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Independent Investment Banks
  • Allen & Company - Allen & Company is a boutique investment bank based in New York, NY. Founded in 1922 by Charles Allen, the firm is generally regarded as the premier investment house in the media and entertainment sector despite having only a small staff (estimated at 170 employees).
  • Avalon Group Ltd.
  • BBY Ltd - BBY Ltd is an integrated Australian stock broking, corporate advisory and asset management firm, founded in 1987. BBY’s provides financial and advisory services to emerging and mid sized companies and their investors including corporate finance, research, sales & trading, and asset management services.
  • Blackstone Group - The Blackstone Group, L.P. (NYSE: BX) is an alternative asset management and financial services company that specializes in private equity, real estate, and marketable alternative investment strategies, as well as mergers and acquisitions (M&A), restructuring, and fund-placement advisory services.
  • BOC International Holdings - BOC International Holdings Limited, shortly BOCI, is the wholly owned subsidiary of Bank of China, which offers investment banking and securities brokerage services. It was established in 1998 and headquartered in Hong Kong. It has subsidiaries in New York, London, Singapore, Beijing, Shanghai, Guangzhou and Chongqing.
  • Brown Brothers Harriman - Brown Brothers Harriman & Co. (BBH) is an old and large private bank in the United States which is particularly notable because of the large number of influential American politicians and government appointees who have worked at the company since its foundation: e.g., W. Averell Harriman, Prescott S. Bush, Robert A. Lovett. Currently the firm has 40 partners and 4,000 staff people globally.
  • Canaccord Adams - Canaccord Adams is a Canadian banking company.
  • Close Brothers Group - Close Brothers Group plc (LSE: CBG) is a British bank based in the City of London. It is listed on the London Stock Exchange and is a constituent of the FTSE 250 Index.

  • CLSA - CLSA Asia-Pacific Markets is one of the region’s largest and most highly rated independent equity brokers and financial-services groups, focused on providing broking, investment banking and asset management to corporate and institutional clients around the world.
  • Collins Stewart - Collins Stewart plc is an independent financial advisory group. The group is organised around four operational divisions; advisory, corporate broking, securities and wealth management. The company markets a proprietary research platform, Quest to its clients.
  • Cowen Group, Inc. - Cowen Group Inc., (NASDAQ: COWN), is the holding company for Cowen and Company, LLC, a U.S. based Investment Bank founded in New York City in 1918, by Harry Cowen and Arthur Cowen, Jr.
  • Defoe Fournier & Cie. - Defoe Fournier & Cie. is a merchant banking and global assets investment firm with European and U.S. footprints. Our core competencies are the combination of sophisticated financial and strategic solutions and first-class execution. Our strength is the combination of our independence, focus, global presence and background. Defoe Fournier & Cie. history and business continuity dates back to its roots first established in 1824.
  • Europa partners - Europa Partners Limited is a London-based investment bank registered with the Financial Services Authority of the United Kingdom ("FSA"). The firm has around twenty partners and provides mergers and acquisitions and fund-raising advice to corporations and private equity firms. It is authorised to do business throughout the European Union (source: FSA website).
  • Evercore Partners - Evercore Partners (NYSE: EVR) is a boutique investment bank located in New York. Evercore also has an investment management business through which the Company also manages private equity and venture capital funds for institutional investors. The Company was founded by Blackstone Group alumni Austin Beutner and Roger Altman in 1996.
  • FALCOM Financial Services - FALCOM is an investment bank located in Saudi Arabia. It was established in February 2007. In 2003, the Saudi Arabian government started the capital market reform process by introducing the Capital Market Law (CML) which was followed up by setting up the Capital Markets Authority (CMA).
  • FBR Capital Markets - FBR Capital Markets Corporation (NASDAQ: FBCM), is an investment bank headquartered in Arlington, Virginia that sponsors the FBR Open PGA golf tournament held in Scottsdale, Arizona. It was founded in 2007 in an equity spin-off from FBR Group (now known as Arlington Asset) in the spring of 2007. The company focuses investment banking, advisory, trading and research efforts in seven broad industry sectors. These sectors include consumer, diversified industrials, energy & natural resources, financial institutions, insurance, real estate and technology, media & telecom.
