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ISSUE 001SUMMER 2026

PE-2PRIVATE EQUITY CHAPTER 3 OF 11REVIEWED 2026-07-31

Investment criteria: what deserves deeper work

Screen companies through business quality, downside resilience, price, financing, control, value creation, and fit with the firm’s actual size and strategy.

A screen that ignores the fund’s strategy can make the same company look attractive or impossible for the wrong reasons.

WHAT THIS CHAPTER TEACHES

  • Evaluate customer value, retention, pricing power, unit economics, cyclicality, concentration, regulation, technology risk, and cash durability.
  • Test whether the company fits the fund’s sector, geography, ownership requirement, equity check, enterprise value, leverage capacity, and hold period.
  • For middle-market companies, pay particular attention to management depth, reporting quality, customer concentration, systems, founder dependence, add-on integration, and professionalization needs.
  • For large-cap transactions, pay particular attention to regulatory approvals, financing scale, carve-out or international complexity, stakeholder management, pension or legacy liabilities, and transformation execution.
  • A value-creation plan needs owners, timing, cost, evidence, operating capacity, and a direct bridge into the model.
  • Run base, upside, and downside returns and identify assumptions outside the sponsor’s control.

The same criterion changes with scale

Management: In a founder-owned middle-market company, the question may be whether the team can operate without the founder. In a large enterprise, the question may be whether a complex transformation can be governed across divisions and countries.

Data: In the middle market, the team may need to reconstruct customer or margin data. In a large-cap deal, the data may exist but require extensive reconciliation across systems and entities.

M&A: A middle-market thesis may depend on many add-ons. A large-cap thesis may depend on a major carve-out, strategic combination, or global portfolio reshaping.

Screening output

End the first screen with one of three decisions: reject, monitor, or advance. State the reason, the one or two questions that control the answer, and the evidence needed at the next gate.

Mandate fit comes before company quality

A high-quality company may not fit the fund’s sector, geography, ownership, equity check, leverage, return target, or time horizon. The first screen should determine whether the opportunity can belong in the portfolio before spending resources on a full investment case.

Business quality

Review customer need, market structure, competitive advantage, recurring behavior, pricing power, unit economics, cyclicality, concentration, regulation, technology, capital intensity, and cash conversion. The analysis should identify the mechanism of durability rather than label the company “defensible.”

Transaction context

Ask why the seller is acting, how the process is organized, what information is available, who else can bid, and which terms matter beyond price. Founder succession, corporate divestiture, sponsor exit, public-market pressure, and distress create different risks and negotiation dynamics.

Management and organization

Determine whether the current team can execute the plan, which positions are missing, how incentives work, and whether the organization has reliable reporting and accountability. In a founder-owned company, the thesis may require institutionalizing relationships and decisions that currently reside with one person.

Cash and leverage

Analyze revenue stability, EBITDA quality, working capital, capex, taxes, fixed charges, seasonality, customer loss, and downside liquidity. Debt capacity is a cash-flow conclusion, not an industry multiple copied into the model.

Value creation

A value-creation thesis can include pricing, sales productivity, procurement, operations, working capital, management upgrades, systems, product expansion, geography, add-on acquisitions, or capital structure. Each initiative needs an owner, cost, timing, measurable impact, dependency, and leading indicator.

Price and terms

Separate business quality from investment quality. Entry price, rollover, seller financing, earnouts, indemnity, representations and warranties insurance, financing certainty, governance, and closing conditions can change the risk–return profile.

Scale-specific diligence

A middle-market screen may emphasize customer concentration, founder dependence, basic systems, management depth, and integration capacity. A large-cap screen may emphasize antitrust, financing markets, carve-out separation, international regulation, pensions, data migration, and stakeholder complexity.

The initial decision

End with reject, monitor, or advance. State the controlling reason, the few questions that determine the next gate, the maximum resources justified, and the evidence required before a price or bid can be approved.

CURRENT AS OF 2026-07-31

Current value-creation materials from large sponsors explicitly connect diligence with operational planning. Screening should therefore include whether the proposed initiatives are executable, not only whether a spreadsheet can produce the return.

SOURCES

  1. 01Investor.gov: Private Equity Funds
  2. 02Audax Private Equity: Middle-market strategy and investment criteria
  3. 03Audax Private Equity: Buy & Build approach
  4. 04KKR: Private Equity strategies, including middle market
  5. 05Blackstone: Private Equity and disciplined due diligence
  6. 06KKR Capstone: Operational diligence and value creation
  7. 07ILPA: Due Diligence Questionnaire
  8. 08SEC: Private Fund Adviser Rules vacatur
  9. 09SEC: Form PF compliance date
  10. 10KKR — Value Creation in Private Equity
  11. 11SEC — Private Fund Advisers
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