Plunkett's Investment & Securities Industry Almanac 2010: The Only Comprehensive Guide to the Investment & Securities Industry (Plunkett's Investment and Securities Industry Almanac)

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PLUNKETT’S INVESTMENT & SECURITIES INDUSTRY ALMANAC 2010 The Only Comprehensive Guide to the Investment & Securities Industry

Jack W. Plunkett Published by: Plunkett Research, Ltd., Houston, Texas www.plunkettresearch.com

PLUNKETT’S INVESTMENT & SECURITIES INDUSTRY ALMANAC 2010 Editor and Publisher: Jack W. Plunkett Executive Editor and Database Manager: Martha Burgher Plunkett

Information Technology Manager: Wenping Guo

Senior Editors and Researchers: Brandon Brison Michael Esterheld Addie K. FryeWeaver Christie Manck

Cover Design: Kim Paxson, Just Graphics Junction, TX

Editors, Researchers and Assistants: Kalonji Bobb Elizabeth Braddock Leslie Crow Michelle Dotter Abigail Meyer Lindsey Meyn Andrew Olsen Jill Steinberg Kyle Wark Suzanne Zarosky E-Commerce Managers: Alejandra Avila Emily Hurley Geoffrey Trudeau

Special Thanks to: Dow Jones & Co., Inc. Employee Benefits Research Institute Investment Company Institute National Association of Securities Dealers Automated Quotation System (NASDAQ) New York Stock Exchange (NYSE) Securities Industry and Financial Markets Assn. Standard & Poor’s State Street Global Advisors Thomson Financial U.S. Board of Governors of The Federal Reserve System U.S. Department of Commerce, Bureau of the Census U.S. Department of Labor, Bureau of Labor Statistics U.S. Department of the Treasury

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PLUNKETT’S INVESTMENT & SECURITIES INDUSTRY ALMANAC 2010 CONTENTS A Short Investment & Securities Industry Glossary Introduction How to Use This Book Chapter 1: Major Trends in the Investment & Securities Industry 1) Investment & Securities Industry Overview 2) Government Bail Outs and Increased Control of Banks and Investment Firms 3) Increased Regulation and Government Scrutiny Loom Over the Financial Industry 4) Giant Mergers Change the Face of Global Banking and Investment Firms 5) Aging Populations, Baby Boomers Create Opportunities/U.S. Pension Accounts Top $14 Trillion 6) Employers Make 401(k) Enrollment Automatic/Broad Changes are Suggested for Retirement Savings Plans 7) Investment Firms, Banks Compete for Clients in High Net Worth Households 8) ETFs Expand and Take Market Share from Mutual Funds/Fund Operators Are Forced to Change 9) Online Brokers Open Physical Offices/Online Trading is Free for Large Depositors 10) Hedge Funds Regroup, Change Strategy and Sometimes Lower Fees 11) Private Equity Firms Stumble on Tighter Credit 12) Annuity Account Managers Create New Product Strategies 13) Credit Default Swaps (CDS) and Derivatives Soar into the Trillions of Dollars 14) Credit Card Issuers and Debt Holders Face a Difficult Market/Consumers Pay Down Debts and Charge Less 15) Exchanges Must Provide Fast, Inexpensive Services in Order to Survive/High Speed Trading 16) Investment Product Facts Chapter 2: Investment & Securities Industry Statistics U.S. Investment & Securities Industry Overview Stock Market Performance Indices, U.S.: 1985-Nov. 2009 Stock Market Volume, U.S.: 1985-Oct. 2009 Value Traded on the NYSE & NASDAQ Stock Exchanges: 1985-Oct. 2009 Common Stock Prices & Yields, U.S.: 1980-Nov. 2008 Sales, Profits & Stockholders' Equity, All Manufacturing Corporations, U.S.: 1980-June 2008 Components of U.S. Money Stock Measures: 1970-Dec. 2009 U.S. Mutual Fund Assets by Type of Fund: 1985-Oct. 2009 U.S. Mutual Fund Net Sales: 1985-Oct. 2009 Treasury Securities Outstanding by Kind of Obligation, U.S.: Fiscal 1978-2009 Estimated Ownership of U.S. Treasury Securities: 1999-Sept. 2008 Public Debt Securities Held by Private Investors, U.S.: Fiscal 1970-2008 Average Interest Rates of 3-Month & 10-Year U.S. Treasuries: 1985-Nov. 2009 Time Deposits & Savings Deposits of Individual Retirement Accounts (IRAs), U.S.: Fiscal 2000-Q2 2009 Employment in the Investment & Securities Industry, U.S.: 2003-Nov. 2009 Chapter 3: Important Investment & Securities Industry Contacts (Addresses, Phone Numbers and Internet Sites) Continued on next page

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Continued from previous page

Chapter 4: THE INVESTMENT 350: Who They Are and How They Were Chosen Industry List, With Codes Index of Rankings Within Industry Groups Alphabetical Index Index of U.S. Headquarters Location by State Index of Non-U.S. Headquarters Location by Country Index by Regions of the U.S. Where the Firms Have Locations Index of Firms with International Operations Individual Profiles on Each of THE INVESTMENT 350 Additional Indexes Index of Hot Spots for Advancement for Women/Minorities Index by Subsidiaries, Brand Names and Selected Affiliations

75 76 77 86 89 93 95 104 107 459 461


A Short Investment & Securities Industry Glossary 10-K: An annual report filed by publicly held companies. It provides a comprehensive overview of the company's business and its finances. By law, it must contain specific information and follow a given form, the “Annual Report on Form 10-K.” The U.S. Securities and Exchange Commission requires that it be filed within 90 days after fiscal year end. However, these reports are often filed late due to extenuating circumstances. Variations of a 10-K are often filed to indicate amendments and changes. Most publicly held companies also publish an “annual report” that is not on Form 10-K. These annual reports are more informal and are frequently used by a company to enhance its image with customers, investors and industry peers. 12b-1 Fees: The percentage of a mutual fund’s assets used in the defraying of marketing and distribution costs. The fee amount is stated in the fund’s prospectus. Recently the SEC proposed that 12b1 fees over 0.25% be classed as a load. A true “no load” fund does not have a 12b-1 fee. 144a: A rule of the U.S. Securities and Exchange Commission (SEC) that allows for the sale of stock that is not subject to public company accounting rules or the Sarbanes Oxley regulations. However, the sale of section 144a stock is strictly limited to qualified buyers, those with at least $100 million in investable assets. Also, sale is limited to no more than 500 U.S.based buyers and 300 non-U.S. 401(k) Plan: An employer-sponsored retirement plan that enables employees to defer taxes on a portion of their salaries by earmarking that portion for the retirement plan. In a typical plan, employees may deposit up to 15% of a year's salary. The employer then matches a portion of the employee's deposit. A common employer match equals one-half of an employee's deposits of up to 6% of salary. In other words, if an employee deposits 6% of a $30,000 salary ($1,800), the employer would match one-half of that $1,800 deposit ($900). The employee would then have $1,800 + $900 in the savings plan = $2,700. The account will grow on a tax-deferred basis until the employee begins drawing money at retirement. It is important to note that the provisions of these plans vary widely from one employer to the next. Some employers make no matching deposit.

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Some generous firms match 100% of qualified employee deposits. Not surprisingly, members of Congress have voted themselves one of the most generous savings plans in the nation, where the government matches 200% of their qualified deposits. 403(b) Plan: An employer-sponsored retirement plan that enables employees of universities, public schools and nonprofit organizations to defer taxes on a portion of their salaries by earmarking that portion for the retirement plan. See “401(k) Plan” for details. Acceleration Clause: A clause in a contract of debt, such as a mortgage, which causes the entire amount to become due upon the borrower's default. Adjustable-Rate Mortgage (ARM): A mortgage that changes interest rates periodically to match a specific index. Adviser: An organization employed by a mutual fund to give advice on the fund’s investments (also called the “investment adviser”). AIM (Alternative Investment Market): AIM is a stock market, established by the London Stock Exchange, that lists smaller firms that face less stringent underwriting and listing requirements than stocks listed on the main London Stock Exchange (LSE). Alpha: A measure of the selection risk, or residual risk, of a mutual fund relative to the market. A positive alpha represents the extra return an investor receives for taking a risk rather than accepting the market return. In other words, it is the percentage by which a fund outperforms the market-based return estimate. Alternative Documentation Mortgage (Alt-A): An alternative method of documenting a loan file, often referred to as “alt doc” or “Alt-A,” that relies on unsubstantiated information provided by the borrower regarding personal income and assets, rather than positive proof such as income tax returns, W2 forms from employers, bank statements and investment account statements. American Depositary Receipts (ADRs): Certificates issued by a U.S. Depositary Bank to represent foreign shares held by a branch of the bank or a correspondent in the country. An ADR can stand


for one share, part of a share or a bundle of shares of a foreign corporation. The same currency and political and economic risks of the underlying foreign share are associated with the ADR. Prices are kept essentially identical through arbitrage. American Stock Exchange (AMEX): A stock exchange located in New York that is owned by its 800 members. Until 2005, it was owned by the NASD. Amortization through Equal Monthly Payments: A repayment method in which the amount borrowed is repaid gradually through regular monthly payments of principal and interest. During the first few years, most of each payment is applied toward the interest owed. During the final years of the loan, payment amounts are applied almost exclusively to the remaining principal. Annual Report: See “10-K (10K).” Annuitant: An investor in an annuity who is entitled to periodic payments for life or for a specific number of years based on the balance in that annuity. Annuity: A contract between an insurance company and an individual in which the company agrees to pay either fixed or variable income for a specified period of time. The payment from the company may be a one-time lump sum, or may consist of monthly payments for the life of the individual. The total amount of the payments will be based on the amount deposited in the annuity by the individual, plus the earnings on those deposits over the life of the contract. The investor may make deposits on a regular basis, such as monthly, or may make a large lump sum deposit when establishing the account. The account's earnings are income tax-deferred until the investor begins withdrawing money. Antitrust Legislation: A set of laws that foster a competitive environment preventing unreasonable restraint of trade or unfair trade practices such as price-fixing. In the United States, antitrust laws originated with the Sherman Antitrust Act of 1890. APAC: Asia Pacific Advisory Committee. A multicountry committee representing the Asia and Pacific region. Arbitrage: An attempt to profit from differences in the price of one security that is traded on multiple


markets or in different forms. For example, index arbitrage is based on temporary discrepancies between the prices of stocks comprising an index, such as the Standard & Poor's 500 index, and the price of a futures contract on that index. By buying either the underlying stocks or the futures contract and selling the other, may be able to profit on the difference between the two. Ask Price: The price at which someone is willing to sell a stock. Asset Turnover: Net sales divided by total assets. Asset-backed Securities: Securities backed by notes or pools of assets like auto loans, student loans, credit cards, royalties, insurance and receivables. Assumable Mortgage (Assumable Loan): An existing mortgage that can be assumed by a future purchaser of a piece of real estate. Auction Rate Security (Auction-Rate Security): An auction rate security is a debt instrument often issued by government agencies (such as port authorities or water districts), cities and hospital districts. Instead of carrying a fixed interest rate, the rate on the debt is reset on a continuing basis by auctioning off the debt to new owners every seven to 35 days. Baby Boomer: Generally refers to people born in the U.S. and Western Europe from 1946 to 1964. In the U.S., the initial number of Baby Boomers totaled about 78 million. The term evolved to include the children of soldiers and war industry workers who were involved in World War II. Back-End Load: A sales charge applied when the investor exits a mutual fund. Back-Office: Generally considered to include such areas as accounting, human resources, call centers, financial transaction processing. A back-office application is a software program designed to handle back-office tasks. Also, see “Business Process Outsourcing (BPO).” Barriers to Outsourcing: Forms of resistance to outsourcing, which may include loss of control, quality issues, flexibility and customer and labor backlash.


Basis Point: One 100th of 1%. Benchmarking: The procedure of measuring a process or practice against those of other companies in the same industry. Beta: A measure of the risk of a stock relative to the market. A beta between 0 and 1 represents a likely price change of that percentage above or below the market change. For example, a beta of .6 means the stock price is likely to move up or down 60% of the market change. Bid Price: The price that someone is willing to pay for a stock.


Goldman Sachs is often credited for popularizing the term; the report suggested that by 2050, BRIC economies will likely outshine those countries which are currently the richest in the world. Broker/Dealer (Broker-Dealer): A firm that is licensed to buy and sell mutual fund shares and other securities with the public. B-to-B, or B2B: See “Business-to-Business.” B-to-C, or B2C: See “Business-to-Consumer.” B-to-E, or B2E: See “Business-to-Employee.” B-to-G, or B2G: See “Business-to-Government.”

