick Capital is able to surpass its client’s expectations while maintaining a strict environment of confidentiality.

Hartwick provides merger and acquisition advisory services to both buyers and sellers of middle market private and public companies in all types of transactions including:

Our professionals have a reputation for successfully initiating, negotiating, structuring, and closing middle market mergers, acquisitions and divestitures. In each and every one of our transactions, our objective is total realization of the client’s goals.

Capital Sourcing

Hartwick Capital’s professionals have substantial experience assisting middle market companies in securing; institutional private equity (common stock, preferred stock, convertible securities), senior and subordinated debt, private company bond placements, as well as term loan, cash flow and asset-based financing facilities.

Hartwick Capital principals assist middle market companies raise capital for a variety of purposes, including:

• Growth
• Acquisitions
• Leveraged buyouts
• Owner liquidity
• Recapitalizations
• ESOPs

Financial Advisory and Restructuring

Hartwick Capital, in conjunction with its sister company, DW Associates, provides financial restructuring advisory services to companies in financial distress including pre-crisis situations, balance sheet restructurings, out-of-court workouts, and Chapter 11 reorganizations. Our expertise covers the complete spectrum of troubled situations and the full array of potential solutions, including:

Our professionals have experience in a variety of financial restructuring assignments for middle market companies.

Merchant Banking

Hartwick Capital will act as principal in select situations. Utilizing both principal funds and those of its network of very high net worth individuals, Hartwick has made equity investments as small as $250,000 and in excess of $75,000,000.

In all of its principal investments, first and foremost Hartwick looks to the strength of the team it is financing or can bring into the situation. In our view, a sound operating strategy and most importantly, its deft execution is the key investment performance criterion. We have developed relationships with a number of capable executives. As warranted we may choose to involve one or more of these executives as a caveat to our investment. We may also employ personnel from our sister company, DW Associates to bolster key positions on an interim basis.

A controlling investment is preferred, but it is not always required. However, if we are a minority owner, we will typically require voting control that may be in excess of our ownership interest until certain performance hurdles are met. We do not have the time constraints of a typical private equity fund and base our investment and harvest decisions solely on the economics of the situation.

Our sector preferences are broad with particular interest in consumer products, non-automotive manufacturing, distribution, and service industries. We do not typically invest in high technology ventures or other enterprises were innovation may outweigh sound business execution.

Hartwick also actively seeks special situation and turnaround opportunities where circumstances have overwhelmed traditional economic valuation. In these situations time is of the essence. Hartwick can move quickly to stabilize and turnaround imminent liquidation scenarios. The goal is to achieve a more attractive outcome for both the current owner and the impaired lender relative to liquidation. This may include purchasing bank notes, asset purchases, spinoffs or other principal transactions to restructure the balance sheet. If a viable underlying business exists, Hartwick can bring capital to bear as warranted very quickly.