Capital Markets

Brockson has extensive experience raising capital. Brockson principals have experience operating their own companies and understand the complexities of fund raising.... And thus your needs! Brockson has built thirty years of winning relationships, mostly through vision or creative problem‐solving to gain optimal resolution, values and success.

We were entrepreneurs before we were bankers. We get it.

Business Advisory

Brockson advises high‐growth companies in technology, manufacturing, services and other unique situations. Many times you are pondering an exit to your business or not sure what is needed to prepare the next step in your growth trajectory. Utilize Brockson Montecito for advice. The BM team of business operators have over two hundred years of experience handling strategies for a business’s growth. BM helps you by providing business consulting services oriented just for you – whether where a business needs direction raising a future capital piece or pondering the make-ready needs for a potential Board transaction in acquisition or disposition, funding, expansion or stressed capital position.

The outcome of any transaction certainly matters; the strategy created before‐hand generates the destination of the business. In fact, your business success is judged by the ultimate outcome of its value. Brockson Montecito’s expertise advice provides you the value you seek, together through vision we provide you ideas, strategies, and views assisting in management.

Mergers & Acquisitions

Brockson is focused on lower middle market companies that are growing. We understand a sale or a merger of all or part of your business. We deliver success though our resources of networks and associations.

Preparation, timing and execution are Brockson’s duties every day for you. Our experience shows negotiation is not a one‐time event.

Negotiation is an attempt to influence or persuade a party to do something, our experience in hundreds of transaction demonstrates the SUCCESS difference is not a mechanical process or even a linear one.

Negotiation as a one‐off event (such as buying a car), where your sole aim is to be on the winning side of the deal (or in the case of the car purchase, to get the best price). In reality, winning and getting the best deal is not always the same thing. The best possible outcome for everyone involved is to win over the long term.

Always make sure that strong relationships are at the center of your negotiations. When you focus on building meaningful relationships, it paves the way for the creative problem‐solving necessary to get to the optimal resolution.



  • Security
  • Manufacturing
  • Aerospace
  • Packaging
  • Chemicals/Plastics
  • Test & Measurement Recycling
  • Defense
  • Nutriceuticals
  • Water Filtration


  • Security
  • Big Data
  • Cloud
  • Software
  • SaaS
  • Mobile Apps
  • Media Telecommunications
  • 5G
  • Ad App


  • Hardware
  • Semiconductors
  • Sensors
  • Telecommunications
  • Material Science
  • MEMs
  • Ad‐applications
  • Internet
  • Nano‐technology
  • Robotics


  • Healthcare
  • Logistics
  • Distribution
  • Outsourcing
  • Staffing
  • Entertainment
  • Construction
  • Promotional
  • Building Services
  • Wine Consulting

Please Choose An Industry

AbTech Industries

Growth Capital

Manufacturer (Water, Filters, Oil Tech) in AZ

Apparel Marketing Industries


Manufacturer (Apparel) in IL

Arcturus Sailing Co.


Software (SaaS) in CA

Arrow Electronics

Acquisition & Growth Capital

Manufacturer (Electronics) in NY

Arrow Packaging


Manufacturer (Packaging Biodegradable) in NY

Auto Safety House

Growth Capital

Distributor (Automotive, School Bus) in AZ

Avalon Marketing

Growth Capital

Manufacturer (Consumer, Toys) in IL

Black Diamond Technologies, Inc.


Manufacturer (Defense) in AZ

Brown Jewelers, Inc.

Acquisition & Growth Capital

Wholesale (Consumer) in CA

CEI Acquisition Group


Manufacturer (Aerospace) in AZ

Central States Bus

Growth Capital

School Bus Distributor (Automotive, School Bus) in MI

Chandler Square

Acquisition & Growth Capital

Shopping Center (Real Estate) in AZ

Cholla Pipeline

Growth Capital

Oil and Gas (Natural Gas Pipeline) in TX


Growth Capital

Distributor (SaaS) in AZ

Diamondback Metal Systems


Manufacturer (Industrial Materials) in AZ

Digital Equipment Corp.


