Fred J. Shockley

Allied Capital Corp, a business development company, invests in private middle market companies located in the US. The fund target companies across a broad range of sectors with an EBITDA of $5 - $150 million. It provides debt and equity financing for buyout transactions and also makes minority equity co-investments. It also invests in private equity and debt funds.

State Street Bank & Trust Co. (SSBT) is a SEC-registered investment advisor headquartered in Boston, Massachusetts. The firm was founded in 1792 and is owned by State Street Corp. (NYSE: STT). SSBT serves as the administrator, fund accountant and transfer agent for the WisdomTree Bitcoin Fund, an exchange-traded fund.

UBS Financial Services, Inc. is a registered investment advisor and wealth management firm headquartered in Weehawken, New Jersey. The firm is a wholly-owned subsidiary of UBS Americas Inc., ultimately held by UBS Group AG (SWX: UBSG; NYSE: UBS) in Switzerland. Founded in 1969, UBS Financial Services provides investment advisory services to individuals, banks, thrift institutions, mutual funds and other investment companies, pension and employee benefit plans, trusts, estates, charities, corporations and other business and government entities.

USAA Investment Services Co. (ISCO) is a SEC-registered investment adviser headquartered in San Antonio, Texas. The firm was founded in 1970 as USAA Investment Management Co. (IMCO). They are a direct, wholly-owned subsidiary of USAA Investment Corp. and an indirect, wholly-owned subsidiary of the United Services Automobile Association (USAA), a diversified financial services organization. In 2020, ISCO’s brokerage and advisory businesses, including client accounts, were sold to Schwab Holdings, Inc., an affiliate of The Charles Schwab Corp. (Schwab) (NYSE: SCHW). ISCO’s business is now limited to referring prospective clients to Schwab or Victory Capital, performing certain referral-related marketing activities, and providing advice with respect to saving for retirement and retirement income.

Putnam Investment Management LLC (PIM) is a SEC-registered investment advisor and mutual fund manager headquartered in Boston, Massachusetts. Founded in 1971, the firm is a wholly-owned subsidiary of Putnam US Holdings I LLC and became an indirect, wholly-owned subsidiary of Franklin Resources, Inc. (NYSE: BEN) in 2024. PIM provides investment advice across all asset classes to individuals and institutions worldwide through separately managed accounts and pooled investment funds.

Columbia Capital LLC (Columbia Capital) is a venture capital firm founded in 1989 by Dave P. Mixer. The firm is headquartered in Alexandria, Virginia.

Diamond Hill Capital Management, Inc. (Diamond Hill) is a SEC-registered investment advisor headquartered in Columbus, Ohio. The firm was founded in 2000 and is a wholly owned subsidiary of Diamond Hill Investment Group, Inc. (NASDAQ: DHIL). Diamond Hill provides investment management services to individual and institutional investors through mutual funds, separate accounts, collective investment trusts (CITs), other pooled vehicles such as sub advised funds, and a private fund.

Gladstone Management Corp. Ltd. operates as an investment holding company. The company is headquartered in McLean, VA.

Gladstone Lending Corp. operates as a specialty finance company. Its investment objectives are to generate current income and, to a lesser extent, long-term capital appreciation through debt investments. The company was founded by David J. Gladstone in 2009 and is headquartered in Mclean, VA.

Moody's Investors Service, Inc. is a credit rating and investment research firm headquartered in New York City. They are a subsidiary of Moody's Corp. (NYSE: MCO). The firm performs international financial research and analysis on commercial and government entities and provides a variety of analytic tools for assessing credit risk. Their clients include creditors, investment banks and commercial banks.

Suncoast Equity Management LLC (SEM) is an independent, SEC-registered investment advisor headquartered in Tampa, Florida. The firm was founded by Don Jowdyin 1997. SEM provides investment advisory services to individuals, families and foundations, corporate pensions, profit-sharing plans and individual retirement accounts.

Global Factory, Inc. provides collaborative manufacturing execution systems. The firm's software gather, organize & analyze demand, production & quality data from various sources and monitor key indicators & execute business processes to control, manage & optimize distributed manufacturing operations. The company was founded in 1999 and is headquartered in Santa Clara, CA.

Patriot Capital (Patriot) is a private equity firm founded in 2001 by Charles McCusker and Chris Royston. The firm is headquartered in Baltimore, Maryland.

Phoenixus AG operates as a research-based pharmaceutical company. It develops and commercializes treatments for diseases and conditions with limited or no treatment options. The firm's products include Daraprim and Vecamyl. The company was founded by Martin Shkreli on February 24, 2015 and is headquartered in Baar, Switzerland.

Cape Cod Cellars Ltd. is a wine retailer that offers a wide selection of Cape Cod Wine. The private company is based in London, UK. The British company provides a store locator and allows customers to order directly from their website or distributor. The company also offers 24/7 support. Cape Cod Cellars was founded in 2005 by Timothy Cooney, who has lived and worked on all parts of Cape Cod and the Vineyard.

The Small Business Investor Alliance is an association of senior investment professionals focused on the lower middle market. The non-profit company is based in Washington and was founded by Jonathan F. Wilson. The American company's public policy goals are focused on maintaining access to growth capital for small businesses to support economic growth and job creation. The company recommends policies to unleash more capital for job creation and economic growth, including encouraging investment in rural business investment companies and venture and growth capital.

Camden Partners Private Equity (Camden Partners) is a private equity subsidiary of Camden Partners Holdings LLC founded in 1995 by David Lyle Warnock. The firm is headquartered in Baltimore, Maryland.

The Gladstone Cos., Inc. operates as an alternative asset manager and provider of other administrative and financial services. Its funds invest in a diverse range of alternative strategies, including private debt, private equity, real estate and natural resource real assets. The company was founded by David Gladstone and Terry Lee Brubaker on December 7, 2009 and is headquartered in McLean, VA.