Big Four: The top four accounting firms in the world, which account for about 99% of the audits at U.S. publicly held companies. These firms are Deloitte & Touche, PricewaterhouseCoopers, Ernst & Young and KPMG. Blanket Mortgage: A mortgage covering at least two pieces of real estate as security for the same mortgage. Blue Sky Laws: A body of state laws governing registration and distribution of securities. All 50 states and the District of Columbia regulate mutual funds. Bond: A debt instrument of a government unit or a corporation, on which it promises to pay a fixed (or occasionally variable) rate of interest for a specified length of time and to repay the debt on a specified date. (Most bonds may also be “called,” i.e., paid off prior to the specified date.) Bond Fund: A mutual fund that invests primarily in bonds and other fixed-income securities. BPO: See “Business Process Outsourcing (BPO).” Branding: A marketing strategy that places a focus on the brand name of a product, service or firm in order to increase the brand's market share, increase sales, establish credibility, improve satisfaction, raise the profile of the firm and increase profits. BRIC: An acronym representing Brazil, Russia, India and China. The economies of these four countries are seen as some of the fastest growing in the world. A 2003 report by investment bank

Bull Market: A market on a consistent rising trend. Business Process Management (BPM): Refers to tools and processes that automate, monitor and accelerate business functions (processes). BPM software, for example, can be used to seamlessly connect key employees to key software applications in an automated fashion. BPM may automate such routine support functions as human resources tasks, accounting tasks and back-office tasks. Business Process Outsourcing (BPO): The process of hiring another company to handle business activities. BPO is one of the fastest-growing segments in the offshoring sector. Services include human resources management, billing and purchasing and call centers, as well as many types of customer service or marketing activities, depending on the industry involved. Also, see “Knowledge Process Outsourcing (KPO).” Business-to-Business: An organization focused on selling products, services or data to commercial customers rather than individual consumers. Also known as B2B. Business-to-Consumer: An organization focused on selling products, services or data to individual consumers rather than commercial customers. Also known as B2C. Business-to-Employee: A corporate communications system, such as an intranet, aimed at conveying information from a company to its employees. Also known as B2E.


Business-to-Government: An organization focused on selling products, services or data to government units rather than commercial businesses or consumers. Also known as B2G.


generally carries a fixed interest rate, and may be convertible into shares of stock upon maturity.

CAFTA-DR: See “Central American-Dominican Republic Free Trade Agreement (CAFTA-DR).”

Capitalization Rate (Real Estate): A measure of a property’s sale price, determined by dividing the annual net income of a property by the purchase price.

Call Option: 1) A contract giving the holder of an option the right to purchase (and obligating the writer of the option to sell) a specified number of shares of a stock at the given strike price. 2) The right of a lender to demand the outstanding balance of a loan at a given time.

Captive Offshoring: Used to describe a companyowned offshore operation. For example, Microsoft owns and operates significant captive offshore research and development centers in China and elsewhere that are offshore from Microsoft's U.S. home base. Also see “Offshoring.”

Cap and Trade: A system in which governments attempt to reduce carbon emissions by major industry. First, an overall "cap" is placed, by government regulation, on total carbon emissions for particular companies and/or their industries. The "trade" part of cap and trade allows companies that operate efficiently on a carbon basis, and thereby emit a lower amount of carbon than law allows, to sell or trade the unused part of their carbon allowances to firms that are less efficient.

Cash Available for Distribution (CAD): A measure of a REIT's ability to generate cash and to distribute dividends. Also known as FAD (Funds Available for Distribution.)

Capex: Capital expenditures. Capital Expenditures: Expenditures to acquire or add to capital assets that will yield benefits over several years. Capital Gain: The difference between the net sales price and net cost of securities or other investment assets when sold for a profit. Capital Gain Distribution: A payment to shareholders of profits realized from the disposition of a mutual fund’s investment portfolio securities. Capital Gain on Real Estate: The amount of increase in value of a property, other than a primary residence, that is taxable. Capital Loss: The difference between the net sales price and net cost of securities or other investment assets when sold at a loss. Capital Market: Usually a reference to the market for equities with greater than a one year duration. Capital Note: A capital note is a debt instrument issued by a corporation for a short to medium term. It

Cash Dividend: A dividend, based on profitability, paid in cash to the shareholders of a company. The distribution can also include capital gains and return of capital and is taxable as income. Cash Flow: The net income or loss after depreciation, depletion, amortization, and extraordinary charges to reserves. Cash Method of Accounting: A system, used especially in computing income tax, in which income is not credited until it is actually or constructively received and expenses are not charged until they have been paid; to be distinguished from the accrual method, in which income is credited when the legal right to the income occurs and expenses are charged when the legal liability becomes enforceable. Catastrophe Bond: These bonds provide a very high yield to the investor, but the investor must pay the seller of the bond in the event of certain losses due to catastrophes such as hurricanes. This is a form of laying off insurance risk. CBOE: Chicago Board Options Exchange, Inc. The world’s largest options exchange. It was founded by the Chicago Board of Trade (CBOT). On its exchange, the company lists options on approximately 1,500 stocks, as well as equity options, broad-based stock index options (such as the S&P 500 Index), industry index options (such as health care or energy industry indexes), exchange


traded funds (ETFs), and options on ETFs and holding company depository receipts (HOLDRs). CBOT: Chicago Board of Trade. A major futures and commodities exchange which is part of CME Group. CDO: See “Collateralized Debt Obligation (CDO).” CDS: See “Credit Default Swap (CDS).” Central American-Dominican Republic Free Trade Agreement (CAFTA-DR): A trade agreement signed into law in 2005 that aimed to open up the Central American and Dominican Republic markets to American goods. Member nations include Guatemala, Nicaragua, Costa Rica, El Salvador, Honduras and the Dominican Republic. Before the law was signed, products from those countries could enter the U.S. almost tariff-free, while American goods heading into those countries faced stiff tariffs. The goal of this agreement was to create U.S. jobs while at the same time offering the non-U.S. member citizens a chance for a better quality of life through access to U.S.-made goods. Certified Financial Planner (CFP): A certification managed by the International Board of Standards and Practices for Certified Financial Planners. Individuals with this designation have passed a stringent series of exams covering such topics as taxation, estate planning, insurance and investments. CFA: See “Chartered Financial Analyst (CFA).” CFP: See “Certified Financial Planner (CFP).” Chartered Financial Analyst (CFA): A certification managed by the Institute of Chartered Financial Analysts, a branch of the Association for Investment Management and Research. Individuals with this designation have passed stringent tests covering investments, accounting economics and money management.


greenhouse effect allows solar radiation to penetrate the Earth's atmosphere but absorbs the infrared radiation returning to space. CLO: Collateralized loan obligations. Closed-End Investment Company: An entity that issues a limited number of shares that trade on a stock exchange or in the over-the-counter markets. It is the opposite of a mutual fund, which is also known as an open-end investment company. The value of a closed-end fund’s shares is determined by market supply and demand. Closing: The meeting between the buyer, seller and lender or their agents where the property or asset and funds legally change hands. Also called “settlement.” CME (CME GROUP): Chicago Mercantile Exchange. It is a major commodities and futures exchange. It acquired rival CBOT, as well as the NYMEX, and changed the name of the resulting company to CME Group. CMO: See “Collateralized Mortgage Obligation (CMO).” Collateralized Debt Obligation (CDO): A method of taking a pool of debts, such as mortgages, and selling pieces of that pool to multiple investors. CDOs can also be created for pools of bonds, loans, leases and other types of financial assets. Collateralized Mortgage Obligation (CMO): A bond that is a debt instrument backed by a pool of underlying mortgages that pass through payments received to the holder of the CMO. A CMO is a popular way to trade large amounts of mortgages at once. The underlying pool may represent thousands of individual mortgages. COLOR: Information about potential buyers or sellers of a particular stock that may influence the price.

CIS: See “Commonwealth of Independent States (CIS).”

Commercial Paper: A short-term note issued on the credit of a major bank or corporation.

Climate Change (Greenhouse Effect): A theory that assumes an increasing mean global surface temperature of the Earth caused by gases in the atmosphere (including carbon dioxide, methane, nitrous oxide, ozone and chlorofluorocarbons). The

Commitment: 1) A promise by a lender to make a loan on specific terms or conditions to a borrower. 2) A promise by an investor to purchase mortgages from a lender with specific terms or conditions. 3) An agreement, often in writing, between a lender and a


borrower to loan money at a future date subject to the completion of paperwork or compliance with stated conditions. Commodity Prices: An index of commodities (such as oil and steel) traded in worldwide markets. Common Stocks: The basic unit of stock in most corporations. Common stockholders are generally paid last (after holders of debt and preferred stocks) in the event of a bankruptcy or dissolution of a company. Common stockholders typically get one vote per share of stock. However, there may be more than one class of common stock (for example, Class A and Class B), and various classes of stock may have unique privileges, such as multiple votes per share. Commonwealth of Independent States (CIS): An organization consisting of 11 former members of the Soviet Union: Russia, Ukraine, Armenia, Moldova, Georgia, Belarus, Kazakhstan, Uzbekistan, Azerbaijan, Kyrgyzstan and Tajikistan. It was created in 1991. Turkmenistan recently left the Commonwealth as a permanent member, but remained as an associate member. The Commonwealth seeks to coordinate a variety of economic and social policies, including taxation, pricing, customs and economic regulation, as well as to promote the free movement of capital, goods, services and labor. Conforming Loan: See “Non-Conforming Loan.” Consumer Price Index (CPI): A measure of the average change in consumer prices over time in a fixed market basket of goods and services, such as food, clothing and housing. The CPI is calculated by the U.S. Federal Government and is considered to be one measure of inflation. Consumerism: The activities of government, business and independent organizations designed to protect individuals from practices that infringe upon their rights as consumers. Contango: A condition in futures markets where future contracts, generally for a commodity, trade at higher prices than the current spot month price. Conventional Mortgage: A loan other than a government-financed loan (e.g., a loan that is not a VA mortgage).


Convertible: A bond, debenture, or preferred stock which can be converted into common stock. Convertible Bonds: Bonds that may, usually at the investor's option, be converted into common stock at a pre-determined price. Preferred stocks may also be convertible. Covered Call: A short call option position that gives the writer ownership of the number of underlying stock shares represented by the option contracts. In general, covered calls limit the writer’s risk, as it is not necessary for the stock to be bought at the market price if the holder of the option chooses to exercise it. Covered Put: A put option position in which the writer has deposited cash or equivalents equal to the exercise of the option in a cash account. Covered puts limit the writer's risk because money or stock is already set aside. If the holder of the put option does elect to exercise the option, the writer's risk is more limited than on an uncovered or naked put option. Credit Default Swap (CDS): An agreement whereby the seller of the credit default swap, or CDS, agrees to make a payment to the buyer in the event of a specified event. The buyer of the swap may purchase it with one upfront payment or with a series of payments over time. The swap acts as a sort of insurance against the default of a debt instrument, often a junk bond. The seller is guaranteeing that the debt will not be defaulted upon. In return, the seller receives a fee rather like an insurance premium. This reduces risk on the part of the debt holder, who is the buyer of the swap. Hedge funds are common sellers of these swaps. Credit Derivative: See “Credit Default Swap (Credit Swap).” Credit Risk: The risk assumed by the lender that the borrower may default on a loan or mortgage. The apparent credit risk is considered when setting an interest rate to be charged. Currency Appreciation: An increase in the value of one currency relative to another currency. Appreciation occurs when, because of a change in exchange rates, a unit of one currency buys more units of another currency. Currency Depreciation: A decline in the value of one currency relative to another currency.


Depreciation occurs when, because of a change in exchange rates, a unit of one currency buys fewer units of another currency. Currency Devaluation: A deliberate downward adjustment in the official exchange rate established, or pegged, by a government against a specified standard, such as another currency or gold. Currency Revaluation: A deliberate upward adjustment in the official exchange rate established, or pegged, by a government against a specified standard, such as another currency or gold. Currency Risk: The risk assumed by the holder of an investment or a cash deposit in a given currency, such as the U.S. dollar, that the currency's value may decline in relation to other currencies, such as the Japanese yen. Current Assets: The value of cash, accounts receivable, inventories, marketable securities and any other assets that are convertible to cash in less than one year. Current Liabilities: The amount owed for salaries, interest, accounts payable and any other debts due within one year. Current Ratio: A measure of short-term debt-paying ability. The ratio represents a company’s current assets divided by current liabilities. A higher ratio indicates a more liquid company. Current Yield: A ratio of the coupon interest rate divided by the market price of a bond or note. CUSIP: Committee on Uniform Securities Identification Procedures. It is a unique number assigned to a specific security such as a stock or bond. Custodian: The organization (usually a bank) that keeps securities for a mutual fund company. Custody Bank (Custodial Banks): Provides backoffice support on an outsourced basis to investment firms and stock brokers. Services provided may include trade processing, share transfer, funds clearing, foreign exchange trading, securities lending and fund accounting.


Customer Relationship Management (CRM): Refers to the automation, via sophisticated software, of business processes involving existing and prospective customers. CRM may cover aspects such as sales (contact management and contact history), marketing (campaign management and telemarketing) and customer service (call center history and field service history). Well known providers of CRM software include Salesforce, which delivers via a Software as a Service model (see “Software as a Service (Saas)”), Microsoft and Siebel, which as been acquired by Oracle. Day Trade: Also known as a daylight trade. The purchase and sale or the short sale and cover of the same security in a margin account on the same day. DBA: Doing business as. Debt/Equity Ratio: A measure of financial leverage, comparing the assets provided by lenders to those provided by shareholders. The ratio represents longterm debt divided by common stockholders' equity. Deferred Annuity: An annuity that allows for the start of payments to the individual at some future date selected by the individual. Demographics: The breakdown of the population into statistical categories such as age, income, education and sex. Depreciation: A method of amortizing the cost of an asset in equal dollar amounts over the useful life of an asset. For example, an item with a five-year life would be charged with a certain amount of its cost every year for five years. Derivative: A financial security or instrument, such as a debt, option or future, with a value partly derived from the value and characteristics of an underlying stock, debt, commodity or currency. Sophisticated investors purchase or sell derivatives to manage risks associated with the underlying asset. The investor hopes to protect against fluctuations in value, or to profit from periods of inactivity or decline. For example, an American manufacturer that has shipped products to Europe and expects to be paid a substantial sum in Euros in the future may buy or sell derivatives in an attempt to protect against a change in the value of the Euro. Also, see “Credit Default Swap (CDS).”


