INVESTOR ORGANISATIONS FORUM ATTENDEE LISTING
A.G. Edwards & Co|
We're Not Just Strong - We're Thriving. Wachovia Securities has grown through the combination of more than 50 strong, client-focused firms, most recently A.G. Edwards. Headquartered in St. Louis, Mo., we are now the nation's second largest investment firm, caring for $1.1 trillion† in client assets. We've endured all kinds of markets over the years and we owe our success to one thing - staying focused on helping our clients succeed.
A National Investment Firm with a Regional Culture
As a nonbank affiliate of Wachovia Corporation (WB), we provide financial advisory, brokerage, asset management and other financial services by combining the capabilities of a large national investment firm with a culture more akin to that of the regional firms from which we've evolved.
Our Mission as an Investment Firm is to combine the strength and heritage of our firm with the insight, concern, and experience of our associates to give clients objective, individualized advice and service to help them achieve their long-term financial Goals.
|Allegiance Capital Corporation |
Allegiance Capital is a premier private investment bank that has properly been
described as "bringing Wall Street expertise to the middle market." The experience of our bankers, our research platforms, our global reach, our proven processes and procedures, our 38-year heritage and our commitment to integrity all combine to deliver an unsurpassed level of service to our clients.
|Andrew Garrett Inc |
Established in 1989, Andrew Garrett, Inc. is dedicated to providing the highest quality service, expert guidance and personal attention to each and every one of our clients.
Over the past 13 years, we have built our firm from a small boutique into a national branch network, offering our clients a full suite of investment products and services, including:- * Low-cost trade execution --- * Customized portfolio management
* Private asset management --- * Investment banking
Our firm is committed to excellence. That means that we hire the industry's best talent, provide them with state-of-the-art resources and stay in constant contact with our clients to ensure that your investment strategies are on target.
|Barron Partners |
Barron Partners LP is a private investment fund specializing in micro-cap companies. Barron has approximately $200 million in assets.
|Basic Investors Inc. |
Financial Information Services, Finance or Investment Information Services, Investment Banking, Investment and Mutual Fund Portfolio Management, Mutual Funds or Trust Managers available from Basic Investors, Inc. based in Melville, NY.
|Bearing Capital Solutions
As a financial planning and investment management firm, Bearing Capital provides flexible & innovative financial solutions for businesses, executives, professionals & families.
The firm provides advice and services to a wide range of clients in a professional and seamless manner.
|Birkelbach Investment Securities |
Birkelbach Investment Securities has provided a full range of brokerage services to investors since 1978. Through our correspondent relationship with Pershing LLC, a Bank of New York company ( holds $474 billion in customer assets), we offer superior safekeeping and execution services.
Combining these strengths with our personalized service, independent research and financial planning capabilities, we provide a desirable alternative to the standardized products and treatment typical of Wall Street. Most important of all, we offer a high level of attention to the needs of our customers.
|Black Diamond Advisors|
Black Diamond Advisors
166 Dunellen Avenue
Piscataway NJ 08854
Telephone: +1 718 3203 429
|BMA Securities |
BMA Securities is a FINRA member full service brokerage firm. Our staff of seasoned professionals offers expertise in all areas of financial services. BMA Securities is committed to giving dependable on time service, loyally, honestly and respectfully.
BMA Securities offers a wide array of financial services, which when appropriate can be fee based, depending upon your needs. Our most frequently used corporate and individual services include:-
Money Markets, Stocks, Bonds, Mutual Funds
Index Funds, IRAs, Pension Plans, Financial Planning
Market Making, Institutional Trading, Investment Banking
Initiate Quotations - Form 211, Consulting Services
Options, Insurance Products, Estate Planning
|Brean Murray & Company, Inc. |
Brean Murray, Carret & Co. is a full-service, boutique investment bank dedicated to small cap and emerging growth companies and those who invest in them.
As a research-driven securities firm, we are dedicated to delivering high quality investment banking services and investment ideas to our clients. We have served our corporate, institutional, and accredited clients for over three decades with the vision that through insight and diligence, we can help all of our clients reach their full growth potential.
Our sectors of expertise include:-
* China Small Cap
* Consumer Products and Retailing
* Healthcare and Biotechnology
Bretwood Capital Partners, LLC |
Founded in March 2004 the company is a minority and employee-owned investment management firm based in Atlanta, Georgia.
The professionals of the firm average 10 years of experience and three years together as a team at the firm.
Bretwood is a “Quantamental” Large Cap Investor focused on managing funds for institutional investors.
The firm places clients’ interests first.
|Brill Securities |
Brill Securities was founded in 1987 as a full-service brokerage firm with the mission to provide clients with the best strategic investments based on timely research and industry expertise.
Brill Securities, Inc. is registered as a broker-dealer with the Securities and Exchange Commission. Brill Securities accounts are cleared through J.P. Morgan Clearing Corp., an investment bank serving its clients' needs for over 200 years and headquartered in New York.
Through our affiliation with J.P. Morgan Clearing Corp., our clients are assured the highest level of protection while receiving personalized attention.
