Ascendiant Capital Group LLC Ascendiant Securities LLC; Member FINRA & SIPC
|
|
- Chester Ferguson
- 8 years ago
- Views:
Transcription
1 about Ascendiant Capital Group LLC Ascendiant Securities LLC; Member FINRA & SIPC Investment capital and strategic guidance for publicly traded, emerging growth companies
2 about Established in 2001, Ascendiant provides investment capital and strategic guidance to publicly traded, emerging growth companies based in the United States and selected foreign markets. Ascendiant Capital Group LLC is a direct equity investor in small-cap and micro-cap publicly traded companies. Ascendiant Securities LLC, an investment bank, is registered with the U.S. Securities and Exchange Commission (SEC) as a broker-dealer, and is a member of the Financial Industry Regulatory Authority (FINRA) and Securities Investor Protection Corporation (SIPC). Ascendiant Structure Ascendiant Capital Group, LLC Principal Investing Placement Agent Ascendiant Capital Partners, LLC Ascendiant Opportunity Fund, LLC Ascendiant Securities, LLC Direct investor in public companies seeking growth capital. Direct investor in profitable private and public companies seeking growth capital. Investment bank registered as a broker-dealer with the SEC and a member of the FINRA & SIPC.
3 investment capital Ascendiant Capital Group LLC Ascendiant Capital Group LLC is a direct equity investor in publicly traded, emerging growth companies based in the United States and selected foreign markets. Ascendiant targets equity investments in small-cap and micro-cap publicly traded companies listed on the NYSE, NYSE Amex, NASDAQ, and the OTC markets, as well as selected foreign exchanges such as the Toronto Stock Exchange, TSX Venture Exchange, and the Australian Securities Exchange. Ascendiant invests its proprietary capital across a wide spectrum of industry sectors, and provides funding for a variety of purposes. Ascendiant Securities LLC Ascendiant Securities LLC, an investment bank, is registered as a broker-dealer with the U.S. Securities and Exchange Commission (SEC), and is a member of the Financial Industry Regulatory Authority (FINRA) and Securities Investor Protection Corporation (SIPC). Ascendiant Securities LLC provides placement agent and related advisory services to publicly traded emerging growth companies as well as institutional and accredited investors. During the past five years, Ascendiant Securities has completed over 60 financing transactions representing over $200 million, ranking Ascendiant Securities among the most active investment banks for small-cap and micro-cap companies, according to Sagient Research Systems and Private Raise. Capital for publicly traded emerging growth companies
4 recent transactions Page 1 of 4 $10,000,000 At-The Market Offering $3,000,000 Equity Commitment $5,000,000 Equity Commitment Debt Financing $1,300,000 $2,550,000 Debt Purchase $650,000 $728,000 $5,000,000 $5,000,000 $6,000,000 $5,000,000 $3,000,000 $600,000 Equity Commitment Equity Commitment Equity Commitment Equity Commitment Equity Commitment Desert Communications, Inc $400,000 $8,700,000 $6,475,000 $4,200,000 $4,000,000 $2,016, Von Karman Avenue, Suite 1600, Irvine, California USA Telephone (949) Facsimile (949) All Rights Reserved.
5 recent transactions Page 2 of 4 Desert Communications, Inc $1,827,5000 $1,680,000 $731,250 $500,000 $12,100,000 $1,800,000 $2,050, $1,500,000 $24,940,000 $1,000,000 $7,571,667 $1,300,000 $2,750,000 Registered Direct $1,000,000 $1,375,000 $275,000 $10,000,000 $15,000,000 Acquisition
6 recent transactions Page 3 of 4 $7,200,000 $5,000,000 $500,000 $400,000 $5,750,000 $1,250,000 Acquisition $2,750,000 $3,131,000 $500,000 $1,500,000 $1,500,000 $3,150,000 $1,000,000 Acquisition Acquisition 2008 _2008 $4,000,000 $2,250,000 $3,420,000 $3,500,000 $300,000 $1,850,000
7 recent transactions Page 4 of 4 $8,000,000 $4,500,000 $1,200,000 $3,400,000 $1,200,000 $2,200,000 $5,500,000 $1,100,000 $3,500,000
8 ascendiant advisory Business Strategy The Ascendiant team has many years of experience starting, managing, and operating companies as well as providing them with investment capital and strategic advice. Ascendiant assists its portfolio companies and clients with business strategy, including new product development, business development, and sales and marketing planning. Road Shows Ascendiant organizes institutional road shows for its public portfolio companies. The objective is to increase a company s visibility and exposure within the financial and investment community to achieve and maintain a fair market value for the company s publicly common stock, as well as to enhance and maintain trading volume and liquidity for shareholders. In addition to investment capital, Ascendiant provides strategic guidance and support to its portfolio companies and clients. Research Coverage Through Ascendiant s relationships with prominent, independent sell-side analysts, public companies have an opportunity for research coverage that will help elevate their visibility in the investment community. For public companies that are not yet able to garner independent research coverage, Ascendiant can make introductions to reputable analysts that offer research reports on a paid for basis. Market Making As an SEC registered broker-dealer and FINRA member, Ascendiant Securities LLC has relationships with other FINRA member firms that serve as market makers for public companies. Mergers & Acquisitions Over the years, the Ascendiant team has participated in hundreds of transactions involving mergers, acquisitions, joint ventures, and strategic alliances. For its portfolio companies typically working on the buy-side, Ascendiant seeks to assist with the identification and qualification of targets and the negotiation, structuring, due diligence, and closing of transactions. Going Public For private companies that are seeking to become public, Ascendiant assists with going public transactions including reverse mergers and direct registrations. Both are alternatives to underwritten initial public offerings. Introductions Ascendiant s portfolio companies and clients benefit from introductions Ascendiant makes to other professional advisory firms. Through years of experience working in the small-cap and micro-cap markets, Ascendiant has interacted with a large number of attorneys, accountants, auditors, market makers, research firms, investor relations firms, and other consultants that specialize in support services for public companies.
