Transaction List
Recent Transactions
Putnam Lovell's Investment Banking team is pleased to have recently represented:
2008
05/08
Aladdin Capital Holdings LLC in its sale of a minority interest to Mitsubishi Corporation
03/08
Robeco Investment Management, Inc., in the announced sale of its municipal bond business to Lehman Brothers Holdings
02/08
Robeco Investment Management, Inc., in the announced sale of its U.S. taxable fixed income business to Morgan Stanley Investment Management, Inc.
Vision Investment Management in its sale of an interest to IFIL
01/08
HedgeWorks, LLC, in its sale to Deutsche Bank
2007
11/07
Citizens Advisers, Inc., in its announced sale to Sentinel Investments
ValueAct Capital in the sale of an equity interest to Affiliated Managers Group, Inc.
04/07
Piper Jaffray in its announced acquisition of Fiduciary Asset Management
01/07
State Street Corp. in its acquisition of Currenex
Miletus Trading in its sale to Liquidnet
PRS Group in its announced sale to EFG International
2006
10/06
Chanin Capital Partners in its sale to Duff & Phelps, LLC
Chicago Equity Partners LLC in its sale of a majority interest to Affiliated Managers Group, Inc.
07/06
National Bank Financial Inc. in its acquisition of Credigy Ltd.
06/06
AssetMark Investment Services, Inc. in its sale to Genworth Financial Inc.
05/06
MDT Advisers LLC in its sale to Federated Investors, Inc.
03/06
eSecLending, a subsidiary of Old Mutual plc, in its sale to TA Associates
01/06
International Asset Management in its sale to ABN AMRO Asset Management
2005
12/05
The Bank of Ireland in its acquisition of a majority interest in Guggenheim Alternative Asset Management
Harcourt Investment Consulting in its sale of a majority interest to Vontobel Group
11/05
American Express in the sale of its UK execution only broking business to TD Waterhouse UK
New Star Asset Management Group Limited in its IPO
08/05
Lombard Risk Management plc in the sale of its ValuSpread business to Fitch Ratings Ltd.
Coast Asset Management LLC in its sale of an equity interest to Summit Partners
06/05
BNP Paribas in its acquisition of FundQuest Inc.
Cadence Capital Management LLC in its MBO from Allianz Global Investors
05/05
The Edelman Financial Center in its sale to Sanders Morris Harris Group Inc.
04/05
Royal Philips Electronics in the sale of its asset management business to Merrill Lynch Investment Managers
Royal Philips Electronics in the sale of its pension management activities to Hewitt Associates
Direct Trading Institutional Inc. in its sale to Knight Trading Group Inc.
03/05
The BISYS Group in the sale of Boston Institutional Services to Bank of New York
Pax Clearing Corporation in its sale to Merrill Lynch
02/05
William D. Witter Inc. in its sale of a minority interest to private investor Victor Ugolyn
01/05
Derivatives Portfolio Management, L.L.C. in its sale to Mellon Financial Corporation
2004
12/04
Investec PLC's reverse merger of its private client subsidiary Carr Sheppards Crosthwaite Limited with Rensburg PLC
Julius Baer in the sale of its North American Private Banking business to UBS AG
11/04
American Express Co. in the sale of its Luxembourg private banking business to UBS AG
AQR Capital Management, LLC in the sale of an equity interest to Affiliated Managers Group, Inc.
Deutsche Bank AG in the sale of Scudder Private Investment Counsel's New York, Philadelphia, Chicago, and Cincinnati offices to Legg Mason
10/04
Wall Street Access Corporation in the sale of its retail brokerage business to E*Trade Securities LLC
Preferred Investment Solutions Corp. (formerly Kenmar Advisory Corp.) in its acquisition of the futures funds originally sponsored by Prudential Securities Futures Management Inc.
08/04
Adelante Capital Management in its management-led buyout of Lend Lease Rosen from Lend Lease Corp.
07/04
Alpha Investment Advisory Group in its sale of their multi-manager hedge fund business to Safra Asset Management
Fremont Investment Advisors in its sale of mutual fund assets to AMG through The Managers Funds
Radianz in its sale of Radianz Voice Services to WestCom Corporation
06/04
Prudential Financial Inc. in its sale of PRICOA Property Investment Management Ltd. ("PPIM") to Management
A.R. Schmeidler & Co., Inc. in its sale to Hudson Valley Bank
Deerfield & Company LLC in its sale of a majority interest to Triarc Companies, Inc.
Evaluation Associates Capital Markets in its sale to Mellon Financial Corporation
Deutsche Bank AG in the sale of Scudder Private Investment Counsel's Boston office to Eaton Vance
05/04
Numeric Investors L.P. in the recapitalization led by TA Associates
2003
11/03
The Management of GMS Group LLC in the buyout from Ryan Beck & Co.
