Transactions


has been acquired by

has been acquired by

the parent company of

the parent company of

Financial Advisor to ETC

Financial Advisor to ETC

September 2019

September 2019 – PEAK6 has announced the acquisition of Electronic Transaction Clearing, Inc. ("ETC")

details

a portfolio company of

a portfolio company of

received a minority investment from

received a minority investment from

Financial advisor to TraderTools & Edison

Financial advisor to TraderTools & Edison

February 2019

TraderTools has received a minority investment from an undisclosed investor group

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$115 million Deal Value

has been acquired by

has been acquired by

Financial advisor to Quarton

Financial advisor to Quarton

January 2019

Cowen has agreed to acquire Quarton International, a leading global financial advisory company serving the middle market

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$2.8 billion in loans closed

a portfolio company of funds managed by

a portfolio company of funds managed by

sold its equity and substantially all of its assets to certain funds managed by affiliates of

sold its equity and substantially all of its assets to certain funds managed by affiliates of

Financial advisor to Colony American Finance

Financial advisor to Colony American Finance

July 2017

Colony American Finance has agreed to sell its equity and substantially all of its assets to funds managed by Fortress Investment Group

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a portfolio company of

a portfolio company of

and minority-owned by

and minority-owned by

has been acquired by

has been acquired by

Financial advisor to GTCR and Convergex

Financial advisor to GTCR and Convergex

May 2017

Cowen Group, Inc. has agreed to acquire Convergex Group, LLC from private equity firm GTCR, Bank of New York Mellon and other shareholders

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The In-House Fund Administration Business of

a wholly-owned subsidiary of

a wholly-owned subsidiary of

has been acquired by

has been acquired by

Financial advisor to Rydex Fund Services and its parent Guggenheim Investments

Financial advisor to Rydex Fund Services and its parent Guggenheim Investments

October 2016

MUFG Investor Services to acquire Rydex Fund Services from Guggenheim Investments

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a portfolio company of

a portfolio company of

has been acquired by

has been acquired by

a portfolio company of

a portfolio company of

Financial advisor to GlobalView Software

Financial advisor to GlobalView Software

September 2016

Drillinginfo to acquire GlobalView Software, a portfolio company of CCP Equity Partners

details

$3 billion AUM

a subsidiary of

a subsidiary of

has been acquired by

has been acquired by

Financial advisor to Ramius & Cowen Group

Financial advisor to Ramius & Cowen Group

September 2016

AllianceBernstein to acquire 100% interest in Ramius Alternative Solutions (RASL)

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has been acquired by

has been acquired by

Financial advisor to Greene Holcomb Fisher

Financial advisor to Greene Holcomb Fisher

August 2016

BMO Capital Markets to acquire Greene Holcomb Fisher (GHF)

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$240 million Deal Value

has acquired a majority interest in

has acquired a majority interest in

for consideration of $240,000,000

for consideration of $240,000,000

Financial advisor to OMAM

August 2016

OMAM to acquire a 60% interest in Landmark Partners

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has obtained a senior secured credit facility from

has obtained a senior secured credit facility from

to fund the acquisition of

to fund the acquisition of

Financial advisor to The Capital Partnership

Financial advisor to The Capital Partnership

July 2016

TCP to acquire Northgate Capital from Religare Global Asset Management and Northgate management

details

$1.15 billion Deal Value

has been acquired by

has been acquired by

for total consideration of $1,150,000,000

for total consideration of $1,150,000,000

Financial advisor to Russell Investments

July 2016

TA Associates and Reverence Capital Partners acquire Russell Investments for $1.15 billion

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has been acquired by

has been acquired by

Financial advisor to Eaton Partners

January 2016

Stifel enhances its advisory platform with the addition of Eaton Partners

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$6 billion AUM

has been acquired by

has been acquired by

Financial advisor to Forward Management

June 2015

Salient Partners To Acquire Forward Management

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$100+ billion AUA

has been acquired by

has been acquired by

Financial advisor to Conifer Financial Services

Financial advisor to Conifer Financial Services

May 2015

The Carlyle Group agrees to acquire Conifer Financial Services

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has obtained a term loan and revolver from

has obtained a term loan and revolver from

Financial advisor to Advisors Excel Holdings

January 2015

Advisors Excel obtained a term loan and revolver facility from a syndicate of banks