  • Macquarie Group - Macquarie Group Limited (formerly Macquarie Bank Limited) is a global investment banking and diversified financial services group, providing banking, financial, advisory and investment services to investors, corporations and governments. It is the preeminent Australian investment bank and has its global headquarters located in Sydney. It is listed on the Australian Securities Exchange (ASX) in November 2007, and is a constituent of the S&P/ASX 20.
  • Greenhill & Co. - Greenhill & Co., Inc. is an independent investment bank that advises on mergers and acquisitions, restructurings, and related transactions. Greenhill has subsidiaries that specialize in broker-dealer services, venture capital, and private equity. Its main business, however, is financial advisory on mergers and acquisitions. The firm made $290.6m in sales in 2006, with a $75.7m profit. The firm competes primarily against other M&A specialists like Lazard and N. M. Rothschild & Sons, as well as financial conglomerates like Goldman Sachs and JPMorgan.
  • Harris Williams & Company - Harris Williams & Co. is an independent investment bank specializing in advisory services and financings for middle market companies. The firm provides a variety of advisory services including mergers & acquisitions, fairness opinions and restructuring advisory. Harris Williams operates as a subsidiary of PNC Financial Services. The firm, which is based in Richmond Virginia, was founded in 1991. The company operates additional offices in San Francisco, Boston, Philadelphia, Minneapolis and Cleveland.

  • Houlihan Lokey Howard & Zukin - Houlihan Lokey is an international investment bank that advises middle-market and large public and private companies. Its main service lines include mergers and acquisitions, financial restructuring, financial opinions, and valuations.
  • Imperial Capital, LLC - Imperial Capital, LLC is a full-service investment banking firm with offices in Los Angeles, New York City, San Francisco, Boston, and Houston. Imperial Capital has three principal businesses: Investment Banking, Institutional Sales & Trading and Institutional Research.
  • Investec - Investec plc (JSE: INL and LSE: INVP) is an international specialist banking group providing a diverse range of financial products and services. It is listed on the London Stock Exchange and the JSE and is a constituent of the FTSE 250 Index.
  • Jefferies & Company - Jefferies & Company, Inc., the principal operating subsidiary of Jefferies Group, Inc. (NYSE: JEF) is a major global investment bank and institutional securities firm. Jefferies provides clients with capital markets and financial advisory services, institutional brokerage, securities research and asset management.
  • Keefe, Bruyette & Woods - Keefe, Bruyette & Woods, Inc. NYSE: KBW is a New York City stock broker and investment bank. The company was founded in 1962 and currently has seven offices in the United States and one office in London.
  • Ladenburg Thalmann - Ladenburg Thalmann Financial Services (AMEX: LTS), through its subsidiary Ladenburg Thalmann & Co., is an investment bank and stock brokerage founded in 1876. The firm became a member of the New York Stock Exchange in 1879 and was a major Wall Street player into the 1950s.
  • Lazard - Lazard Ltd (NYSE: LAZ) is the parent company of Lazard Group LLC, a global, independent and one of the world's largest investment banks with approximately 2,300 employees in 39 cities across 24 countries throughout Europe, North America, Asia, Australia, Central and South America. Formerly known as Lazard Frères & Co. the firms origins date back to 1848, the firm provides advice on mergers and acquisitions, restructuring and capital raising, as well as asset management services to corporations, partnerships, institutions, governments, and individuals. Lazard remained privately held until May 5, 2005, when the company conducted an initial public offering of its shares. In connection with its IPO, Lazard spun off its securities underwriting business, Lazard Capital Markets, which is now its own firm.
  • Lazard Capital Markets - Lazard Capital Markets is a New York-based investment bank founded in 2005 in a spin-off from its parent Lazard. Lazard Capital Markets focuses its activities on equity research, sales and trading; fixed-income and convertible bond sales and trading; and securities underwriting. The firm maintains a business alliance agreement with Lazard that provides for the continuation of certain historical business relationships including origination of transactions.
  • Mediobanca - Mediobanca (BIT: MB) is an Italian investment bank founded by Enrico Cuccia in 1946 to facilitate the post-World War II reconstruction of Italian industry.