07/03
Renaissance Trading Technologies LLC in its sale to NYFIX, Inc.
05/03
The Royal Bank of Scotland Group in its sale of Coutts Group's Latin American private wealth management business to Banco Santander Central Hispano
Deutsche Asset Management's unit, Scudder Investments, in the formation of a strategic alliance for retirement plan services with Automatic Data Processing, Inc.
03/03
Hansberger Group in its sale of an equity interest to CDC IXIS Asset Management North America
01/03
New Star Asset Management in its acquisition of six unit trust management contracts from Aberdeen Asset Management
2002
12/02
TIAA-CREF in its acquisition of a minority interest in Lowe Enterprises Investment Management
Alexander Capital Management Group in its sale to CoBiz Inc.
Vector Partners in its sale to Banc of America Securities
11/02
Household Bank f.s.b. in its sale of Orchard Bank to Panhandle State Bank, a subsidiary of InterMountain Community Bancorp
Scottish Annuity & Life Holdings, Ltd. as Senior Co-manager in its 4.50% Senior Convertible Note Offering
10/02
International Fund Administration, Ltd. in its sale to the Bank of New York Co.
08/02
Mackenzie Investment Management Inc. in its sale to Waddell & Reed
The Principal Financial Group in its sale of significant portions of BT Financial Group businesses to Westpac Banking Corporation
Lockwood in its sale to the Bank of New York Co.
EMAT in its sale to the Bank of New York Co.
07/02
Sage Capital Management in its sale to Robeco
06/02
Provident Mutual Insurance and Financial Services in the sale of its stake in Sentinel Advisors Company to National Life Group
05/02
Nuveen Investments in its acquisition of NWQ Investment Management
Momentum Group in its sale to Pioneer Global Asset Management
04/02
Scottish Annuity & Life Holdings, Ltd. as senior co-manager in its $109.5 million follow-on offering
2001
11/01
Kayne Anderson Rudnick Investment Management, LLC in its sale to Phoenix Investment Partners, Ltd.
10/01
Centurion Capital Management in its sale to GE Financial Assurance
09/01
Taylor Young Investment Management Ltd. in its sale to Alpha Trust Investment Services S.A.
08/01
Scottish Annuity & Life Holdings, Ltd. in its acquisition of World-Wide Reassurance Company Limited from Pacific Life
07/01
Tremont Advisers, Inc. in its sale to Oppenheimer Acquisition Corp.
The Wadsworth Group in its sale to a superregional bank
06/01
Van Deventer & Hoch in its sale to Mellon Financial Corporation
Boston Private Financial Holdings in its acquisition of Borel Bank & Trust Company
Royal Bank of Canada in its sale of RT Capital Management to UBS AG
Symphony Asset Management in its sale to Nuveen Investments
05/01
Klamath First Bancorp in its acquisition of Washington Mutual - 12 Western Bank branches and a financial center in Oregon
ABG Securities ASA in its sale to Sundal Collier Holding ASA
04/01
PIMCO Advisors L.P. in its sale of Parametric Portfolio Associates
02/01
National Asset Management Corp. in its sale to AMVESCAP PLC
01/01
Boston Institutional Group in its sale to the BISYS Group
2000
12/00
National Australia Bank Limited in its sale of County Investment Management to AMVESCAP PLC
11/00
Stein Roe Investment Counsel LLC in its sale of an equity interest to Putnam Lovell Capital Partners Inc.
09/00
WesterFed Financial Corporation in its sale to Glacier Bancorp, Inc.
08/00
Glenwood Capital Investments LLC and Glenwood Management LLC in its sale to ED& F Man Group plc
Brundage, Story and Rose LLC in the sale of its Private Client and Institutional Equity Division to Bessemer Trust
Brundage, Story and Rose LLC in the sale of its Fixed Income Division to DLJ Asset Management
06/00
Forest Investment Management LLC in its sale to Management
05/00
Smith Breeden Associates Inc. in its sale to The Managers Fund
AZX, Inc. in its sale to Goldman Sachs Group Inc.
Cadinha Partners in its sale to Convergent Capital Management, Inc.
Forum Capital Markets LLC in its sale First Union Corporation
04/00
Chase Manhattan Corporation in its acquisition of Robert Fleming Holdings Ltd.
03/00
Prudential Plc's Fund Management in its sale to Deutsche Bank AG
Cypress Tree Asset Management in its sale to American General
02/00
Lexington Global Asset Managers, Inc. in its sale to Reliastar Financial Corp.
InterSec Research Corp. in its sale to Deustche Bank AG
01/00
Froley, Revy Investment Co, Inc. in its sale to First Republic Bank
All transactions, case studies, presentations and other banking activities prior to Jefferies' July 2007 acquisition of Putnam Lovell were represented by Putnam Lovell NBF Securities, Inc.
Transactions