Marshall Sterling

Private Equity and Credit

Private Equity and Credit | Corporate Finance Advice | Fundraising

Private Equity and Credit
Investment Opportunities for Professional and Institutional Organisations

An introduction to Private Equity and Private Credit

Marshall Sterling is an Authorised institution providing a broad range of financial products and services which includes private placement securities. 

Our Corporate Finance team bring a 
wealth of expertise gained through decades of experience within funds, asset management organisations and international investment banks.

By way of our broad international network, we are fortunate to obtain, often exclusive access, to unique, high quality and diverse deal flow. Our opportunities often present a high pedigree of widely acclaimed founders and board members, be partnered with well renowned multinationals and they may have obtained seeding from Government.

These investment opportunities are aligned with and presented to buy-side clients and counterparties which could include Family Offices, Insurance, Pension and Sovereign Wealth Funds, Private Equity and Venture Capital  firms. 


Our focus with Private Equity and Private Credit

We are not sector specific in our corporate finance activities however, our team has particular expertise comprising but not limited to technology including fintech, biotech and pharma, cleantech/renewables, defence, oil and gas, real estate and sports.

On the sell-side we might typically work with companies that are at Series B or beyond yet, we do take on clients at an earlier stage where there is a particularly strong or innovative product and high quality management team.

Presently, the majority of our clients are in the UK, mainland Europe, Asia and the Middle East.

Please note: This page and the products and services described herein are not intended for Retail Investors. 

Investments in Non-Mass Market Investments such as, Non-Mainstream Pooled Investments or Speculative Illiquid Securities, for example; a security issued by a special purpose vehicle other than an excluded security, a debenture or preference share carry a high degree of Risk.  

Don’t invest unless you’re prepared to lose all the money you invest. This is a high-risk investment and you are unlikely to be protected if something goes wrong.
This notice cannot disclose all the risks associated with the products we make available to you. You should not invest in or deal in any financial product unless you understand its nature and the extent of your exposure to risk. You should also be satisfied that it is suitable for you in the light of your circumstances and financial position. Different investment products have varied levels of exposure to risks and to different combinations of risks.

All investments involve a degree of risk of some kind. This section describes some of the risks which could be relevant to the services we provide to you. We may provide further risk information during the course of our services to you, as appropriate.

Our services relate to certain investments whose prices are dependent on fluctuations in the financial markets outside our control. Investments and the income from them may go down as well as up and you may get back less than the amount you invested. Past performance is not a guide to future performance.

We aim to provide investors with information to help them make their own investment decisions although this should not be construed as advice or an investment recommendation to buy, hold or sell. No view is given as to the present or future value or price of any investment, and investors should form their own view in relation to any proposed investment. If you are unsure about the suitability of an investment or if you need advice on your specific requirements, we strongly suggest that you consider professional financial advice.

Occasionally, an opinion about whether to buy or sell a specific investment may be provided. The content is not intended to be a personal recommendation to buy or sell any financial instrument or product, or to adopt any investment strategy as it is not provided based on an assessment of your investing knowledge and experience, your financial situation or your investment objectives.

Non-mainstream investments
Due to the potential for losses, the Financial Conduct Authority (FCA) considers this investment to be high risk.

What are the key risks
You could lose all the money you invest

  • If the business you invest in fails, you are likely to lose 100% of the money you invested. Most start-up businesses fail.

You are unlikely to be protected if something goes wrong

  • Protection from the Financial Services Compensation Scheme (FSCS), in relation to claims against failed regulated firms, does not cover poor investment performance. Try the FSCS investment protection checker here.
  • Protection from the Financial Ombudsman Service (FOS) does not cover poor investment performance. If you have a complaint against an FCA-regulated firm, FOS may be able to consider it. Learn more about FOS protection here.

 You won’t get your money back quickly

  • Even if the business you invest in is successful, it may take several years to get your money back. You are unlikely to be able to sell your investment early.
  • The most likely way to get your money back is if the business is bought by another business or lists its shares on an exchange such as the London Stock Exchange. These events are not common.
  • If you are investing in a start-up business, you should not expect to get your money back through dividends. Start-up businesses rarely pay these.

Diversify your investments

  • Putting all your money into a single business or type of investment for example, is risky. Spreading your money across different investments makes you less dependent on any one to do well.
  • A good rule of thumb is not to invest more than 10% of your money in high-risk investments.

The value of your investment can be reduced

  • The percentage of the business that you own will decrease if the business issues more shares. This could mean that the value of your investment reduces, depending on how much the business grows. Most start-up businesses issue multiple rounds of shares.
  • These new shares could have additional rights that your shares don’t have, such as the right to receive a fixed dividend, which could further reduce your chances of getting a return on your investment.

If you are interested in learning more about how to protect yourself, visit the FCA’s website here.

Other considerations
Currency risk
Investments denominated in a currency other than sterling or ones that undertake transactions on foreign markets, which include the financial markets of developing countries (Emerging Markets), may expose you to greater risks caused by fluctuations in foreign exchange rates. This can adversely affect the value of your return and the value of your investment. Investments in emerging markets are exposed to additional risks, including accelerated inflation, exchange rate fluctuations, adverse

Liquidity risk
There may be difficulty in selling an investment caused by a number of factors, including but not limited to insolvency of the investment, adverse stock market conditions, selling restrictions placed on funds by their managers (sometimes referred to as gating, lockups, notice periods or suspension of redemptions). In these circumstances you may not be able to sell such investments in a timely manner and the value of those investments may fall significantly.

Stabilisation/Initial public offerings (IPOs)/New issues
When securities are newly issued, the market price is sometimes artificially maintained by the issuer during the period when a new issue is to be sold to the public. This is known as stabilisation and may affect not only the price of the new issue but also the price of other securities relating to it. Stabilisation is allowed, as long as a strict set of rules is followed, in order to counter the prospect of a drop in price before buyers can be found. The overall effect of this process may be to keep the price at a higher level than it would otherwise be during the period of stabilisation.

Self-directed investment (execution-only services)
Execution Only investment, is where investors make their own investment decisions and transactions are made on an unadvised or unmanaged basis and is not for everybody. Investors who choose to invest in this manner should regularly review their portfolio, or seek professional advice, to ensure that the underlying assets remain in line with their investment objectives. This can be particularly important for those investing towards a defined time horizon, for example, those investing for retirement via a pension.
This list is not intended to be fully inclusive of all relevant risks; we would strongly encourage you to ensure that you have read all relevant literature, and that you are comfortable that you understand all of the associated risks relating to an investment, ensuring an alignment to your personal circumstances, attitude to risk and investment objectives before you decide whether or not to purchase it.  Should you be in any doubt as to the risks involved, or to the suitability of a particular investment, you should seek professional financial third-party advice.


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