Direct Marketing: A form of non-store retailing in which customers are exposed to merchandise through catalogs, direct-mail brochures, telemarketing or television. Direct marketing may be used to generate direct-response purchases, store traffic, sales leads or a combination thereof. Directors and Officers Liability Insurance (D&O): Insurance that covers directors and officers of a company for negligent acts or omissions or misleading statements that result in successful libel suits against the company. The coverage includes the cost of defending against such suits. Direct-Response Marketing: The use of direct marketing with the intent of soliciting an order from the customer, rather than generating store traffic. Direct-response methods may include mail-order catalogs or brochures, infomercials, telemarketing and online banner ads. See “Direct Marketing.” Discount Broker: A broker or brokerage firm that executes buy and sell transactions at commission rates lower than a full-service broker or brokerage. Discount Rate: A rate of interest in the U.S. banking system set by the Federal Reserve Bank (the central bank of the nation), at which member banks may borrow from the Federal Reserve. In the credit card business, the discount rate is the fee charged by a bank for processing a credit card transaction. Dividend: The distribution to shareholders, in cash or stock, of part of a company’s earnings, cash flow or capital. Dividend Reinvestment Plan: The automatic reinvestment, typically without incurring brokerage commissions, of shareholder dividends into additional shares of stock. Plans sometimes provide for share purchases at a discount to the market price. Dividend reinvestment plans let shareholders accumulate stock over time using dollar cost averaging. Down Payment: The difference between the purchase price and that portion of the purchase price being financed. Dutch Auction: A Dutch auction is a descending price auction, named after auctions for Dutch tulip bulbs in the 17th Century. Recently, Dutch auctions gained attention in the investment world when one


was used to set the IPO price of Google's stock. The seller sets an initial price, and gradually lowers the price until a bid is received. Earnings Before Interest and Taxes (EBIT): An indicator of a company's financial performance calculated as revenue minus expenses excluding tax and interest. Also see “Net Income,” “Net Operating Income” and “Earnings Before Interest, Taxes, Depreciations and Amortization (EBITDA).” Earnings Before Interest, Taxes, Depreciation & Amortization (EBITDA): An indicator of a company's financial performance calculated as revenue minus expenses excluding tax, interest, depreciation and amortization. Also, see “Net Income,” “Net Operating Income” and “Earnings Before Interest and Taxes (EBIT).” Earnings Per Share (EPS): A figure determined by dividing net income for one year by the number of common shares outstanding, as reported by a company. Companies frequently use a weighted average of shares outstanding over the reporting term. Also called “Primary Earnings Per Share.” EBIT: See “Earnings Before Interest and Taxes (EBIT).” EBITDA: See “Earnings Before Interest, Taxes, Depreciation & Amortization (EBITDA).” Echo Boomers: See “Generation Y.” E-Commerce: The use of online, Internet-based sales methods. The phrase is used to describe both business-to-consumer and business-to-business sales. Effective Interest Rate: Also referred to as annual percentage rate (APR), this is the cost of interest on a yearly basis expressed as a percentage. It includes upfront costs paid to obtain the loan and is, therefore, usually a higher amount than the interest rate stipulated in the mortgage or loan. It is useful in comparing various loan programs that have different rates and points. EFT: See “Electronic Funds Transfer (EFT).” Electronic Communications Network (ECN): Computerized systems that automatically match orders between buyers and sellers. While there are many private networks that automatically match


orders, the term ECN only applies to those private networks that have been recognized as such under the SEC's ECN Display Alternative Rule.


ERISA: See “Employee Retirement Income Security Act (ERISA).” ERP: See “Enterprise Resource Planning (ERP).”

Electronic Data Interchange (EDI): An accepted standard format for the exchange of data between various companies’ networks. EDI allows for the transfer of e-mail as well as orders, invoices and other files from one company to another. Electronic Exchange: An electronic exchange is a trading platform for stocks, bonds, options, commodities, futures, etc. that relies on computer matching of buyers and sellers, rather than human traders. Electronic Funds Transfer (EFT): Moving money from one account to another via electronic means. EMEA: The region comprised of Europe, the Middle East and Africa. Employee Retirement Income Security Act (ERISA): Calls for proper plan reporting and disclosure by employee pension and savings plan sponsors to plan participants. The act was passed in 1974. Enterprise Resource Planning (ERP): An integrated information system that helps manage all aspects of a business, including accounting, ordering and human resources, typically across all locations of a major corporation or organization. ERP is considered to be a critical tool for management of large organizations. Suppliers of ERP tools include SAP and Oracle. Equities: A term used to describe stock investments in corporations as opposed to debt investments in corporations (bonds). Equity: 1) The net value of the common stockholders' interest in a company as listed on a company’s balance sheet. 2) The difference between a company's assets and liabilities (it is possible for a company to have negative equity). 3) The difference between the value of a property and the amount owed on that property. 4) A share of stock. Equity Indexed Annuity (EIA): An annuity that is tied to a stock market index such as the Standard & Poor’s 500. See “Annuity.”

EU: See “European Union (EU).” EU Competence: The jurisdiction in which the EU can take legal action. European Community (EC): See “European Union (EU).” European Medium Term Note (EMTN): A way of raising funds by borrowing from capital markets or private investors. An EMTN program is a standard platform from which to launch these notes. European Union (EU): A consolidation of European countries (member states) functioning as one body to facilitate trade. Previously known as the European Community (EC), the EU expanded to include much of Eastern Europe in 2004, raising the total number of member states to 25. In 2002, the EU launched a unified currency, the Euro. See europa.eu.int. Exchange Rate: The price of a country's currency in terms of another country's currency. Exchange Traded Note (ETN): Debt securities pioneered by Barclays Bank, and also issued by firms such as Merrill Lynch. They are listed on stock exchanges and can be bought and sold in secondary markets. ETNs have a set maturity date, but typically do not pay periodic interest payments as standard bonds do. Exchange-Traded Fund (ETF): A basket of stocks designed to mirror a particular index, such as the NASDAQ 100, while trading like shares of stock on an exchange. Some ETFs track narrow indexes that represent specific industrial sectors, or even more limited areas such as indexes covering gold or real estate investment trusts. A few ETFs are actively managed by stock pickers and do not track indexes. ETFs were designed to compete with mutual funds and index funds. One large difference is that mutual funds are priced only once daily. The price of an ETF fluctuates throughout the day, accurately reflecting the value of the underlying stocks in the basket at any time of day. ETFs have low operating costs and may offer income tax advantages over index funds.


Expansionary Monetary Policy: A policy of the Federal Reserve System that is designed to expand the growth of money and credit in the economy. See also monetary policy. Expense Ratio: The comparison of the cost of operating a property, business or organization to its gross income. Fair Credit Reporting Act: A consumer protection law that regulates consumer credit report providers. For example, the act sets up procedures for correcting mistakes on an individual’s credit record, provides certain restrictions on publishing credit reports and generally governs a consumer's rights. Fair Market Value (FMV): A term used to indicate the value of a property on the open market.


Federal Reserve Bank (FRB): One of the twelve operating banks of the U.S. Federal Reserve System, located throughout the U.S. These banks operate 25 branches and carry out Federal Reserve functions, including the nationwide payment clearing system, distribution of the nation's currency, regulating member banks and serving as the banker to the U.S. Treasury. Federal Reserve System: The central banking system of the United States. It regulates the money supply, sets interest rates and attempts to keep inflation under control. It is responsible for the short term interest rates know as the Discount Rate and the Federal Funds Rate. It operates 12 branch Federal Reserve banks throughout the United States and it regulates national banks and monetary transactions between banks.

Fair Labor Standards Act (FLSA): A U.S. federal law that states the minimum wage, describes the 40hour work week and defines child labor as well as overtime.

FHLMC: See “Federal Home Loan Mortgage Corporation (FHLMC).”

Fed Funds Rate (Federal Funds): The rate of interest that banks may charge each other on overnight loans in the U.S. banking system. It is regulated by the Federal Reserve Bank.

Financial Holding Company: A financial entity engaged in a broad range of banking-related activities, created by the Gramm-Leach-Bliley Act of 1999. These activities include: insurance underwriting, securities dealing and underwriting, financial and investment advisory services, merchant banking, issuing or selling securitized interests in bank-eligible assets, and generally engaging in any non-banking activity authorized by the Bank Holding Company Act. The Federal Reserve Board is responsible for supervising the financial condition and activities of financial holding companies. Similarly, any non-bank commercial company that is predominantly engaged in financial activities, earning 85% or more of its gross revenues from financial services, may choose to become a financial holding company. These companies are required to sell any non-financial (commercial) businesses within ten years.

Federal Home Loan Mortgage Corporation (FHLMC): A U.S. government-sponsored agency that purchases conventional mortgages from lending institutions, thus adding liquidity to the market. Also known as “Freddie Mac.” Federal National Mortgage Association (FNMA): A major, government-sponsored investor that purchases mortgage loans from mortgage bankers. It is similar to FHLMC. Also known as “Fannie Mae.” Federal Open Market Committee (FOMC): Twelve-member committee made up of the seven members of the Board of Governors; the president of the Federal Reserve Bank of New York; and, on a rotating basis, the presidents of four other Reserve Banks. The FOMC meets eight times a year to set Federal Reserve guidelines regarding the purchase and sale of government securities in the open market as a means of influencing the volume of bank credit and money in the economy. It also establishes policy relating to System operations in the foreign exchange rates.

Financial Derivative: See “Derivative.”

First Mortgage: The mortgage that has legal precedence over other mortgage claims, usually, but not always, chronologically first in the history of the property. Also see “Second Mortgage.” Fixed Annuity: An annuity purchased from an issuer that provides for fixed-dollar payments and is not tied to a portfolio of equity investments.


Fixed Expenses: Costs that do not fluctuate in response to sales or inventory changes over time. Examples include rent fees and depreciation. Fixed-Rate Mortgage or Loan: A mortgage (or loan) that has an interest rate that does not change over the life of the loan. FLSA: See “Fair Labor Standards Act (FLSA).” FNMA: See “Federal National Mortgage Association (FNMA).”


These are children of the Baby Boom generation who will be filling the work force as Baby Boomers retire. Global Warming: An increase in the near-surface temperature of the Earth. Global warming has occurred in the distant past as the result of natural influences, but the term is most often used to refer to a theory that warming occurs as a result of increased use of hydrocarbon fuels by man. See “Climate Change (Greenhouse Effect).”

Follow-On Shares: Refers to the offering of additional stock shares as a form of financing; typically occurs after a company has had an initial public offering (IPO).

Globalization: The increased mobility of goods, services, labor, technology and capital throughout the world. Although globalization is not a new development, its pace has increased with the advent of new technologies, especially in the areas of telecommunications, finance and shipping.

Front-End Load: A sales charge paid upon purchase of a mutual fund, annuity, or life insurance product.

GNMA: See “Government National Mortgage Association (GNMA).”

Front-Office Application: A computer program tailored to the needs of the customer relations portions of a business, such as sales and marketing.

Government National Mortgage Association (GNMA): A government-owned corporation within the U.S. Department of Housing and Urban Development (HUD) that specializes in the purchase of FHA and VA loans. Also known as “Ginnie Mae.”

Futures Contract: An agreement to buy or sell a specified number of shares of a particular stock or commodity in a designated future month, at a price agreed upon by both buyer and seller. Futures contracts are frequently traded on the futures market. They differ from options in that options offer the right to buy or sell, while futures contracts bind the buyer and seller to an actual transaction. FX: Foreign Exchange, or the conversion of the currency of one nation into that of another. For example, the exchange of U.S. Dollars for the Euro. GDP: See “Gross Domestic Product (GDP).” Generation X: A loosely-defined and variously-used term that describes people born in the U.S. and Canada between approximately 1965 and 1980, but other time frames are recited. Generation X is often referred to as a group influential in defining tastes in consumer goods, entertainment and/or political and social matters. Generation Y: Refers to people born between approximately 1980 and 2000, who number about 50 million in the U.S. They are also known as Echo Boomers, Millenials or the Millenial Generation.

Graduated Payment Mortgage (GPM): A type of flexible-payment mortgage where the payments increase for a specified period of time and then level off. This type of mortgage has negative amortization built into it. For example, a homebuyer who believes that his or her income may increase a few years later may enter into a mortgage that has lower payments in the first five years but substantially higher monthly payments later in the loan. Gross Domestic Product (GDP): The total value of a nation's output, income and expenditures produced with a nation's physical borders. Gross National Product (GNP): A country's total output of goods and services from all forms of economic activity measured at market prices for one calendar year. It differs from Gross Domestic Product (GDP) in that GNP includes income from investments made in foreign nations. Group of Eight (G8): The eight major industrial countries, including the United States, Japan, Germany, France, the United Kingdom, Italy, Russia and Canada, whose leaders meet at annual economic summits to coordinate economic policies. The group


was formerly known as the G7, before Russia was admitted in June 2002. Growth and Income Fund: A mutual fund that has the objective of long-term capital gains combined with dividend income. Growth Fund: A mutual fund managed with the primary objective of increasing the investor’s principal. Guaranteed Investment Contracts (GICs): A contract typically sold to corporate 401(k) and pension plans. These contracts guarantee a specific return on invested capital over the life of the contract. Guaranteed Minimum Death Benefit (GMDB): A predetermined minimum amount from a variable annuity that that the beneficiary receives upon death. Health Reimbursement Account (HRA): A form of health care coverage plan provided to employees by their employer. Under an HRA, the employer places a given amount of money into a special account each year for the employee to spend on health care. The employer also provides a high-deductible health coverage plan. The employee elects when and how to spend the money in the account on health care. Because of the high deductible, the employee's share of the monthly premium tends to be much lower than under an HMO or PPO, but the employee faces the burden of paying the high deductible when necessary. Unspent funds in the account can roll over from year to year so that the account grows, but the employee loses the fund balance when leaving the employer. Health Savings Account (HSA): A plan that combines a tax-free savings and investment account (somewhat similar to a 401k) with a high-deductible health coverage plan. The intent is to give the consumer more incentive to control health care costs by reducing unnecessary care while shopping for the best prices. The consumer contributes pre-tax dollars annually to a savings account (up to $2,850 for an individual or $5,650 for a family, as of 2007). The employer may or may not match part of that contribution. The account may be invested in stocks, bonds or mutual funds. It grows tax-free, but the money may be spent only on health care. Unspent money stays in the account at the end of each year. The consumer must purchase an insurance policy or health care plan with an annual deductible of at least $1,000 for individuals or $2,000 for families.


