Corporate Facts


  • Formed in 2002 as a spin-off of Investec Ernst & Company, the U.S. subsidiary of the global investment firm Investec
  • Assembled some of the industry’s most talented professionals to create a full service investment bank dedicated to the needs of middle market and emerging growth companies
  • Full-service distribution platform providing Investment Banking, Research, and Sales expertise across multiple market sectors and products
  • Strong capital base and healthy balance sheet
  • Strong financial performance; consecutive quarterly profitability since inception
  • Headquartered in New York with offices in four cities in the U.S.
  • Over 285 employees
  • 100% employee owned

Investment Banking

  • Focused on serving the needs of emerging growth, small and mid-size companies, generally from $100 million – $2 billion in enterprise value
  • Provides customized solutions and a higher level of senior involvement than our major bracket competitors can afford to provide
  • Built a powerful multi-channel platform reaching more than 500 U.S. institutional investors, global financial institutions and high net worth private clients
  • We are proactive in the after-market, providing secondary market liquidity and creative investment banking follow-up
  • Since January 1, 2013 we have participated in 465 transactions, aggregating a combined $33.5 billion in capital, making us one of the most active mid-size investment banks during this period

Capital Markets

  • Senior sales and trading team with an average of 15 years corporate Wall Street experience each
  • Sales force with deep buy-side relationships with banks, brokerages, hedge funds, money managers, mutual funds, and insurance companies
  • Market maker in almost 7,500 listed and OTC listed stocks
  • Commits substantial capital to support OTC principal trading and facilitate listed trading
  • Provides liquidity and execution in foreign equities and ADR’s in over 30 countries
  • Offers sales trading advice on traditional derivatives and financial instruments
  • Coordinates equity, debt, and preferred offerings with other broker dealers throughout the United States and abroad.


  • A team of experienced fundamental publishing research professionals designed to provide our institutional investor and wealth management clients with alpha generation through differentiated research
  • Approximately 200 companies in 20 sectors of the global economy under research coverage
  • Focus on mid-cap and emerging growth companies with a market capitalization between $100 million and $10 billion
  • Select analysts recognized by Institutional Investor, The Wall Street Journal’s Best of the Street, CNN MoneyLine, Business Week, Forbes, and Investors Business Daily

Fixed Income

  • Active market makers in over 2,000 corporate issues covering over 25 sectors
  • Provides institutional coverage in several different fixed income instruments including U.S. Treasury & Agency securities, High Grade & High Yield Corporate Bonds, Mortgage & Asset-backed securities, Preferred Stock, Convertible Bonds, Municipal Bonds, and Structured Products
  • Leading boutique sales/trading team in a variety of structured credit sectors
  • Active in RMBS (Agency and Non-Agency), CMS, CDO/CLO, ABS
  • Leading Preferred Stock/Hybrid/Tier One Market Maker, competitive with many big banks in the sector
  • Top regional B/D underwriter/distributor of structured products, such as range notes, non-inversion notes, steepeners, and equity/commodity linked baskets

Prime Brokerage

  • Bespoke client service
  • In-house reporting infrastructure enabling robust standard and customized reporting.
  • Separate and “natural persons” accounts
  • EMS Solutions for Equities and Options
  • Start-up and Capital Solutions

Wealth Management

  • 120 wealth management professionals
  • $3.5 billion of client assets receiving advisory and/or brokerage services
  • Top-tier financial solutions delivered through open architecture platform
  • Institutional-quality execution and advisory capabilities across all asset classes
  • Highly tailored services and solutions for sophisticated clients

December 2018