Monticello Capital

Investment Banking
Private Investment
Corporate Advisory Services

Investment Banking

Monticello Capital is a premium, private, fee-for-service investment banking firm with extensive experience in corporate finance, financial structures, mergers and acquisitions, enterprise business development, and the commercial application of advanced technologies.

Investment banking is the central service practice of the firm. The investment banking practice supports Monticello Capital's investments and directly affiliated entities, and develops the transactional groundwork for the corporate advisory services that the firm provides to high-growth corporations.

The firm’s principals all participate in the investment banking practices and advise corporate executives and boards of directors.

Our Investment Banking services include:
Corporate Finance International
Mergers & Acquisitions Restoration of Corporate Integrity
Raising Capital Corporate Board Advisory Services
Joint Ventures Corporate Finance of Not-for-Profits

Corporate Finance

Monticello Capital is a private investment banking firm whose corporate finance clients range from start-up entrepreneurial ventures to Fortune Global 500 companies.

Since the firm’s inception during the technology boom in northern Virginia during the mid-1990s, Monticello Capital has offered premium investment banking services in an atmosphere of strictest confidentiality and unimpeachable integrity.

Each client of Monticello Capital is a company with which the investment bank has or begins a long-term relationship.

Among the corporate financial advisory services that form this core business are:

  • Financial structures
  • Debt and equity issues
  • Business planning
  • Capital strategies
  • Market entry
  • Productivity enhancement
  • Acquisition growth
  • Divestiture
  • Capital asset management
  • Economic analysis
  • Valuation
  • Cost control
  • Internal assessments
  • Offering preparation
  • Financial research 

Mergers & Acquisitions

An active mergers and acquisitions (M&A) transactions practice is the cornerstone of Monticello Capital's financial services business. Monticello Capital is a fee-for-service M&A advisor.

Each transaction advised by Monticello Capital has both a technology component and high-growth potential, where risk and reward are carefully managed in closest communication with the client company’s executive management and corporate board.

Monticello Capital is one of the very few firms of its size and prestige in the United States active on both the “buy side” and the “sell side” of M&A advisory work.  Conflicts of interest and the appearance of conflicts of interest are carefully vetted before any client is signed for an M&A transaction.

These M&A services are available from the firm:
  • Corporate mergers
  • Growth through acquisition
  • Acquisition of US companies by international buyers
  • Divestiture of subsidiaries and divisions 
  • Leveraged buyouts
  • Management buyouts
  • Takeover defense
  • Post-merger corporate finance 

Raising Capital

Capital foundation -- raising funding for a business’s working capital -- is a primary activity of all investment banks including Monticello Capital.

The firm is experienced in both debt and equity capital raises for private transactions.

In public transactions Monticello Capital acts only as a corporate advisor and will refer and introduce clients to investment banking firms that access the public capital markets.

For any capital raise a detailed client acceptance process is required.  The prospects of a company are assessed, capital structures are examined, a preliminary valuation is made, and the firm’s overall performance is assessed.  Technology and intellectual property issues are carefully considered.  Salaries and equity distribution are benchmarked.

Monticello Capital will raise capital for companies in most phases of their business growth, including start-ups.

Capital raises are engaged only on a best-efforts basis and require a retainer.

Joint Ventures

Monticello Capital is a “network” financier bridging what may be the widest gap in American business -- between the lean, small enterprise firms seeking high growth with expansion and the giants of the technology industry seeking partners that are performance- and integrity-vetted by a quality investment bank.

When engaged by an enterprise partner client and following a rigorous pre-qualifying inquiry, Monticello Capital positions and markets the client firm for maximum gain and the rapid expansion often necessary for new markets and alliances.

The selection of the most appropriate joint venture partner is a very cooperative and iterative process, based on factors that Monticello Capital identifies within the client firm and the investment bank’s own wide network of clients and associations.

When engaged by the larger partner, a systematic search begins, analogous to the way that Monticello Capital seeks acquisition targets -- with discretion, sharp focus on real market needs and cost control, and a unique insight into the two parties’ corporate cultures.