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$23 billion AUM

has acquired

has acquired

Financial advisor to BNY Mellon / Insight

Financial advisor to BNY Mellon / Insight

January 2015

BNY Mellon / Insight Investment to acquire Cutwater Asset Management

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$66 million Deal Value

has been acquired by

has been acquired by

Financial advisor to VS Holdings

Financial advisor to VS Holdings

November 2014

Janus Capital Group to acquire Velocity Shares

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$494 million Deal Value

has been acquired by

has been acquired by

Financial advisor to Numeric Holdings

Financial advisor to Numeric Holdings

September 2014

Man Group to acquire Numeric Investors for $494 million

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has been acquired by

has been acquired by

Financial advisor to Pacific Crest Securities

July 2014

KeyCorp to acquire Pacific Crest Securities

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$50 million Deal Value

has completed the $50 million buy-back of the Mandatory Convertible Notes held by

has completed the $50 million buy-back of the Mandatory Convertible Notes held by

Financial advisor to HFA Holdings Limited

Financial advisor to HFA Holdings Limited

July 2014

$70 billion AUA

has merged with

has merged with

Financial advisor to The Conifer Group

Financial advisor to The Conifer Group

June 2014

The Conifer Group to merger with Vastardis Capital Services

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$150 million Deal Value

Convertible Senior Notes

Co-Manager

Co-Manager

March 2014

$3 billion AUM

a wholly owned subsidiary of

a wholly owned subsidiary of

has been acquired by

has been acquired by

Financial advisor to the Altegris Management Team

Financial advisor to the Altegris Management Team

August 2013

Altegris to be acquired by a partnership of Aquiline Capital Partners and Genstar Capital

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$6 billion AUM

a subsidiary of

a subsidiary of

has been acquired by

has been acquired by

Exclusive Financial Advisor to BNP Paribas

Exclusive Financial Advisor to BNP Paribas

March 2013

Legg Mason and Permal Announce Acquisition of Fauchier Partners

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$3 billion AUM

a subsidiary of

a subsidiary of

has acquired a minority interest in

has acquired a minority interest in

Financial advisor to Eagle Asset Mgmt

Financial advisor to Eagle Asset Mgmt

December 2012

Eagle Asset Management acquires 45% stake in ClariVest Asset Management creating a strategic relationship

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has acquired

has acquired

Financial advisor to LGT Capital Partners

November 2012

LGT Capital Partners acquires Clerestory Capital Advisors

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$9.3 billion AUM

has sold a majority interest to

has sold a majority interest to

from

from

Financial advisor to K2 Advisors

Financial advisor to K2 Advisors

November 2012

Franklin Templeton announces agreement to acquire majority stake in fund of hedge funds specialist K2 Advisors

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$25 million Deal Value

has obtained a senior secured revolving line of credit from

has obtained a senior secured revolving line of credit from

Financial advisor to Blue Tarp

October 2012

has been acquired by

has been acquired by

from

from

Financial advisor to Guggenheim Partners and NattyMac

Financial advisor to Guggenheim Partners and NattyMac

September 2012

Stonegate Mortgage to acquire NattyMac from Guggenheim Partners

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received a revolving credit facility from

received a revolving credit facility from

Financial advisor to The Producers Group

July 2012

Acquisition of Management Contracts from Tricadia Holdings, LP

Acquisition of Management Contracts from Tricadia Holdings, LP

Advisor to the Committee of Independent Directors

June 2012

$2 billion AUM

has sold a portion of its indirect interest in

has sold a portion of its indirect interest in

to an

to an

Financial advisor to Sasco Holdings

Financial advisor to Sasco Holdings

May 2012

$7 billion AUM

a wholly owned subsidiary of

a wholly owned subsidiary of

has been sold to

has been sold to

Financial advisor to Guggenheim Partners and Claymore Investments

Financial advisor to Guggenheim Partners and Claymore Investments

March 2012

Claymore Investments is #2 in Canadian ETFs with $7.0 billion in Assets under Management

