EVENT DETAILS

LAVA Breakfast Meeting
Private Equity

Tuesday October 13, 2009
7:00am - 9:00am

Skirball Cultural Center, 2701 N Sepulveda Blvd, Los Angeles, CA 90049 (map)

Generously Sponsored by:

Meet panelists from some of Los Angeles' leading Private Equity firms and find out how the economy has impacted the Private Equity business.

Program Chair

• Klaus E. Koch, General Partner, Vicente Capital Partners
  

Moderators

• Bob Pearlman, Assurance Partner, BDO Seidman, LLP 
•  Thomas M. Cleary, Partner - Los Angeles, Sonnenschein

Current Confirmed Panelists

• Jay Ferguson, Managing Partner, Vicente Capital Partners
• Stephen Mullennix, Managing Director, US Renewables Group
• Alisa Frederick, Managing Director, Caltius Mezzanine 
• David Browne, Partner, Marwit Capital
• Luis Zaldivar, Partner, Palladium Equity Partners

Program Chair Profile

Moderator Profiles

	Bob Pearlman Assurance Partner BDO Seidman, LLP    Having more than 29 years of experience, Bob has provided his expertise to a variety of closely held and publicly held growth businesses in strategic planning, business consulting, auditing, SEC reporting, and accounting services. Bob’s previous experience includes eight years with Arthur Andersen & Co., including several years as part of the firm’s technology industry team; two years as CFO of a closely held distribution company; six years as managing partner of Pearlman and Markle; and six years with Grant Thornton LLP as a partner, Technology Industry Practice Leader and Manufacturing Industry Practice Leader for Southern California.
	Thomas M. Cleary Partner - Los Angeles Sonnenschein    Mr. Cleary is a Partner and a member of Sonnenschein’s Corporate Practice Group, resident in the Los Angeles office. Mr. Cleary has substantial experience in mergers, acquisitions and divestitures, and in public and private offerings of equity and debtsecurities, and represents a number of well-known buyout, venture capitaland other private equity financing sources. Tom also has acted as outside corporate and securities counsel to several public and private issuers, including an array of high technology, e-commerce, food service, and consumer products companies, toy manufacturers, and clothing retailers. Mr. Cleary currently serves as a Director and the Secretary of the Los Angeles Chapter of the Association for Corporate Growth, the premier global organization for professionals involved in corporate growth, corporate development, and mergers and acquisitions.