Hedge Fund: An investment fund that may utilize aggressive strategies such as selling shares short, leverage via heavy borrowing, the timing of trading via very sophisticated computer models, arbitrage or derivatives in order to seek high rates of return. Historically, only large institutions and very wealthy individuals were investors in such funds. Today, however, some hedge funds seek money from smaller investors. Fund managers receive generous fees, including a significant portion of any profits. Some hedge funds total in the billions of dollars. Hedging: A strategy for reducing the risk of loss in investments involving call options, put options, short selling or futures contracts, by lessening the potential volatility of a portfolio. Hedging helps to lock in existing profits. High Yield Bond: See “Junk Bond.” HOLDR: Holding company depository receipts. Hybrid Mortgage: A type of mortgage that includes some compensation to the lender, such as a portion of income, in addition to the principal and interest on the loan. Hybrid REIT: A REIT that combines the strategies of both an equity REIT and a mortgage REIT. Hybrid Security: A security that is part debt and part equity; however, a hybrid security is conventionally traded like corporate debt. ICE: Intercontinental Exchange. An electronic futures and commodities exchange headquartered in Atlanta, Georgia, focused on energy markets. Immediate Annuity: An annuity purchased with a lump sum. Implied Equity Market Cap (REITs): The market value of all outstanding common stock of a company plus the value of all UPREIT partnership units as if they had been converted into stock. Income Fund: A mutual fund with the primary objective of providing current income to the investor. Index Fund: A mutual fund that invests in a specific stock index, such as the Standard & Poor's 500, or the Wilshire 5000. This requires no special investment acumen on the part of the investment managers,


because they simply buy a balanced collection of the stocks that make up the particular index. For the investor, this provides tremendous diversification and makes the value of the fund easy to follow and understand. If the S&P is up three points, so is a fund that invests only in that index. Also, see “Exchange Traded Fund (ETF).”


the various roles involved in taking firms public; advising on and completing mergers, acquisitions or divestitures; spin-offs; maximizing shareholder value; and the creative use of debt.

Individual Retirement Account (IRA): An investor-established, tax-deferred account set up to hold funds until retirement.

Investment Grade Bond: A bond rated BBB to AAA+ by the agencies that analyze bond risk. These bonds are considered to have the lowest risk of default. Consequently, they offer lower rates of return than bonds rated below investment grade. For a description of higher risk bonds, see “Junk Bond.”

Inflation: A rate of increase in the general price level of all goods and services. (This should not be confused with increases in the prices of specific goods relative to the prices of other goods.)

ISE: International Securities Exchange, LLC. A wholly owned subsidiary of International Securities Exchange Holdings, one of the world’s largest equity options exchanges.

Infrastructure: 1) The equipment that comprises a system. 2) Public-use assets such as roads, bridges, sewers and other assets necessary for public accommodation and utilities. 3) The underlying base of a system or network.

IT-Enabled Services (ITES): The portion of the Information Technology industry focused on providing business services, such as call centers, insurance claims processing and medical records transcription, by utilizing the power of IT, especially the Internet. Most ITES functions are considered to be back-office procedures. Also, see “Business Process Outsourcing (BPO).”

Initial Public Offering (IPO): A company's first effort to sell its stock to investors (the public). Investors in an up-trending market eagerly seek stocks offered in many IPOs because the stocks of newly public companies that seem to have great promise may appreciate very rapidly in price, reaping great profits for those who were able to get the stock at the first offering. In the United States, IPOs are regulated by the SEC (U.S. Securities Exchange Commission) and by the state-level regulatory agencies of the states in which the IPO shares are offered. Insider Information: Pertinent information regarding a public or pre-IPO company. However such information is received, it is illegal for shareholders to make trades based on this information. Insurance-Linked Securities: Bonds issued by insurers, reinsurers or corporations that have a peak risk in being dependent upon the occurrence or severity of an insurance event. These are also known as catastrophe bonds. Investment Bank: A general term that describes the activities of financial firms such as Merrill Lynch and Morgan Stanley. While these companies provide traditional stock brokerage, the investment banking side of their business entails much more, including

Jumbo Loan: Also known as “non-conforming” loans, mortgage loans over the maximum “conforming” amount as set by FNMA are considered jumbo and are subject to different underwriting criteria. The benchmark loan amount is evaluated on a yearly basis by FNMA and adjusted accordingly. Interest rates on jumbo loans are generally 0.25% higher than their conforming counterparts. Also see “Non-Conforming Loan.” Junk Bond: A high risk bond (debt instrument) that is below “investment grade.” These bonds are typically rated BB or lower by agencies that analyze bond risk. They offer higher returns of interest than investment bonds, but carry substantially higher risk. Therefore, they are also referred to as “high yield” bonds. Junk bonds are often issued in conjunction with leveraged buyouts. Also, see “Leveraged Buyout (LBO).” Knowledge Process Outsourcing (KPO): The use of outsourced and/or offshore workers to perform business tasks that require judgment and analysis. Examples include such professional tasks as patent research, legal research, architecture, design, engineering, market research, scientific research,



accounting and tax return preparation. Also, see “Business Process Outsourcing (BPO).”

period of time has expired, payments will be made to the heirs for its duration.

LAC: An acronym for Latin America and the Caribbean.

Liquidity: The ease with which an asset can be converted into cash. For example, publicly traded stocks in major corporations have high liquidity because they can readily be sold at a known price on short notice. Also, the general ability of an organization to meet its financial obligations.

LDCs: See “Least Developed Countries (LDCs).” Least Developed Countries (LDCs): Nations determined by the U.N. Economic and Social Council to be the poorest and weakest members of the international community. There are currently 50 LDCs, of which 34 are in Africa, 15 are in Asia Pacific and the remaining one (Haiti) is in Latin America. The top 10 on the LDC list, in descending order from top to 10th, are Afghanistan, Angola, Bangladesh, Benin, Bhutan, Burkina Faso, Burundi, Cambodia, Cape Verde and the Central African Republic. Sixteen of the LDCs are also Landlocked Least Developed Countries (LLDCs) which present them with additional difficulties often due to the high cost of transporting trade goods. Eleven of the LDCs are Small Island Developing States (SIDS), which are often at risk of extreme weather phenomenon (hurricanes, typhoons, Tsunami); have fragile ecosystems; are often dependent on foreign energy sources; can have high disease rates for HIV/AIDS and malaria; and can have poor market access and trade terms. Leveraged Buyout (LBO): A financial transaction in which a buyer uses debt (“leverage”) to acquire a company. The target company may be a publiclyheld firm or a privately-owned concern. Typically, the buyer is an outside group operating as a private equity firm. Some members of the target firm's existing management may be included in the purchasing group. The debt portion of the purchase typically is in the form of money borrowed from a bank or other financial institution and/or newlyissued bonds using the acquired company’s assets as collateral. Also, see “Private Equity” and “Private Equity Fund.”

Load: The sales fee charged when a person invests in a fund sold exclusively by stockbrokers and financial planners. Some funds charge back-end loads, which are fees withheld when the investor sells shares. Load Fund: A mutual fund with shares sold at a price with a sales charge, usually between 4% and 8% of the indicated net amount. A true “no-load” fund has no sales charge. Loan Origination Fee: A fee charged by the lender for processing a mortgage or loan. The mortgage industry standard is 1% of the loan amount, but if the application is taken over the Internet, it is often reduced to 0.5% or even zero, depending on the lender. Lock (Lock In): A commitment that a borrower obtains from a lender assuring a particular interest rate for a limited time period, such as 30 days. A lock provides protection to the borrower should interest rates rise between the time the borrower applies for a loan, acquires loan approval and, subsequently, closes the purchase. LOHAS: Lifestyles of Health and Sustainability. A marketing term that refers to consumers who choose to purchase and/or live with items that are natural, organic, less polluting, etc. Such consumers may also prefer products powered by alternative energy, such as hybrid cars.

LIBOR: See “London Interbank Offered Rate (LIBOR).”

London Interbank Offered Rate (LIBOR): The interest rate charged among banks for short-term Eurodollar loans. It is a common index for adjustable-rate loans and mortgages.

Life Annuity: An annuity that ceases payments upon the death of the owner (annuitant).

Long-Term Debt: The value of loans of more than one year as owed by a corporation or organization.

Life Annuity with Period Certain: A life annuity with a guarantee that payments will continue for a set number of years. If the annuitant dies before the

Long-Term Fund: A mutual fund that invests primarily in securities with maturities of more than one year.


LSE: London Stock Exchange. M&A: Mergers and acquisitions. A specialty within investment banks, private equity firms and supporting organizations such as law firms.


merchant bank may also make a direct investment in a corporation to hold for a short to mid-term period. A merchant bank should not be confused with “merchant services” provided by a retail bank. Millenials: See “Generation Y.”

Management Fee: The amount paid by a mutual fund for an investment adviser’s services. Margin Account (Stocks): An account at a stock brokerage that can be leveraged. A loan in the margin account is collateralized by the stock owned by the account. In the event that the stock’s value drops by a sufficient degree, the owner is asked either to put more cash into the account or to sell part of the stock. Market Capitalization: The total dollar value of all outstanding shares in a company; an indicator of corporate size. The figure is the product of shares and current market price. Sometimes called “Market Cap.”

MIP: See “Mortgage Insurance Premium (MIP).” Monetary Policy: The regulation, by the Federal Reserve System, of the money supply in order to maximize production and employment and stabilize prices. See also contractionary monetary policy and expansionary monetary policy. Money Market Fund: A mutual fund that specializes in investing in short-term securities, typically bonds and commercial paper with a duration of 30 to 180 days. These funds usually offer the investor a low initial investment, with some checkwriting privileges, and are used to park short-term cash.

Market Maker: See “Specialist.” Market Segmentation: The division of a consumer market into specific groups of buyers based on demographic factors.

Money Supply: The amount of money (coins, paper currency, and checking accounts) that is in circulation in the economy.

Market Value: An estimation of how much a property or asset would sell for on the open market.

Mortality Guarantee: Provision of an annuity in which the issuer agrees to continue payments even if the annuitant lives longer than the mortality table predicted.

Marketing: Includes all planning and management activities and expenses associated with the promotion of a product or service. Marketing can encompass advertising, customer surveys, public relations and many other disciplines. Marketing is distinct from selling, which is the process of sell-through to the end user.

Mortgage Banker: An organization that specializes in underwriting mortgage loans. Mortgage bankers typically sell some or all of their loans to investors but may continue to own and/or service them. Also see “Mortgage Broker.”

Maximum Capital Appreciation Fund: A mutual fund with the objective of maximizing capital appreciation by aggressively investing in new issues, start-up companies and out-of-favor stocks. This is an aggressive “growth fund.” M-Commerce: Mobile e-commerce over wireless devices. Merchant Bank: Banks that provide specialty services to corporations, but generally do not provide retail banking to consumers. Services may include consulting and advice regarding finance, mergers, acquisitions, stock offerings and debt placement. A

Mortgage Broker: An organization in the business of arranging funding for a borrower. In contrast to a mortgage banker, a broker does not actually loan the money. Brokers usually charge a fee or receive a commission for their services. Mortgage Insurance Premium (MIP): Insurance purchased by the borrower to insure the lender against loss should he or she default. MIP is paid on government-insured loans (FHA or VA loans) regardless of the LTV (loan-to-value ratio). Should the borrower pay off a government-insured loan in advance of maturity, he or she may be entitled to a small refund of MIP. Also see “Private Mortgage Insurance (PMI).”