Brinson Advisors, the proprietary mutual fund arm of UBS PaineWebber. UBS is a premier global financial services firm offering wealth management, investment banking, asset management and business banking services to clients
|Bryant Park Capital, LLC
Relentless in the pursuit of maximizing value for our clients.
Founded in 1991, Bryant Park Capital (BPC) is an investment bank providing mergers and acquisitions and corporate finance advisory services to its clients.
Our principal relationships exist with companies having revenues between $25 and $500 million.
BPC professionals have a unique combination of experience, including experience in bulge-bracket investment banking, as principal investors, prior owners and operators of businesses.
BPC excels in providing M&A advisory and capital raising services for complex deal structures.
Our client driven focus and high quality standards have allowed us to consistently maximize value for our clients. Don't take our word for it. Just Ask Our Clients.
|Capital Assets Management, Inc
Established since 1997, Capital has provided corporate and private clients with financial consulting, corporate strategy, business development, and allied clients with public and private funding sources.
Capital Assets Management Inc. is located in the central district of Las Vegas, 4132 S. Rainbow Blvd. Suite 513 Nevada, USA.Capital Assets
|Capital Growth Financial
Capital Growth Financial
540 Madison Ave
New York, NY 10022
|Capital Inventures, Inc
Capital Inventures Inc
Capital Inventures, Inc
271 W 47th Street Apt 36b
New York NY 10036-1453
Security Broker/Dealer in New York, Security Brokers, Dealers, and Flotation Companies. Investment Banking.
|Capital West Securities
Capital West Securities: (Established in 1995):
We believe our integrity is our most important asset.
That's one of the most significant reasons behind our company's solid reputation as one of Oklahoma's leading full-service brokerage and municipal underwriting firms.
Capital West Securities is an Oklahoma-based full-service brokerage firm that includes Public Finance and Corporate Underwriting.
Capital West is the "small" firm with qualified professionals that have the freedom to work with the customer's unique circumstances and requirements using cutting edge technology, research services and account protection of a "big" firm through our clearing firm, RBC Correspondent Services, a division of RBC Global Markets Corporation.
Capital West is a member of the Financial Industry Regulatory Authority (FINRA) and the Security Investor Protection Corporation (SIPC). RBC Global Markets Corporation has purchased an additional policy that offers coverage in excess of the protection provided by SIPC up to $99.5 million of which $900,000 may be in cash.
|Centre Capital Advisors
Centre Capital Advisors is a member of NASD, the National Association of Security Dealer. NASD is a self regulatory organization of the securities industry responsible for the operation and regulation of the NASDQ stock market and over the counter markets.
It also administrates exams for the investments professionals, such as the series of 7 exams.
Centre Capital Advisors is a NASD registered broker dealer staffed by seasoned professionals focused on delivering Wall Street quality investment banking services to mid sized companies.
Their approach to client services is centered on a set of core values that are fundamental to their success as a business and as individuals.
They are alert and responsive to their client's needs, preferences and objectives. Open communication fosters trust and confidence.
Everyone, whether colleagues, clients, investors or counter parties is treated professionally and with respect, Honesty, strong values and the highest levels of ethical behavior are the basis for developing and maintaining the trust of their clients. Strong working relationships with both their colleagues and clients is critical to the success of their company. They strive to create an environment that promotes teamwork, hard work and loyalty.
Superior service, which their clients expect and deserve, cannot be achieved without taking pride in everything they do.
In this competitive environment, pride is one of the attributes that distinguishes their firm and puts them at the top of their game.
Centre Capital Advisors, with its seasoned team of professional advisors can guide you through every phase of the transaction. Having a third party that can provide objective advice at a time when emotions are generally high, can be the difference between success and disappointment.
Centre Capital Advisors can assist in all aspects of a transaction, including Evaluation of Strategic Alternatives, Identification of Potential Targets to Acquire, Identification of Potential Buyers in a Sales Transaction, Financial Valuation of Business to be Acquired or Sold and Assistance in the Due Diligence Process, Negotiation of Financial Terms and Definitive Agreements, Issuance of Fairness Opinion.
Centre Capital welcomes the opportunity to advise your company in its mission for enhancing shareholder value. Their mission statement is very simple to provide the highest quality of M and A advisory and capital raising services to mid sized companies, while maintaining the highest standards of client focus, ethical behavior and values.
|Charlton Capital Ltd. |
300 5 Ave SW Unit 2050
Calgary T2P 3C4, ALBERTA
Telephone: +1 403 509 1100
Chuck Charlton is President of Charlton Capital and was previously President of Charlton Securities.
He has over 30 years’ investment banking experience focused on the oil and natural gas industry as an analyst and corporate finance professional.
He has specialized in mergers and acquisitions, which have totaled over $1 billion, and in providing advisory services including valuations and fairness opinions.
His experience is complemented by his hands-on industry involvement, which provides his clients the benefits of a level of understanding that extends beyond that of the traditional investment banker.
|Chase Hanover Financial Services
To Be Advised
|Chatsworth Securities LLC
Chatsworth Securities LLC is an investment banking firm that provides a wide range of services to institutional clients. The principal areas of our business are advisory services and public and private capital raising. We have served as an advisor on both domestic and international M&A transactions, have raised capital for large and small companies, participated as an underwriter in several hundred equity public offerings, and raised over $2 billion for traditional and alternative money managers.