Panelist Profiles

	Jay Ferguson Managing Partner Vicente Capital Partners   Jay Ferguson is a Managing Partner of Vicente Capital Partners. Previously, he joined Kline Hawkes & Co. at inception and is currently a member of the investment committees for Kline Hawkes California, L.P. and Kline Hawkes Pacific, L.P. Jay previously worked in the investment banking industry for both Merrill Lynch & Co. and Smith Barney Inc.  While at Merrill Lynch, he was a member of the Energy and Natural Resources Group and the General Corporate Finance Group.  From 1989 to 1994, he worked on over 30 public and private transactions for numerous emerging growth and middle market companies, raising in excess of $4 billion. Selected current and past board seats and board observer positions include: Advanced Products Corporation, MicroNet Technologies, Evant, Overture Services (formerly GoTo.com), CampusLink Communications, TranSoft Networks, UFO Communications and Via Medical. He is a member of the Governing Board of the Robert Toigo Foundation and a board member of California ALL.  Additionally, Jay is a member of the Board of Trustees for The Wildwood School and a board member of the Los Angeles Urban League.  In 1998, he received the Robert A. Toigo Foundation’s Outstanding Alumnus of the Year award.  In June 2006, he was named to Black MBA Magazine’s list of “Top 50 Under 50” Corporate Executives for 2006. Jay is a past-president of the UCLA Anderson School’s Alumni Association, a former member of the Board of Visitors at the Anderson School and was the recipient of the 2006 UCLA Anderson Outstanding Alumni Service Award.  He is a former member of the Steering Committee for the Cedars-Sinai Sports Spectacular, and served on the Board of Governors for NASBIC from 1999-2001. Jay Ferguson received a B.B.A in Finance from Southern Methodist University and an MBA from the UCLA Anderson School of Management.  At the Anderson School, he was named a Toigo Fellow and a Venture Capital Fellow.  He also interned with Warburg, Pincus & Co.
	Stephen Mullennix Managing Director US Renewables Group     Mr. Mullennix is a Managing Director based in Los Angeles.  Mr. Mullennix is actively involved in transaction sourcing, analysis, due diligence and acquisition, and is also involved in the asset management of USRG’s portfolio projects.  Prior to joining USRG, Mr. Mullennix was Director of Strategic Planning at AECOM Technology Corporation (“AECOM”), the fourth largest engineering and design firm in the U.S., with international operations and revenues of $2 billion.  Mr. Mullennix directed M&A and corporate finance initiatives including raising private equity funds and managing an IPO process.  Prior to AECOM, he was a co-founder and VP of Operations at Ennix Incorporated, a biotechnology firm specializing in systems for municipal wastewater treatment.   Mr. Mullennix is active in the management of SolarReserve, Inc. and Thermal Energy Development Partnership, LP, and in Penrose Landfill Gas Conversion, LLC and Toyon Landfill Gas Conversion, LLC prior to their disposition.  Mr. Mullennix has an MBA from the Anderson School at UCLA where he graduated with honors, and an AB in Economic Geography from Dartmouth College where he graduated summa cum laude and Phi Beta Kappa.
	Alisa Frederick Managing Director Caltius Mezzanine   Alisa joined Caltius Mezzanine in 2000. Previously, she was a Senior Vice President and Portfolio Manager at Fleet Capital Corporation, where she served on the Fleet Capital Credit Committee and was responsible for managing a portfolio of over $500 million. Prior to Fleet, she served as Assistant Vice President and Senior Underwriter at Chemical Bank. Alisa received her B.A., cum laude, from Wellesley College.
	David Browne Partner Marwit Capital   David Browne is a Partner of Marwit Capital, a Southern California based lower middle market private equity buyout firm with a Western U.S. geographical focus.  David joined Marwit Capital as a Principal in 2005 and is responsible for originating, structuring, managing and harvesting Marwit investments.  David was named a Partner at Marwit in 2009.
	Luis Zaldivar Partner Palladium Equity Partners   Luis Zaldivar is a principal at Palladium Equity Partners.  He is based in Los Angeles where he heads the firm’s investing efforts in California as well as the firm’s food and restaurant investments.  Mr. Zaldivar is a board member of Taco Bueno Restaurants and Castro Cheese where he works closely with the management teams to increase value.   Mr. Zaldivar is a former vice president of corporate development and strategic investments at Univision. Prior to Univision, he worked for Lehman Brothers as an associate in the mergers and acquisitions group and for Accenture’s strategic services consulting practice as a senior consultant.  Mr. Zaldivar has a B.S. in Finance from New York University’s Stern School of Business and an M.B.A. from Harvard Business School.

Event Pricing 

Cancellation Policy

• Breakfast/Event cancellations must be received and confirmed by NOON the day before the breakfast/event to receive a refund. Email info@lava.org to submit a cancellation. Your cancellation is not effective until LAVA Member Services responds to confirm.
• No-shows and late cancellations will be charged the full breakfast/event price
• Late registrations (after the online pre-reg cutoff) are non-refundable

Payment Policy

Registrations must be made online via Credit Card - Visa, MasterCard and American Express cards are welcomed. In special circumstances, checks will be accepted before the event at the discretion of LAVA Member Services. Any checks not received in time will require credit card payment onsite.

Sponsor Profiles

UGL Equis is a leader in providing integrated real estate services, aligning real estate to business strategies and delivering uncompromising client representation to the users and occupiers of commercial space. Backed by the global resources of United Group Limited of Sydney, Australia, UGL Equis provides conflict-free advisory, management and implementation services supported by innovative thought, global perspective and business insight. We have the means and know-how to transform real estate operations into a distinct competitive advantage. 

 

UGL Equis provides comprehensive real estate solutions through: Transaction Advisory; Portfolio Management; Project Services; Data Management; Facility Management; Strategic Advisory; Workplace Integration; Corporate Finance; Audit & Recovery; Site Selection Advisory; Technology Consulting; International Service Center.