Mortgage REIT: A REIT that specializes in making mortgages rather than owning property outright. Mortgage-Backed Security (MBS): A security that represents ownership of an undivided interest in a group of mortgages. Mortgage bankers often form MBSs in order to sell pools of their mortgages on the secondary market. Also see “Collateralized Debt Obligation (CDO).” Municipal Bond: Debt securities issued by a state or local government or a public agency such as a utility district or hospital district. The income is exempt from federal income taxes and is frequently exempt from state income taxes. Municipal Bond Fund: A mutual fund that specializes in investing in municipal bonds. Municipal Utility District (MUD): A political unit, regulated by state authorities, that has been established to own and operate utilities within its boundaries. These utilities typically include water, sewer and/or drainage. MUDs may be inside or outside of city limits. MUDs generally are empowered to sell bonds in order to raise capital with which to install utility pipes and systems. Property owners within a MUD pay regular fees to the MUD for services. Mutual Fund: An investment company that pools money from shareholders and invests in a variety of securities including stocks, bonds and money market instruments. A mutual fund stands ready to buy back (redeem) its shares at their current net asset value, which depends on the total market value of the fund’s investment portfolio at the time of redemption. See “Net Asset Value (NAV).” As open-end investments, most mutual funds continuously offer new shares to investors. NAFTA: See “North American Free Trade Agreement (NAFTA).” NASDAQ: National Association of Securities Dealers Automated Quotation System. An electronic stock exchange headquartered in New York. It operates as a publicly traded company, with the ticker symbol NDAQ. National Association of Securities Dealers (NASD): A self-regulatory organization with jurisdiction over certain broker-dealers. The NASD


requires member brokers to register, and conducts examinations for compliance with net capital requirements and other regulations. It also conducts market surveillance of the over-the-counter (OTC) securities market. Negative Amortization: Amortization in which the payments made are insufficient to fund complete repayment of the loan at its termination. This usually occurs when the increase in the monthly payment on an adjustable-rate mortgage (ARM) is limited by a pre-set ceiling. The portion of the payment that should be paid is added to the remaining balance owed. The balance owed may increase rather than decrease at various times in the life of the loan. Net Asset Value (NAV): A mutual fund’s price-pershare, which represents the market value of its portfolio (net of liabilities), divided by the number of shares outstanding. For example, a mutual fund that owns shares with a total value of $1,000,000 that has issued 100,000 shares to its investors will have an NAV of $10 per share. Net Income: A corporation's total earnings after income taxes. The figure reflects income less the costs of business operations, depreciation, interest, taxes and various other expenses. Also see “Net Operating Income,” “Earnings Before Interest and Taxes (EBIT)” and “Earnings Before Interest, Taxes, Depreciation and Amortization (EBITDA).” Net Lease: A lease that requires all maintenance expenses, such as heating, insurance and interior repair, to be paid for by the tenant. Net Operating Income: Net profit from operations, before the payment of taxes and before allowances for payments due for income taxes and interest. Also see “Net Operating Income,” “Earnings Before Interest and Taxes (EBIT)” and “Earnings Before Interest, Taxes, Depreciation and Amortization (EBITDA).” No-Load Fund: A mutual fund that is purchased directly from the management company without a sales charge. Non-Conforming Loan: A loan that is not eligible to be purchased by Fannie Mae or Freddie Mac. These loan agencies have specific upper limits on how large a loan they will buy. These limits are adjusted on a regular basis. Also, several other factors regarding


the loan must meet guidelines before they are considered to conform. Also see “Jumbo Loan.” North American Free Trade Agreement (NAFTA): A trade agreement signed in December 1992 by U.S. President George H. W. Bush, Canadian Prime Minister Brian Mulroney and Mexican President Carlos Salinas de Gortari. The agreement eliminates tariffs on most goods originating in and traveling between the three member countries. It was approved by the legislatures of the three countries and had entered into force by January 1994. When it was created, NAFTA formed one of the largest free-trade areas of its kind in the world. NYMEX: New York Mercantile Exchange, Inc. (NYMEX Exchange). The company is a major provider of financial services to the energy and metals industries including the trading of energy futures and options contracts. It is owned by the CME Group. NYSE Euronext: A holding company created by the combination of NYSE Group, Inc. and Euronext N.V. It was launched on April 4, 2007. NYSE Euronext (NYSE/New York and Euronext/Paris: NYX) operates the world 's largest and most liquid exchange group and offers the most diverse array of financial products and services. NYSE Euronext, which brings together six cash equities exchanges in five countries and six derivatives exchanges, is a world leader for listings, trading in cash equities, equity and interest rate derivatives, bonds and the distribution of market data. OB (Stock Ticker): See “Over-the-Counter (OTC).” OECD: See “Organisation for Economic Cooperation and Development (OECD).”


Offshoring: The rapidly growing tendency among U.S., Japanese and Western European firms to send knowledge-based and manufacturing work overseas. The intent is to take advantage of lower wages and operating costs in such nations as China, India, Hungary and Russia. The choice of a nation for offshore work may be influenced by such factors as language and education of the local workforce, transportation systems or natural resources. For example, China and India are graduating high numbers of skilled engineers and scientists from their universities. Also, some nations are noted for large numbers of workers skilled in the English language, such as the Philippines and India. Also see “Captive Offshoring” and “Outsourcing.” Option: An option gives its holder the right to purchase or sell stock or other assets at a specified price on or by a given date. Call options are bought by investors who believe the stock’s price will rise above the strike price (the price set by the option) plus the price paid for the option itself. Put options are bought by investors who believe the stock's price will drop below the strike price. Option Adjusted Spread (OAS): A measurement used to evaluate yield differences between fixed income products, such as mortgage backed securities, that have similar maturity dates. For example, OAS can be used to measure the spread between interest rates on 30 year Treasury debt and 30 year mortgage backed securities. Volatility due to prepayment of mortgages may be a consideration. Option ARM: An adjustable rate mortgage that lets the borrower decide how much to pay each month. The borrower may choose between the standard principal and interest amount, or simply pay the interest. Some plans allow the borrower to pay even less, adding the unpaid interest to the total amount due under the note.

OFC: See “Offshore Financial Center (OFC).” Offshore Financial Center (OFC): Typically considered to be a smaller nation where the majority of banks and other financial institutions are controlled by foreigners. These financial institutions are often used to set up offshore trusts, offshore corporations and other vehicles that may be used in an attempt to go around financial regulations in more developed nations. OFCs are sometimes referred to as “Tax Havens.”

Organisation for Economic Co-operation and Development (OECD): A group of 30 countries that are strongly committed to the market economy and democracy. Some of the OECD members include Japan, the U.S., Spain, Germany, Australia, Korea, the U.K., Canada and Mexico. Although not members, Chile, Estonia, Israel, Russia and Slovenia are invited to member talks; and Brazil, China, India, Indonesia and South Africa have enhanced engagement policies with the OECD. The Organisation provides statistics, as well as social and


economic data; and researches social changes, including patterns in evolving fiscal policy, agriculture, technology, trade, the environment and other areas. It publishes over 250 titles annually; publishes a corporate magazine, the OECD Observer; has radio and TV studios; and has centers in Tokyo, Washington, D.C., Berlin and Mexico City that distributed the Organisation’s work and organizes events. OTC BB: Over the Counter Bulletin Board. Outsourcing: The hiring of an outside company to perform a task otherwise performed internally by the company, generally with the goal of lowering costs and/or streamlining work flow. Outsourcing contracts are generally several years in length. Companies that hire outsourced services providers often prefer to focus on their core strengths while sending more routine tasks outside for others to perform. Typical outsourced services include the running of human resources departments, telephone call centers and computer departments. When outsourcing is performed overseas, it may be referred to as offshoring. Also see “Offshoring.” Over-the-Counter (OTC): Refers to stocks that are not traded on an exchange. These stocks typically are not able to meet the requirements of an exchange, such as minimum assets, profits or share value. They are generally traded according to bid and ask prices, and may be listed on the Pink Sheets, NASDAQ’s OTC list or the OTC BB (OTC Bulletin Board). Pass-Through (Mortgages): See “Collateralized Mortgage Obligation (CMO).” Pink Sheets: A daily listing of bid and ask prices for over the counter (OTC) stocks. Stocks that have very low value or low trading volume may be listed on the Pink Sheets. These are stocks that are not otherwise listed on the daily NASDAQ OTC. PIPE: See “Private Investment Public Equity (PIPE).” PK (Stock Ticker): See “Pink Sheets.” Portfolio: A collection of securities (stocks or bonds) owned by an individual or an institution, such as a mutual fund.


Positioning: The design and implementation of a merchandising mix, price structure and style of selling to create an image of the retailer, relative to its competitors, in the customer’s mind. PPP: See “Purchasing Power Parity (PPP) or Pointto-Point Protocol (PPP).” Preferred Stocks: Stocks that differ from common stocks in that 1) preferred stocks pay a dividend and 2) preferred stockholders rank above common stockholders for payment of dividends or distribution of assets. Preferred stocks are also sometimes convertible. See “Convertible Bonds.” Pre-Payment (Prepayment): The unscheduled payment of all or part of the outstanding principal of a loan or mortgage. Pre-payments are typically made, by the borrower, but may also result by foreclosures, condemnations or casualties, such as an insurance settlement resulting from a total loss by fire or flood. Pre-Payment Penalty (Prepayment Penalty): A penalty found in a promissory note or mortgage, imposed by the lender if the principal of a loan is paid before it is due, thereby reducing the lender's stream of interest earned on the note. Pre-Payment Privilege: The right to repay the principal of a loan before interest is due. Pre-Payment Risk: The possibility that the mortgages underlying a mortgage-backed security are repaid faster or more slowly than expected. Price/Book Ratio (P/B): A figure comparing a stock's market value to the book value. (Book value is the value of total assets minus total liabilities.) Also known as market-to-book. Price/Earnings Ratio (P/E): A figure showing the “multiple” of earnings at which a stock sells. The ratio represents current hare price divided by current earnings per share, adjusted for stock splits. Earnings per share is calculated by dividing earnings for one year by the number of common shares outstanding. Higher “multiples” correspond to higher investor expectations for future growth and consequent higher stock price. Price/Sales Ratio: A figure representing a stock's current price per share divided by revenue per share, adjusted for stock splits. Revenue per share is


calculated by dividing revenue for one year by number of shares outstanding. Primary Government Dealer: A bank or investment company authorized to buy and sell government debt obligations directly with the Federal Reserve Bank. Prime Rate: An interest rate to be charged on loans that is the lowest rate charged by banks to their best commercial customers. The prime rate is adjusted on a regular basis according to rates in the general debt market. The generally accepted prime rate can be found in The Wall Street Journal each week.


Private Mortgage Insurance (PMI): Insurance paid on those loans that are not government-insured when the loan to value ratio is greater than 80%. When you have accumulated 20% of your home’s value as equity, your lender may waive PMI at your request. Note that such insurance does not constitute a form of life insurance that pays off the loan in case of death. Also see “Mortgage Insurance Premium (MIP).” Program Trading: Trades based on computer program signals, typically entered directly from a trader's computer to the market's system and automatically executed.

Private Banking: Special offices at banks that provide services to large depositors. Banks of all types are competing fiercely to gain the prized accounts of the very rich. Private Banking offices providing individualized services, such as investment management and estate planning, to big depositors are now commonplace.

Prospectus: The descriptive legal documents a mutual fund or a company selling its stocks or bonds must provide to potential investors. The content of a prospectus is regulated by, and must be approved by, the federal Securities and Exchange Commission, and by various state securities agencies in the states where the securities are to be offered.

Private Equity: Private equity is money invested in a business, in the form of stock and/or debt instruments such as bonds, that has been raised from private investors. It is the opposite of money that has been raised through public offerings, (including IPOs) of stocks or bonds. Investors in private equities generally seek to receive an eventual return on their investment through one of three ways: an initial public offering of stock in the business, a sale of the business, or a recapitalization of the business. Also, see “Private Equity Fund” and “Leveraged Buyout (LBO).”

Proxy Statement: A document providing shareholders with necessary information for voting on matters to be raised at a stockholders' meeting. The document includes information on closely held shares. Shareholders often sign their proxy over to a firm's management, giving management the right and responsibility to vote their shares as laid out in the statement.

Private Equity Fund: A business that raises money from outside investors, such as wealthy individuals and pension plans, and invests the money into private equity investments. The total amount of money in one fund may be relatively small, but it can also run into billions of dollars, as many of today's private equity deals are massive. Private equity funds are managed by investment and finance professionals who take annual fees based on the total amount of money in the fund and the profits of the fund. Also, see “Private Equity.” Private Investment Public Equity (PIPE): A type of financing whereby a private investor or mutual fund buys a large block of common stock in a company, typically at a discount to the current market value per share, via a private placement transaction.

Purchasing Power Parity (PPP): Currency conversion rates that attempt to reflect the actual purchasing power of a currency in its home market, as opposed to examining price levels and comparing an exchange rate. PPPs are always given in the national currency units per U.S. dollar. Put Option: An option contract giving the holder the right to sell, and obligating the writer to purchase, a set number of shares of an underlying stock at the given strike price, on or by a set date. Quant: A person who practices quantitative finance. See “Quantitative Finance.” Quantitative Finance: A sophisticated method of valuing investments that relies heavily on advanced computer algorithms and automated analysis. Quantitative financial analysis may combine several disciplines at once, including statistics, higher mathematics, finance and computer science. The


intended result is higher accuracy in valuing assets and forecasting trends. Quick Ratio: A measure of the financial strength of a company. The figure is determined by dividing current assets less inventories by current liabilities. Also known as “acid test.” Real Estate Investment Trust (REIT): Investments that work in a manner very similar to mutual funds in that money from several investors is pooled together to jointly own real estate and/or invest in mortgages. REITs are required to distribute almost all (90%) of their net income annually, directly to shareholders. Many REITs specialize in a specific kind of real estate, such as shopping centers or apartments. Investors generally buy shares in REITs with a twofold purpose: 1) to earn current income and 2) for long-term capital gains on appreciation in the value of the real estate. Real Estate Investment Trust Act of 1960: The federal law that established guidelines for establishing REITs. Real Estate Settlement Procedures Act (RESPA): A federal law that allows consumers to review information on known or estimated settlement costs. A statement of estimated costs must be provided by the lender once after a mortgage application has been completed and once again prior to or at closing. Real GDP: GDP (gross domestic product) adjusted for inflation. Real GDP provides the value of GDP in constant dollars, which is used as an indicator of the volume of the nation's output. Recession: A significant decline in general economic activity extending over a period of time. Redemption Price: The amount per share that mutual fund shareholders receive when they cash in shares. Registered Representative: A securities professional who must pass a qualifying examination and meet other qualifications of the National Association of Securities Dealers (NASD). Reinsurance: Insurance purchased by an insurer. A reinsurer assumes part of the risk – and part of the premium–originally taken by the underwriter, which is called the primary company. Reinsurance


effectively increases an insurance company’s capital and therefore its capacity to sell increased amounts of coverage. Reinsurers have their own reinsurers, called retrocessionaires. Some of the world’s biggest reinsurance companies are European and Asian firms. In addition, there are many reinsurance companies headquartered in Bermuda as well as a few in the U.S. The billions of dollars worth of risk assumed by primary insurance underwriters is spread across an international network of reinsurance and retrocession. Reinvestment: The process of using dividends from a stock or mutual fund to buy more shares of the same type. REIT Modernization Act of 1999: The federal law that enabled an REIT to own up to 100% of the stock of a taxable subsidiary that provides services to REIT tenants and other customers. The law also changed the minimum distribution requirement from 95% to 90% of a REIT's taxable income. Return on Equity: A measurement of net income as a percentage of shareholders' equity. Also called the rate of return on the ownership interest. Return on Investment (ROI): A measure of a company's profitability, expressed in percentage as net profit (after taxes) divided by total dollar investment. Reverse Merger: Seen by some as a shortcut to going public. In a reverse merger, a privately-held firm acquires a publicly-held company, merges into that publicly-held firm and thereby creates a larger, publicly-held company. This is practiced because it is often easier for a publicly-held firm to raise additional funding. Reverse Mortgage: Enables older homeowners (aged 62+) to convert part of the equity in their homes into tax-free income without having to sell the home, give up title, or take on a new monthly mortgage payment. The lender provides either a line of credit, steady monthly payments or one upfront payment to the borrower. In return, the lender receives a right to proceeds upon the eventual sale of the home, typically after the borrower's death. There are no monthly payments to be made by the borrower, and there are no income or health requirements. Sometimes called a reverse annuity mortgage or RAM.


