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How To Select A Middle-Market Investment Bank

by SeanKingston

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Communication and Likeability

A transaction process is intense, interspersed with anxious moments, and requires a lot of time and back-and-forth communication. Having a good relationship is important as you will be working side-by-side with your investment banker.


Credible middle market investment bankers will charge a non-refundable retainer upon engagement with the majority of compensation tied to successful completion of a transaction. Although many business brokers refer to the Lehman formula, few middle market investment banks use this structure. Instead, they may quote a straight fee percentage (based the amount and type of capital raised or the overall size of a M&A transaction) or a performance oriented fee percentage that increases based on achieving certain transaction value hurdles.

Choosing the right middle market investment bank is important. You need to ensure that the firm can represent your interests well and can act as your advocate in a transaction. Make sure to do your homework.

About Wilcox | Swartzwelder & Co.

Wilcox Swartzwelder and Co. based in Dallas, Texas, is a boutique investment bank providing merger and acquisition services and corporate finance advisory services to middle market companies in the energy, industrial and infrastructure sector. The Firm delivers a high level of personal service, in-depth industry knowledge, rigorous transaction execution and superior results. Principals have successfully completed almost 100 transactions with aggregate value in excess of $3.6 billion.

Mr. Jason N. Wilcox

Securities offered through PetroGrowth Energy Advisors, LLC., member FINRA/SIPC.

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