Consulting Services

As a merchant banking focused professional organization, we provide support for four services: merger & acquisition(s), management consulting, financing, and public company S.E.C. periodic financial reporting.  We are not a F.I.N.R.A. designated broker dealer, as this would limit our delivery of the services that we integrate to provide support for either financial work out or rapid growth.

Mergers & Acquisitions

Rhodes Holdings LLC (“RHL“) has acquired numerous companies, both for our own portfolio and as part of either work out programs or support for rapid growth.  As part of our M&A services, we provide:

  • Due Diligence
  • Business plan aggregation and creation
  • Investor presentation and fact sheets
  • Deal / transaction structuring
  • Deal closing support
  • After closing implementation
  • Acquisition integration consulting

Management Consulting

Management consulting is a “catch all” for all merchant banking activities delivered by experienced personnel, many times ex-public company executives, with successful track records.  Our team includes lawyers, CPA’s, ex-transfer agents, ex-auditors, etc…

  1. Corporate Restructuring
  2. Corporate Strategy
    Many people equate strategy with a “business plan“, but usually a business plan is just the documentation of the foundation strategy.  Wrapping the strategy into all Standard Operating Procedures (“SOP“), job descriptions, funding strategies, and other parts of the business.
  3. Chief Financial Officers‘ (“CFO“) Services
    CFO(s) are more than focused on the numbers, they bridge finances to operations.  Many times, CFO services are sorely lacking in companies experiencing rapid growth.
  4. Direct Public Offering (“DPO“) filing support
    Many times the exit of rapid growth is either an Initial Public Offering (“IPO”), acquisition by a Private Equity group (Goldman Sachs), or restructuring transaction.  IPO’s are associated with one of the Investment Bankers, either middle market (Oppenheimer & Co., etc.) or large market (JPMorgan Chase, etc.), but the problem with those is the long time frame (18 months or more) as well as limited appetite by those bankers for deals.  DPO’s can be done by a company itself with limited support from professionals such as RHL.
  5. Reverse Mergers or Triangular Merger support
    RHL provides both public vehicle acquisition support as well as transaction structure for such transactions.

Funding Support

Since RHL is not a registered Broker / Dealer, RHL does not directly act as a Fund(s) Finder (required to register in Texas) nor a Broker for a funds.  RHL provides support for this process, unless one of RHL’s personnel is an officer of the client company (being a corporate officer allows individuals to seek funds without being a Broker / Dealer).

  1. Investor resources
    business plan creation, investor presentation(s), investor fact sheet(s), and creation of Private Placement Memorandum(s) (“PPM“)
  2. Investor presentation tracking
    It is important to keep track of who is provided investor materials and that such materials are kept confidential to safeguard corporate assets and secrets.
  3. Investor road shows
    Road shows allow corporate officers to show prospective investors what your strategy is, what are your management team’s capabilities, and who are your professionals.
  4. Investor relations
    After investor(s) subscribe to the PPM, subscriptions need to be tracked, stock certificate(s) issued, and on going communications providing operational updates.
  5. Conventional banking relationships
    We have the banking relationships (Commercial Banks), the factoring relationships, the structured financing relationships, and have the ability to not only introduce you to these institutions but also put together your banking packages.

Public Company S.E.C. Periodic Financial Reporting

Public companies who are 1934 act reporting require a very complex set of guidelines to be followed for financial disclosure.  It isn’t just auditing (PCAOB), not just integrating with transfer agents, SEC counsel(s), public relations professionals, investor relations professionals, investment bankers – it is also integrating all of these.

  • EDGAR filings (10K, 10Q, 8K)
  • filings
  • Transfer agents
  • Investor Relations
  • PCAOB Auditors
  • SEC counsels
  • Corporate general counsels

© 2012 by Rhodes Holdings LLC, all rights reserved.


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