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has sold a pool of structured settlements receivables to an

has sold a pool of structured settlements receivables to an

Financial advisor to Settlement Capital Corporation

March 2012

Settlement Capital sells structured settlement receivables to an International Bank

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has been acquired by

has been acquired by

Financial advisor to Pagemill Partners

Financial advisor to Pagemill Partners

December 2011

Pagemill is a leading Investment Banking & Valuation Services firm for technology clients

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has been acquired by

has been acquired by

Financial advisor to Peachtree Settlement Funding

July 2011

Peachtree has been acquired by J.G. Wentworth, a JLL Partners portfolio company

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The Institutional Sales & Trading Business of

has been acquired by

has been acquired by

Financial advisor to Braver Stern Securities

Financial advisor to Braver Stern Securities

June 2011

CRT Capital Group LLC acquires Braver Stern Securities’ institutional sales and trading business

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$2 billion AUM

has been acquired by

has been acquired by

Financial advisor to Altegris Investments

December 2010

Altegris is a leading technology-enabled platform for distributing alternative asset products

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$75 million Deal Value

has obtained a structured settlement warehouse financing from an undisclosed

has obtained a structured settlement warehouse financing from an undisclosed

Financial advisor to Peach Holdings

Financial advisor to Peach Holdings

July 2010

Peachtree has obtained $75mm of structured settlement warehouse financing

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$1.7 billion Deal Value

The Life Settlements and Premium Finance Portfolio of

Has been acquired at auction

Has been acquired at auction

The undersigned financial advisor to KBC Financial Products

April 2010

Fortress agrees to buy KBC Life-Settlement Portfolio

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$32 million Deal Value

NYSE Alternext : HNB

NYSE Alternext : HNB

Has received an investment from an

Co-manager for Herald National Bank

Co-manager for Herald National Bank

March 2010

Herald National Bank has raised $32 million from an Investor Group

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$840 million AUM

The Reverse Mortgage Portfolio of

has been acquired by an undisclosed

has been acquired by an undisclosed

Financial advisor to KBC Group Products

Financial advisor to KBC Group Products

February 2010

$400 million Investment

led investor group has acquired

led investor group has acquired

Financial advisor to Security Benefit

Financial advisor to Security Benefit

February 2010

Guggenheim-led investor group has acquired Security Benefit

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$400 million Investment

led investor group has acquired

led investor group has acquired

Financial advisor to Security Benefit Corporation, parent of SFR

Financial advisor to Security Benefit Corporation, parent of SFR

February 2010

Guggenheim led investor group acquired Security Financial Resources; immediate financial strength ratings improvement expected

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$30 billion AUA

led investor group has acquired

led investor group has acquired

Financial advisor to Security Benefit Corporation, parent of se2

Financial advisor to Security Benefit Corporation, parent of se2

February 2010

Guggenheim led investor group acquired Se2

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$22 billion AUM

led investor group has acquired

led investor group has acquired

Financial advisor to Security Benefit Corporation, parent of Rydex SGI

Financial advisor to Security Benefit Corporation, parent of Rydex SGI

February 2010

Guggenheim led investor group acquired Rydex|SGI

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$210 million Debt Restructuring

Senior Debt Restructuring

Senior Debt Restructuring

Financial advisor the Creditor Committee

December 2009

$520 million Deal Value

has acquired the CLO business of

has acquired the CLO business of

Financial advisor to Avoca Capital

Financial advisor to Avoca Capital

December 2009

Avoca takes over KBC CLO, grows management group

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has been acquired by

has been acquired by

Financial advisor to TORC Financial

September 2009

Acquisition will significantly enhance Instinet’s derivatives trading capability

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has been acquired by

has been acquired by

Financial advisor to Lane, Berry & Co. International

May 2009

Raymond James acquires investment bank Lane, Berry & Co. International

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has acquired the U.S. High Yield Fixed Income assets of

has acquired the U.S. High Yield Fixed Income assets of

Financial advisor to Guggenheim Partners

February 2009

$30 million Deal Value

has completed a combined $30,000,000 senior debt and reinsurance transaction with

has completed a combined $30,000,000 senior debt and reinsurance transaction with