Manufacturer (Electronics) in AZ

Drum Printing & Fulfillment


Manufacturer (Media & Fulfillment) in AZ

Esio Beverage

Growth Equity

Manufacturer/Wholesale (Consumer) in AZ

Flexpoint Sensor Systems

Growth Capital

Manufacturer (Sensors) in UT

Flip Chip Technologies

Growth Equity

Manufacturer (Semiconductor) in AZ



Food Business (Consumer) in AZ

Fralock Converter


Manufacturer (Industrial Materials) in CA

FUDA Tractor


Manufacturer (Electronics) in China

Gateway Village


Residential Apts. (Real Estate) in MO

Good Living Products

Growth Equity

Healthcare (Consumer) in AZ

Grafkon Overlays Corp.


Manufacture (Electronics) in AZ

Gumtech, Inc.

Growth Capital

Manufacturer (Consumer) in FL

Harkins Theatres


Movie Theater (Entertainment) in AZ

IEEE, Inc.


Distributor (Electronics) in CA

Incentive Logic

Growth Capital

Software (SaaS) in AZ

Industrial Sensor Solutions


Manufacturer (Sensors) in CA

Jordan Bridge

Growth Equity

Construction & Real Estate (Contractor Infrastructure) in VA

K & E Bindery


Manufacturer (Media Software & Printing) in KS

Knoell Investments

Growth Capital

Home builder (Real Estate) in AZ

Lear Jet

Acquisition & Growth Capital

Airline Manufacturer (Manufacturer) in KA

Maverick Energy-Permian Basin

Growth Capital

Natural Gas Wells (Oil and Gas) in TX

Maverick Energy-Piceance Basin

Growth Capital

Natural Gas Wells (Oil and Gas) in CO

Maverick Energy-SageBrush

Growth Capital

Natural Gas Pipeline (Oil and Gas) in CO

MERS Holding


SBIRs Science (Sensors) in AZ

Mid Valley Engineering

Acquisition & Growth Capital

Manufacturer (Automotive) in NC

Miss Karens Yogurt

Acquisition & Growth Equity

Food Manufacturer (Manufacturer) in AZ

NaturMed, Inc.


Healthcare (Consumer) in AZ

NGK Insulators


Conglomerate (Manufacturer) in NY


Growth Capital

Food Manufacturer (Manufacturer) in AZ

OEM Logistics

Growth Capital

Logistic Services (Business Services) in AZ

Paul Distributors, Inc.


Distributor (Electronics) in MO

Payout Accounting System

Growth Capital

Software (SaaS) in CA

Petro Source Energy

Growth Capital

Tertiary Oil Recovery (Oil and Gas) in TX

Primarion, Inc.


Manufacturer (Semiconductor) in AZ

Printing & Packaging Specialists


Manufacturer (Media & Printing) in KS

Prodeo Technologies

Growth Capital

Manufacturer (Semiconductor) in AZ

Real Time Companies

Growth Capital

Software & Devices (Defense) in AZ

Regular Mold & Machining

Growth Capital

Manufacture (Industrial Materials) in AZ

Rural Metro

Growth Capital

Ambulance/Fire (Business Services) in AZ

Saviez Winery Services

Growth Capital

Vineyard Services (Agriculture) in CA

SECME of France

Growth Equity

Manufacturer (Sensors/Electronics) in FR

Shure Ltd.


Manufacturer (Industrial Materials) in IL

Sitex, Inc.


Manufacturer (Semiconductor) in China

Southwest Solar

Disposition & Growth Capital

Manufacturer (Energy/Sensors) in AZ

Supernatural Landscaping

Growth Capital

Landscaper (Construction) in CA

Synergy, Inc.

