Broad Oak Advisors™

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View of Downtown Dallas from Oak Cliff	photo by MK Semos

what we do

Broad Oak Advisors provides financial and investment banking services to entrepreneurs seeking access to the capital markets. This includes business planning, building management teams, quantitative and pro forma financial analysis, investment risk disclosure, reviewing securities and corporate governance issues, and sourcing investment capital from a select group of trusted institutional partners and registered broker-dealers. Through its international network, Broad Oak assembles and leads seasoned working groups of experts tasked to achieve client objectives in an expedited and efficient manner. Recent assignments include:

Securing $4.3 million of stage-2 preferred equity funding from a publicly-traded Korean technology company for a Dallas-based semiconductor manufacturer which has developed and patented a breakthrough liquid crystal on silicon light modulator that will enable an entirely new category of consumer electronics - the ultra-portable pico projector for use by consumers in projecting a wide range of full color, high resolution video and photographic images from cell phones, media players, digital cameras, laptops, netbooks, and other personal digital assistants.

Providing international investment banking, consulting, and financial marketing services to the City of Dallas Regional Center.

Conducting financial analysis and preparing a business plan and disclosure materials in support of the proposed $5 million stage-2 capitalization of a privately held property and casualty insurance company specializing in developing and implementing alternative dispute resolution workers' compensation insurance programs for U.S. labor unions.

Advising Peter Buffett on developing film, television, and music new media distribution and merchandising strategies in Asia, including for Mr. Buffett’s theatrical musical Spirit – The Seventh Fire™. Peter is the youngest son of billionaire investor Warren Buffett.

Writing the business plan, developing the financing structure, and identifying a $100 million investment partner for the management team of an established independent oil and gas exploration and production company based in South Louisiana.

Developing a $45 million debt and equity management buyout and recapitalization strategy for an independent oil and gas service company based in North Louisiana.

Advising the CEO of a publicly traded, Dallas-based security technology company on balance sheet repair through an $8 million private debt and equity recapitalization.

Securing $5 million of stage-1 start-up capital from high net-worth investors and helping to raise $36 million of equity in a $93 million stage-2 financing ($57 million of which were tax exempt “Liberty Bonds” sponsored by JPMorganChase) for the New York-based management team of The Sports Museum of America, a sports-themed, location-based attraction also housing the Heisman Trophy in Lower Manhattan.

Developing the business strategy, co-founding, naming, and securing a $150 million private equity funding commitment in New York for the management team of Dallas-based oil & gas exploration start-up Broad Oak Energy, Inc.

Advising, co-investing with, and identifying strategic partners for New York-based brand consulting expert TippingSprung, LLC in re-launching and exploiting potential private label, brand extension, and merchandizing strategies for the iconic Woolworth retail brand name.

Developing a business plan, revenue model, and identifying prospective investors for the founders of resolve40, a Manhattan-based online urban lifestyle magazine/webzine published by artists, for artists, their community, collectors, and fine art enthusiasts around the world.

Advising the trustees of Calumet Farm, the world renowned thoroughbred race horse breeding and training facility located in the Bluegrass region near Lexington, Kentucky, on a comprehensive business plan for securing $50 million of working capital.