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Morgan Stanley Smith Barney’s Capital Strategies Group Wins Award for Middle-Market Financing Deal of the Year


Morgan Stanley Smith Barney announced today that the Firm’s Capital Strategies Group has won the Middle-Market M&A Financing Deal of the Year Award, bestowed by The M&A Advisor.

The M&A Advisor facilitates connections and recognizes achievement in the top performers of the M&A, turnaround and financing industries. The Capital Strategies Group won the award for its work on the recapitalization of Brook & Whittle Limited by Charter Oak Equity LP and RFE Investment Partners.

“In these tough economic times we should applaud firms that have stepped up to the plate to make important middle-market deals possible,” said Roger Aguinaldo, CEO of The M&A Advisor. “All middle-market financing award recipients, both multi-national and boutique-sized, are true industry leaders and it is our honor to recognize them.”

Morgan Stanley Smith Barney Executive Director Ted Polk and Vice President Matt De La O were the lead bankers on the transaction that paired Brook & Whittle with the two private equity firms. The Capital Strategies Group (then operating as Citi Capital Strategies) served as the exclusive financial advisor to Brook & Whittle. Brook & Whittle is a premier printer of decorative label solutions for beverage and personal care product companies. The company’s customers include the world’s largest producers of soft drinks, wines, spirits, and personal care products and represent some of the most well-known and respected brands.

“We are honored that our work is recognized as outstanding in our industry,” said Brian Keane, head of the Capital Strategies Group at Morgan Stanley Smith Barney. “More importantly, we are pleased that our work continues to produce positive results for our clients.”

Award recipients were selected by an independent panel of judges representing a cross-section of the M&A industry. Transactions had to close between April 1, 2008 and March 31, 2009 with a transaction value of between $10 million and $1 billion. Judging was based on several criteria, including quantitative factors such as transaction value, impact on shareholder/company value and market share. Qualitative considerations included impact of the transaction on the market/industry, ingenuity in structuring and/or negotiations, diligence and perseverance in consummating the deal and other unique attributes.

The Capital Strategies Group of Morgan Stanley Smith Barney is dedicated to serving the needs of closely held and family owned businesses. The Capital Strategies Group specializes in mergers, acquisitions, recapitalizations, ESOPs, and capital solutions for private businesses.

Morgan Stanley Smith Barney, a global leader in wealth management, provides access to a wide range of products and services to individuals, businesses and institutions, including brokerage and investment advisory services, financial and wealth planning, credit and lending, cash management, annuities and insurance, retirement and trust services.

Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm’s employees serve clients worldwide including corporations, governments, institutions and individuals from more than 1,200 offices in 37 countries. For further information about Morgan Stanley, please visit


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