 

UGL Equis professionals are available to help clients achieve efficiency, economy and productivity in their business model. www.ugl-equis.com

 

Bridge Bank is the professional full-service business bank of choice for technology companies from inception through IPO.  Since inception, Bridge Bank has grown to more than eight hundred million dollars of total assets and the company’s capital base is among the strongest of all commercial banks in the Nation.  Their unique brand of business banking combines veteran top-tier bankers, a comprehensive menu of superior product and service offerings, and state-of-the-art banking and cash management technology to deliver superior financial solutions to its clients nationwide.  Bridge Bank invites you to visit them on the Web at www.bridgebank.com

 

About Sonnenschein

 

With 800 lawyers and other professionals in 13 offices in the U.S. and Europe, and a global reach throughout the Americas, Asia, Africa and the Middle East, Sonnenschein serves the legal and public interest needs of many of the world's best-known and most admired businesses, nonprofits and individuals.  Founded in 1906, Sonnenschein is a leader in innovative legal services, serving our clients through integrated, inter-office cooperation and teamwork among practice groups to provide efficient, effective and timely legal services and business counseling.

 

Attorneys in Sonnenschein’s Private Equity & Buyouts Practice have extensive experience counseling private equity funds in all aspects of their formation, transactional and compliance needs.  In a rapidly evolving regulatory environment, we provide our clients with comprehensive solutions that maximize available business, tax and strategic efficiencies and opportunities.  Sonnenschein’s private equity attorneys have been recognized by Chambers USA: America’s Leading Business Lawyers for providing results-driven, pragmatic guidance. www.sonnenschein.com

 

BDO Seidman provides assurance, tax, financial advisory and consulting services to a wide range of publicly traded and privately held companies. We offer a sophisticated array of services and the global capabilities of the world’s fifth largest accounting and consulting network, combined with the personal attention of experienced professionals. 

 

Dedicated to quality service for close to 100 years. . . People who know, know BDO. www.bdo.com

 

About Loeb & Loeb

 

At Loeb & Loeb, we offer our clients practical and business-focused solutions. We bring together a comprehensive knowledge of the private equity business and clear legal advice. Since we have experience in every aspect of a private equity deal, we are able to provide our clients unique and sophisticated services. In the current competitive market, Loeb & Loeb assists clients in forming and managing a wide variety of private equity funds, including middle-market equity sponsor groups, mezzanine funds, venture capital funds, hedge funds, funds of funds, real estate opportunity funds, film funds and other forms of pooled investment vehicles. We are a mutli-service law firm, nationally recognized as a leader in several industries, particularly the financial-services industry where we work with commercial banks, investment banks, insurers, finance companies and private equity funds. With nearly 300 attorneys, Loeb & Loeb has four domestic offices located in Los Angeles, New York, Chicago and Nashville, and has applied to open a representative office in Beijing. For more information, please visit www.loeb.com.

 

Stubbs Alderton & Markiles, LLP is a corporate, securities and technology law firm that combines technical excellence with a responsive, service-oriented and entrepreneurial attitude that is the hallmark of our Firm.

 

We are a strategic partner to our clients and have broad and extensive experience representing companies from start-up through liquidity in complex private and public transactions. We assess our clients’ business needs and develop innovative legal strategies to help them achieve their goals, directly undertaking those matters for which we have substantial expertise, and identifying and managing the most appropriate legal resources to handle specialty areas outside of our core disciplines. www.biztechlaw.com

 

About CBIZ Accounting, Tax & Advisory Services, LLC and Mayer Hoffman McCann P.C.

 

CBIZ Accounting, Tax & Advisory Services, LLC (CBIZ) is one of the largest providers of professional business services in the United States. CBIZ provides a full range of professional services to growing public and private companies, including: accounting, tax, valuation, M&A, internal audit services, and SOX compliance among other services. These services are provided throughout a network of more than 160 offices in 34 states and the District of Columbia.

 

Mayer Hoffman McCann P.C. (MHM) provides attestation services by working through a close association with CBIZ. MHM is a national CPA firm, with more than 30 offices in key financial centers across the country. MHM was founded 50 years ago and has been helping emerging companies grow since its inception.

 

MHM specializes in providing high quality attest services, including auditing services for SEC registrants, companies considering going public and privately held companies with an emphasis on companies in the middle market. With a strong national presence and international capabilities through its international association, MHM provides clients with stability and access to extensive resources - all with first-rate responsiveness and personal attention.