Financial advisor to Ullico

Financial advisor to Ullico

December 2008

Ullico has completed a combined $30mm senior debt transaction with Patriot

details

$700 million AUM

a hedge fund of division of

a hedge fund of division of

has been acquired by

has been acquired by

Financial advisor to KBC Financial Products

Financial advisor to KBC Financial Products

December 2008

Paamco recruits KBC Alpha pan-Asian fund of hedge funds team

details

a wholly owned subsidiary of

a wholly owned subsidiary of

has been acquired by

has been acquired by

Financial Advisor to The Bank of New York Mellon

Financial Advisor to The Bank of New York Mellon

October 2008

AMG to make investment in Gannett Welsh & Kotler, LLC

details

has raised an undisclosed amount of capital from

has raised an undisclosed amount of capital from

Financial advisor to Pali Capital

August 2008

has acquired

has acquired

Financial advisor to KBC Financial Products

January 2008

Reverse mortgage leader Vertical Lend to be acquired by KBC Financial Products

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$8 billion AUM

has been acquired for $625 million by

has been acquired for $625 million by

Financial advisor to Lighthouse Investment Partners

Financial advisor to Lighthouse Investment Partners

January 2008

HFA Holdings to acquire Lighthouse Partners

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has sold its minority stake in Grosvenor Capital Management back to the company

has sold its minority stake in Grosvenor Capital Management back to the company

Financial advisor to Value Asset Management

October 2007

Value Asset Management sells minority stake in Grosvenor back to the company

details

$50 million investment in

by

by

MatlinPatterson Global Opportunities Partners II, L.P.

MatlinPatterson Global Opportunities Partners II, L.P.

Financial advisor to First Albany Companies

September 2007

First Albany companies, to be renamed Broadpoint, announces shareholder approval and closing of $50 million equity investment from MatlinPatterson

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The Municipal Capital Markets Division of

has been acquired by

has been acquired by

Financial advisor to First Albany Companies

September 2007

DEPFA BANK has completed its acquisition of the US Municipal Capital Markets Group of former First Albany Capital, Inc.

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has raised capital from a

has raised capital from a

Financial advisor to Overnight Productions

July 2007

has sold a minority interest to

has sold a minority interest to

Financial advisor to Leerink Swann & Company

July 2007

Leerink Swann receives commitment for investments from Lovell Minnick Partners and the March Group

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has been recapitalized and received a growth equity investment from

has been recapitalized and received a growth equity investment from

Financial advisor to ESP Technologies

Financial advisor to ESP Technologies

May 2007

ESP recapitalizes and receives a growth equity investment from Bear Stearns, Credit Suisse and Susquehanna

details

$5.5 billion AUM

has sold a minority interest to

has sold a minority interest to

Financial advisor to K2 Advisors

April 2007

K2 Advisors to sell minority interest to TA Associates

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has acquired

has acquired

Financial advisor to Panmure Gordon & Co.

March 2007

Panmure Gordon to acquire ThinkEquity Partners

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has been acquired by

has been acquired by

Financial advisor to Carlin Financial Group

January 2007

RBC Capital Markets to acquire Carlin Financial Group

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$24 billion AUM

has completed an equity recapitalization by

has completed an equity recapitalization by

Financial advisor to Ceres Capital Partners

January 2007

has acquired the assets of

has acquired the assets of

Financial advisor to KBC Financial Products

November 2006

$2.8 billion AUM

has acquired

has acquired

Financial advisor to The Bank of New York

February 2006

Urdang Capital Management, Inc. to be acquired by The Bank of New York Company, Inc

details

$2.8 billion AUM

Hedge Fund of Funds of

has been acquired by

has been acquired by

Financial advisor to Guggenheim Capital

Financial advisor to Guggenheim Capital

January 2006

Bank of Ireland Group is to acquire 71.5 per cent of US fund of hedge funds manager Guggenheim Alternative Asset Management for USD 184 million

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has been acquired by

has been acquired by

Financial advisor to Neovest Holdings

September 2005

JPMorgan to acquire Neovest

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has acquired

has acquired

Initiator of the transaction

Initiator of the transaction

January 2005

has acquired

has acquired

Financial advisor to Citigroup Inc.

