Small-cap¹ CEOs must seamlessly manage complex capital markets, corporate finance, and corporate governance issues which they, their boards, and their advisors view one way – and institutional investors often view very differently. Even long-tenured small-cap CEOs can struggle in this regard; for less experienced small-cap CEOs, it’s often a baptism by fire.  Unfortunately, there is no playbook for small-cap CEOs to follow.

Historically, small-cap companies have hired all kinds of different service providers to help them bridge the buy-side divide.  But the guidance is often self-limiting – the advisors have never been institutional investors. Most small-cap CEOs and boards receive little more than educated guesses from advisors about how institutional investors will react to seminal capital markets, corporate finance, and corporate governance choices.

Depending upon the situation, Third Creek Advisors works with management, boards, and/or board committees of pre-IPO and small-cap companies with respect to discrete issues or in an ongoing advisory capacity.² Third Creek’s compensation is purposely not linked to the consummation of any transactions and it is independently owned and operated -- so there are no conflicts of interest.

¹The market capitalizations of companies advised by Third Creek Advisors vary considerably.  For simplicity, the term “small-cap,” as used on this site, incorporates by reference small-cap, micro-cap, and nano-cap companies. ²Almost as important as what Third Creek does, is what it doesn’t do.  Third Creek Advisors doesn’t: raise or find capital for companies, make capital introductions to investors, value or perform any due diligence or analysis with respect to securities, provide advice as to the advisability of buying, holding or selling securities, buy or sell securities, provide advice in connection with restructurings or work-outs, provide legal advice, or provide audit, attest, or public accounting services.  Third Creek is independently owned and operated; it is not a broker-dealer or an investment adviser and is not directly or indirectly related to any broker-dealers, investment advisers, investment banks, or professional service providers.