In addition we have been an underwriter in municipal bond underwritings and our municipal bond trading team activly trade a variety of issues.
Our professionals have substantial and successful experience in assisting major corporations, asset managers and entrepreneurial companies both domestically and internationally.
Chatsworth takes an integrated approach in its efforts to client needs to deliver superior results. Chatsworth joins people, ideas and capital to help clients achieve their objectives.
We believe our role is to act as partners to our clients and provide them with expert advice matched by first class execution. Our objective is to build long-term relationships and deliver superior value to our clients.
The firm, which traces its roots back to 1992, has professionals based in Greenwich and London.
Chatsworth also has strong affiliations with a number of firms that provide us with research, placement and banking capabilities.
|Citigroup Global Markets Inc
388 Greenwich St.
New York, NY 10013
Citigroup Global Markets (CGMI) is the brokerage and securities arm of banking behemoth Citigroup. The company provides brokerage, investment banking, and asset management services to businesses, governments, and individuals.
The investment bank expanded in Japan with its parent company's acquisition of a majority of Nikko Cordial in 2007.
Citigroup has offices in major cities in the Americas, Europe/Middle East/Africa, and Asia Pacific.
CGMI has venerable antecedents -- it is the successor to Salomon Smith Barney and operates as Smith Barney Investments, among other brands.
|Coastline Capital Partners
|Colony Park Financial
In today's world -- where large institutions dominate and trading decisions are made by computer -- the important element of personal service has often been lost.
Compared to some industry giants, we may be considered a small firm. We believe this is one of our many strengths.
Each client is important to us and is served by the personal touch of his or her own Colony Park Financial investment professional.
We understand that everyone has his own financial goals and aspirations, as well as a wide range of risk tolerance.
At Colony Park, we design strategies for our clients across the broad investor spectrum.
No investment firm is right for everyone. We feel strongly that the right firm for you is the one that can best help fulfill your particular needs -- through proper planning, insight, strategy, and care.
Consider Colony Park Financial -- where you are treated with respect and your business is highly valued.
|Commerce Securities Corp
710 N Post Oak Rd # 400
Houston, TX 77024
|CRC Investment Management
21 Birchall Drive
Haddonfield, NJ 08033-2709
Yichin Lee is an independent non-executive director of the Company.
He is also currently Managing Director of Giant Management Consulting, LLC.
Mr. Lee was a Founding Partner of CRC Investment Management, LLC.
Mr. Lee holds a doctorate degree in resource planning and management from Stanford University.
|Delwar Capital Management, LLC
Delwar Caiptal is a long/short fund which aims to produce superior risk-adjusted returns.
Our main focus is on the technology ,telecom and healthcare sectors. We are long biased and are always searching for compelling shorts. We do intensive detailed bottm-up fundamental company analysis.
We try to exploit valuation inefficiencies with an emphasis on intrinsic vs relative value. At the same time we look for companies with potential margins expansion, new product cycle, new market and revenue sources.
Delwar Capital adhere to discipline buy and sell strategies encompassing prudent risk management. We are versed in recognizing secular trends and catalysts and converting them into investment ideas.
|Deutsche Asset Management
Deutsche Asset Management
DB Advisors is the fiduciary institutional investment management business of Deutsche Bank's Asset Management division. We offer a broad range of investment strategies—spanning the risk / return spectrum—to our institutional clients worldwide.
Our institutional philosophy is based on two very fundamental, but equally important principles. First, as a fiduciary, DB Advisors always acts in the best interests of our institutional clients.
Second, as a business, DB Advisors commits to helping our clients fulfill their investment goals. Everything we do—from our global investment platform and broad research capabilities to our sophisticated risk management systems—is dedicated to this purpose.
|Dragonfly Capital Partners
Dragonfly Capital Partners, LLC is a registered broker-dealer member of the FINRA and SIPC
Investment Banking Services
Dragonfly Capital Partners, LLC, the broker/dealer subsidiary of Dragonfly Capital, is an investment banking firm serving small to middle-market companies primarily in North America.
We provide our clients the highest quality execution of private capital placements and merger and acquisition engagements.
We pride ourselves in our ability to create and initiate novel ideas that lead to significant transactions that enhance shareholder value.
We work with our clients to understand their needs, set objectives, evaluate strategic alternatives, establish parameters and execute transactions from inception through successful completion.
Meeting the investment banking needs of small to middle-market companies requires unique expertise and experience. Dragonfly Capital provides the expert investment banking services traditionally offered by major Wall Street firms to Fortune 500 companies.
Dragonfly Capital has earned an exceptional reputation for marketing highly attractive investment and acquisition opportunities.
As a result of its record, we have developed close relationships with numerous financial investors and strategic acquirers worldwide.
Consequently, Dragonfly Capital's clients benefit from its visibility in the industry by gaining access to a large and diverse network of institutional investors, financing sources, and acquisition-oriented companies.
Investment banking areas of focus include:-
• Corporate Finance
<• Mergers and Acquisitions/a>
|Dresdner Kleinwort Wasserstein
Advising clients, providing financing and supplying liquidity - that's the business of Dresdner Kleinwort, the investment banking division of Dresdner Bank AG and a member of Allianz.
