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.
Process Steps:
Step 1: Documenting company strengths and prospects
- Describing market positioning
- Developing messaging that clearly communicates company strengths to buyers
- Highlighting future upside potential
Step 2: Generating enthusiasm from qualified buyers
- Creating compelling marketing materials
- Presenting company story to the right buyer pool
Step 3: Creating a competitive bidding environment
- Managing targeted outreach process
- Driving strong offers
- Maintaining negotiating leverage
Step 4: Meetings with qualified buyers
- Preparing business owners for discussions
- Managing communication with buyers
- Ensuring buyers understand the business value
Step 5: Evaluating buyers and finalize Letters of Intent (LOIs)
- Assessing buyer credibility
- Evaluating fit, structure, and valuation
- Helping select the best partner to move forward with
Step 6: Managing due diligence, complete definitive agreements, and close
- Coordinating diligence process
- Negotiating purchase agreements and closing documents
- Maintaining momentum to reach 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.