Right of Rescission: The legal right to void or cancel a mortgage contract in such a way as to treat the contract as if it never existed. Right of rescission is not applicable to mortgages made to purchase a home, but may be applicable to other mortgages, such as cash-out refinances. Risk Assessment: The evaluation of potential injury, harm or loss. The phrase frequently applies to the insurance industry and to environmental matters. Risk Management: Management of the varied risks to which a business firm or association might be subject. It involves analyzing all exposures to gauge the likelihood of loss and choosing among the options to minimize that loss. Many major companies have risk managers on their payrolls. These risk managers may evaluate insurance proposals from a variety of companies prior to choosing a policy and carrier. They may also choose to self-insure against certain losses.


Securitization: The process of financing a pool of similar assets (such as mortgages, automobile loans, corporate debt instruments or credit card debts) by issuing to investors interests in the funds generated by that pool. Such pools are generally in the range of $100 million or higher, and may represent the debts of dozens of companies or thousands of consumers. Securitization enables banks and other lenders to have ready markets into which they may sell loans that they generate. Security: A common name for a stock, bond, debt instrument, preferred stock or other investment unit sold by a company, a mutual fund or a government. Selling Short: An investment strategy practiced when an investor thinks the price of a stock will decline. The investor borrows the stock from a broker and sells it, hoping to eventually buying it back on the open market at a lower price. However, if the price of the stock increases instead, the investor will suffer a loss.

ROI: See “Return on Investment (ROI).” Saas: See Software as a Service (Saas).” Sarbanes-Oxley Act (Sarbox): A set of federal regulations passed in 2002. It sets strict guidelines to be followed by publicly held companies in financial reporting and internal controls. Compliance with Sarbanes-Oxley (sometimes referred to as “Sarbox”) is overseen by the Public Company Accounting Oversight Board. Secondary Market: A market providing for securities to be bought or sold. This market is where the majority of trading occurs. The New York Stock Exchange, all other stock exchanges and the bond markets are secondary markets. In mortgages, large pools of mortgages are bought and sold by major investors in the secondary market. Sector Fund: These mutual funds invest solely in a specific industrial sector. For example, sector funds are available in the areas of oil and gas, timber, Internet services, biotechnology and a host of other industries. Securities Exchange Commission (SEC): The U.S. Government agency that oversees and regulates the sale and management of securities and investments. All 50 states also have regulatory bodies of their own.

Servicing (Mortgages): The steps and operations necessary to manage a mortgage or pool of mortgages, such as the collection of payments and the disbursement of escrowed funds for taxes and insurance. Servicing also includes following up on delinquent borrowers and foreclosure, if necessary. Servicing companies charge a fee to the investor that owns the loan. Shared-Appreciation Mortgage: A loan that provides a share of the appreciation of the value of the property to the lender. Such loans are typically written at below-market interest rates. Sharia (in banking): The set of Islamic rules that govern activities of all types, Sharia strictly limits the use of interest payments. Instead, many business deals in Islamic societies must be structured on creative lease, rent or other alternative contracts, rather than interest-bearing loans or bonds, in order to be acceptable. Sidecar: One form of sharing insurance risk is called a sidecar. In this case, an investor, frequently a hedge fund, agrees to take on a portion of a reinsurance company’s risk in exchange for a lucrative piece of the premium involved. Small to Medium Enterprise (SME): A term used to refer to smaller businesses. For example, in the


European Union, SME businesses are officially considered to have fewer than 250 employees and less that 50 million Euros in annual sales. SMEs make up the vast majority of all businesses and provide the vast majority of all employment. SME: See “Small to Medium Enterprise (SME).” Software as a Service (SaaS): Refers to the practice of providing users with software applications that are hosted on remote servers and accessed via the Internet. Excellent examples include the CRM (Customer Relationship Management) software provided in SaaS format by Salesforce. An earlier technology that operated in a similar, but less sophisticated, manner was called ASP or Application Service Provider. Sovereign Wealth Fund (SWF): A term used to describe a national government's pool of assets available for investment. Nations that are major exporters, such as the oil and gas exporting nations of Saudi Arabia, Kuwait and Russia, have earned massive amounts of excess capital. Disciplined, professional investment practices can give them the ability to create superior returns on this capital by making global investments. Today, the world's SWFs total trillions of dollars. Specialist: A floor trader who matches up buyers and sellers of a particular stock and stands ready to buy or sell at a given price from their own supplies of that stock. The intent is to maintain an orderly market for that stock. These firms are few in number. They tend to be owned by major investment banks. Spread: 1) The difference between the bid price and the ask price of a stock. 2) A strategy in options trading where one option is purchased and another related option, with a different strike price or expiration date, is simultaneously sold. 3) The difference between two prices or rates of interest, such as the difference between U.S. Treasury debt and corporate debt.


straight-lining averages a tenant's rent payments over the life of a lease. Strike Price: The stated price per share at which underlying stock can be bought (in the case of a call option) or sold (in the case of a put option) by the holder when the option contract is exercised. Structured Investment Vehicle (SIV): An investment option that generally deals in commercial paper, medium-term notes and capital notes. It may be highly leveraged, using debt to enable the SIV to own multi-billion dollar pools of investments. Structured Note: Structured notes are investment units that have been packaged by banks or other issuers to combine features of stocks, bonds, commodities, indexes, currency futures and or options. The issuers put a time limit on the notes, typically from one to ten years. The issuers generate fee income from these notes. Subprime: A term used to describe mortgages offered to borrowers with less than perfect credit. Subprime rates are generally higher than typical interest rates. Subsidiary, Wholly-Owned: A company that is wholly controlled by another company through stock ownership. Supply Chain: The complete set of suppliers of goods and services required for a company to operate its business. For example, a manufacturer's supply chain may include providers of raw materials, components, custom-made parts and packaging materials. Sweat Equity: In mortgages, sweat equity created by a purchaser performing work on a property being purchased. Sweep Account: A bank or deposit account that automatically sweeps excess funds into an interest earning account at the end of each business day.

Stakeholder: Anyone who holds interest in a company, including directors, management, employees, government and non-government agencies, other companies, suppliers, affiliates and private citizens.

SWOT: A popular acronym for Strengths, Weaknesses, Opportunities and Threats. It is used to analyze corporations, organizations and industries for strategic planning and risk analysis.

Straight-Lining (Real Estate): Required by GAAP (Generally Accepted Accounting Principles),

Tax-Deferred Investment: Earnings on tax-deferred investments are not taxed until the owner starts to


make withdrawals or redeems the investment without reinvesting. Deferring income taxes allows investors to have more money earning income until the taxes are due. Tax-deferred investments include 401(k) savings plans and annuities. Tax-Exempt Securities: Debts that are issued by state and local governments and are free of federal taxes. See “Municipal Bond.” Title Insurance (Title Policy): Insurance to protect the lender (referred to as a “lender's policy” or “mortgage policy”) or the buyer (an “owner’s policy”) against losses arising from disputes over ownership or unknown liens on a property. Total Return: The actual increase or decrease in the value of a mutual fund investment or a portfolio of stocks or bonds over a specific period of time. This includes capital appreciation and dividends. Trade-Through Rule: A rule that a stock trade must be made through the best market for that stock. Tranche: A slice of a financial position, investment, security or obligation. Some types of financial risks are frequently repackaged in tranches. Often certain tranches hold higher levels of risk.


Umbrella Partnership REIT (UPREIT): A real estate trust in which the partners of existing partnerships and a newly formed REIT become partners in a new entity called the operating partnership. The existing partners contribute property interests and the REIT contributes cash (typically proceeds from a public offering of stock). Underwriter: The issuer of a publicly-held security, a loan or an insurance policy. Also see “Underwriting.” Underwriting: In lending, the reviewing of a loan file to determine the applicant's ability to meet the loan obligation. In insurance, underwriting is the process of reviewing the risk in a given insurance policy. In securities and investments, underwriting is the process of analyzing a bond or stock offering and then completing the necessary paperwork and regulatory filings necessary to offer the bond or stock for sale. Uniform Commercial Code (UCC): Laws in the U.S. that regulate commercial transactions, including the rights of lenders when borrowers are in default. UPREIT: See “Umbrella Partnership REIT (UPREIT).”

Transfer Agent: An agent of a mutual fund or security whose duties include issuing new shares, canceling redeemed shares and distributing the dividends and capital gains.

Urban Development Action Grant (UDAG): A program under the department of Housing and Urban Development that lends money for redevelopment of urban commercial areas.

Treasury Bills (T-Bills): U.S. government bonds with maturity dates of 52 weeks or less.

Value Added Tax (VAT): A tax that imposes a levy on businesses at every stage of manufacturing based on the value it adds to a product. Each business in the supply chain pays its own VAT and is subsequently repaid by the next link down the chain; hence, a VAT is ultimately paid by the consumer, being the last link in the supply chain, making it comparable to a sales tax. Generally, VAT only applies to goods bought for consumption within a given country; export goods are exempt from VAT, and purchasers from other countries taking goods back home may apply for a VAT refund.

Treasury Bonds: U.S. government debt with maturities from 10 to 30 years. Treasury Notes: U.S. government debt with maturities between two years and 10 years. Triangulated Forecasting: A method of financial forecasting that focuses on three core elements: information capture, information aggregation and information analysis. By focusing on these three elements and the issues surrounding them, analysts can build a stronger financial forecast. TSE: Tokyo Stock Exchange. TSX: Toronto Stock Exchange.

Variable Annuity: An annuity funded by a separate account that invests in mutual funds, bonds or the stock market, at the policyholder’s direction. The annuity's value rises and falls with that of the underlying portfolio securities. Investors who feel they can get superior returns from the stocks and


funds held by the account may prefer this very popular type of annuity. However, the investor assumes the market risk and often pays high management or sales fees. There are multiple styles of variable annuities that attempt to match the investor's age, financial circumstances and tolerance for risk. The investor may make deposits on a regular basis, such as monthly, or may make a large lump sum deposit when establishing the account. The account's earnings are income tax-deferred until the investor begins withdrawing money. Variable Life Insurance: A policy that can combine protection against premature death with a savings account that can be invested in a variety of stock, bond and money market mutual funds, at the policyholder’s direction. The policy's value varies to some degree with that of the underlying portfolio securities. Investors who feel they can get superior returns from the stocks and funds held by the account may prefer this type of policy. However, the investor assumes the market risk and often pays high management or sales fees. Venture Capital: An investment in a new business, usually with the understanding that the company will share future profits. VIX: The CBOE (Chicago Board Options Exchange) Volatility Index. It measures the implied, annualized volatility at any given time of the stocks that make up the Standard & Poor's (S&P) 500 index of stocks. It is reported in percentage points per annum. The VIX is a measure of market risk and investor sentiment. Volatility: Fluctuation in value or price. An investment with high volatility may pose higher risk. Examples include newly issued stocks in IPOs (initial public offerings) and investments in commodities. World Trade Organization (WTO): One of the only globally active international organizations dealing with the trade rules between nations. Its goal is to assist the free flow of trade goods, ensuring a smooth, predictable supply of goods to help raise the quality of life of member citizens. Members form consensus decisions that are then ratified by their respective parliaments. The WTO’s conflict resolution process generally emphasizes interpreting existing commitments and agreements, and discovers how to ensure trade policies to conform to those agreements, with the ultimate aim of avoiding military or political conflict.


WTO: See “World Trade Organization (WTO).” Yield: The percentage rate of return paid on a stock in dividends or the rate of interest paid on a bond or note. Yield Curve: A curve plotting the yields on debt securities with different maturity lengths. The curve shows the relationship between the length of maturity of debt instruments and the current market interest rates. For example, a common yield curve shows the difference in market interest rates between Treasury debt of 2 years, 5 years, 10 years, 20 years and 30 years. Yield to Maturity: A measure of the total return on a long-term bond. The yield is approximated by dividing the adjusted interest by the average price.



