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Alpha Secondary Fund

Delivering liquidity solutions to innovators and pioneers:

Long-term partnerships that advance innovation and impact

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About

Delivering Win-Win Outcomes

We are a pure-play direct secondaries investor. We leverage our entrepreneurial DNA to engage with shareholders in leading private companies and provide them with creative liquidity solutions. We are industry agnostic and focused on advancing companies and founders that are making a positive impact on the communities, industries, and ecosystems in which they operate.

Leadership Team

Sustainable Investing

Driving Returns and Impact

25 Investments across Funds I & II with alignment to Sustainable Development Goals
9 Portfolio companies with diverse leadership teams
11 Investments aiding in the development of small businesses
4 Portfolio companies improving access to healthcare

At Alpha, we provide liquidity solutions for entrepreneurs, early investors, and employees involved in companies that provide disruptive solutions and services to improve resiliency, equity, access, and sustainability for all.

Note
Data is current as of October 1, 2020. Past performance is not indicative of future results. Target metrics are only indicative of the sustainability goals Alpha Fund III seeks to achieve.

Track Record

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Agility and Innovation

Alpha believes continuous innovation is needed to improve all aspects of our lives. We partner with entrepreneurs that are creating market-leading solutions to enable a better future for our communities. Each new transaction is the beginning of a long partnership across multiple ventures led by these entrepreneurs.

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Environmental, Social, and Governance (ESG) Policy

Commitment to ESG

As a fiduciary seeking preserve capital and achieve long-term value creation, we promote ESG understanding and accountability throughout the firm. At Mercato, we focus on responsible investment practices and the stewardship of capital at all stages of the investment process. We believe incorporating ESG considerations into our business practices and decision processes can sharpen our ability to identify potential risks and opportunities and create sustainable value for our stakeholders and portfolio companies. Our investment professionals are responsible for managing and instilling the guiding principles of our ESG policy across our portfolio companies.

We regularly revisit and update our ESG Policy to ensure that it evolves with changes in industry demands and regulations. Our Compliance Team provides oversight and ensures that employees at Mercato adhere to our ESG policy.

Embedding ESG into our business activities

At Mercato Partners, our commitment to ESG reflects our core values. We apply a set of general guiding principles to our daily activities within the firm and interactions with all external stakeholders and the communities in which we operate.

Environmental

  • We endeavor continuously to improve the environmental responsibility and energy efficiency of our headquarters and the workspaces of our portfolio companies.
  • Where feasible, we support the procurement and use of materials produced in a responsible manner.

Social

  • Encourage honesty, integrity, fairness, and meritocracy across the firm.
  • Ensure proper labor and working conditions to safeguard the health and safety of Mercato employees and employees at Mercato portfolio companies.
  • Promote the development of the communities in which we work and live. We encourage and support our employees who volunteer their time to community-centered activities.

Governance

  • Provide investors with relevant, transparent, and timely reporting regarding their investments.
  • Support the implementation of a well-defined governance structure, with appropriate checks and balances at the firm and our portfolio companies.
  • Ensure that staff is bound by an ethical code of conduct that requires the highest ethical standards and protects our investors’ interests.

Embedding ESG into our investment process

We are fiduciaries to our investors and custodians of the businesses in which we invest. At Mercato Partners, we work to embed ESG considerations in all aspects of our investment process, from the original investment selection to the subsequent value creation, and ultimately, the exit, where applicable.

  • During due diligence, the Investment Teams seek to identify potential ESG risks including but not limited to: environmental, labor relations, human rights, community responsibilities, and corruption.
  • After investing in a portfolio company, the investment professionals will guide the business’ ESG compliance and adoption and, where relevant, monitor standards relating to reporting and financial controls, worker health and safety, cyber security, and environmental matters etc.

Mercato Partners will not knowingly invest in companies not compliant with all the relevant laws governing their activities. We will categorically exclude investments that benefit from or engage in the sex trade, human-trafficking, child labor, forced labor, and non-OFAC compliance. Mercato Partners takes a cautious approach to companies that are involved in [firearms/weapons manufacturing], where the business can be viewed as preying on vulnerable populations. We also eschew investments in industries such as alcohol, gambling, and tobacco.

Meeting our investors’ needs

As investment managers, we are dedicated to protecting the interests of our investors. We seek to deliver financial returns while giving our investors confidence that Mercato is a responsible manager committed to the broad and deep adoption of ESG priciples and practices. For firms with strategies explicitly seeking to deliver ‘impact’, Mercato provides investors with customized and transparent reporting to meet their specific measurement needs.