Beginning in the 1990s, Monticello Capital concentrated its business development and client services in the American advanced technology sector, broadly defined.  Because of enormous global financial interest in that sector growing concurrent with the investment bank’s expansion, Monticello Capital built significant commercial relationships outside the United States.

Beginning in 2002, the firm greatly expanded its international business operations.  Among the investment banking services that Monticello Capital offers its US and international clients are:
  • US corporate acquisitions by foreign corporations
  • Foreign corporate acquisitions by US corporations
  • US-EU transaction management
  • Due diligence of non-US commercial entities
  • Research and investigation for foreign corporations
  • Global technology integration and joint ventures 
  • International business development
  • European commercial banking transactions
  • Middle East mergers and acquisitions
  • US business integration of foreign corporations
  • US regulatory agency advisory services
  • International marketing of advanced technology
Few American investment banks have as comprehensive a base of international investment banking and commercial experience as Monticello Capital.  Each of the principals of the firm has lived and worked overseas, most significantly in Europe and the Middle East.  Monticello Capital bankers have also participated in the economic reconstruction and transformation of governmental institutions in Eastern Europe and the former Soviet Union.

Restoration of Corporate Integrity

The restoration of corporate integrity is an investment banking service involving exceptional discretion, where Monticello Capital serves certain carefully vetted corporate clients.

This engagement requires a direct reporting relationship to corporate directors or executive fiduciaries of firms that face ethical or reorganization-related financial challenges of the most significant kind.

When severe breaches of corporate integrity or ethics occur, corporations first look for their available options and often receive conflicting advice.  Personal motivations of executives and directors frequently conflict directly with fiduciary responsibilities.  Corporate lawyers who are incredibly skilled in law and risk management in many cases have never themselves had line profit-and-loss responsibility.  Clear commercial perspective and intimate knowledge of technical finance are crucial.  Timing of decisions is critical.

Monticello Capital provides advice not from the usual perspective of legal or public defenses, but from the hard business vantage of operational and finance experience.

The fundamental objectives in these engagements are determining what is right and just regardless of where responsibility may ultimately settle.

These are among the most difficult engagements for the firm and its clients. Their positive results are also among the most rewarding.

Corporate Board Advisory Services

Corporate directors, especially outside directors of NASDAQ-listed publicly-traded corporations, have more oversight responsibility and fiduciary duty today than ever before in American business history.

Directors have a real need for solid, reliable, straightforward advice -- especially when the motivations of boards, line executives, shareholders, and stakeholders conflict in a stressful environment of decision making in conditions of uncertainty.

Boards need competent advice concerning organization and operations.  The most effective corporate oversight comes from high performing and ethically centered boards.  Monticello Capital assists in creating this culture.

Among the corporate board advisory services provided by Monticello Capital are the following:
  • Board foundation and restructuring
  • Conflict resolution
  • Financial decision-making pathways
  • Long range planning
  • Locating and placing new directors
  • Chairman’s financial advisory services
  • Audit committee operations
  • Compensation committee advisory services
  • Selection of underwriting investment banks
  • Debt and equity restructuring
  • Options and warrants as directors’ compensation
  • Directors’ performance objective assessment
  • Advising the removal of directors
  • Board functional assessment
  • Board-level internal investigations
  • Corporate governance development
  • Board-level management of dissident directors 
Monticello Capital will provide advice concerning board best practices in financial matters relevant to compliance with the Sarbanes-Oxley Act of 2002 and the financial regulatory reforms of 2010 -- but only in conjunction with the client firm's legal counsel.

Corporate Finance of Not-for-Profits

The financial structures of certain not-for-profit enterprises closely parallel those of for-profit firms. Two trends are at work here:
    • Not-for-profit finance is becoming much more complex and sophisticated; and
    • Effective structure and oversight are increasingly being demanded by the not-for-profits’ financial contributors.
      Monticello Capital is among the few investment banks which - under certain circumstances and for certain clients -- will enter these engagements.

      Corporate financial advisory services for not-for-profit enterprises are generally undertaken by Monticello Capital at reduced investment banking fees, but not on a pro bono basis.

      Each of the principals of Monticello Capital has served in significant positions of responsibility in the public sector or in the leadership and governance of American not-for-profit institutions.