Investment Banking

Northland's investment banking group focuses its practice on the needs of emerging growth and middle market companies. We look to build relationships with management and Board members, and expect to stay with the team as clients grow and develop — raising capital, reviewing strategy and alternatives, and advising on acquisitions and mergers.

Corporate Finance

Our team of experienced investment bankers has the capital markets expertise and industry knowledge to offer our clients strategic advice and execution to successfully complete financings. By working closely with our clients, we structure the best strategy for financing and provide our clients the opportunity to maintain focus on their business.

Our Public Capital Markets Activities Include:

• Initial Public Offerings
• Follow-On Offerings
• PIPE and Registered Direct Offerings
• Equity
• Convertible Equity and Debt
• Debt

Our Private Capital Markets Activities Include:

• Focus on mid- to late-stage growth companies
• Venture Capital
• Private Equity
• Preferred Equity
• Convertible Debt
• Debt

Northland's team has significant market experience, broad knowledge of not only the markets, but also of the institutional investors in these channels, and a track record of success. The results we achieve are testament to the thorough nature of our research, and a focus on the needs of our clients.

Merger & Acquisitions

Northland's team of M&A professionals provide comprehensive financial and strategic advisory services to both publicly traded and privately held companies.

Our M&A Activities Include:

• Sell-Side and Corporate Divestitures
• Mergers and Acquisitions
• Strategic Alternatives Review
• Shareholder Rights Plans and Activist Advisory
• Fairness Opinions
• Dutch Auction Tenders

Our team of senior advisors works closely with management teams and the Board of Directors to ensure that we run an efficient and thorough process for every engagement.

Jeff Peterson

Director of Investment Banking
612-851-5966
jpeterson@northlandsecurities.com

Jeff Peterson joined Northland Securities in 2010 as Director of Investment Banking. He has more than 13 years of investment banking experience providing financing and merger and acquisition advice for a number of leading growth companies. Mr. Peterson has completed more than 80 transactions in his career totaling more than $8.5 billion in value. Prior to joining Northland Securities, Mr. Peterson worked with the Investment Banking Groups at Craig-Hallum Capital Group, RBC Capital Markets and Wessels, Arnold & Henderson.

He is also founder and Managing Partner of Pinnacle Investment Group, which is an alternative asset management firm that invests in private, micro-cap and small-cap emerging growth companies. Mr. Peterson received a B.A. from St. John’s University.

Robert Castle

Managing Director
Investment Banking
612-851-4965
rcastle@northlandsecurities.com

Robert Castle is Managing Director in the investment banking group. Mr. Castle has nearly 15 years experience in the financial services industry.  Initially as a financial advisor for Morgan Stanley, Mr. Castle was involved in working with middle-market companies as it pertains to their cash management and investments needs as well as those of individual financial investors.  Subsequently, for Conseco Finance he became a lender and purchaser of mortgage related assets, where he was involved in acquisitions, credit analytics, due diligence and structured finance.

For nearly the past ten years, Mr. Castle has been leading transactions on behalf of clients as a senior investment banker for RBC Capital Markets Corporation and Piper Jaffray & Co.  During this time period, Mr. Castle has completed in excess of 80 mergers and acquisition and financing transactions, totaling in excess of $31.0 billion in transaction value.   He is involved in a comprehensive range of investment banking activities, including public and private offerings of equities and debt securities, mergers and other financial advisory assignments.

Mr. Castle holds a Masters of Business Degree in Finance from the University of St. Thomas and a Bachelor of Science from the University of Minnesota.  He has been a key speaker at industry sponsored events and currently serves on the Board of Directors for The Tesseract School.

John R. Larson

Senior Vice President
Corporate Finance
612-851-5912
jlarson@northlandsecurities.com

Mr. Larson has over 30 year's experience in the securities industry. Initially as a securities regulator, as the Commissioner of Securities for the State of Minnesota, Mr. Larson was involved in a complete understanding of the securities regulatory environment. Subsequent thereto, Mr. Larson's practice was almost exclusively in the securities industry, representing issuers, broker/dealers, underwriters, funds, and trustees in all types of transactions, including private placements and public offerings of debt and equity issues, mergers and acquisitions, taxable and tax-exempt issues, defaults and workouts.

For the past 10 years, Mr. Larson has also been involved in starting new companies and investing in early and mid-stage companies as Managing Director and Principal of Clique Capital, a venture capital group, with over $25 million in equity investments. His responsibilities include review of business plans, due diligence, structuring term sheets, document preparation, and investment oversight.

Mr. Larson has served on a number of Boards of Directors, including Proliferon, Advanced Materials, Vascular Genetics, Armada Media Corporation, and Northland Securities. He is currently a Director of Corautus Genetics, Inc., a NASDAQ company (VEGF).

Shawn D. Messner

Vice President
Investment Banking
(612) 851-4989
smessner@northlandsecurities.com

Mr. Messner is Vice President of Investment Banking with an emphasis on alternative energy. Prior to joining Northland Securities Mr. Messner was the managing director of capital markets at Delphi Financial, a boutique investment banking firm in Minneapolis.

Prior to Delphi Financial Mr. Messner was an Assistant Vice President with Piper Jaffray Companies. While at Piper Jaffray he worked in the investment banking and institutional sales group with an emphasis on placing private debt — placing more than a billion ($1B) in private and public debt annually. Mr. Messner also worked as a venture capital analyst at Sherpa Partners, LLC — with an emphasis on medical device technologies. Mr. Messner began his career with Morgan Stanley as an Account Executive where he focused on managing pension investment portfolios.

After serving in the U.S. Navy Mr. Messner obtained a BA in Finance from Augsburg College and a MBA in Finance from the Carlson School of Management, University of Minnesota.