We deliver the best solutions and best execution for our clients by encouraging our employees to question convention and think differently.
|DTB Capital Management
DTB Capital Management Group
|E Financial Services, Inc
E Financial Services
Welcome to E-Financial Services!
E-Financial Services.net is your connection to thousands of premium financial products and services from leading providers.
Whether you need to lower your mortgage payment or want to get a 30 second online credit card approval, you now have access to the best online offerings all in one place.
Shop and apply securely online all in one place!
You will have access to personal financial services such as Home Loans, Home Equity Loans, We have brought some the finest resources on the web to you. You can browse the services and pick the one that meets your needs.
|Edward Jones Co
Edward Jones and Co
For decades, we've believed in building relationships through face-to-face interaction, and adhering to a strategy of recommending quality investments that have proven themselves over time.
We understand that this approach might be considered unfashionable. But if it means helping our clients achieve their goals, whether for retirement, education, or just financial security, it's an approach we plan to stick to.
|Edward L. Moseley and Co.
Edward L. Moseley and Co
Edward L. Moseley and Co
3277 Roswell Rd NE
Atlanta, GA 30305
Telephone: +1 404-233-4025
|EH Capital Group, LLC
EH Capital Group is in the Investment Advice industry in New York with services allied to the exchange of securities or commodities.
650 5TH AVE
NEW YORK, NY 10019
Telephone: + 1 212 265-3000
|Emerald Investments Inc
EI is a boutique registered broker dealer whose principals have substantial experience in the financial services industry.
EI believes that our clients have the "best of both worlds" available to them in terms of the personal attention and service provided by our firm, and the financial strength and stability offered through our clearing firm Penson Financial Services.
Each client is unique with individual investment goals and objectives. Our size allows us to provide the personal attention you deserve.
At the same time we process all our transactions on a fully disclosed basis through our clearing firm Penson Financial Services which is a major clearing firm ranked in the top five nationally.
Penson is located in Dallas, Texas. All of our client accounts are opened on our books and maintained at Penson which among other things sends trade confirmations and statements to our clients.
|Ermus Capital Ventures, Ltd
Ermus Capital Ventures Company
320E 52nd Street
New York, 10022
Industry: Financial Services
|Fidelity Management & Research
No matter what kind of investor you are, Fidelity can help you make a smart move.
|GC Global Investment Group
GC-Global Capital Corp. is a publicly traded (TSX Venture Exchange - "GDE.A") Canadian merchant banking organization that focuses on providing a range of investment banking services to mico-cap and small-cap companies in North America in both the public and private markets.
Primarily, Global Capital provides bridge loan services (asset backed/collateralized financing) ranging from $300,000 to $3,000,000 to companies across many industries.
Global Capital takes a disciplined and systematic approach to investment and is guided by four core principles:-
* Capital Preservation
* Shareholder Value
* Secure Generation of Income
* Risk Management
These principles of investment have an application across many industries such as oil & gas, mining, real estate, manufacturing, financial services and technology and dictate how Global Capital conducts its business
|Glaubman, Rosenberg & Robotti Fund
Glaubman, Rosenberg & Robotti
Kirin Smith is the co-founder and managing partner of the Glaubman, Rosenberg & Robotti Fund L.P., a NY based hedge fund with a value focus.
|Goodrich Capital LLC
With our extensive operating background, we are able to effectively qualify the strategic significance of client businesses, risk adjust financial models as needed, and sure up operational issues. This enhances our ability to build a greater value perception and achieve more favorable transaction outcomes.
HUMAN CAPITAL SOLUTIONS:
Management is the pillar of a successful growth company. Through our in house Stanton Chase affiliate, one of the top ten international search firms, we are able to address management voids or add desired depth or expertise to Boards or Advisory Groups.
EMPHASIS ON VALUE CREATION:
We take a pro active approach in identifying opportunities for strategic partnerships, channel expansion and technology transfers to create added market value and transaction appeal.
A more robust business model can at times replace or lower the need for additional capital and its dilutive effect to stakeholders.
CONTINUITY OF SERVICE:
We are equipped to provide post transaction support in an advisory or Board capacity, as and if desired. The continuity can be a source of investor confidence, support implementation plans and provide a longer term sight line that can anticipate future requirements or opportunities.
|Hunter Wise Financial Group LLC
Hunter Wise is a specialized investment banking firm providing the highest quality level of institutional financing, merger and acquisition, divestiture and advisory services, for small to medium-sized public businesses, as well as selected middle market, privately-held companies.
Hunter Wise creates win-win corporate financial transactions because we have the knowledge, experience and long-term key relationships to create the ideal buyer-seller union or financing options.
We bring our decades of experience to your company. Whether it be debt, equity, or other strategic alternatives, Hunter Wise offers a financial solution for your firm. Our exceptional depth of professional expertise provides our clients with a broad spectrum of sophisticated capital markets, financial advisory services and attentive support.
And yet, we cater to your special needs with a hands-on team that is creative, responsive and responsible.