9 Mark Bergendahl and Bradley Wilhite - Founders and Executive Managing Directors principals Mr. Bergendahl and Mr. Wilhite founded Ascendiant Capital Group LLC, which is a direct equity investor in publicly traded, emerging growth companies, and Ascendiant Securities LLC, an investment bank registered with the U.S. Securities and Exchange Commission (SEC) as a broker-dealer and a member of the Financial Industry Regulatory Authority (FINRA) and Securities Investor Protection Corporation (SIPC). Additionally, Mr., Bergendahl and Mr. Wilhite founded two special purpose investment entities - Ascendiant Opportunity Fund I, LLC and Ascendiant P.E.T. Partners, LLC. Mr. Bergendahl has over twenty years of experience as a private investor, and in the development of early stage and high growth companies. He has managed a broad array of businesses from inception, through all phases of growth, to exit. Prior to founding Ascendiant in 2001, Mr. Bergendahl served as Chief Executive Officer of Redfield, Taylor & Associates, Inc., a private investment firm focused on emerging Mark Bergendahl growth companies, Managing Partner of Edie -Wig-BB, a California investment partnership, President of Gloria Marshall Figure Salons, Pty. Ltd., a national retail services weight loss company in Australia, comprised of 83 retail centers and 520 employees. Mr. Bergendahl also served as a Founding Director and private investor in Odyssey Sports, Inc., a golf equipment company which developed the Odyssey putter that attained #1 market share in the world, and was later sold for $130 million cash to Callaway Golf (NYSE: ELY). He began his professional career in the corporate finance department of Oppenheimer & Company, now CIBC World Markets, which has received recognition as the top-ranked equity research firm in North America. Mr. Bergendahl is a graduate of the Entrepreneurship Program at the University of Southern California in Los Angeles, California, and maintains FINRA Series 7, 24, 63, and 79 securities registrations. Mr. Wilhite has over twenty years of experience providing financing and advice to early stage, emerging growth, and lower middle market companies. He is skilled in a variety of equity and debt financing structures, business strategy, and mergers and acquisitions. Prior to founding Ascendiant in 2001, Mr. Wilhite had a decade of management experience with two of the nation's leading Bradley Wilhite commercial banking organizations, First Union Corporation (now part of Wells Fargo & Company; NYSE: WFC) and Fourth Financial Corporation (now part of Bank of America; NYSE: BAC). Mr. Wilhite served as a commercial banker providing financing to early stage, emerging growth, and lower middle market companies, and he directed several lines of business, managed successful product launches, and led merger and acquisition teams. Additionally, Mr. Wilhite previously served as President and Chief Executive Officer of a publicly traded golf equipment manufacturing company. Mr. Wilhite earned a Master s degree in Business Administration, and a Bachelor s degree in Business Administration from Texas Christian University (TCU) in Fort Worth, Texas. Mr. Wilhite also completed post-graduate training at the University of Chicago Graduate School of Business in Chicago, Illinois, and maintains FINRA Series 7, 24, 63, and 79 securities registrations Von Karman Avenue, Suite 1600, Irvine, California USA Telephone (949) Facsimile (949) All Rights Reserved
10 team Ascendiant s professional financial executives have successfully started, financed, managed, invested in, acquired, and sold businesses across a variety of industry sectors. Dr. Brian Davies Managing Director - Life Sciences Adam V. Anthony Senior Vice President Scott Arnold Vice President Michael Natter Managing Director Allen Blankenship Managing Director Dr. Davies is responsible for identifying and researching prospective investment opportunities with an emphasis in the Life Sciences, Biotechnology, Medical Diagnostics, and Medical Devices sectors. Mr. Anthony serves Ascendiant Capital Group LLC as a Senior Vice President, and is responsible for the oversight, leadership, and development of early stage and high growth businesses that are funded and supported by the firm. Mr. Arnold is responsible for researching and identifying prospective investment opportunities for Ascendiant Capital Group, LLC across a wide variety of industry sectors. Mr. Natter is responsible for identifying and researching prospective investment opportunities for Ascendiant Capital Group, LLC. Mr. Blankenship is responsible for identifying and researching prospective investment opportunities for Ascendiant Capital Group, LLC. Kellee Bergendahl Portfolio Manager Anthony Diamos Financial & Operations Principal Lena McCulloch Accounting Manager Natalie Dygert Office Manager Ms. Bergendahl is responsible for researching prospective investment opportunities for Ascendiant Capital Group LLC, as well as completing investment transactions and managing relationships with portfolio companies. Mr. Diamos is responsible for Ascendiant Securities, LLC s financial reporting as it pertains to the U.S. Securities and Exchange Commission and FINRA. Ms. McCulloch is responsible for Ascendiant's accounting and financial systems and reporting. Ms. Dygert is responsible for the firm s office operations and administration Von Karman Avenue, Suite 1600, Irvine, California Telephone (949) Facsimile (949) All Rights Reserved.