 

MHM P.C.'s comprehensive range of services includes audits, reviews, compilations, projections, forecasts, litigation support, and agreed upon procedures. Together, CBIZ and MHM P.C. combined rank as one of the top ten accounting providers in the United States. www.mhm-pc.com

 

Toronto Stock Exchange... An exchange of opportunity

 

Toronto Stock Exchange is the right choice for issuers with solid track records of business management. Known for our high standards of transparency and fairness, and our innovative approaches to trading, TSX offers our approximately 1,500 senior issuers a dynamic market to raise capital. TSX issuers raised $46 billion in 2005, the third highest value of financings among members of the World Federation of Exchanges.

 

TSX is the global leader for listing mining and oil and gas companies operating around the world. Issuers list a number of different types of securities on TSX, including conventional securities and innovative equity-related products such as exchange-traded funds, income trusts and investment funds.

 

TSX provides opportunities to access public equity capital efficiently, liquidity for existing investors and the prestige and market exposure associated with Canada's senior exchange. www.tsx.com

 

SVB Financial Group provides diversified financial services to emerging growth and mature companies in the technology, life science, private equity and premium wine markets. Through its focus on specialized markets and extensive knowledge of the people and business issues driving them, SVB Financial Group provides a level of service and partnership that measurably impacts its clients' success.

 

Headquartered in Santa Clara, Calif., the company offers its clients commercial, investment, merchant and private banking, as well as value-added services using its knowledge and networks. Merger, acquisition, private placement and corporate partnering services are provided through the company's investment banking subsidiary, SVB Alliant. Founded in 1983, SVB Financial Group serves nearly 11,000 clients around the world through 27 domestic offices, three international subsidiaries in the U.K., India and China, and an extensive network of relationships with venture capitalists in Asia, Australia, Europe, India, and Israel. www.svb.com

 

TroyGould is a prominent Century City law firm representing start-up to middle-market companies since 1970. Its corporate and securities group has considerable experience in organizing, structuring and financing early stage companies, as well as reverse mergers, IPOs, SPACs, PIPEs, Form 10 filings, mergers and acquisitions, private placements, tender offers, debt financings, proxy solicitations, exchange listings, equity compensation plans and general corporate matters. The firm also counsels these companies in IP, tax, real estate and employment matters and provides cost-effective litigation services in a variety of areas, including misappropriation of trade secrets, unfair competition, securities and breach of contract. www.troygould.com

 

PricewaterhouseCoopers provides industry-focused assurance, tax and advisory services to build public trust and enhance value for its clients and their stakeholders. More than 140,000 people in 149 countries across our network share their thinking, experience and solutions to develop fresh perspectives and practical advice.

 

PricewaterhouseCoopers is the service provider of choice to venture capital and private equity firms around the world. While we are known for providing specialized tax and assurance services to clients, we also recognize that venture capitalists succeed only when their portfolio succeeds. Consequently, our approach to serving venture capital and private equity clients is oriented around helping portfolio companies turn their visions into reality.

 

In that regard, PricewaterhouseCoopers has helped countless start-up companies develop their business plans, secure financing, execute their strategy, build value and create wealth through IPOs, merger transactions and other liquidity events. www.pwc.com

 

Nixon Peabody LLP is one of the largest multi-practice law firms in the United States, with 17 offices and over 700 attorneys working in 15 major practice areas.  The firm's size, diversity and state-of-the-art technical resources enable us to offer comprehensive legal services to organizations and individuals of all sizes in local, state, national and international matters.

 

Nixon Peabody's Venture Capital, Emerging Growth & Technology practice addresses California's emerging growth and technology marketing in a comprehensive and holistic manner - from the investor's side, as well as the portfolio company's side. We represent emerging growth companies from incorporation through initial public offering or acquisitions, and public companies on corporate and securities needs. We also have a nationally ranked practice representing venture capital funds.

 

Nixon Peabody's services for companies concentrate on corporate counseling, venture capital financing, domestic and international strategic transactions such as licensing and joint ventures, mergers and acquisitions, PIPEs and public offerings, tax, executive compensation and employment law, intellectual property portfolio review and patent prosecution, and intellectual property litigation. Our services for venture capital firms consist of fund formation and management, portfolio company investments, board of directors and executive compensation matters, portfolio review, and intellectual property audits and representation.

 

FORTUNE® magazine named Nixon Peabody as one of the "100 Best Companies to Work For" two years in a row in 2006 and 2007. Our San Francisco office was recognized by the San Francisco Business Times as one of the "Best Place to Work" in 2006. For more information please visit us at www.nixonpeabody.com.