Because Hunter Wise focuses exclusively on small to medium-sized public businesses and carefully chosen late-stage privately-held companies, we provide a wide range of specially tailored services:
Private placements of equity, mezzanine capital and debt to finance growth, to assist in recapitalization and restructuring finance, including returning public companies to private ownership or to expand the shareholder base.
Mergers and Acquisitions, Divestitures
A client-controlled procedure that achieves optimal value for the company through business valuation, strategic marketing, solicitation and negotiation of offers, due diligence and closing advisory services.
From valuations and fairness opinions to strategic planning, we assist companies in recapitalization, merger and acquisition, divestiture or other alternative business financing. Our financial advisory services help tap into a worldwide network of talent and resources necessary to develop a client's vision, strengthen its strategic plan, access talent, pull strings, sew-up financing...and pave each step of the way for our client.
|Imlay Capital Management
An investment manager focused on building and managing low volatility, multi-manager portfolios that have little or no correlation to the broader debt and equity markets.
Ironwood Capital Management
One Market, Steuart Tower, Suite 2500
San Francisco, CA 94105
Telephone: + 1 415.777.2400
Facsimile: + 1 415.777.2600
|J P Morgan Securities
J P Morgan Securities/
J.P. Morgan Securities is the primary non-bank subsidiary of financial services giant JPMorgan Chase. It engages in investment banking activities in the US.
Its services include debt and equity underwriting, advice on mergers and acquisitions and restructuring, securities dealing and brokerage, and trade execution services, such as market making, equity derivatives, and structured investments, for institutional clients.
The firm also offers a broad array of economic and equity research. J.P. Morgan Securities is a member of the New York Stock Exchange.
|J P Morgan
J.P. Morgan is a leader in wholesale financial services, offering intelligent solutions across one of the most comprehensive global product platforms available.
We keep client objectives foremost in our minds, fostering long-term relationships. This combination of product strength, intellectual capital and character sets us apart as an industry leader.
J.P. Morgan serves one of the largest client franchises in the world. Our clients include corporations, institutional investors, hedge funds, governments and affluent individuals in more than 100 countries.
J.P. Morgan is part of JPMorgan Chase & Co. (NYSE: JPM), a global financial services firm with assets of $2.3 trillion.
The firm is a leader in investment banking, financial services for consumers, small business and commercial banking, financial transaction processing, asset management, and private equity. A component of the Dow Jones Industrial Average, JPMorgan Chase serves millions of clients and consumers under its J.P. Morgan and Chase, and WaMu brands.
|J.P. Turner & Company, LLC
Web: J.P. Turner
J.P. Turner is an independent brokerage, advisory services and investment banking firm that offers an array of products and services. Whether you are saving for your child's education, investing in your retirement or looking for alternative investment opportunities, our representatives will provide the information, insight and expertise you need to achieve your goals.
Tens of thousands of investors rely on the knowledge, experience and integrity of J.P. Turner. Find out what being number one feels like. At J.P. Turner our number one priority is you.
|Janis' Financial Services
5099 Edgewood Drive Provo, UT 84604-5612
Telephone: (801) 375-7826
|Janney Montgomery Scott
Established in 1832, Janney Montgomery Scott LLC provides comprehensive financial advice and superior service to individual, corporate and institutional investors.
A full-service, financial services firm, Janney is committed to providing our clients advice through a wealth management approach by focusing on the delivery of strategic financial plans that utilize a variety of financial products and services best suited to help meet their financial goals.
Janney is equally committed to providing our corporate, municipal and institutional clients objective advice for the successful execution of their unique business plans.
Janney provides advice and service to clients through a network of professionals in branch offices located along the east coast. Janney is an independently operated subsidiary of The Penn Mutual Life Insurance Company, one of the five largest mutual insurance companies in the nation based on capital, and is a member of the New York Stock Exchange, Financial Industry Regulatory Authority and the Securities Investor Protection Corporation.
At Janney, we build enduring client relationships based upon integrity, experience and trust by providing objective advice and superior service that lead our clients to the achievement of their financial goals.
Our Guiding Principles
* Focus on our clients. Clients are at the core of Janney’s existence and future and we will concentrate on quality advice and service to them everyday.
* Focus on excellence, respect and professional development.Empower our Financial Consultants, Managers and Associates to perform at their best and achieve professional satisfaction by providing an environment of engagement, education, respect and appreciation.
* Focus on ethics and quality. Ethical behavior is paramount, every day. Quality of service is second to none.
|Jefferies Inc (NYSE:JEF)
Web: Jefferies Inc
One firm. Every resource you need.
Your business is unique. And the level of service you receive should be just as exceptional. That's why, to help you find the right solution, we offer you the full range of investment banking capabilities and institutional brokerage resources, with unique investment ideas and innovative asset management strategies.
And our approach is to treat every challenge as unique – you'll find no cookie-cutter solutions here. Instead, you'll find an impressive track record of transactions, which cover the spectrum of complexity across practically every industry and every financial product.
As a global investment bank and institutional securities firm focused on growing and mid-sized companies and their investors, we seek to leverage our full-service platform to help you achieve your objectives.
|Kascko Investment Advisors
|Kimball & Cross Investment Mgt
Kimball & Cross has grown from its legacy as a partnership serving Massachusetts investors since 1881 into a global private equity investment banking, brokerage and asset management firm.
