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Solera Capital LLC

Solera Capital LLC

Solera Capital was founded in 1999 with an all-female staff led by CEO Molly Ashby. The firm emphsizes its diversity, with 14 of its 17 professionals being women from backgrounds as diverse as Singapore and Ethiopia. Solera Capital is a private equity investment firm that typically invests between $10 million and $40 million in its target companies. Its portfolio includes natural and organic food company Annie's, consumer health care provider The Little Clinic, and publisher Latina Media Ventures.

Northern Financial Corporation

Northern Financial Corporation

Northern Financial Corporation (Northern) is a Canada-based company. The Company wholly owns Northern Securities Inc. (Northern Securities), a member firm of the Investment Industry Regulatory Organization of Canada (IIROC). It carries on a traditional full service investment dealer business through Northern Securities providing financial advisory services to retail and institutional clients and investment banking services to small capitalization companies. This business generates revenue from commissions and advisory fees earned on investment banking activities, and commissions from institutional sales and trading and retail investment advisors, and from principal trading. Northern also carries on a merchant banking business that supplements the investment dealer business.

Unified Financial Services, Inc.

Unified Financial Services, Inc.

Unified Financial Services, Inc., a holding company, provides financial products and services in the United States. It offers back-office and shareholder services for the assets of third-party mutual fund families, as well as its affiliated series funds, including mutual fund distribution services. In addition, the fund manages and administers 401(k) and other ERISA-directed assets, and wealth for individuals through portfolio management and a suite of family-office services. As of December 31, 2003, it provided mutual fund services, transfer agency, fund accounting, administration, and distribution services to 31 mutual fund families consisting of 176 portfolios. As of the above date, the fund provided trust and retirement services to approximately 1,800 clients. Unified Financial was organized in 1989 as Unified Holdings, Inc. and changed its name to Unified Financial Services, Inc. in 1997. The fund is headquartered in Lexington, Kentucky.

Emergent Technologies, Inc.

Emergent Technologies, Inc.

CEO Thomas Harlan founded Emergent Technologies in 1989. Emergent Technologies turns business into a science, and vice versa. The venture capital firm focuses on institutional and university-based biotechnology discoveries, generally originating at The University of Oklahoma, The University of Texas, and Texas Tech , and turns them into companies. Emergent Technologies provides more than financial support; it also brings management, marketing, licensing, and other offerings to its nascent charges. Emergent Technologies company looks for protectable intellectual property, previous research grants, and new technology with applications across many markets.

Scotia Capital

Scotia Capital

Scotia Capital was founded in 1999. Scotia Capital Inc. provides investment banking services to communications, media, technology, consumer products, real estate, forest products, infrastructure, industrial products, power, mining, and oil and gas sectors. The firm offers mergers and acquisitions advisory, private placement, negotiation assistance, due diligence, and restructuring services. Additionally, it provides research, equity sales and trading, foreign exchange management, merchant banking, short-term funding, investment research, and structured leasing services.

Direct Sharedeal Limited

Direct Sharedeal Limited

Direct Sharedeal Limited offers trading in global markets online or by phone, resarch resources, and online trading tools. Traditionally Scotland's only execution-only stockbroker, the company has broadened its scope beyond online trading, and now offers insurance, mortgages, and other financial services through various alliances. Launched in 1999, the Scottish stockbroker signed a partnership with Computershare Ireland in 2004 in order to expand its product base in the Irish market. Direct Sharedeal Limited brokered approval with the Securities Exchange Commission and successfully entered the US market in mid 2005.

Tradeweb Markets LLC

Tradeweb Markets LLC

TradeWeb LLC operates as an online trading marketplace for fixed income, derivatives, and equities. The company offers trade execution, market data, and trade processing services, as well as a range of post-trade analytical services that enable clients to measure the benefits generated from electronic trading for trading strategies and compliance purposes. Its network connects the institutional clients, dealers, prime brokers, and electronic confirmation vendors for trade processing, as well as provides dealers and buy-side institutions with paperless trade allocations and confirmations. The company’s multi-dealer auction model links the trading desks of the fixed-income dealers with buy-side institutions in North America, Europe, and Asia. Its network also includes AccountNet, a derivatives counterparty management tool, as well as the data warehouse for standing settlement instructions and OTC derivatives legal documentation.

Asset Alliance Corporation

Asset Alliance Corporation

Asset Alliance Corporation was founded in 1996 and is based in New York City. Asset Alliance Corporation, the parent company of Asset Alliance Group, is an investment management holding company that buys preferred interests in other privately held investment management firms specializing in alternative investment strategies. The company usually buys an equity interest in established mid size firms that utilize hedging and other risk-modifying strategies when making investments. Asset Alliance Corporation incorporates over 13 affiliate hedge fund managers and investment products for which it provides advisory services.

Henderson Group plc

Henderson Group plc

Henderson Group plc is engaged in the provision of investment management services. Henderson Global Investors (Henderson) is an investment manager, operating throughout Europe and with operations in North America and Asia. It manages a range of actively managed investment products for institutional and retail investors, across multiple asset classes, including equities, fixed income, property and private equity. Its subsidiaries include Henderson Global Group Limited, Henderson Administration Limited, Henderson Alternative Investment Advisor Limited, Henderson Equity Partners Limited, Henderson Fund Management Plc and Henderson Holdings Limited. On 9 April 2009, the Company acquired New Star Asset Management Group PLC.

Thrivent Investment Management Inc.

Thrivent Investment Management Inc.

Thrivent Investment Management nonetheless has significance to Lutherans. The company is the securities brokerage and financial advisory subsidiary of Thrivent Financial for Lutherans, which provides financial and insurance products and services to nearly 3 million members. Thrivent Investment Management offers full and discount brokerage services, mutual funds, and education funding products such as 529 plans. Customers can work with a financial adviser or manage their accounts and place trades by phone or online.

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