Potent Strategic Advisory for the Asian Entrepreneur

“We are fortunate to have Carl as our Corporate Advisor – his vision, access to capital and ability to drill down issues on

strategic reviews makes him a core member of our operational team.”

Founder/ CEO, Technology company

To introduce Family Offices/ Growth Funds

to growing private Asian companies

To profoundly

help promising

Asian Businesses grow. By:

• Introducing them to Capital

• Acting as trusted Corporate Advisor, advising them on - Strategy, Execution and Risk Mitigation

• Helping the Founder/ Shareholders extract Value

Mission

“Potent strategic

advisory for the

Asian

Entrepreneur”

GDP growth in Asia creating rising incomes, increasing the Upper/ Middle band of consumers..delivering positive effects on Small Business

Improved regulatory framework, increasing liberalization, greater Government support for Small Business..

But paucity of Bank support for Small Business..

And inadequate Venture/ Growth capital funding support..

Creates opportunities for Private Capital and Knowhow to step in

The Opportunity Space

We therefore focus on Companies which offer a Call Option on the Aspirational Asian Consumer

• Clear preference to grow with the company as it goes through each round of capital-raising*Relationship-based

• An enviable top quartile placement recordOutcome-orientated

• To broaden investor base, or obtain industry expertise, or in structuring and exiting, partnering as appropriate

Partnership-driven

• Our counsel is sought on various aspects of the business, including Capital-raising, Strategy, HR, Go-To-Market, Investor relations, Risk mitigation

Multi-disciplinary approach

• Through eco-system of existing clients, investors and boutique managers

Referral-based origination only

* Only 20% of Time allocated to interesting projects outside of the Core Client List

Business Model

• Tech (Software, Services), Education, ConsumerSector focus

• Early stage growth capital, Late Venture stageStage

• Equity Growth, Hybrids, Bridge fundingType of Capital

• USD 3 – 25 million; median USD 8 millionTicket size

• Typically mandated by Founder/CEO, occasionally on the Buy SideSell side

Focus Areas

Important note: CAadvisory is incorporated under the Companies Act, Singapore and is not regulated by the MAS. Therefore, outside of it’s Consulting activities and Corporate advisory work embedded in the client companies, it merely makes Introductions to sources of Capital and does not make representations. Wherever a fuller suite of services is required, some of which are deemed as regulated activies, it will partner with appropriately licensed Platforms.

We also partner with Inter-mediaries

offering Special Access and Knowhow as

required

Can boast of access to a broad range of Investors:

• Family Offices• Ultra High Net Worth• Funds focused on Growth• Boutique platforms that

manage Proprietary and Third Party capital

• Funds keen on secondary exposures We offer

PrivilegedAccess to Investors

Track Record

3 years on….

Top quartile success in sourcing Investors

Demonstrable ability to execute various sizes and types of transactions, for companies at varying stages of growth

All core clients have given Repeat business

~ 6 Transactions per annum

Senior Corporate Advisory role with clients

Track Record..continued

CASE STUDYCompany profile: A Singapore-based services company with clients across Asia

Equity capital raise of S$ 8 mln

Short-term debt funding S$ 2 mln

Double digit asset lend for the Founder

Round 2 capital raising S$ 20 mln

Trusted Senior Corporate Advisor: involved in Strategy, major projects, Investor Relations, Invitee to Board meetings

Founder / CEO Biography

Carl Athayde is CEO and Founder of CAadvisory Pte Ltd, a Singapore-based firm providing strategic advisory to Asian Entrepreneurs. He focuses on the Tech, Education and Consumer verticals in Asia, and is a Corporate Advisor to several client companies.

Prior to this, he worked in leading global banks in both the Institutional as well as the Private Client space. He built a proven track record of developing long-term investment advisory relationships with ultra high net worth clients, in both flow businesses as well as for sophisticated, institutional-type deals. In addition, Carl drew upon his institutional background for the type of niche advice and opportunities that Families, Strategic Investors and Funds look for.

Carl was a Senior Client Partner at ANZ Private Bank Asia, where he worked with DCM, loan syndications, M&A advisory and FIG. Prior to that he was a Senior Banker at Clariden Leu, the pure play private banking boutique of the Credit Suisse Group, and the market head/ EVP for Thailand/Indo-China desk at Coutts Private Bank, both in Singapore.