11 legal information INFORMATIONAL PURPOSES This brochure ( the brochure ) is designed for informational purposes only and does not constitute, (i) a solicitation or offer to buy or sell any securities or other financial instrument or to provide any investment advice or service, (ii) an official confirmation of any transaction, or (iii) an official, definitive, or binding statement of Ascendiant. COPYRIGHTS AND TRADEMARKS This brochure contains proprietary content which is the property of Ascendiant. Except as maybe expressly authorized, no information or material contained in this brochure may be reproduced, transmitted, displayed or commercially exploited without written consent. "Ascendiant" is a registered trademark and service mark. DISCLAIMER OF WARRANTY The information provided on this brochure is "AS IS" and is subject to change at any time. Ascendiant does not guarantee the accuracy, validity, timelessness, completeness or suitability of any information or data made available to you. Ascendiant also disclaims all warranties, expressed or implied, including, but not limited to, warranties of title, non-infringement, merchantability or fitness for a particular purpose. REGULATORY STATUS Ascendiant Securities LLC is registered as a broker-dealer with the U.S. Securities and Exchange Commission, and is a member of the FINRA (Financial Industry Regulatory Authority) and SIPC (Securities Investor Protection Corporation).
12 contact Ascendiant Capital Group LLC Ascendiant Securities LLC; Member FINRA & SIPC
Reverse Mergers Barry I. Grossman Ellenoff Grossman & Schole LLP
Reverse Mergers Barry I. Grossman Ellenoff Grossman & Schole LLP About EG&S Ellenoff Grossman & Schole LLP is a New York City-based law firm comprised of more than 65 professionals (30+ Securities Lawyers),
More informationInvestment Banking. Equity Capital Markets
Investment Banking Equity Capital Markets Raymond James Capital Markets Our mission is to remain a premier investment bank built on trust and relationships. We combine insightful, highquality research
More informationIPS RIA, LLC CRD No. 172840
IPS RIA, LLC CRD No. 172840 ADVISORY CLIENT BROCHURE 10000 N. Central Expressway Suite 1100 Dallas, Texas 75231 O: 214.443.2400 F: 214-443.2424 FORM ADV PART 2A BROCHURE 1/26/2015 This brochure provides
More informationBecoming a Publicly Trading Company Via Reverse Mergers and Self-Registrations
1345 AVENUE OF THE AMERCIAS, 11 th FLOOR NEW YORK, NEW YORK 10105 TELEPHONE: (212) 370-1300 FACSIMILE: (212) 370-7889 www.egsllp.com Becoming a Publicly Trading Company Via Reverse Mergers and Self-Registrations
More informationWTAS Valuation Services Group
WTAS Valuation Services Group Information & Overview March 2014 Presented to 1 Table of Contents I. WTAS Valuation Services Overview II. WTAS Overview III. Services Offering IV. Approach V. Professionals
More informationFinancing Options for Companies at Each Stage of Growth
Financing Options for Companies at Each Stage of Growth Nia Stefany Managing Partner Contents Introduction to Who We Are What is an Investment banker? Investment Bankers Value Proposition Investors Expectations
More informationAn Overview of Small Business Investment Company Funds. Jonathan Kivell Commerce Street Capital
An Overview of Small Business Investment Company Funds Jonathan Kivell Commerce Street Capital Disclaimer This presentation ( presentation ) is intended solely for the Recipient and has been prepared for
More informationFREQUENTLY ASKED QUESTIONS ABOUT BLOCK TRADE REPORTING REQUIREMENTS
FREQUENTLY ASKED QUESTIONS ABOUT BLOCK TRADE REPORTING REQUIREMENTS Block Trades and Distributions What is a block trade? Many people use the term block trade colloquially. Technically, a block trade is
More informationn Total Deal Value (millions USD) Number of Deals
North American Mid-Market, Q2 2015 Deals by Volume and Value Source: Zephyr $90,000 $80,000 $70,000 $60,000 $50,000 3500 3000 2500 2000 $40,000 $30,000 $20,000 $10,000 0 Q2 2013 Q3 2013 Q4 2013 Q1 2014
More informationPrivate Placements In Public Equity (PIPEs): Best Practices for FINRA Members 1
1345 AVENUE OF THE AMERICAS NEW YORK, NEW YORK 10105 TELEPHONE: (212) 370-1300 FACSIMILE: (212) 370-7889 www.egsllp.com Private Placements In Public Equity (PIPEs): Best Practices for FINRA Members 1 We
More informationRating Action: Moody's assigns A2 to Los Angeles County Capital Asset Leasing Corporation CA's equipment lease revenue bonds
Rating Action: Moody's assigns A2 to Los Angeles County Capital Asset Leasing Corporation CA's equipment lease revenue bonds Global Credit Research - 03 Jun 2014 Outlook is stable; $30 million in debt
More informationINSIGHT FINANCIAL ADVISORS 400 North Tustin Avenue, Suite 250 Santa Ana, CA 92705 (714) 541-1400 www.insightfa.com October 1, 2014
INSIGHT FINANCIAL ADVISORS 400 North Tustin Avenue, Suite 250 Santa Ana, CA 92705 (714) 541-1400 www.insightfa.com October 1, 2014 This Brochure provides information about the qualifications and business
More informationSECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported):
More informationArticles. SEC Adopts Rules to Allow Crowdfunding Beginning May 16, 2016. Alan Bickerstaff, Jeff C. Dodd and Ted Gilman December 2, 2015
SEC Adopts Rules to Allow Crowdfunding Beginning May 16, 2016 Alan Bickerstaff, Jeff C. Dodd and Ted Gilman December 2, 2015 Over two years after proposing rules, the Securities and Exchange Commission
More informationForm ADV Part 2A Firm Brochure. Calamus Financial Planning
Item 1: Cover Page Form ADV Part 2A Firm Brochure Calamus Financial Planning Thomas Edward Donnelly, JD, PFP Chief Compliance Officer Calamus Financial Planning 8440 Fountain Avenue PH 6 West Hollywood,
More informationFREQUENTLY ASKED QUESTIONS ABOUT BLOCK TRADE REPORTING REQUIREMENTS
FREQUENTLY ASKED QUESTIONS ABOUT BLOCK TRADE REPORTING REQUIREMENTS Block Trades and Distributions What is a block trade? Many people use the term block trade colloquially. Technically, a block trade is
More informationADVI Advisors, LLC 1050 K Street, NW Suite 340 Washington, DC 20001 Tel 202.509.0761. This brochure was last updated on March 18, 2014
ADVI Advisors, LLC 1050 K Street, NW Suite 340 Washington, DC 20001 Tel 202.509.0761 This brochure was last updated on March 18, 2014 This brochure provides information about the investment advisory qualifications
More informationGoing Public: Go Public Services, Reverse Merger and The Public Shell Information
Going Public: Go Public Services, Reverse Merger and The Public Shell Information Welcome to the Go Public Supersite & Going Public Portal offering information about reverse mergers, public shell corporations,
More informationHow To Invest In Pinyon Pine Capital
Overview Pinyon Pine Capital (PPC) is a registered investment advisory firm that began managing client accounts in March of 2011 PPC offers two investment strategies: long-only and hedged Primary Focus
More informationKey Points IBDs, RIAs and Advisors Need to Know
Review of the Department of Labor s (DOL) Final Definition of Fiduciary Key Points IBDs, RIAs and Advisors Need to Know Contents Three Key Points... 1 The Basic Framework of the Final Rule... 3 DOL s Final
More informationHow Securities Are Traded. Chapter 3
How Securities Are Traded Chapter 3 Primary vs. Secondary Security Sales Primary new issue issuer receives the proceeds from the sale first-time issue: IPO = issuer sells stock for the first time seasoned
More informationEQUITY RAISING ANNOUNCEMENT
EQUITY RAISING ANNOUNCEMENT MARKET RELEASE 21 NOVEMBER 2012 KEY POINTS Entitlement Offer to Raise up to A$80 million o 3 for 10 accelerated non renounceable entitlement offer to raise up to A$80 million
More informationTrends and Technology A Capital Markets Perspective
EQUITY I RESEARCH Trends and Technology A Capital Markets Perspective RBC Capital Markets, LLC Jonathan Atkin (Analyst) (415) 633-8589 jonathan.atkin@rbccm.com January 2013 All values in U.S. dollars unless
More informationINDEX METHODOLOGY MSCI REIT PREFERRED. Index Construction and Maintenance Methodology for the MSCI REIT Preferred Index.
INDEX METHODOLOGY MSCI REIT PREFERRED INDEX METHODOLOGY Index Construction and Maintenance Methodology for the MSCI REIT Preferred Index December 2014 DECEMBER 2014 CONTENTS 1 Introduction... 3 2 Defining
More informationInvestment Advisors. Form ADV Part II. 265 Brookview Centre Way, Suite 504 Knoxville, TN 37919 865-583-7390. www.trustfirst.com
Investment Advisors Form ADV Part II 2015 265 Brookview Centre Way, Suite 504 Knoxville, TN 37919 865-583-7390 www.trustfirst.com Table of Contents Page 3 Page 3 Page 4 Page 4 Page 4 Page 4 Page 4 Page
More informationMorgan Stanley. R & R Partners. 522 Fifth Avenue, 15th Floor New York, NY 10036 (212)-296-1031. www.morganstanleyfa.com/rudowramos
R & R Partners 522 Fifth Avenue, 15th Floor New York, NY 10036 (212)-296-1031 www.morganstanleyfa.com/rudowramos 0 Table of Contents Our Mission Page 2 Wealth Management Page 3 Why R and R Partners? Page
More informationRating Action: Moody's upgrades LEAF Receivables Funding equipment backed ABS from 2011 and 2012
Rating Action: Moody's upgrades LEAF Receivables Funding equipment backed ABS from 2011 and 2012 Global Credit Research - 28 Feb 2014 Approximately $168 million of asset-backed securities affected New
More informationAlternative Public Offerings: What Companies Need to Know. Barry I. Grossman, Esq. Ellenoff Grossman & Schole LLP
Alternative Public Offerings: What Companies Need to Know Barry I. Grossman, Esq. Ellenoff Grossman & Schole LLP What is a Reverse Merger? Means of taking a private company into the public marketplace
More informationTrading Activity Fee (TAF) Rule Flow Equities
Trading Activity Fee (TAF) Rule Flow Equities Is the transaction cancelled? Does the transaction involve a public offering? Is this a primary market transaction? Was the transaction executed outside the
More informationDennis Matthew Breier d/b/a Fairwater Wealth Management