INTRODUCTION

PLUNKETT'S INVESTMENT & SECURITIES INDUSTRY ALMANAC, the sixth edition of our guide to the investment, asset management and securities field, is designed to be used as a general source for researchers of all types. The data and areas of interest covered are intentionally broad, ranging from the diversification of financial services firms, to the challenges faced by traditional stock exchanges in competition with electronic communication networks, to emerging technology, to an in-depth look at the major firms (which we call THE INVESTMENT 350) within the many industry sectors that make up the investment system.

easy-to-use charts and tables on all facets of the industry in general. THE INVESTMENT 350 is our unique grouping of the biggest, most successful corporations in all segments of the investment and securities industry. Tens of thousands of pieces of information, gathered from a wide variety of sources, have been researched and are presented in a unique form that can be easily understood. This section includes thorough indexes to THE INVESTMENT 350, by geography, industry, sales, brand names, subsidiary names and many other topics. (See Chapter 4.)

This reference book is designed to be a general source for researchers. It is especially intended to assist with market research, strategic planning, employment searches, contact or prospect list creation (be sure to see the export capabilities of the accompanying CD-ROM that is available to book and eBook buyers) and financial research, and as a data resource for executives and students of all types.

Especially helpful is the way in which PLUNKETT'S INVESTMENT & SECURITIES INDUSTRY ALMANAC enables readers who have no business background to readily compare the financial records and growth plans of investment companies and major industry groups. You’ll see the mid-term financial record of each firm, along with the impact of earnings, sales and strategic plans on each company’s potential to fuel growth, to serve new markets and to provide investment and employment opportunities.

PLUNKETT'S INVESTMENT & SECURITIES INDUSTRY ALMANAC takes a rounded approach for the general reader. This book presents a complete overview of the investment and securities field (see “How To Use This Book”). For example, investment statistics are provided in exacting detail, along with

No other source provides this book’s easy-tounderstand comparisons of growth, expenditures, technologies, corporations and many other items of great importance to people of all types who may be studying this, one of the largest and most complex industries in the world today.



Where possible, we have listed contact names, toll-free telephone numbers and World Wide Web site addresses for the companies, government agencies and industry associations involved so that the reader may get further details without unnecessary delay.

By scanning the data groups and the unique indexes, you can find the best information to fit your personal research needs. The major companies in investment and securities are profiled and then ranked using several different groups of specific criteria. Which firms are the biggest employers? Which companies earn the most profits? These things and much more are easy to find.

x

In addition to individual company profiles, an overview of investment markets, products and trends is provided. This book’s job is to help you sort through easy-to-understand summaries of today’s trends in a quick and effective manner.

Tables of industry data and statistics used in this book include the latest numbers available at the time of printing, generally through the end of 2008. In a few cases, the only complete data available was for earlier years.

x

We have used exhaustive efforts to locate and fairly present accurate and complete data. However, when using this book or any other source for business and industry information, the reader should use caution and diligence by conducting further research where it seems appropriate. We wish you success in your endeavors, and we trust that your experience with this book will be both satisfactory and productive.

Whatever your purpose for researching the investment and securities field, you’ll find this book to be a valuable guide. Nonetheless, as is true with all resources, this volume has limitations that the reader should be aware of: x

Financial data and other corporate information can change quickly. A book of this type can be no more current than the data that was available as of the time of editing. Consequently, the financial picture, management and ownership of the firm(s) you are studying may have changed since the date of this book. For example, this almanac includes the most up-to-date sales figures and profits available to the editors as of late-2009. That means that we have typically used corporate financial data as of mid-2009.

x

Corporate mergers, acquisitions and downsizing are occurring at a very rapid rate. Such events may have created significant change, subsequent to the publishing of this book, within a company you are studying.

x

Some of the companies in THE INVESTMENT 350 are so large in scope and in variety of business endeavors conducted within a parent organization, that we have been unable to completely list all subsidiaries, affiliations, divisions and activities within a firm’s corporate structure.

x

This volume is intended to be a general guide to a vast industry. That means that researchers should look to this book for an overview and, when conducting in-depth research, should contact the specific corporations or industry associations in question for the very latest changes and data.

Jack W. Plunkett Houston, Texas January 2010



HOW TO USE THIS BOOK

The two primary sections of this book are devoted first to the investment, asset management and securities industry as a whole and then to the “Individual Data Listings” for THE INVESTMENT 350. If time permits, you should begin your research in the front chapters of this book. Also, you will find lengthy indexes in Chapter 4 and in the back of the book.

Chapter 3: Important Investment & Securities Industry Contacts – Addresses, Telephone Numbers and Internet Sites. This chapter covers contacts for important government agencies, investment organizations and trade groups. Included are numerous important Internet sites.

THE INVESTMENT & SECURITIES INDUSTRY

Chapter 4: THE INVESTMENT 350: Who They Are and How They Were Chosen. The companies compared in this book (the actual count is 350) were carefully selected from the investment and securities industry, largely in the United States. 92 of the firms are based outside the U.S. For a complete description, see THE INVESTMENT 350 indexes in this chapter. Individual Data Listings: Look at one of the companies in THE INVESTMENT 350’s Individual Data Listings. You’ll find the following information fields: Company Name: The company profiles are in alphabetical order by company name. If you don’t find the company you are seeking, it may be a subsidiary or division of one of the firms covered in this book. Try looking it up in the Index by Subsidiaries, Brand Names and Selected Affiliations in the back of the book.

Glossary: A short list of investment and securities industry terms. Chapter 1: Major Trends Affecting the Investment & Securities Industry. This chapter presents an encapsulated view of the major trends that are creating rapid changes in the investment and securities industry today. Chapter 2: Investment & Securities Industry Statistics. This chapter presents in-depth statistics ranging from an industry overview to the globalization of markets and much more.

THE INVESTMENT 350


Ranks: Industry Group Code: An NAIC code used to group companies within like segments. (See Chapter 4 for a list of codes.) Ranks Within This Company’s Industry Group: Ranks, within this firm’s segment only, for annual sales and annual profits, with 1 being the highest rank. Business Activities: A grid arranged into six major industry categories and several sub-categories. A “Y” indicates that the firm operates within the sub-category. A complete Index by Industry is included in the beginning of Chapter 4. Types of Business: A listing of the primary types of business specialties conducted by the firm. Brands/Divisions/Affiliations: Major brand names, operating divisions or subsidiaries of the firm, as well as major corporate affiliations—such as another firm that owns a significant portion of the company’s stock. A complete Index by Subsidiaries, Brand Names and Selected Affiliations is in the back of the book. Contacts: The names and titles up to 27 top officers of the company are listed, including human resources contacts. Address: The firm’s full headquarters address, the headquarters telephone, plus toll-free and fax numbers where available. Also provided is the World Wide Web site address. Financials: Annual Sales (2009 or the latest fiscal year available to the editors, plus up to four previous years): These are stated in thousands of dollars (add three zeros if you want the full number). This figure represents consolidated worldwide sales from all operations. 2009 figures may be estimates or may be for only part of the year—partial year figures are appropriately footnoted. Annual Profits (2009 or the latest fiscal year available to the editors, plus up to four previous years): These are stated in thousands of dollars (add three zeros if you want the full number). This figure represents consolidated, after-tax net profit from all operations. 2009 figures may be estimates or may be for only part of the year—partial year figures are appropriately footnoted. Stock Ticker, International Exchange, Parent Company: When available, the unique stock market symbol used to identify this firm’s common stock for


trading and tracking purposes is indicated. Where appropriate, this field may contain “private” or “subsidiary” rather than a ticker symbol. If the firm is a publicly-held company headquartered outside of the U.S., its international ticker and exchange are given. If the firm is a subsidiary, its parent company is listed. Total Number of Employees: The approximate total number of employees, worldwide, as of the end of 2009 (or the latest data available to the editors). Apparent Salaries/Benefits: (The following descriptions generally apply to U.S. employers only.) A “Y” in appropriate fields indicates “Yes.” Due to wide variations in the manner in which corporations report benefits to the U.S. Government’s regulatory bodies, not all plans will have been uncovered or correctly evaluated during our effort to research this data. Also, the availability to employees of such plans will vary according to the qualifications that employees must meet to become eligible. For example, some benefit plans may be available only to salaried workers—others only to employees who work more than 1,000 hours yearly. Benefits that are available to employees of the main or parent company may not be available to employees of the subsidiaries. In addition, employers frequently alter the nature and terms of plans offered. NOTE: Generally, employees covered by wealthbuilding benefit plans do not fully own (“vest in”) funds contributed on their behalf by the employer until as many as five years of service with that employer have passed. All pension plans are voluntary—that is, employers are not obligated to offer pensions. Pension Plan: The firm offers a pension plan to qualified employees. In this case, in order for a “Y” to appear, the editors believe that the employer offers a defined benefit or cash balance pension plan (see discussions below).The type and generosity of these plans vary widely from firm to firm. Caution: Some employers refer to plans as “pension” or “retirement” plans when they are actually 401(k) savings plans that require a contribution by the employee. x Defined Benefit Pension Plans: Pension plans that do not require a contribution from the employee are infrequently offered. However, a few companies, particularly larger employers in high-profit-margin industries, offer defined benefit pension plans where the employee is guaranteed to receive a set pension benefit upon retirement. The amount of the benefit is determined by the years of service with the


company and the employee’s salary during the later years of employment. The longer a person works for the employer, the higher the retirement benefit. These defined benefit plans are funded entirely by the employer. The benefits, up to a reasonable limit, are guaranteed by the Federal Government’s Pension Benefit Guaranty Corporation. These plans are not portable—if you leave the company, you cannot transfer your benefits into a different plan. Instead, upon retirement you will receive the benefits that vested during your service with the company. If your employer offers a pension plan, it must give you a summary plan description within 90 days of the date you join the plan. You can also request a summary annual report of the plan, and once every 12 months you may request an individual benefit statement accounting of your interest in the plan. x Defined Contribution Plans: These are quite different. They do not guarantee a certain amount of pension benefit. Instead, they set out circumstances under which the employer will make a contribution to a plan on your behalf. The most common example is the 401(k) savings plan. Pension benefits are not guaranteed under these plans. x Cash Balance Pension Plans: These plans were recently invented. These are hybrid plans—part defined benefit and part defined contribution. Many employers have converted their older defined benefit plans into cash balance plans. The employer makes deposits (or credits a given amount of money) on the employee’s behalf, usually based on a percentage of pay. Employee accounts grow based on a predetermined interest benchmark, such as the interest rate on Treasury Bonds. There are some advantages to these plans, particularly for younger workers: a) The benefits, up to a reasonable limit, are guaranteed by the Pension Benefit Guaranty Corporation. b) Benefits are portable—they can be moved to another plan when the employee changes companies. c) Younger workers and those who spend a shorter number of years with an employer may receive higher benefits than they would under a traditional defined benefit plan. ESOP Stock Plan (Employees’ Stock Ownership Plan): This type of plan is in wide use. Typically, the plan borrows money from a bank and uses those funds to purchase a large block of the corporation’s stock. The corporation makes contributions to the plan over a period of time, and the stock purchase


loan is eventually paid off. The value of the plan grows significantly as long as the market price of the stock holds up. Qualified employees are allocated a share of the plan based on their length of service and their level of salary. Under federal regulations, participants in ESOPs are allowed to diversify their account holdings in set percentages that rise as the employee ages and gains years of service with the company. In this manner, not all of the employee’s assets are tied up in the employer’s stock. Savings Plan, 401(k): Under this type of plan, employees make a tax-deferred deposit into an account. In the best plans, the company makes annual matching donations to the employees’ accounts, typically in some proportion to deposits made by the employees themselves. A good plan will match onehalf of employee deposits of up to 6% of wages. For example, an employee earning $30,000 yearly might deposit $1,800 (6%) into the plan. The company will match one-half of the employee’s deposit, or $900. The plan grows on a tax-deferred basis, similar to an IRA. A very generous plan will match 100% of employee deposits. However, some plans do not call for the employer to make a matching deposit at all. Other plans call for a matching contribution to be made at the discretion of the firm’s board of directors. Actual terms of these plans vary widely from firm to firm. Generally, these savings plans allow employees to deposit as much as 15% of salary into the plan on a tax-deferred basis. However, the portion that the company uses to calculate its matching deposit is generally limited to a maximum of 6%. Employees should take care to diversify the holdings in their 401(k) accounts, and most people should seek professional guidance or investment management for their accounts. Stock Purchase Plan: Qualified employees may purchase the company’s common stock at a price below its market value under a specific plan. Typically, the employee is limited to investing a small percentage of wages in this plan. The discount may range from 5 to 15%. Some of these plans allow for deposits to be made through regular monthly payroll deductions. However, new accounting rules for corporations, along with other factors, are leading many companies to curtail these plans—dropping the discount allowed, cutting the maximum yearly stock purchase or otherwise making the plans less generous or appealing. Profit Sharing: Qualified employees are awarded an annual amount equal to some portion of a company’s profits. In a very generous plan, the pool of money awarded to employees would be 15% of


profits. Typically, this money is deposited into a long-term retirement account. Caution: Some employers refer to plans as “profit sharing” when they are actually 401(k) savings plans. True profit sharing plans are rarely offered. Highest Executive Salary: The highest executive salary paid, typically a 2008 amount (or the latest year available to the editors) and typically paid to the Chief Executive Officer. Highest Executive Bonus: The apparent bonus, if any, paid to the above person. Second Highest Executive Salary: The nexthighest executive salary paid, typically a 2008 amount (or the latest year available to the editors) and typically paid to the President or Chief Operating Officer. Second Highest Executive Bonus: The apparent bonus, if any, paid to the above person. Other Thoughts: Apparent Women Officers or Directors: It is difficult to obtain this information on an exact basis, and employers generally do not disclose the data in a public way. However, we have indicated what our best efforts reveal to be the apparent number of women who either are in the posts of corporate officers or sit on the board of directors. There is a wide variance from company to company. Hot Spot for Advancement for Women/Minorities: A “Y” in appropriate fields indicates “Yes.” These are firms that appear either to have posted a substantial number of women and/or minorities to high posts or that appear to have a good record of going out of their way to recruit, train, promote and retain women or minorities. (See the Index of Hot Spots For Women and Minorities in the back of the book.) This information may change frequently and can be difficult to obtain and verify. Consequently, the reader should use caution and conduct further investigation where appropriate. Growth Plans/ Special Features: Listed here are observations regarding the firm’s strategy, hiring plans, plans for growth and product development, along with general information regarding a company’s business and prospects. Locations: A “Y” in the appropriate field indicates “Yes.” Primary locations outside of the headquarters, categorized by regions of the United States and by international locations. A complete index by locations is also in the front of this chapter.