Growth Capital

Manufacturer (Apparel) in AZ

Taliq, Inc. (Raychem)


Manufacturer (Electronics) in CA



Manufacturer (Electronics) in AZ


Growth Capital

Ticket Provider (Entertainment) in NY

Tiger Village


Apartment (Real Estate) in MO

Unicom Trade Web Media

Growth Capital

Software (Consumer) in KS

Wastewater Solutions

Growth Capital

Manufacturer (Water) in AZ

Western Insurance

Growth Capital

Retail (Consumer) in KS

Williams Associates


Distribution (Consumer Promotion Products) in AZ

Xymox Technologies, Inc.


Manufacturer (Electronics) in WI

Case Studies

On behalf of the founding family who were third generation owner/operators, advised the sellers of Arizona’s largest school bus distributor and one of the state’s largest seller and service providers of truck equipment and trailer parts. Found the buyer in Rocky Mountain Capital, negotiated all terms of purchase and served as the post-acquisition Chief Financial Officer in transitioning the company from family to private equity ownership. Sat on the company’s Board of Directors throughout the seven year ownership period. Invested and grew the company substantially in all three Arizona locations and expanded into Nevada. Sold the company to Gladstone Capital Corporation.

Served as advisor and then as co-independent sponsor in the purchase of the world’s largest aquarium wall manufacturer with manufacturing locations in both Colorado and Thailand. Performed a detailed assessment of this complex business including its percentage of completion accounting practices, market position, sales strategy and backlog. Negotiated the principal sale terms with the owner and their broker, found the private equity group that financially backed the transaction, oversaw a detailed, multi-faceted due diligence process, lead a bank refinance post-transaction and sit on the company’s Board of Directors with principal focus on the financial aspects of the business.

Targeted sale process to strategic buyers. Served as execution lead, responsible for business plan, marketing due diligence and financial modeling. Assisted the forty year old family business utilizing a complex sell-side structure to sell to one family member with top management balance to strategic. Correlated corporate finance during bi-state expansion, majority and a minority sale piece. Handled all detail of a confidential sale search, negotiations during strategic sale auction. All buy targets had national sales channels. Importantly delicately provided advice to two generation owners, and management over a twelve-month period creating first business plan in twenty years, due diligence book pre-sale, selected three national buyer targets, completed negotiating and close of business and the negotiation and close of a new commercial bank financing including credit line, building/development loan, and term mortgage.


From the use of new technologies such as telepresence and cognitive computing to their proactive and adroit strategic networking, Brockson is setting new standards for its IB performance, especially when it comes to assembling their team of experts, sourced in and outside their iBank.

Brockson advisors combine evolving operational expertise with industry knowledge providing seasoned transaction experience to client’s M&A and Growth Capital situations – for generating success.

The Brockson Team:

John F. Trotter II

Managing Director

Dan Mahoney

Managing Director

Craig Hoffart

Vice President

To Be Filled

Managing Director

Chase Sinner


Bill Wiles



Auxiliary Membership Board

Brockson is a value‐oriented boutique investment bank dedicated to providing merger and acquisition assistance to lower‐middle market companies. Our seasoned, and highly qualified professionals offer solutions for companies’ owners, management teams and entrepreneurs that require strategic, financial, operations and restructuring assistance via Brockson investment banking services.

Brockson Capital Advisor's clients are companies that have or very soon have EBITDA’s of $1.5 million to $15 million.

Brockson has an off‐shore affiliation with with Matt Tu, in Shanghai 上海市, and Sett & Lucas’s six global M&A offices with locations in
Hong Kong New York London Tokyo Tel Aviv Barcelona India

Brockson Investment Co. Ltd BIC is a leading boutique merchant bank with over 160 years' experience. Brockson Investment Company Limited is dedicated to providing its investors with a broad array of traditional and alternative investments. Our investors are world class businesses, high net worth individuals and institutional clients.

Specialties include Alternative Investments in unique business acquisitions and situations, Target Research, Capital Raising, and Strategic Management advice.

An entrepreneurial and relationship driven culture characterized by a strong work ethic and a "think outside the box" approach, gathering assets and providing financial solutions through our know-how and network. BIC clients are provided unique "one-off" opportunities to participate directly in a private equity type investment with the goal of minimizing overall risk while improving investor leverage.