Item 1 Cover Page Dennis Matthew Breier d/b/a Fairwater Wealth Management Registered Investment Adviser 16W455 S. Frontage Road, Suite 311 Burr Ridge, Illinois 60527 (630) 282-6520 phone (630) 282-6520
More informationSECOND NOTICE: IMPORTANT INFORMATION REGARDING YOUR GE STOCK IRA ACCOUNT
GE Investment Distributors, Inc. C/O U.S. Bancorp Fund Services, LLC SEC Registered Broker-Dealer - Member FINRA & SIPC P.O. Box 701 Milwaukee WI 53201-0701 United States Tel: 800-242-0134 October 5, 2015
More informationThe McLean Group s. Business Valuation Practice. Austin Office. The McLean Group 401 Congress Avenue Suite 1540 Austin, TX 78701
The McLean Group s Austin Office The McLean Group 401 Congress Avenue Suite 1540 Austin, TX 78701 Contents Page I. The McLean Group 3 II. Our 4 III. Why Our? 5 IV. Recent Business Valuation Experience
More informationReverse Mergers. A truly efficient concept to raise capital for your company right from scratch
1 Reverse Mergers A truly efficient concept to raise capital for your company right from scratch Raising capital by going public Welcome to XYZ where we provide full service analysis and consultation services
More informationA Guide to Crowdfunding for Companies Seeking to Raise Capital
A Guide to Crowdfunding for Companies Seeking to Raise Capital A publication of the Securities Law Practice mefiifmp=kfwbo LLP June 2012 On April 5, 2012, President Obama signed into law the Jumpstart
More informationURBANA CORPORATION. ANNUAL MANAGEMENT REPORT OF FUND PERFORMANCE For the year ended December 31, 2005
URBANA CORPORATION ANNUAL MANAGEMENT REPORT OF FUND PERFORMANCE For the year ended December 31, 2005 TABLE OF CONTENTS Changes in Reporting Requirements...1 Investment Team...1 Investment Objectives &
More information} Placement Agents Some Background } Placement Agent Fundraising Process } Placements Agents versus Finders } Other Considerations } Appendix Thomas
Placement Agents Some Background Placement Agent Fundraising Process Placements Agents versus Finders Other Considerations Appendix Thomas Capital Group, Inc. Regulatory Framework 2 Placements agents are
More informationMAINSTAY VP FUNDS TRUST MAINSTAY VP INCOME BUILDER PORTFOLIO MAINSTAY VP U.S. SMALL CAP PORTFOLIO
May 1, 2013 MAINSTAY VP FUNDS TRUST MAINSTAY VP INCOME BUILDER PORTFOLIO MAINSTAY VP U.S. SMALL CAP PORTFOLIO (collectively Portfolios ) 51 Madison Avenue New York, New York 10010 To Our Policy Owners:
More informationCHAPTER 18. Initial Public Offerings, Investment Banking, and Financial Restructuring
CHAPTER 18 Initial Public Offerings, Investment Banking, and Financial Restructuring 1 Topics in Chapter Initial Public Offerings Investment Banking and Regulation The Maturity Structure of Debt Refunding
More informationTrends in real estate investment flows
Capital Flows May 211 Trends in real estate investment flows In 21, AUD 12.7 billion of transactions (> AUD 5 million) were recorded in Australia s commercial property market, the 4 th highest on record.
More informationWalter A. Kapuscinski
Walter A. Kapuscinski Accomplishment and Employment Biography PART ONE: SECURITIES INDUSTRY ADVISORY AND CONSULTING EXPERIENCE Over forty years of progressive administrative, compliance, options, trading
More informationHarvestons Securities, Inc.
RELATIONSHIPS ARE EVERYTHING Whether it is business, family, friends or neighbors, relationships are built one step at a time through mutual respect, trust, commitment and understanding. Some relationships
More informationPractice Essentials. Index-Linked Insurance Products 201 THE S&P MIDCAP 400 AND ITS ROLE IN INDEXED INSURANCE PRODUCTS
Index-Linked Insurance Products 201 Practice Essentials THE S&P MIDCAP 400 AND ITS ROLE IN INDEXED INSURANCE PRODUCTS S&P Indices licenses insurance carriers to use the S&P 500 and the S&P MidCap 400 within
More informationFor Required Non-U.S. Analyst and Conflicts Disclosures, please see page 8. Exhibit 1: Average 3mo/6mo/1yr returns following a federal election
RBC Dominion Securities Inc. Javed Mirza, CFA, CMT (Analyst) (416) 842-8744 javed.mirza@rbccm.com October 19, 2015 Elections and Equity Markets A Canadian Perspective Summary The latest advance polls tracking
More informationWebster Wealth Advisors, Inc.
Webster Wealth Advisors, Inc. 195 Danbury Road, Suite 220 Davenport Building Wilton, CT 06897 (888) 862 9644 www.websterwealthadvisors.com March 30, 2015 This Brochure provides information about the qualifications
More informationFRIEDLAND CAPITAL INC. GUIDE TO AMERICAN DEPOSITARY RECEIPTS
FRIEDLAND CAPITAL INC. GUIDE TO AMERICAN DEPOSITARY RECEIPTS With global economies increasingly intertwined, it shouldn t come as a surprise that large numbers of non-us corporations have sought access
More informationRoD Canada 50 Tracking Index Methodology July 2014
RoD Canada 50 Tracking Index Methodology July 2014 Table of contents Introduction Introduction 3 Eligibility Criteria Additions RoD Canada 50 4 Deletions RoD Canada 50 5 Timing of Changes 6 Index Construction
More informationUnison Advisors LLC. The date of this brochure is March 29, 2012.
