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

Arcturus Sailing Co.


Software (SaaS) in CA

Arrow Electronics

Acquisition & Growth Capital

Manufacturer (Electronics)

Auto Safety House

Growth Capital

Distributor (Automotive, School Bus) in AZ

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

Chandler Square

Acquisition & Growth Capital

Shopping Center (Real Estate) in AZ


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

Industrial Sensor Solutions


Manufacturer (Sensors) in CA

K & E Bindery


Manufacturer (Media Software & Printing) in KS

Knoell Investments

Growth Capital

Home builder (Real Estate) in AZ

MERS Holding


SBIRs Science (Sensors) in AZ

Mid Valley Engineering

Acquisition & Growth Capital

Manufacturer (Automotive) in NC

NaturMed, Inc.


Healthcare (Consumer) 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

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

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)

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


Using telepresence and cognitive computing, proactive shape data, and adroit strategic coupling, Brockson is setting new standards for IB performance.

Brockson Capital Advisors combine evolving operational expertise with industry knowledge. – generating success.

The Brockson Team:

John F. Trotter II

Managing Director

Craig Hoffart

Vice President

Bill Wiles


Auxiliary Membership Board


Brockson Capital 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, and operations assistance.

Brockson Capital Advisor's clients are companies that have annual incomes of $1,000,000 to $15 million.

Brockson has an off-shore affiliation with Matt Tu, in Shanghai 上海市, and Petersen’s Ltd. having five global M&A offices with locations in
Hong Kong New York London Tokyo Tel Aviv Barcelona

SBM Ventures, previously Brockson Investment, is a leading boutique merchant bank providing capital to 4S’s; i.e. Sensors, Software, Semiconductors and Space businesses. SBM funds with world class investors, high net worth individuals and PFO clients since 1985.

It’s entrepreneurial and relationship driven culture is characterized by a strong work ethic and a "think outside the box" approach. Finding best means for gathering assets and providing financial success through our 160 years of experience. SBM clients are provided unique "one-off" participation directly by non-institution equity with the goal of complementary strategies while improving less risk and investor leverage targets.

Brockson Capital provides advisors to growth-oriented businesses in the technology, manufacturing and business services sectors. Famous for creating strategic partnerships that drive the successful growth plans.

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.

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.

Our broad array of equity, and debt capital raising alternatives allows capital market approaches providing un-conflicted advice for you.

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

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

Brockson Capital provides advice in equity and debt having proven track records in:

  • Growth capital
  • Acquisition financing
  • Private market resales of single positions, portfolios or divisions
  • Debt refinancing
  • Dividend recaps
  • Special situations such as corporate spinouts, 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


Right after the first quarter of 2017 Brockson Investment Company will commensurate working with Sereno Brockson Mayer (SBM) investment firm which will own SERENO System Services Company.

SBM seeks to acquire businesses using the following criteria -- $10M revenues per year in Sensors, Software, Semiconductors or “New” Space industries

May be you!

Sereno's unique products, services, and apps assist customer’s various technical, business or marketing data information in a customized AI oriented batch aka SHAPE

"Old style, new process, similarly like when a job shop makes a customize part devoted solely to the customer it becomes his proprietary information. They supply the special part."

says Jerry C.

Sereno compiled shape allows the finished product to be your customized shape. And stay tuned for Sereno,