Phoenix IB is a middle market investment bank, delivering expertise in traditional, special situations, technology, and intellectual property (IP) investment banking engagements.

We provide M&A, capital markets, and advisory services across a broad range of industries, circumstances, and transaction types. We navigate complex engagements with innovative transaction strategies designed to maximize value for our clients.

We provide high touch investment banking services, beginning with cultivating trusted and collaborative relationships with clients to jointly determine the potential and optimal outcomes of a transaction.

We set forth a pragmatic approach that leads to a mutually understood set of goals and our recommendations are informed by a real-time understanding of the current market environment in the client’s industry and capital markets. After determining the proper course of action, we design and implement the best process to execute efficiently and with a sense of urgency.

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Special Situations Transactions

We provide investment banking solutions to middle market companies amid challenging or “special situations” designed to maximize certainty of close, enhance valuation, and provide a credible, objective perspective on our clients’ capital structure and requirements.

Our approach to investment banking services was born from our operationally oriented culture.  Creativity, good judgement, persistence, and technical proficiency are at the core of our approach.  Simplistically offering “bespoke” investment banking solutions without having credible, operational execution capabilities rarely maximizes value. We do not target our engagements by transaction size, type, or sector, rather, we seek out situations where we have a high probability of achieving success through our unique collective expertise.

Our team has decades of experience across thousands of engagements covering nearly all industries. Our investment banking experts often draw on expertise across the platform as senior advisors to various facets of an engagement. Our clients benefit from our team’s diverse backgrounds in consulting, corporate finance, asset management, operations, industry, and entrepreneurship. In fact, most of our team did not follow traditional investment banking paths to arrive in their current roles.  This is deliberate and in keeping with our special situations focus. It is how we have cultivated a culture of doers, and why we are known as expert financial problem-solvers rather than conventional investment bankers.

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What is a “Special Situation” Transaction?

Special situation transactions involve a distinct complexity that must be properly managed and resolved to achieve an optimal outcome. Examples can include combinations of niche or multi-sector businesses, story-driven transactions, tight funding deadlines, enhanced leverage requirements, dual or multi-track fund raising or sale processes, distressed or turnaround situations including Section 363 sale processes, or rapidly unfolding, extraordinary growth scenarios.

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“Special Situations” Require Distinct Expertise

Although there is not one specific feature that creates or defines a “special situation,” there is distinct expertise required to lead clients in successfully navigating special situations, which we have built based on:

Our team has diverse backgrounds in consulting, banking, asset management, operations, and industry. Every senior member of our investment banking team has started and managed a business in the past, which is how we have cultivated a culture of execution over inaction.

Our approach is based on creativity, sound judgment, persistence, and technical proficiency. We are expert problem-solvers that can rapidly assess a situation, develop a holistic solution, and discreetly execute.

Our track record includes thousands of engagements as advisors, directors, interim executives, fiduciaries, diligence/transaction advisors, and investment bankers on behalf of clients of all sizes, in dozens of countries, and in virtually every sector. This gives us unmatched credibility with, and access to, lenders, investors, and strategic buyers, as well as frequent off-market acquisition opportunities.

This unique expertise positions us to identify solutions that others simply miss and to execute those solutions in a manner that more traditional investment banks cannot.

To learn more about the clients we work with please click here.

To see some of the transactions we have completed please click here.

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Intellectual Property Transactions

Ocean Tomo, a part of J.S. Held, provides technology-rich companies with holistic advisory, investment banking, and capital markets advisory services. Our services fill a void in traditional investment banking by blending those functions with our specialized understanding of intellectual property (IP) – an underutilized asset class that requires specific expertise to understand and extract value.

We work with entities to engineer IP-based transactions across the liquidity and risk-return spectra, including privately held businesses contemplating liquidity events, publicly traded companies contemplating divestiture of non-core assets or merger and acquisitions, and financial sponsors interested in IP-driven deal structures. Through our network of institutional investors, hedge funds, and private equity investors, we work with corporations, research institutions, and entrepreneurs large and small to recognize value for IP.

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Expertise in IP-Driven Transactions

Ocean Tomo, a part of J.S. Held, services are built upon decades of experience in the most rigorous venues – state, federal, and international courts. Our financial, market, and technical experts provide a unique understanding of the contributory value of proprietary innovation. Intangible assets comprise 90 percent of business value but are also subject to significant impairment due to enterprise and regulatory compliance risk. We have assisted clients – corporations, law firms, governments, and institutional investors – in realizing Intellectual Capital Equity value broadly defined.

Our track record of results spans more than 150 different industry segments. As our past success provides the best indication of our capabilities, we are proud to serve more than 80% of the AM Law 100® and encourage potential clients to seek references from past clients.

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Intellectual Property Professionals

Our colleagues with Ocean Tomo, a part of J.S. Held have:

• Completed over 1,000 engagements, including over 300 valuation and 500 financial damages expert testimony engagements;
• Consulted and provided expert testimony on some of the highest profile matters in recent decades;
• Successfully closed hundreds of IP sale transactions with a cumulative transaction value in excess of $1 billion; and
• Originated more successful IP monetization solutions than any other firm, including creation of the world’s oldest and most successful live patent auction.