Unison Advisors LLC 2032 Belmont Road NW, #619 Washington, DC 20009 T 646 290 7697 F 646 290 5477 www.unisonadvisors.com The date of this brochure is March 29, 2012. This brochure provides information
More informationWriting a Business Plan. Dr. Michael Entzeroth CSO/COO Cennerv Pharma (S) Pte Ltd, Singapore
Writing a Business Plan Dr. Michael Entzeroth CSO/COO Cennerv Pharma (S) Pte Ltd, Singapore Agenda Reasons for writing a business plan Business plan content Executive Summary The company: description and
More informationCraig G. Fischer Atlantic Financial Services, Inc. 920 Providence Rd. Suite 201 Towson, MD 21286 3/30/2011
Craig G. Fischer Atlantic Financial Services, Inc. 920 Providence Rd. Suite 201 Towson, MD 21286 3/30/2011 This brochure provides information concerning the services and business practices of Atlantic
More informationFINANCE AND BUSINESS ECONOMICS. Elective Course Guide for Marshall Graduate Students. October 2013
FINANCE AND BUSINESS ECONOMICS Elective Course Guide for Marshall Graduate Students 2014 October 2013 1 FINANCE AND BUSINESS ECONOMICS DEPARTMENT GRADUATE ELECTIVES 2014 Marshall graduate students are
More informationIPO Why, When, How. Swiss Business Week, Riga March 5, 2013 Dr. C.-G. Malmström. Professor, Swiss Business School
IPO Why, When, How Swiss Business Week, Riga March 5, 2013 Dr. C.-G. Malmström Professor, Swiss Business School Definitions Initial Public Offerings (IPO) -For firms with no publicly traded stock Seasoned
More informationWASHINGTON, D.C. 20549. June 1 1,2007
, SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 DIVISION OF MARKET REGULATION June 1 1,2007 Ms. Patricia Hall Managing Director Hallmark Capital Corporation 230 Park Avenue, Suite 2430 New
More information2015 Real Estate Industry Update A landscape for change: Transforming for the future
2015 Real Estate Industry Update A landscape for change: Transforming for the future December 16, 2015 Welcome Welcome to Deloitte s 2015 real estate industry update The real estate industry has been on
More informationAll Season Financial Advisors, Inc. All Season Financial Advisors, Inc.
Item 1 Cover Page All Season Financial Advisors, Inc. SEC File Number: 801 16626 All Season Financial Advisors, Inc. Brochure Dated 3/12/2015 Contact: Samuel F. Jones, Chief Compliance Officer 731 Sherman
More informationSolomon Hess SBA Management LLC 4301 North Fairfax Drive Arlington VA 22203 703.356.3333 www.solomonhess.com March 19, 2014
Item 1 Cover Page Solomon Hess SBA Management LLC 4301 North Fairfax Drive Arlington VA 22203 703.356.3333 www.solomonhess.com March 19, 2014 Form ADV, Part 2; our Disclosure Brochure or Brochure as required
More informationRebalance Inc. Client Brochure and Privacy Policy
Rebalance Inc. Client Brochure and Privacy Policy This brochure provides information about the qualifications and business practices of Rebalance, Inc. as well as its Privacy Policy. If you have any questions
More informationForm ADV Part 2A (Firm Brochure) HORAN Wealth Management 4990 East Galbraith Road Cincinnati, OH 45236 513.745.0707 www.horanassoc.
Form ADV Part 2A (Firm Brochure) HORAN Wealth Management 4990 East Galbraith Road Cincinnati, OH 45236 513.745.0707 www.horanassoc.com January 1, 2016 This document provides information about the qualifications
More informationF I R M B R O C H U R E
Part 2A of Form ADV: F I R M B R O C H U R E Dated: 03/24/2015 Contact Information: Bob Pfeifer, Chief Compliance Officer Post Office Box 2509 San Antonio, TX 78299 2509 Phone Number: (210) 220 5070 Fax
More informationMyles Wealth Management, LLC. 59 North Main Street Florida, NY 10921 845-651-3070. Form ADV Part 2A Firm Brochure.