Carl started his banking career in 1991 with eight years at Standard Chartered in HK and Singapore in the Corporate bank, and six years at ABN AMRO, latterly as the Sales Head for South Asia and Pacific for Financial Institutions dealing with cash, clearing, securities and FX.

Carl studied at the University of Illinois, U.S.A (Master’s in Management) on a Rotary Foundation scholarship, the Tata Institute of Social Sciences, India, (Master’s in Personnel Management), and St. Xavier’s College, India, (B.A. Sociology, and Economics). He attended the Wharton SMU general management program, and completed CMFAS modules.

Carl was invited to join the Executive Board of Dana-Asia, a pan-Asia Pacific organization that assists donors in their Philanthropy, where he was Chairman of the Audit and Risk committee.

Client Profiles : Examples

A Singapore-based tertiary Education company providing professional accounting/finance and university degrees to student across 11 countries in the Asia Pacific region and beyond.

A Singapore-based company providing online Dining Reservations to clients and a table management system to restaurants in hotels and retail dining chains in 18 countries/ 85 cities across the Asia Pacific and beyond.

A Singapore-based Retail solutions company with offices and customers in over 14 countries across the Asia Pacific and Middle East. The flagship Enterprise Retail Software features POS and Store Operations, Store Mobility, e-commerce (B2C), Retail CRM, Marketing and Social Media, Promotion Planning, Retail Analytics and Merchandise Planning.

Client Profiles : Examples..continued

A next generation Mobile advertising and Media Company based in Singapore, offering a range of mobile technologies including WAP, Voice, Video, IVR, Mobile Internet and APPS. It’s technologies and platforms, mobile content and business model have led to a multi-million subscriber base with leading Telcos in ASEAN and India, which is being monetized through mobile advertising.

A US-headquartered company that helps MNCs access the Chinese consumer through AliBaba's Tmall, the leading global B2C website in the world’s largest ecommerce market. The company manages customs clearance and compliance, warehouses product, localizes product information, does social marketing, posts the item on-line, handles the order fulfillment and remittances.

A Singapore-based Developer which invests in Lands in India/ Greater Mumbai on which it develops Affordable Housing. The investment is secured by Lands with a yield preference to Investors in USD. Execution is key with high barriers to entry. In the previous fund, the  maximum permissible 17.25% coupon p.a with portfolio valuation at 3x has been delivered.

Client Profiles : Examples..continued

A Singapore-based Technology early stage Fund offering investors exposure to promising companies domiciled in Singapore and SE Asia in the Information and Communications Technology (ICT) sectors. The breadth of the Manager’s ecosystem is expected to yield top-quartile returns.

A Singapore-based retail automotive solutions company that is implementing the first global dealer management system which, with its cloud, mobile, social features, will radically alter the archaic manufacturer/ importer/ dealer/ customer ecosystem.

A HK company that invests in the rated and best real estate Developers, and in specific pre-approved Projects, in Tier II and Tier III Chinese cities. Investors receive a preferred return, in addition to capital gains from projects. The Manager has a successful multi-decade record of investing in China.

A Singapore based company that creates and curates products such as Apparel, accessories, Home & Décor products in the gifting, lifestyle and leisure space. It seeks to partner a Retailer in the roll out of a proprietary concept in Singapore and the U.S. Clients include MBS, Raffles Hotel, MGM Las Vegas and Macy’s.

Top quartile placement

record

Unique access to Investors : Family Office and Growth

Funds

Relationship-driven: long-term, committed engagements to help

Companies grow Holistic approach: financial, strategic,

operational, act as a sounding board

Fills the gap in Early-stage

Growth for both Businesses and

Investors

Edge

Disclaimer

CAadvisory Pte Ltd ("CPL") is a company incorporated in the Republic of Singapore with Registration No: 201026417E. The information contained herein is for information only and is not a recommendation to buy or sell any security, nor a solicitation to buy or sell any securities or other product or service, an official confirmation of any transaction or an official statement of CPL. Any unauthorized use, reproduction, or dissemination of this document is prohibited. Neither CPL nor any of its subsidiaries or affiliates shall assume any legal liability or responsibility for any incorrect, misleading or altered information contained herein. Nothing in this document is intended to constitute legal, tax, securities or investment advice, or opinion regarding the appropriateness of any investment or a solicitation for any product or service. Counterparts are advised to seek independent professional advice so they are aware of any and all risks.

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