  • Miller Buckfire & Co. - Miller Buckfire & Co. is an independent investment banking firm that provides that offers various advisory services, focused on corporate restructurings. In addition to its core restructuring business, the firm provides merger and acquisition advisory and valuation services as well as capital raising, and private placements of debt and equity. The firm specializes in teh transportation, retail, media and communication, entertainment, power, food and consumer and financial services sectors. The firm is based in New York City.
  • M.M.Warburg & CO - M.M.Warburg & CO KGaA is a large German private investment bank in Hamburg, Germany. It was founded in 1798 by the brothers Moses Marcus and Gerson Warburg. Today, the firm's core business is in private banking, asset management, and investment banking. For over 200 years, the company has been held only in private hands.
  • Moelis & Company - Moelis & Company is a boutique investment bank headquartered in Los Angeles with offices in New York, Chicago, Boston, London and Sydney. Founded in July 2007 by UBS banker Ken Moelis, the firm provides advice on mergers and acquisitions, restructurings, other corporate finance matters and manages investment funds. It also acts as a merchant bank on some deals, having secured a $2 billion pool of financing for future private equity investments.
  • Morgan Keegan & Company, Inc. - Morgan Keegan & Company, Inc. is the investment banking, securities brokerage, trust, and asset management division of Regions Financial Corporation. The company was founded in 1969 in Memphis, Tennessee and has over 450 offices in 20 states, over 4,000 employees, and over $890 million in equity capital.
  • N M Rothschild & Sons - N M Rothschild & Sons (more commonly known simply as Rothschild) is an investment bank company of the Rothschild family. It was founded in the City of London in 1811 and is now a global firm with over 40 offices around the world. The firm acts as a financial advisor to some of the most important companies, largest governments, and wealthiest families in the world.
  • Needham and Company - Needham & Company, is an independent investment bank and asset management firm specializing in advisory services and financings for growth companies. Needham & Company is a wholly owned subsidiary of The Needham Group, which also operates a private equity investment business and an investment management business. Needham & Co. is a wholly owned subsidiary of The Needham Group.

  • Oppenheimer & Co. - Oppenheimer & Co., Inc. ("OpCo"), a wholly owned subsidiary of Oppenheimer Holdings (NYSE: OPY), offers investment banking and financial advisory services, capital markets services, asset management, wealth management, and related products and services worldwide. The firm's world headquarters is located in Toronto. The company, which once occupied the One World Financial Center building in Manhattan, now bases its operations at 300 Madison Avenue and 125 Broad Street in New York, NY, and at 6 Gracechurch St in London, UK.
  • Perella Weinberg Partners - Perella Weinberg Partners L.P. is a boutique investment bank based in New York, London, Austin, Denver, and San Francisco. It was founded in 2006 as a partnership by Wall Street legends Joseph R. Perella and Peter Weinberg. The firm specializes in corporate advisory and investment management services.
  • Piper Jaffray - Piper Jaffray & Co. (NYSE: PJC), often shortened to just Piper Jaffray or PiperJaffray, is a U.S. middle-market investment banking firm based in Minneapolis, Minnesota, and sells financial advice, investment products, and transaction execution within targeted sectors of the financial services marketplace. Through its principal subsidiary, Piper Jaffray & Co., the Company targets corporations, government, non-profit entities, institutional investors, and the financial advisory needs of private individuals.
  • Raymond James - Raymond James is a diversified holding company that provides financial services to individuals, corporations and municipalities through subsidiary companies. There are three wholly owned broker/ dealers within the company: Raymond James & Associates, Raymond James Financial Services and Raymond James Ltd. Raymond James Investment Services Limited is a majority-owned independent contractor subsidiary in the United Kingdom. With more than 4,750 financial advisors serving approximately 1.6 million accounts in 2,200 locations throughout the United States, Canada and overseas, Raymond James’ total client assets are currently near $215 billion, of which approximately $37.1 billion are managed by the firm’s asset management subsidiaries. Raymond James headquarters is located in St. Petersburg, Florida on the 15- acre Raymond James Financial campus in a 180, 000- square-foot four-tower complex.