Myles Wealth Management, LLC 59 North Main Street Florida, NY 10921 845-651-3070 Form ADV Part 2A Firm Brochure February 23, 2015 This Brochure provides information about the qualifications and business
More informationRating Action: Moody's assigns Aaa.br rating to Duke's BRL479 million debentures; outlook stable
Rating Action: Moody's assigns Aaa.br rating to Duke's BRL479 million debentures; outlook stable Global Credit Research - 11 Apr 2014 Approximately BRL1.1 billion of debt instruments affected Sao Paulo,
More informationMSCI CHINA AND USA INTERNET TOP 50 EQUAL WEIGHTED INDEX
INDEX METHODOLOGY MSCI CHINA AND USA INTERNET TOP 50 EQUAL WEIGHTED INDEX September 2014 SEPTEMBER 2014 CONTENTS 1 Introduction... 3 2 Constructing the MSCI China and USA Internet Top 50 Equal Weighted
More informationPillar Wealth Management, LLC. Client Brochure
Pillar Wealth Management, LLC. Client Brochure This brochure provides information about the qualifications and business practices of Pillar Wealth Management, LLC.. If you have any questions about the
More informationTHE EMPLOYEE BUYOUT A COMPELLING EXIT STRATEGY FOR PRIVATE SELLERS
THE EMPLOYEE BUYOUT A COMPELLING EXIT STRATEGY FOR PRIVATE SELLERS Copyright 2004 By Robert W. Smiley, Jr. Chairman, The Benefit Capital Companies Inc. Introduction This article will demonstrate how an
More informationHow To Understand The Stock Market
We b E x t e n s i o n 1 C A Closer Look at the Stock Markets This Web Extension provides additional discussion of stock markets and trading, beginning with stock indexes. Stock Indexes Stock indexes try
More informationThe unique value of Target-Date Funds
The unique value of Target-Date Funds By Jake Gilliam, Senior Multi-Asset Class Portfolio Strategist supporting Charles Schwab Investment Management September, 2015 Target-Date Funds are excellent low-maintenance
More informationHow Securities Are Traded
How Securities Are Traded Chapter 3 Primary vs. Secondary Security Sales Primary new issue issuer receives the proceeds from the sale first-time issue: IPO = issuer sells stock for the first time seasoned
More informationWaterstone Advisors, LLC
ITEM 1 COVER PAGE Firm Brochure (Form ADV Part 2A) 10 Brook Street Walpole, MA 02081 978-828-2188 vha@waterstoneadvisors.net March 18, 2014 This brochure provides information about the qualifications and
More informationRating Action: Moody's changes Nexteer's Ba1 ratings outlook to positive Global Credit Research - 24 Nov 2015
Rating Action: Moody's changes Nexteer's Ba1 ratings outlook to positive Global Credit Research - 24 Nov 2015 Hong Kong, November 24, 2015 -- Moody's Investors Service has changed to positive from stable
More informationDiversification. Mutual funds must declare themselves to be diversified or nondiversified.
KRAMER LEVIN NAFTALIS & FRANKEL LLP Overview of Key Mutual Fund Regulations April 26, 2013 Shares of mutual funds must be priced and be redeemable on a daily basis at their current net asset value per
More informationKeefer Pension Consulting, Inc. Form ADV Part 2A Disclosure Brochure
Form ADV Part 2A Disclosure Brochure Effective: March 31, 2011 This Disclosure Brochure provides information about the qualifications and business practices of Keefer Pension Consulting, Inc. ( Keefer
More informationStellar Capital Management, LLC
Stellar Capital Management, LLC 2200 East Camelback Road, Suite 130 Phoenix, Arizona 85016 602.778.0307 Form ADV Part 2B The Brochure Supplement March 25, 2015 This Brochure Supplement provides information
More informationCOMPLIANCE BULLETIN 01-15 NEW PICTURE EFFECTS
COMPLIANCE BULLETIN 01-15 NEW PICTURE EFFECTS A TALE OF TWO VERTICALS: The Differences Between Broker-Dealers and Investment Advisers I t was the best of times, it was the worst of times Well, that might
More informationWacker Wealth Partners, LLC
Item 1 Cover Page Wacker Wealth Partners, LLC SEC File Number: 801 68752 Part 2A, Firm Brochure Dated 6/17/2015 Contact: Alex Pock, Chief Compliance Officer 973 Higuera Street, Suite A San Luis Obispo,
More informationThe Return on Disability Company
The Return on Disability Company RoD Canada Index Methodology July 2012 Table of contents Introduction Introduction 3 Eligibility Criteria Additions RoD Canada 50 4 Deletions RoD Canada 50 5 Timing of
More informationATEL Growth Capital Fund 8, LLC. Financing Tomorrow s Technologies... Today
ATEL Growth Capital Fund 8, LLC Financing Tomorrow s Technologies... Today RISK FACTORS Investors are encouraged to carefully read the Prospectus for ATEL Growth Capital Fund 8, LLC which has been provided
More informationFunding Alternatives in the Current Economic Environment
Funding Alternatives in the Current Economic Environment RISE 2010 Alan Bickerstaff Technology and Emerging Companies Group Andrews Kurth LLP 111 Congress Avenue, Suite 1700 Austin, Texas 78701 (512) 320-9229
More informationConcordius Capital Holdings, Inc. Registered Investment Advisor Acquisition Program
Concordius Capital Holdings, Inc. Registered Investment Advisor Acquisition Program Concordius Capital Holdings, Inc. (CCH) is a Florida corporation founded by professionals with over 50 years of collective
More informationIPAA Private Capital Conference. January 2014
IPAA Private Capital Conference January 2014 Employer of Choice Technology Leader Community PNC Corporate Profile PNC Franchise History: Established in 1852 Employees: Approximately 55,000 employees in
More informationInvested in Your Success
Invested in Your Success Pershing by the numbers 4,000 Employees around the world $1.5 trillion Global client assets* We have a long history of powering the financial services industry. And we continue
More informationKeystone Financial Planning, Inc.