Throughout our history, Kimball & Cross has demonstrated a consistent focus on building client relationships for the long haul. The foundation of these relationships is our commitment to develop a strategic plan based on each client's unique investment objectives.
We embrace a process that serves the client's interests, not just by assisting the investor in determining those objectives and providing solutions to meet them, but also by continually monitoring the investments, markets and client circumstances and maintaining regular communication in order to see each client through to when they've met their stated objectives.
|Lane Capital Markets
Lane Capital Markets
Lane Capital Markets is a partnership Investment Bank focusing its activities on private companies and companies who would be characterized as Small and Micro-Cap public companies.
LCM believes that there are significant opportunities within these companies
for individual and institutional investors to participate in the growth, development and creation of value.
Lane Capital Markets is committed to providing bulge bracket investment banking
services to a clearly defined universe of private and small to micro-cap public companies. Our goal is to identify and assist these companies in:
Understanding the financing needs
Developing executable strategies
Securing capital needed for success
Langston Investments Inc
10210 E State Highway 243, Kaufman, TX 75142-8221
Telephone: +1 (972) 962-4892
Business Category: Closed-End Investment Office in Kaufman, TX
Industry (SIC): Unit Investment Trusts, Face-Amount Certificate Offices, and Closed-End Management Investment Offices
|LaSalle Street Securities, Inc
Like most top firms in this industry, LaSalle St. Securities offers a broad array of investment products, services and technology. But at the heart of LaSalle Street Securities is a group of seasoned professionals experienced to meet your needs.
LaSalle St. Securities is dedicated to your long-term success. We understand the nuances of the investment business as we put our knowledge to work for you every day.
This is our way of creating a value-added service while simultaneously building our business. Finding a new broker/dealer is a lot like getting married. If you and the prospective broker/dealer do not share similar philosophies, the relationship is bound to be troubled and probably short-lived.
You need to determine what issues and attributes are important to you. Move beyond focusing solely on payout, because payout without service will frustrate you and inhibit your ability to grow your business.
A prospective broker/dealer is going to thoroughly check you out, so you should plan to do the same. Find out as much as you can about the broker/dealer. Talk to wholesalers. Contact the FINRA. Visit the home office if at all possible.
LaSalle St. Securities clears through National Financial Services, LLC giving you access to a wide range of products and cutting edge technologies. Whether your interest lies with individual securities, options, wrap programs, syndicate offerings/IPO’s, or mutual funds and insurance, LaSalle St. Securities has a complete product line and back-office support to service your customer needs.
|Latham Capital Markets Group
Founded in 1934, Latham & Watkins has grown into a full-service international powerhouse with more than 2,300 attorneys in 28 offices around the world. The founders of Latham & Watkins instilled an ethic of hard work, commitment and quality that flourishes today and has nurtured the firm's dramatic growth into one of the world's premier business law firms.
With that growth, we have built internationally recognized practices in a wide spectrum of transactional, litigation, corporate and regulatory areas.
We have also received praise for our innovative approach to law firm management and for our pro bono work both on a local and global scale. Our success is grounded in our devotion to the collaborative process, which reaches across global offices and practices and draws upon our deep subject matter expertise, an abiding commitment to teamwork and a powerful tradition of creative lawyering.
Our departments are each recognized as leaders in the legal profession. Latham consistently ranks among the best transactional and finance practices in leading legal publications such as The American Lawyer, mergermarket, Chambers and Asia Legal Business and earns praise worldwide for work on high-profile and groundbreaking deals.
The firm has one of the largest and most sophisticated litigation practices in the world, offering expertise in a multitude of substantive areas.
Latham is one of the few firms to have been named in The American Lawyer's Litigation Department of the Year survey in 2004, 2006 and 2008. Our environmental practice has been at the forefront of this rapidly changing area for the last two decades and was named as the top firm in the world for environmental expertise by The International Who's Who in 2007.
The firm has a long and rich history in tax matters, dating back to founding partner Dana Latham, former Commissioner of the US Internal Revenue Service.
Latham's dedication to excellence extends to pro bono and public service. As a Signator to the Law Firm Pro Bono Challenge, we have a longstanding commitment to providing pro bono legal services, financial support and volunteer time to charitable organizations and to individuals most in need throughout the world.
For more information on the firm's most recent pro bono activities, please click on web page above. In addition, our attorneys, paralegals and staff devote significant time to a diverse array of worthy causes. From firmwide projects that comprise multiple offices to the individual contributions of members of the Latham family, these deeds impact our communities in enduring ways. Click here to view select community service activities made possible by our generous and civic-minded personnel.
|Lenox Hill Partners
Lenox Hill Partners LLC is a boutique consulting firm that works with small public and private companies in matters of finance, capital formulation, corporate structuring, mergers and acquisitions, alliance formation, operations, business development, public relations and strategy. We provide effective solutions that empower companies to grow and increase shareholder value.
Why Lenox Hill Partners?
