Founded in 1999 and headquartered in New York, FivePoints Compliance, Inc. (“FivePoints” or the “Company”) is an innovative leader of messaging compliance and archival solutions for the financial services industry. Providing a comprehensive suite of outsourced and hosted messaging & compliance services from email, enterprise instant messaging, surveillance, discovery, archival and storage, the Company has quickly emerged as one of the early leaders helping companies respond to regulatory mandates imposed by the SEC, NASD and Sarbanes-Oxley.

TripleTree engaged with the Company’s leadership team to provide strategic and financial advisory services including the exploration of a possible strategic alignment/sale. The Company selected TripleTree as its advisory firm due to its in-depth knowledge of outsourcing, Software as a Service and application hosting, and understanding & interest in compliance trends. Leveraging expertise in these sectors, TripleTree provided the following services:

• Identified and contacted 30 different acquisition candidates across managed services and IT security, financial services technology, and enterprise storage technology;

• Provided customized materials and positioning highlighting the key benefits of the Company’s core capabilities in a market redefining opportunity with each of the strategic acquirers and emerging technology companies;

• Engaged 12 different parties in detailed discussions about the unique fit and market expansion opportunity existing between the two firms; and

• Helped to drive a competitive process including receipt of multiple offers for consideration.
  

TripleTree is a boutique investment bank that specializes in mergers and acquisitions, raising capital, and providing financial advisory services to businesses in the technology, business services, and healthcare industries with a hands-on approach. An investment bank and an industry thought leader, TripleTree knows how to plan a successful campaign and how important it is to find the right partner – a partner that will strategically complement the Company’s offerings, as well as to form a team that is motivated along similar strategic directives.

FivePoints management and its shareholders ultimately decided to partner with venture-backed mindSHIFT Technologies, which is a leading Managed Services Provider (MSP) offering managed services, VoIP and professional services to small- and medium-sized organizations and law firms. The combination of the two brings FivePoints strength in compliance and electronic discovery services together with mindSHIFT’s competencies and expertise as a full-suite outsourced managed services provider. The transaction closed in January 2007.

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