Keystone Financial Planning, Inc. 7261 Engle Road Suite 308 Middleburg Heights, Ohio 44130 Telephone: 440.234.6323 Facsimile: 440.234.6844 Website: www.keystonefin.com February 10, 2014 FORM ADV PART 2
More informationAnnouncement: Moody's assigns Aaa/MR1 bond fund and market risk ratings to IMET 1-3 Year Fund Global Credit Research - 13 Jan 2012
Announcement: Moody's assigns Aaa/MR1 bond fund and market risk ratings to IMET 1-3 Year Fund Global Credit Research - 13 Jan 2012 New York, January 13, 2012 -- Moody's Investors Service has assigned a
More informationThomas Kloet Chief Executive Officer TMX Group. The Economic Club of Canada May 27, 2014 **CHECK AGAINST DELIVERY**
Thomas Kloet Chief Executive Officer TMX Group The Economic Club of Canada May 27, 2014 **CHECK AGAINST DELIVERY** Show Me the Money An Exploration of Capital Raising in Canada Thanks very much, Natasha,
More informationWealth Planning y Investment Management y Insurance for Family and Business. Serving Main Street with Independent Advice
True Independence Wealth Planning y Investment Management y Insurance for Family and Business Serving Main Street with Independent Advice Wealth Planning y Investment Management y Insurance for Family
More informationImportant Information about Brokerage and Investment Advisory Services
Robert W. Baird & Co. Incorporated Important Information about Brokerage and Investment Advisory Services Understanding Brokerage and Investment Advisory Relationships Baird is registered with the Securities
More informationStrength You Can Trust
Strength You Can Trust RBC Wealth Management It All Starts With You Our relationship managers are focused on serving your best interests, and we aim to develop highly effective and customised solutions
More informationFinancial Management and the Planning Cycle
Financial Management and the Planning Cycle Program Support Notes by: Belinda Taylor BBus, Grad Dip Ed (Sec) Produced by: VEA Pty Ltd Commissioning Editor: Sandra Frerichs B.Ed, M.Ed. Executive Producer:
More informationRating Action: Moody's places MBIA Insurance Corporation's B3 IFS rating on review for upgrade Global Credit Research - 14 Feb 2014
Rating Action: Moody's places MBIA Insurance Corporation's B3 IFS rating on review for upgrade Global Credit Research - 14 Feb 2014 New York, February 14, 2014 -- Moody's Investors Service has placed the
More informationLNC provides its partners with flexible capital solutions and the strategic support to drive value creation for all stakeholders
LNC provides its partners with flexible capital solutions and the strategic support to drive value creation for all stakeholders LNC Partners is a Northern Virginia based investment firm with over $235
More informationBrian K. Stickney, CFA, CFP
Item 1 - Cover Page Brochure Supplement for Brian K. Stickney, CFA, CFP CRD# 2217162 Ironridge Wealth Management, LLC 100 Galleria Parkway Suite 1130 Atlanta, GA 30339 (770) 635-1925 www.ironridgewealth.com
More informationTD AMERITRADE TO ACQUIRE THINKORSWIM
FOR IMMEDIATE RELEASE TD AMERITRADE TO ACQUIRE THINKORSWIM Creates Industry-Leading Trader Platform Introduces State-of-the-Art Education Program to nearly Seven Million Retail Client Accounts #1 in Equity
More informationAugust 25, 2014 FORM ADV PART 2A BROCHURE
Sparrow Wealth Management 10080 West Alta Drive, Suite 125 Las Vegas, NV 89145 Phone: 877-330-9191 Fax: 877-330-9191 Web Site: www.sparrowwealth.com August 25, 2014 FORM ADV PART 2A BROCHURE This brochure
More informationInvestment Bankers to the Aerospace and Defense Industry. Sale Advisory Practice
Proprietary Sale Advisory Practice Investment Bankers to the Aerospace and Defense Industry Financial Industry Regulatory Authority Member, Securities Investor Protection Corporation The Alderman Sale
More informationSpecial Purpose Acquisition Corporation: The merger of Aldabra 2 Acquisition Corporation and Boise, Inc.
Special Purpose Acquisition Corporation: The merger of Aldabra 2 Acquisition Corporation and Boise, Inc. ABSTRACT Carol Boyer Long Island University Alize Margulis Long Island University This case study
More informationFinancial Services Guide
Financial Services Guide Financial product research reports and analysis distributed by Standard & Poor s Information Services (Australia) Pty Limited (S&P Capital IQ Australia) in Australia 3 September
More informationFund your business. Palo Alto Las Vegas 1-888-444-6670
Fund your business Palo Alto Las Vegas 1-888-444-6670 This document contains material non-public information. This presentation is not, nor is it to be construed under any circumstances as, an offering
More informationAdditional information about Ostrofe Financial Consultants, Inc. is also available on the SEC s website at www.adviserinfo.sec.gov.
Ostrofe Financial Consultants, Inc. Allen Ostrofe 565 Brunswick Road, Suite 15 Grass Valley, CA 95945 530-273-4425 www.ostrofefinancial.com June 30, 2011 This Brochure provides information about the qualifications
More informationRating Action: Moody's changes outlook to negative from stable on Argentine Banks' deposit ratings; affirms deposit ratings
Rating Action: Moody's changes outlook to negative from stable on Argentine Banks' deposit ratings; affirms deposit ratings Global Credit Research - 05 Aug 2014 The rating action follows Moody's decision
More informationPart 2A Brochure. Investus Financial Planning, Inc. 1765 Santa Ana Ave, U-202 Costa Mesa, CA 92627 949-645-1403
Part 2A Brochure Investus Financial Planning, Inc. 1765 Santa Ana Ave, U-202 Costa Mesa, CA 92627 949-645-1403 This brochure provides information about the qualifications and business practices of Investus
More informationCastle Financial Advisors, LLC Part 2A of Form ADV The Brochure
Castle Financial Advisors, LLC Part 2A of Form ADV The Brochure 145 Marcus Blvd, Suite 1, Hauppauge, NY 11788 www.castlefinancialadvisors.com Updated: March 2011 This brochure provides information about
More informationProfessional Company Research, Investor Access and Advisory
Professional Company Research, Investor Access and Advisory Consilium Global Research (CGR) is the bridge between companies and investors. To improve our clients market valuation, increase trading activity
More information