Overview Philosophy Investment Strategy
Overview Philosophy Investment
  Principals Contact us
  Principals Contact Us


Profile & Mission
Investment Methodology

The KAPLAN GROUP of Companies is primarily focused on ownership of small to middle market companies within the basic materials, manufacturing and related sectors. While we prefer to have a majority position within a company, at a minimum, we generally will have a board seat and significant influence in the company’s strategic direction.

The KAPLAN GROUP of Companies begins with a top down “fundamental” analysis of the business sector and then a detailed “bottoms up” approach in analyzing investment opportunities. We perform a thorough evaluation of the company’s market position, competitive advantages and disadvantages, performance improvement and growth prospects as well as a comprehensive review of its management team.

Each investment is structured appropriately to provide the company with the optimal capital structure. Our objective is to enable the company to have sufficient financial flexibility and liquidity to implement their respective strategic plans. The KAPLAN GROUP of Companies utilizes various investment structures such as senior and junior debt including mezzanine, payment-in-kind subordinated debt with warrants, preferred stock with or without warrants and common stock. The KAPLAN GROUP of Companies utilizes creative financial structuring to adjust to the needs of the company yet generating the appropriate returns given the embedded risk in the financing instrument.


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