Bregal Sagemount Announces Strategic Growth Investment in Optima Partners

NEW YORK, NY, July 12, 2022 – Bregal Sagemount (“Sagemount”), a leading growth-focused private equity firm, today announced a strategic growth investment in Optima Partners Holdings (“Optima” or the “Company”), a leading provider of specialized compliance advisory services to the investment management industry in the United States, United Kingdom, and Hong Kong.

Headquartered in New York City, Optima provides clients with a broad suite of outsourced compliance services to help them remain compliant with relevant regulatory bodies and major regulatory and legislative regimes. With approximately 1,000 clients, Optima’s global team of regulatory and compliance experts provides customized services tailored to each client’s individual needs. The Company has established itself as a market leader, partnering with its client base to support them anywhere from initial registration and policy development, to becoming their trusted long-term regulatory partner.

“As regulation continues to evolve on a global scale and investors become ever more demanding, having effective regulatory compliance systems and controls is not just a necessity, but a marketing tool for a successful investment business,” said Jonathan Saxton, Founder and CEO of Optima. “We first met Sagemount in 2017 and believe the team truly understands and supports Optima’s mission. This growth investment will allow us to continually enhance and grow our service offerings without sacrificing what we have become best known for, our ability to provide best-in-class service to our clients.”

Gene Yoon, Managing Partner and Founder of Sagemount said, “Like so many of Optima’s alternative investment clients, we at Sagemount are acutely aware of the burden of ever-increasing regulatory demands.” Pavan Tripathi, Partner at Sagemount added, “With their diverse team of industry experts, global and local regulatory expertise, and strong industry relationships, Optima has become an essential partner for their clients. We are excited to work with Jonathan and the Optima team to help support the Company in its next stage of growth.”

Sagemount’s investment was led by Gene Yoon, Pavan Tripathi, Will Breskman, and Nihar Sheth. Goodwin Procter served as legal counsel to Sagemount and Malek Moss served as legal counsel to Optima. SVB Securities served as financial advisor to Sagemount.

About Optima Partners

Optima is a leading global regulatory compliance and risk management advisory firm providing services tailored to clients' individual needs. The firm provides a truly global service locally, achieved by ensuring that its industry recognized experts work closely with a diverse group of clients, ranging from hedge funds, private equity firms, wealth managers, and other SEC registrants. Optima's expertise in the global regulatory landscape, strong relationships with regulators, and a deep commitment to provide clear and practical advice gives clients the services they need to meet the demands of a complex and dynamic financial regulatory environment. The firm currently advises approximately 1,000 clients across its global offices in New York, London, San Francisco, Chicago, Miami, and Hong Kong. For more information on Optima, go to the firm's website at www.optima-partners.com.

About Sagemount

Bregal Sagemount is a leading growth-focused private capital firm with more than $5.5 billion of capital raised. The firm provides flexible capital and strategic assistance to market-leading companies in high-growth sectors across a wide variety of transaction situations. Bregal Sagemount has invested in over 60 companies in a variety of sectors including software, financial technology & specialty finance, digital infrastructure, healthcare IT, and business & consumer services. The firm has offices in New York, Dallas, and Redwood City.

For more information, visit the Sagemount website: www.sagemount.com or follow us on LinkedIn.

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