Definitive talent in strategic advisory, growth capital and alternative investmentSpring 2016

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Company Overview

How we got hereOur shared desire has been to build a preeminent corporate finance and advisory business, working with the best entrepreneur-led opportunities and experienced, private capital.

Founded in 2013, by a group of like minded professionals, we funded the business ourselves and have built an excellent team, rigorous processes, as well as developed and deployed our own supporting technology platform.

We actively source for private lenders and investors seeking compelling, off market opportunities. We are authorised under the FCA through a multi-family office. Our role is to source and advise excellent opportunities for our discerning private capital audience.

The Company has a diverse international audience of private investors, family offices and funds, as well as wealth management partners. Our clients are predominantly in the UK and Europe, with a few clients in north America and elsewhere.

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Our focusWe are based in London, which leads the UK as one of the most vibrant private capital ecosystems in the world and reputedly home to over 5,000 funds, 3,500 family offices and tens of thousands of private professional investors.

Our focus is predominantly more established businesses across all sectors where a proven management team have demonstrated market fit, achieved credible commercial traction and actively seek additional knowledge and momentum that larger private capital can provide. This typically ranges from £500k to £10m in equity and £1m to £50m in various forms of debt and project finance.

The vibrant early stage investment and technology scene in London and elsewhere is a niche that has grown significantly in recent years with the advent of crowdfunding. Our typical clients are in the next stage of evolution and seek larger debt and/or equity from just a handful of backers. In this environment, the integrity, experience and knowledge that the Ruffena team bring to a project materially improve its appeal through improved structuring, the optimal blend of debt and equity, and enable greater participation to deliver better returns.

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26%73%1%

Early Stage VC Funds

Business Angels

Crowd Funders

Source: Beauhurst

Source: EBAN, 2013-14

How we workOur team of 14 work through our offices at 7 Stratford Place, just opposite Bond Street. We are organised across four teams, bringing significant sector experience, insight and contacts to bear on any project we work on:

•  Digitech and Consumer•  Life Sciences and Education•  Engineering and Energy•  Property and Alternative Finance

We turn down the vast majority of opportunities we see.

We undertake a rigorous pre-DD process to ensure we only engage with compelling, off market opportunities that our investing audience wish to back and provide the kind of risk profile, capital blend and returns they are looking for. Accordingly, we make great efforts to understand investors’ current appetites, which we appreciate vary periodically according to changes in their own portfolios, market conditions and emerging opportunities.

Internally, we operate a collegiate, confidential approach to project placement with our capital providers to ensure we prioritise the right projects for their particular preferences.

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What we look for

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In general•  Off market opportunities•  Lead advisory•  Debt and/or equity

–  £1m-£10m equity–  £1m-£10m+ debt

Specifically•  Commercially compelling•  Convincing management•  Market traction•  Balanced risk/returns

Why us?1.  When a highly experienced

private capital audience wishes to avoid the crowd

2.  Where our skills, contacts and experience make a material difference

3.  Where greater participation and returns are sought

Growth Equity

Debt Finance

Partnering & R2M

Corporate Advisory

The Team

Skill, experience and integrity.•  Worked together since mid 2000’s,

founded Ruffena together in 2013

•  Backgrounds in business, the City, investment and finance

•  9 Partners and 5 Associates

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RobinRowlandHill SimonHeywood DwightMakins XavierPullen

DrBernardCummings MarkBun>ng DuncanMorrison RichardCleveley

RobertWhitaker PatrickAngier TonyMaynardOlgaShvarova

Our metricsWorking with a diverse investor base, we tend to engage a wide range of client projects to match. Some projects are only suitable for very specific investors, so these will not be visible on our platform but discussed direct. Typical project characteristics:

GENERAL BUSINESS

•  Sub £1m, early growth stage equity. EIS qualifying.

•  £2-10m, full growth stage. Blend of debt and or equity. EIS relief generally available.

•  £2-5m pre-IPO convertible loan

PROPERTY & ALTERNTIVE FINANCE

•  £5-50m fully secured mezzanine or trade finance

•  £5-15m equity opportunities giving 5-15% residual income and asset growth

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AUDIENCE

•  600+ family offices and funds

–  Typically investing £250k to £5m per project

–  Through partners, access to a further 400 worldwide

•  550 professional private investors

–  Typically investing £25k to £500k per project

INVESTMENTS

•  Closed approximately 30 investments in the last 2yrs

•  Resulting in a total of c£40m of new capital

•  Largest current investment project is £18m

Our evolving web platform

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We have spent the last year designing and building the new web platform. This allows investors to access and track investments in a wide variety of carefully-vetted opportunities, each carefully managed by an experienced professional.

•  Integrated deal management and CRM platform

•  Opportunity tracking through to full DD room

•  News & Events

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We recognise that raising capital is hard work…

and so is investing it.•  Rigorous project selection and pre DD

•  Deal structuring and market testing

•  Selectively put to our private capital audience

•  Managed through to conclusion

•  Post investment portfolio support

News & Events

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Monthly investor drinksQuarterly presentation events and lunches Periodic opportunity bulletins and news updates

We produce regular Newsletters and new opportunity deal sheets for investors, as well as stage periodic presentation events in conjunction with Nabarro’s in the city and other partners on more tailored themes. Having all worked across the sector for many years, we recognise that many find such events and bulletins very helpful in keeping up with current developments, meeting like minded professional investors and deciding priorities when managing a portfolio in changing times.

Our website provides details of future events and access to most current opportunities.

Registration as an investor or professional adviser is free and can be done online here: http://www.ruffena.co.uk/investing-with-us/

Ruffena Capital Ltd"7 Stratford Place"London W1C 1AY""

+44 203 5744297"team@ruffena.com"www.ruffena.com

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definitive talent advisory growth capital & alternative investment