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AXA Rosenberg Group LLC

AXA Rosenberg Group LLC

AXA Rosenberg Group LLC is the specialist active global equity investment management firm within the AXA Investment Managers group. As of March 2010, the firm manages more than $62 billion in assets globally. The firm was founded in Orinda, California, in 1985 as Rosenberg Institutional Equity Management by Dr. Barr Rosenberg and a small team of colleagues who were confident that investment insights could be gained by combining statistical methods with detailed knowledge of company fundamentals. Quickly expanding globally, the firm opened offices in Tokyo, London and Singapore in the years that followed. The original Rosenberg group joined with AXA Investment Managers in 1999, becoming AXA Rosenberg. The company has continued to expand its presence in major financial markets globally and now has offices in Hong Kong, Toronto, Greenwich, and Sydney. AXA Rosenberg is a fundamental manager devoted to the rigorous, dispassionate analysis of data. The cornerstone of our investment philosophy is simple: investors can profit by purchasing stocks that have a distinct earnings advantage relative to their peers.

ROTH Capital Partners, LLC

ROTH Capital Partners, LLC

Roth Capital Partners, LLC was founded in 1984. Roth Capital Partners, LLC (ROTH) is an investment banking firm that focuses on the small-cap public market. The firm offers IPO underwriting services to small-cap companies; capital raising services for public companies; and placement services of PIPE transactions. Additionally, it provides investment banking services including capital raising, research coverage, trading and market making, merger and acquisition advisory, and investor conferences. ROTH has raised over $10.6 billion for small-cap public companies and over $3 billion through PIPE transactions. The firm has completed transactions totaling more than $2 billion for US-listed Chinese companies. It offers financing services to small-cap Chinese companies.

Brookfield Asset Management Inc.

Brookfield Asset Management Inc.

Brookfield Asset Management, Inc. operates as a global asset management company, with a primary focus on property, power and infrastructure assets. Business areas The company operates and manages assets in the following areas: its property operations include core office properties in North America, the U.K. and Brazil, residential home building in North America and Brazil, as well as associated development activities and property services. The company’s power generation business is concentrated on hydroelectric power generation in North America and Brazil, with co-generation and wind energy facilities. The company’s timberland operations own and manage two million acres of private timberlands in North America and Brazil. The company’s transmission infrastructure business includes electricity transmission systems in Canada and Chile. The company’s specialty funds business develops, invests and manages funds and investments on behalf of institutional and related investors that co-invest in the same types of assets which the company owns, including bridge lending, restructuring, real estate finance and fixed income and real estate securities. The company also owns direct interests in various investments, collectively referred to as Private Equity Investments. PROPERTY OPERATIONS The company conducts a range of property operations in North America as well as in Europe and South America. Core Office Properties The company owns and manages a core office portfolio and focuses on major financial, energy and government centre cities in North America and Europe. The company owns interests in 133 commercial properties totalling approximately 85 million square feet of rentable area, as well as 18 development sites with 22.6 million square feet of potential developable area.

Fuse Capital

Fuse Capital

Fuse Capital (formerly Velocity Interactive Group) is hot for digital media and communications ventures. Focusing on early-stage growth companies, the venture capital firm is a long-term investor, providing up to $30 million per transaction. Its current portfolio consists of interests in some two dozen companies. The former Velocity Interactive was formed by the 2007 merger of venture capital firms Velocity and ComVentures; it changed its name in 2009. Fuse Capital has some $1.5 billion in capital under management, including former ComVentures funds.

Kayne Anderson Rudnick Investment Management, LLC

Kayne Anderson Rudnick Investment Management, LLC

Kayne Anderson Rudnick Investment Management was founded in 1984 and is based in Los Angeles, California. Kayne Anderson Rudnick Investment Management, LLC is a privately owned investment manager. The firm primarily provides its services to individuals, including high net worth individuals. It also manages accounts for banking or thrift institutions, investment companies, pension and profit sharing plans, endowments, foundations, public funds, pooled investment vehicles, charitable organizations, corporations, state or municipal government entities, and Taft-Hartley plans. The firm manages separate client-focused equity, fixed income, and balanced portfolios. It also manages mutual funds. The firm invests in the public equity markets across the globe and fixed income markets of the United States. It invests in stocks of small-cap, small/mid-cap, mid-cap, and large-cap companies. The firm invests in high-quality intermediate maturity fixed income government, municipal, and corporate securities. It employs fundamental analysis with bottom-up stock picking approach.

BlueBay Asset Management plc

BlueBay Asset Management plc

BlueBay Asset Management was founded in 2001 and is based in London, United Kingdom with additional offices in Tokyo, Japan and New York, New York. BlueBay Asset Management plc is a publicly owned investment manager. The firm provides its services to institutions, corporations, Pension and profit sharing plans, pooled investment vehicles, white label funds, and high net worth individuals. It manages fixed income credit funds and structured products for its clients. The firm also manages separate client focused portfolios. It invests in the public equity and fixed income markets across the globe. It also invests in emerging and alternative markets. The firm specializes in fixed income credit. It employs a combination of fundamental and technical analysis with a combination of top-down and bottom-up approach to make its investments.

Progress Investment Management Company

Progress Investment Management Company

Progress Investment Management Company was founded in 1990 and was under the wings of Bank of America for a time, but is independent after a management buyout. Progress Investment Management specializes in the management of emerging-markets managers, particularly those run by minorities or women; clients include such pension funds as CalPERS, whose manager-development program it manages. Progress Investment Management has approximately $6.4 billion in assets under management.

Unilever Ventures Limited

Unilever Ventures Limited

Unilever Ventures funds European startups in the food, beverage, home care, personal products, health care, fitness, leisure, and media sectors. It especially looks for enterprises that could dovetail with existing Unilever products. Unilever Ventures operates independently of its parent company, but has access to its brands, expertise, and research and development. Portfolio companies include Alleggra (egg alternatives), Froosh (prepackaged smoothies), PharmaKodex (drug development), P2i (liquid-repellent treatments), Voltea (water purification), and Spa and Salon International.

Enterprise Ventures Limited

Enterprise Ventures Limited

Enterprise Ventures Limited is a private equity and venture capital firm specializing in investment in high growth unquoted companies. The firm seeks to invest at all stages of investment with a focus on management buy outs, development capital, and early stage technology opportunities. It also considers investments in start up stage. The firm prefers to invest in companies based in England with a focus on the North of England and the Midlands. It typically invests in deal sizes of £5,000 ($9,800) to £2 million ($3.94 million) using a combination of its liquidity and syndication with other private equity and debt providers.

Seneca Financial Group, Inc.

Seneca Financial Group, Inc.

Seneca is a New York City based restructuring firm located in midtown Manhattan. The firm was established in 1993 by James W. Harris who served as Managing Director and Head of the Financial Restructuring Group at Lehman Brothers Inc. Seneca is a specialty financial advisory firm focusing exclusively on Financial Restructuring Advisory Services and Litigation Support Services involving complex financial litigation.Seneca Financial Group, Inc. is a merchant banking company. It specializes in the restructuring of public and private companies. The company works with senior management of companies and other stakeholders seeking to improve financial and operational restructuring, refinancing, asset redeployments, divestitures, and acquisitions. It provides advisory services, such as financial performance reviews, liquidity stress tests, financial planning, business planning, industry peer analyses, business valuations, and capital investment planning.

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