August 2004

Citigroup to acquire LAVA

details

$890 million AUM

Hedge Fund of Funds of

Hedge Fund of Funds of

has been acquired by

has been acquired by

Financial advisor to Zurich Capital Markets

Financial advisor to Zurich Capital Markets

July 2004

$1.3 billion AUM

has completed the management buyout of

has completed the management buyout of

from

from

Financial advisor to Zurich Capital Markets

Financial advisor to Zurich Capital Markets

October 2003

The structured products business of

has been acquired by

has been acquired by

Financial advisor to Zurich Capital Markets

July 2003

BNP Paribas and Zurich Financial Services are negotiating transfer of Zurich Capital Markets' businesses

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has been acquired by

has been acquired by

Financial advisor to Gerard, Klauer & Mattison

July 2003

BMO Financial Group completes acquisition of Gerard Klauer Mattison, continues strategic U.S. expansion

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$800 million AUM

has been acquired by

has been acquired by

Financial advisor to Volaris Advisors

June 2003

Credit Suisse First Boston to acquire Volaris Advisors

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$105 million Deal Value

has acquired

has acquired

Financial advisor to ITG

September 2002

ITG completes acquisition of Hoenig

details

has been acquired by

has been acquired by

Financial advisor to Putnam Lovell Group

June 2002

National Bank Financial acquires Putnam Lovell Group

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The Mortgage Loan and Real Estate Division of

a wholly owned subsidiary of

a wholly owned subsidiary of

has been acquired by

has been acquired by

Financial advisor to Swiss RE

Financial advisor to Swiss RE

June 2002

KeyCorp acquisition expands Commercial Mortgage Finance capabilities

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has acquired

has acquired

Financial advisor to The Bank of New York

February 2002

The Bank of New York to acquire the Index Asset Management Unit of Axe Houghton Associates

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has made an investment in

has made an investment in

Financial advisor to CRT Capital Group

February 2002

has been acquired by

has been acquired by

a member of

a member of

Financial advisor to Lebenthal & Co.

November 2001

Advest, a member of The Mony Group to acquire Lebenthal

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has merged with

has merged with

Financial advisor to KBC Bank

January 2001

has acquired

has acquired

Financial advisor to The Bank of New York

October 2000

The Bank of New York acquires IVY asset Management

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has acquired the Private Client Group of

has acquired the Private Client Group of

Initiator and financial advisor to Lehman Brothers

October 2000

Lehman Brothers to acquire SG Cowen private client unit

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$320 million Deal Value

has been acquired by

has been acquired by

Financial advisor to SoundView Technology Group

January 2000

Wit Capital to acquire SoundView Technology Group - landmark transaction creates leading internet / technology investment banking firm

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has acquired

has acquired

Financial advisor to KBC Bank

October 1999

KBC Bank acquires D E Shaw & Co

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has been acquired by

has been acquired by

Financial advisor to Fox-Pitt, Kelton

March 1999

Fox-Pitt bows to $200m Swiss Re offer

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has acquired

has acquired

Financial advisor to The Bank of New York

January 1999

The Bank of New York to acquire Trotter Kent Inc., a specialty servicing company

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has acquired

has acquired

Financial advisor to both parties

September 1998

The Bank of New York to acquire Patricof & Co.

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has been acquired by

has been acquired by

Financial advisor to Robertson Stephens

August 1998

Bank Boston acquired Robertson Stephens & Company

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has been acquired by

has been acquired by

Financial advisor to Cowen & Co.

June 1998

Cowen & Company acquired by Societe Generale Group

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