Brockson provides advisors for growth-oriented businesses in the technology, manufacturing and business services sectors; bringing the skills and experience needed to create a strategic partnership that will drive the successful execution of a client's growth plan. Brockson has the industry expertise needed to capitalize on value-creation opportunities and growth and move businesses forward.

Our investment banking team has over 100 years of combined experience including an immense amount of operational experience in addition to transaction experience. Brockson understands first-hand the strategic and operational challenges that lower middle-market companies regularly face and can serve as value-added partners to management teams.

M&A is the foundation of Brockson’s financial advisory practice, established over many decades. Our services include evaluating potential targets or merger partners, providing valuation analyses, and evaluating and proposing financial and strategic alternatives. We advise on strategy, timing, structure, financing, and pricing, and assist in negotiating and closing transactions. We offer advice on enhancing management teams.

Due to our deep operational experience, leading industry knowledge, we offer a broad array of equity, and debt capital raising alternatives. Our approach to capital markets is providing unconflicted advice for our clients. Providing corporate finance solutions by focusing on long-term perspectives verses short term results, and by offering a customer solution versus generic alternatives.

Our broad network of industry experts and other value-added resources further enhance business performance and management teams.

Our clients benefit from our established relationships with the buy-side. With a broad market of potential investors, we can seek optimal success in transactions. Our deep relationships include:

  • Hedge Funds/mutual funds
  • Traditional private equity funds
  • Venture capital funds
  • Insurance companies/pension funds
  • Family offices/private investors
  • Strategic investors

From our long-term network of relationships, Brockson provides advice to lower-middle market companies in private placements of senior debt, subordinated and mezzanine debt, convertible and equity-linked securities and private equity; it is paramount to our success. We have proven track records in:

  • Growth capital for venture and private-equity backed companies
  • Acquisition financing for financial sponsor clients
  • Private market resales of single positions or portfolios
  • Growth capital or liquidity for pre-IPO companies
  • Debt refinancing and dividend recaps
  • Special situations such as corporate spinouts, recaps, and restructurings





  • Need to get back on track?
  • Need to get to the next level?
  • Strategies for exit, or an acquisition?
  • Find a Global Partner, now?
  • Need to purchase a tech license?

Montecito Overview

Montecito solutions minimize risk, streamline business processes, and reduce the cost and complexity of your operations be it data collection for comparisons or a final overall management decision-making process.

Montecito is the market and operations leader in business management. We provide guidelines, creating infrastructures, operating solutions to Board/Owners, and instituting processes for improving your business. We are committed to understanding how you define success and we assist you to achieve it.

Business Operation Analytics & Solutions

At Brockson Montecito, we specialize in helping your unique business needs revolving around determined strategies, metrics and a managerial plan with expertise for operating your business...whether providing a strategic solution, a sound operating method, establishing specific guidelines, or implementing selected metrics… your team can live by.

Montecito’s consultants deliver a focused array of metrics and project solutions that help you --

"Excel at everyday challenges for meeting your short term goals, or long-term business plans"

says client PMP

We combine over 50 years of deep operating expertise, broad business experience, and operational knowledge to assist our clients with either best state-of-the-art solutions or industry best practices.

Learn more about Montecito, its deep portfolio of experiences, and successful business solutions that address a wide range of needs by calling Craig at (415) 595-7525

Executive Advice and Business Consulting Services

For client characteristics within the Lower to Middle Market arena, having:

  • Strong, defensible market technology position
  • Stable and/or predictable monthly cash flow objectives
  • Talented management team (with a personal investment in the business)
  • Diversified customer base
  • Revenue between $10 and $100 million
  • Positive or almost positive Income or EBITDA ($0 up to 15M million)
  • Needs $5 to $20 million in future capital, or be made-ready for a transaction
  • Capable of $10M + in new sales < one year (with a capital injection)
  • Significant potential for long-term growth in Sensors, Software, Semiconductors, and Space Business