Aethlon (pronounced ATH-lon) is a Minneapolis-based investment bank specializing in mergers & acquisitions, growth capital, and strategic advisory services for privately held companies.
We’re defined by our people. Our senior team brings decades of M&A, capital-raising, and operating experience across industries:
- Sima Griffith – Co-Founder & Managing Principal; more than 25 years advising entrepreneurs and family-owned businesses.
- Joe Phillips – Former 3M and Imation executive who led $800M+ in M&A and venture investments.
- Marc Belton – Former EVP at General Mills, recognized for global strategy, growth, and brand innovation.
- Mark Greene – Former CEO of FICO, with leadership experience at IBM and the Federal Reserve; active on multiple private-equity boards.
- Kian Roy – Associate supporting clients with valuation, analysis, buyer research, and process execution.
At Aethlon, the team you meet is the team you get—working side by side with clients from first conversation through closing.
We focus on privately held, middle-market companies with $20M–$200M in revenue.
We are generalists with expertise in manufacturing, consumer, technology, services, and logistics.
Large banks often pitch with senior leaders, then hand the work to juniors. At Aethlon, “who you see is who you get” — our senior team stays engaged from start to finish.
We’re headquartered in Minneapolis, with a strong Midwestern focus and clients nationwide.
Aethlon Capital is a FINRA-registered broker-dealer, authorized to advise on and execute securities transactions under a comprehensive regulatory framework. Registration with FINRA requires firms to meet strict standards for compliance, supervision, financial responsibility, and ongoing oversight. For our clients, this means every engagement is conducted with transparency, integrity, and accountability, in line with the standards applied to the nation’s leading financial institutions.
We focus on middle-market companies with $20M–$200M in revenue.
Aethlon guides business owners through a structured, competitive, and transparent sale process designed to maximize value and ensure a smooth transaction from preparation through closing, including:
Documenting company strengths and prospects – We define your market positioning and develop messaging that clearly communicates the company’s strengths and future upside to buyers.
Generate enthusiasm from qualified buyers – We create compelling materials and present your story to the right buyer pool.
Create a competitive bidding environment – We manage a targeted outreach process to drive strong offers and maintain negotiating leverage.
Meetings with qualified buyers – We prepare you for discussions and manage communication to ensure buyers understand the value of the business.
Evaluate buyers and finalize Letters of Intent (LOIs)– We assess credibility, fit, structure, and valuation to help you select the best partner to move forward with.
Manage due diligence, complete definitive agreements, and close – We coordinate diligence and documentation to keep momentum and reach a successful closing.
Most processes run 6–12 months.
We tailor our outreach based on each client’s objectives. For some, that means engaging a broad network of strategic buyers, private equity firms, and family offices. For others, it’s a more targeted approach focused on select, high-fit partners. In both cases, we draw on our proprietary database of 3,000+ active buyers and investors.
Our fees include a retainer plus a success fee (paid only at closing). This aligns our incentives with your outcome while covering the resources needed to run a disciplined process.
If you’re considering a sale, raising capital, or exploring options, we’d welcome a confidential conversation. Reach out and let’s discuss how we can help achieve the right outcome for you.