  • Robert W. Baird & Company - Robert W. Baird & Co. is the principal U.S. operating subsidiary of Baird, an international employee-owned financial services firm, and one of the FORTUNE 100 Best Companies to Work For. With approximately 2,400 employees, Baird is one of the largest privately held, full-service investment firms in the United States. Baird manages and oversees $62 billion in assets. Baird's principal operating subsidiary outside the U.S. is Robert W. Baird Group Ltd. in Europe. Baird also has an operating subsidiary in Asia supporting its private equity operations.
  • ROTH Capital Partners - ROTH Capital Partners, LLC, is a full service Investment Banking firm, specializing in the small and micro cap markets. ROTH's corporate headquarters are located in Newport Beach, California. ROTH is a full-service investment banking firm servicing the small and microcap stock market. The firm is privately owned with current principals being majority owners. The core management team has been consistent for many years. ROTH's business is to offer investment banking services, including raising capital, research coverage, trading and market making, merger and acquisition advisory services, and investor conferences.
  • RSM McGladrey - RSM McGladrey, Inc. is a United States consulting firm specializing in taxes, business management, wealth management, retirement resource management, payroll management and corporate finance. It represents RSM International in the United States and is a subsidiary of tax preparation firm H&R Block.
  • Sagent Advisors - Sagent Advisors is an independent investment bank specializing in mergers & acquisitions advisory services. The firm focuses on transactions in the several core industry industry sectors: consumer & retail, energy & power, financial institutions & managed care, industrial, media & telecommunications, packaging and transportation. The firm also has an active private equity financial sponsor coverage business.
  • Sandler O'Neill + Partners - Sandler O'Neill + Partners, L.P. ("SOP") is a New York City-based investment banking firm. It was founded by Thomas F. O'Neill and Herman S. Sandler in 1988. Located on the 104th floor of Two World Trade Center, it lost 68 of 177 employees in the September 11, 2001 attacks, including chief executive and co-founder Herman Sandler. Only 17 of SOP's World Trade Center employees escaped the tower's destruction. The company lost its entire computer system in the destruction.[1] However, by 17 September 2001 the company announced it was open for business, operating from two locations. One space was donated by Bank of America Securities, and the other was Sandler O'Neill Asset Management's office. By 22 October the company had secured a new headquarters location in Manhattan, and had hired 13 new employees.
  • Stephens Inc. - Stephens Inc. is a full service, privately owned investment bank based in Little Rock, Arkansas.
  • ThinkEquity Partners, LLC - ThinkEquity Partners LLC is a U.S. investment banking firm based in San Francisco, California. ThinkEquity was founded in 2001 as a growth focused research-centric investment bank. In April 2007, the firm was merged into Panmure Gordon, a London-based investment bank. After the merger, the US division of firm use THNK as its underwriter ID but have assumed the name ThinkEquity LLC, A Panmure Gordon Company as its company name.
  • Thomas Weisel Partners - Thomas Weisel Partners Group, Inc. (NASDAQ: TWPG), also known as TWP or Weisel, is a U.S. growth focused investment banking firm based in San Francisco, California.
  • William Blair & Company - William Blair & Company is privately held employee-owned financial services firm that provides investment banking, equity research, brokerage, asset management and private capital serives.
  • Woori Investment & Securities - Woori Financial Group is a Seoul-based banking and financial services holdings company and is the largest bank in South Korea. Woori has had a short history as a financial institution. It was formed in 2001 from the forced merger of 4 predecessor commercial banks and an investment bank (Hanvit, Peace, Kwangju and Kyongnam Banks and Hanaro Investment Banking and their subsidiaries). The banks were taken over and recapitalised by the government because they had fallen below the Basel I Accord mandated eight percent capital adequacy ratio. The South Korean Government, through the Korean Deposit Insurance Corporation, remains the primary investor as a result.
  • WR Hambrecht + Co - WR Hambrecht + Co. is a full service investment bank with headquarters in San Francisco and offices in New York, Boston, Philadelphia, and Tokyo. It specializes in using its unique auction process called OpenIPO to compete with the traditional methods of larger and more established banks. Recently, it has underwritten companies such as Google and Interactive Brokers. The firm has financial backing from industry leaders including American Century, Crimson Ventures, epartners, Fidelity Ventures, Novell, and Park Avenue Equity Capital Partners.
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