Lenox Hill Partners brings critical insight and capabilities to your business. Our team will help you develop corporate finance strategies, negotiate deals, streamline operations, invigorate marketing efforts, improve sales and navigate Wall Street. We will help to position you for strong growth and potentially endless liquidity. We are committed to delivering results.
New York, NY
|Liberty Funds Group
Liberty Funds Group
Liberty Funds Group, Inc. (LFG) is a Texas based investment management firm that has focused on the managed futures and commodities industry for the past 25 years.
LFG is registered as a Commodity Pool Operator (CPO) and Commodity Trading Advisor (CTA) with the (Commodity Futures Trading Commission) CFTC and (National Futures Association (NFA), and is also registered with the SEC as an Investment Advisor.
|Philadelphia Securities Association
The Philadelphia Securities Association was founded to promote and provide a platform for the distribution of corporate and investment knowledge to its members, the maintenance of the highest ethical standards in the conduct of the investment business, and the encouragement of an association of good fellowship among various constituents in the Philadelphia investment and securities business.
The current resident membership is limited to 400 members. Membership includes all facets of the business including registered traders, portfolio managers and investment counselors. Philadelphia Securities AssociatioApproximately 40% of our membership is employed by "buy side", institutions such as banks, trust companies, insurance companies and advisory firms. The balance of our membership consists of, "sell side", analysts, traders and brokers from the brokerage industry.
|Renaissance Capital Group, Inc.
RENN Capital Group, Inc. is a Dallas, TX, based investment management firm that is registered as an Investment Adviser under the Investment Adviser's Act of 1940. RENN Capital Group was founded by Russell Cleveland who currently serves as President and Chief Executive.
Since 1973, RENN Capital Group or its predecessor companies has been engaged in the management of a series of investment partnerships, such partnerships being principally engaged in investing in publicly traded securities of emerging growth companies.
Currently, RENN Capital Group serves as Investment Adviser and/or Investment Manager to one United States closed-end fund, two Great Britain based investment trusts and one Great Britain based open-end mutual fund. As of February 15, 2008, the combined net asset values of these four entities exceeded US $325,000,000.
|Riverhead Capital Inc
|Roswell Capital Partners
* Roswell Capital Partners, LLC, a Georgia limited liability company, is a fund management company focused on private equity investments in small-cap publicly traded securities.
* Since 1994, its members have served in the Private Equity Markets as the Principal or Investment Banker for over 125 public companies
* The firm has a team of seasoned professionals with over 65 cumulative years of experience in the Private Equity Markets
* Roswell Capital’s Partners, Investment Team, in-house Analysts and in-house Legal Department have an emphasis on establishing long-term funding relationships; partnering with companies to the mutual benefit of each
Target Investment Profile
* We are focused on investing in growing OTC BB and Nasdaq Small Cap issuers with solid fundamentals
* We are seeking to Invest $2,000,000 to $5,000,000 per tranche with companies seeking a long-term funding partner and a strategic partner to support its growth
* We are committed to investing in companies with strong management who have the ability to execute its business plan upon the receipt of growth capital
* Roswell Capital Partners can provide strategic assistance to its portfolio companies in the following areas:
o Strategic Guidance on implementation of the Company’s business plan
o Legal and Securities related matters
o Executive Management and Board Recruitment
o Introduction to:-
+ Public Relations/Investor Relations Firms which can execute a strategy for building and maintaining an active interest in your company within the financial community
+ Corporate Relations Firms which can increase awareness of your company on Wall Street and to the investing public
+ SEC Attorneys
+ Market Makers
Example Equity Transactions by the Partners of Roswell Capital include:-
* Ancor Communications (acquired by Qlogic Corp Nasdaq NM: QLGC)
* Celgene (Nasdaq NM: CELG)
* Cellegy (Nasdaq NM: CLGY)
* Delta Petroleum (Nasdaq NM: DPTR)
* Patriot Scientific (OTC BB: PTSC)
* Peregrine Pharmaceuticals (Nasdaq SC: PPHM)
* Shopping.com (acquired by Compaq Computer)
* SuperGen (Nasdaq NM: SUPG)
|Royal Investments Inc
Sara Bejjani President
Royal Investments LLC
+ 1 646 651 3053 - +971 50 4828280 (Dubai)
160 Central Park South New York, NY 10019
|Sephora Capital Management
|Shochet Securities (NASDAQ SmallCap: SHOC)
Shochet Securities, a Boca Raton-based subsidiary of Shochet Holding Corp. (Nasdaq: SHOC), provides long-term financial planning, retirement and estate planning, investment and tax strategies, and a portfolio of financial and insurance products.
Founded in 1980, Shochet Securities operates six offices in South Florida.
|Smith Barney Investments|
Web: see Citigroup Global Marketswww.citigroup.com/
Citigroup Global Markets (CGMI) is the brokerage and securities arm of banking behemoth Citigroup. The company provides brokerage, investment banking, and asset management services to businesses, governments, and individuals.
The investment bank expanded in Japan with its parent company's acquisition of a majority of Nikko Cordial in 2007; it has offices in major cities in the Americas, Europe/Middle East/Africa, and Asia Pacific.
CGMI has venerable antecedents -- it is the successor to Salomon Smith Barney and operates as Smith Barney Investments, among other brands.
|Southridge Capital Management
Southridge Capital Management LLC Managed Funds Provide up to 1,000,000 Pounds Sterling to Raft International plc
Southridge Capital Management LLC ("Southridge"), a private investment firm that provides capital to growing enterprises internationally, is pleased to announce the completion of a financing facility of 1,000,000 pounds with Raft International plc ("Raft").
Raft (London AIM: RFT) is a leading provider of risk management solutions for the financial services and energy sectors with operations in Europe, the USA and Asia. Raft currently specializes in two risk management applications: raft credit for Credit Risk Management and raft radar for Operational Risk Management. Clients include American Electric Power, Constellation Energy, TXU, Barclays Capital, ABN Amro and Lloyds TSB.
David Priestly, Chairman and CEO of Raft, said, "We were looking for a financial partner who would be willing and able to provide us capital under cost efficient terms, to enhance our product offerings and expand our service area. We examined many opportunities and realized that Southridge was our best possible choice."
Stephen Hicks, Principal of Southridge, added, "We continue to rapidly expand our European business as we leverage our 9 years experience in the United States. We believe we understand the needs of small, rapidly growing companies. We are extremely pleased to assist Raft as they implement their business model. We hope to be associated with Raft for many years to come."
Since its founding in 1996, Southridge advised funds have provided approximately US$1 billion in growth capital to emerging companies globally. Southridge is committed to funding mid to micro-cap companies with robust business models across diverse industries.
Business Development & Marketing
Southridge Capital Management LLC
|State Street Research & Mgt Co |
Serving the specialized needs of institutional investors
With $14 trillion in assets under custody* and $1.7 trillion under management*, State Street is the world's leading provider of financial services to institutional investors.
Our broad and integrated range of services spans the entire investment spectrum, including research, investment management, trading services and investment servicing.
An industry leader
State Street has earned its reputation as a leader by successfully meeting the changing needs of our customers for more than 200 years. Today, we rank among the top financial service providers in all of the markets we serve.
* No. 1 provider of U.S. mutual fund custody and accounting services
* No. 1 servicer of U.S. pension plans
* No. 1 investment manager of institutional assets worldwide
* No. 1 investment manager of U.S. institutional tax-exempt assets
* No. 3 assets under management worldwide
* Leading custodian worldwide
* Leading offshore fund service provider worldwide
* Leading provider of securities finance services worldwide
|Stedman Walker, Ltd |
STEDMAN WALKER LTD is in the Management Consulting Services industry in NEW YORK, NY.
151 E 31ST ST
NEW YORK, NY 10016
Telephone: +1 212 448 0909
|Stock and Bond Club of South Florida
The Stock and Bond Club of South Florida is a leading association of financial and investment professionals in South Florida.
Our mission is to serve the profession by advocating best practices within the securities industry, while enhancing our members business and professional skills.
Our members network with their colleagues on a regular basis to share new investment opportunities, business development techniques, financial planning strategies and career prospects.
Monthly meetings are sponsored by highly regarded public companies seeking to share their story with qualified members of the financial community – including advisors, planners, brokers, analysts and the media.
|Sunrise Securities Corporation
Sunrise Securities Corp. is a New York City
based boutique investment bank.
Founded in 1992, Sunrise has been a leader in providing
innovative financing and corporate financial
advisory services to small to mid-size
Sunrise distinguishes itself in its
commitment to both its clients and to
The Shemano Group, Inc. raises private, institutional capital for public and private companies.
We consider our investors to be some of the preeminent sources of growth capital in the world.
Whatever the market conditions, our goal is to be able to successfully execute transactions favorable to our clients and investors.
We employ a dynamic, non-bureaucratic approach to investment banking that enables us to act quickly and responsively to our customers' needs.
|UBS Financial Services Inc
UBS is the world's largest private bank with approximately 3.0 Trillion US$ under management. UBS has the highest credit rating amongst financial institutions and has been actively engaged in helping restore liquidity to the markets in these difficult times.
|Westminster Securities Corp
About Westminster Securities
Westminster Securities Corporation was founded in 1971 to provide superior share trading execution services at competitive prices.
Initially serving only other broker-dealers via our presence on the floor of the New York Stock Exchange, we now also offer this same level of execution and trading services to public and private institutions and individual investors.
We are committed to expanding our service and product offering in order to meet the evolving needs of our international base of clients, reflecting the challenges and opportunities of today’s ever-changing global marketplace. To this end, we expanded our core activities into investment banking in 1987, providing a full range of advisory and financial services to both privately-held and publicly-traded companies regardless where they are based.
Our clearing services, which we introduced in 2002, were a natural next step based on the extensive execution and account management services we had been offering to non-US broker-dealers.
Our customers can now trade through Westminster to buy and sell securities on a wide variety of national markets in Europe, Asia and Latin America.
As a result of our growth, we have more than tripled our employee count over the past five years. We continue to add new services and products as opportunities arise and our valued customers let us know their needs. If you are interested in a service or product not described here, please contact us and we will work with you to meet your needs.
If you are interested in a service or product not described here, please contact us and we will work with you to meet your needs.
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