Chapter 1 MAJOR TRENDS IN THE INVESTMENT & SECURITIES INDUSTRY Major Trends in the Investment & Securities Industry: 1) Investment & Securities Industry Overview 2) Government Bail Outs and Increased Control of Banks and Investment Firms 3) Increased Regulation and Government Scrutiny Loom Over the Financial Industry 4) Giant Mergers Change the Face of Global Banking and Investment Firms 5) Aging Populations, Baby Boomers Create Opportunities/U.S. Pension Accounts Top $14 Trillion 6) Employers Make 401(k) Enrollment Automatic/Broad Changes are Suggested for Retirement Savings Plans 7) Investment Firms, Banks Compete for Clients in High Net Worth Households 8) ETFs Expand and Take Market Share from Mutual Funds/Fund Operators Are Forced to Change 9) Online Brokers Open Physical Offices/Online Trading is Free for Large Depositors 10) Hedge Funds Regroup, Change Strategy and Sometimes Lower Fees 11) Private Equity Firms Stumble on Tighter Credit 12) Annuity Account Managers Create New Product Strategies 13) Credit Default Swaps (CDS) and Derivatives Soar into the Trillions of Dollars

14) 15) 16)

Credit Card Issuers and Debt Holders Face a Difficult Market/Consumers Pay Down Debts and Charge Less Exchanges Must Provide Fast, Inexpensive Services in Order to Survive/High Speed Trading Investment Product Facts

1) Investment & Securities Industry Overview After an extremely turbulent 2008 and 2009, the global investment industry was greatly altered by the time 2010 began. Giant investment bank Merrill Lynch had been forced into a merger with Bank of America, and Lehman Brothers was allowed to fail completely. Global banking and investment industry leader RBS was bailed out by government capital to the extent that is became controlled by the UK government. Insurance industry giant AIG was bailed out to a similar extent by the American government. The world became familiar with phrases like “toxic assets,” and American taxpayers, whether they liked it or not, backed emergency plans and market support programs with acronyms like TARP (Troubled Asset Relief Program) and TALF (Term Asset-Backed Lending Facility). By the end of 2009, the U.S. government had created initiatives based on corporate bailouts, asset purchases, emergency lending and financial market support totaling more than $2 trillion. These were only a few of the massive changes wrought by the upheaval of the global financial crisis that began quietly in the


late summer of 2007 and roared into a full financial hurricane in 2008. Asset values plummeted at first, and trillions of dollars in financial worth were wiped out worldwide. Markets posted a spectacular rise in 2009, but in most cases did not reach former, 2008 peaks. Mutual fund assets in the U.S. totaled about $9.5 trillion as of November 2008, down from about $10.9 trillion one year earlier. By October 2009, they were at a much improved $10.6 trillion. About 50 million Americans participate in 401(k) investment plans at their places of work, while tens of millions own stocks, bonds and annuities in their individual accounts. U.S. retirement account assets totaled about $14.0 trillion at the end of 2008, down 22% from one year earlier, according to ICI, the Investment Company Institute (www.ici.org). The entire world was deeply affected by the financial collapse. According to ICI, global mutual fund assets were $26.15 trillion at their peak in the fourth quarter of 2007. By the end of 2008, they had plunged to $18.9 trillion. By the second quarter of 2009, the value had improved to $20.34 trillion. From 2003 through the end of 2007, total household net worth in America (including the net value of homes and investments) climbed from $50 trillion to a peak of $65 trillion. (These amounts include stocks, bonds, mutual funds, pension accounts, life insurance, durable goods and household real estate.) By the third quarter of 2009, the amount was only $53.4 trillion. By the end of the painful 2008-2009 period, the investment industry, on a global basis, had been through losses, layoffs, scandals, bankruptcies, forced mergers, government intervention, bailouts and/or disappointments on a scale not seen in decades. Adding insult to injury was the stunning revelation in late 2008 that an investment manager in New York named Madoff was running an alleged scam that involved billions of dollars in losses to investors. Unfortunately, these investors included many charitable foundations, banks, colleges and pension plans, in addition to wealthy individuals, hedge funds and other sophisticated investors. How could such sophisticated investors be so culpable? How could regulators completely miss the fact that this was probably going on for years? Last, but not least, how could someone who was widely known and respected turn out to be evil enough to perpetrate such a fraud? The whole world wonders, and the reputation of the entire financial industry has been hurt as a result. The timing couldn’t have been worse, as investor confidence was already at an


extremely low point. Numerous other smaller, but still significant, financial scams were uncovered throughout 2008 and 2009. As the financial crisis unfolded, governments around the globe issued emergency funding to leading banks and investment banks. At one time, virtually all stock market indexes had been down by as much as 40% to 60%, depending on geographic location. A handful of extremely clever large investors made vast profits by skillful, courageous, contrarian investing during the turmoil. Today, the investment sector as a whole faces significant challenges over the mid term. Government scrutiny will be intense while the industry attempts to reignite investors’ appetites for IPOs and bonds, as well as riskier investments such as securitized debts, venture capital funds and hedge funds. IPOs were nearly nonexistent for several months, but a modest market for newly issued stocks had re-emerged by the end of 2009, led by China. The shakeup of the financial industry led many top investment bankers to leave major banks, voluntarily or not. Boutique and second-tier investment banks saw the shakeup as an opportunity, and they grabbed both clients and star employees from their large competitors. Investment banks such as Lazard, Evercore, Cowen and others turned chaos into opportunity. Several major corporate clients sought the relative calm of smaller investment banks during the turmoil. Brokerage companies, such as First New York Securities, took advantage of this unique opportunity to hire top traders who were formerly with the bigger firms. A complete rebound of the banking and investment system will take a long and trying time. Nonetheless, by the beginning of 2010, economic growth had fired up once again in much of the world. China and India each posted significant growth in GDP for 2009, and the U.S. and other fullydeveloped economies appeared to have climbed out of the depths of the recession. By the end of 2009, Wall Street had engineered a surprisingly strong recovery from the meltdown. Many companies were hiring large numbers of employees—a sharp contrast to the layoffs of 2008. (By one estimate, more than 250,000 U.S. financial sector jobs were cut in 2008.) Business had rebounded comfortably. A few financial companies, most notably American investment bank Goldman Sachs, posted tremendous profits for 2009. The question remains whether serious growth in IPOs, mergers and acquisitions (M&A) and other business will ensue in 2010-2011.


How did the Great Financial Crisis occur? Multiple factors were involved, many of which began as long ago as 2001, including: x An era of loose lending for business loans. x Incredibly easy credit for consumer loans, including mortgages, automobile loans and credit cards. x Exceptionally low interest rates. x A multi-year, worldwide economic boom that encouraged risk-taking by borrowers and lenders alike. x A multi-year, worldwide jump in market prices for stocks, houses, commercial real estate, companies and commodities that further encouraged risk-taking and easy lending. x Booming global markets for manufactured goods and for commodities such as oil created immense cash reserves in emerging nations, and much of those reserves were eagerly invested in debt instruments of all types, further fueling lending. x Investors in debt-backed securities were lured into a false sense of security by overly optimistic ratings placed on those securities. Many very highly rated mortgage packages turned out to be of little value. x Investment banks, such as Lehman Brothers, were overextended, operating with very high leverage. Typically, they were holding assets of about 30 times their total level of capital. That means that they were borrowing heavily, at a rate of about $97 for every $3 of capital, and that a downward turn in asset values could quickly have devastating effects on their balance sheets. x A disastrous change in accounting rules known as “mark to market” forced banks and investment companies to write down the value of debt instruments based on their ability to resell them on the current market. This rule disregarded whether the debtors were current on their payments, and forced a write down of many accounts in good standing. This devastated the balance sheets of the banks. Investments, banking and financial services of all types have become globalized industries in recent decades, in the same way that the automobile, pharmaceutical, technology, energy and consumer goods industries have globalized. The globalization was fueled by four factors: 1) the availability of global electronic networks for distribution of funds and real-time information; 2) the easing of local regulations on ownership of investment and banking


firms by foreign entities; 3) the opportunity to serve the needs of multinational corporations; and 4) the increasing attractiveness, from a banker’s point of view, of business assets and rising household wealth in emerging economies. New business opportunities were sought out globally by major banks and investment firms, especially in such booming markets as China and India. What’s next in the world of banking, credit and investments? Here are a few emerging trends to watch for: 1) Greatly increased regulatory oversight will restrict investment companies and lenders of all types. 2) An era of much lower risk-taking by traditional lenders has begun that will last for years. 3) The creation of higher-risk loans and investments will be taken over to some extent by hedge funds and private equity funds, accelerating a trend that has already been in place for some time, and replacing some of the former roles of commercial banks and investment banks. 4) Alternative lending sources will be used to a growing degree by small businesses and some consumers who are unable to get loans elsewhere. For example, peer-to-peer lending companies are growing through enabling lending by and between members of lending clubs, or between friends and family. Virgin Money USA, for example, makes it easy for reliable small business owners to set up loans from friends. Prosper.com enables borrowers to apply for three-year, fixed-rate personal loans online by connecting borrowers with individual lenders. On the other end of the spectrum, small businesses that are unable to obtain or renew bank loans will turn to high-cost “factoring,” a method of borrowing against their receivables. 5) Regulatory oversight will increase, and regulatory agencies such as America’s SEC, may get an overhaul. Investment companies, banks and insurance companies will brace for much higher levels of scrutiny. Source: Plunkett Research, Ltd. The term Sovereign Wealth Fund (SWF) is used to describe a national government’s pool of assets available for investment. Some nations that are major exporters, such as the oil and gas exporting nations of Saudi Arabia, Kuwait and Russia, have earned massive amounts of excess capital, and their SWFs have become a major influence in the investment world of today. SWFs, since they are


under governmental control, may be subject to cronyism and mismanagement. By the beginning of 2008, the world’s SWFs totaled about $3 trillion, according to estimates by analysts at Monitor Group. By early 2009, that amount had dropped to $1.8 trillion as a result of poor returns during the financial crisis. 2) Government Bail Outs and Increased Control of Banks and Investment Firms In order to understand the current states of major banking and investment firms worldwide, a little recent history is in order. As 2007 came to a close, it became more and more obvious that many of the world’s leading banks were in need of additional capital to shore up their finances due to losses on subprime debts, commercial real estate, leveraged buyouts and other risky investments. As a result, major stakes in many firms were put on the market, often snapped up by sovereign wealth firms in the Middle East or major Asian investment institutions. For example, Citigroup sold a 4.9% stake to the Abu Dhabi Investment Authority for $7.5 billion. UBS sold a 9% stake to an investment arm of the government of Singapore and to a Mideast investor. Soon, the global financial crisis of 2008-2009 left governments with little choice but to prop up leading commercial banks and investment banks with additional capital. This quickly resulted in a partial nationalization (that is, government ownership and/or control) of a long list of the world’s leading banks. The methods of government investment, control or ownership varied widely from one nation to the next. These bailouts of banks via loans and injection of capital were crafted quickly and under duress, in the hopes of avoiding a run on banks and a further meltdown of the world’s financial network. In the small island nation of Iceland, perhaps the single hardest-hit country, all of the leading banks were taken over completely by the government. Elsewhere, the governments of The Netherlands, Belgium and Luxemburg joined forces to rescue the operations of financial giant Fortis. In the U.K., the government quickly moved to purchase major stakes in the most important banks, including the Royal Bank of Scotland (RBS), and the two firms of Lloyds TSB and HBOS which merged in November 2008. Top executives were forced out as part of the deals, and tough demands were made in exchange for loans and recapitalization. Worldwide, even in the safe banking haven of Switzerland, governments made loans, capital, deposit guarantees and loan repayment guarantees


available to prop up banks to the tune of trillions of dollars. Such intense government activity and investment will lead to much higher levels of regulation and regulatory oversight than in the past. It will take years for business to return to a somewhat normal state, and the total costs and benefits of heightened government investment in banks remains to be seen. Losses were massive at many major financial firms in 2008, and investors and parties to investment agreements doubted the stability of leading investment banks and commercial banks. Many people thought it was vital that government treasuries step in and guarantee the viability of these companies. Despite these efforts, credit remained very tight, IPOs came to a standstill and many private equity deals fell apart due to lack of financing. In 2009, major banks and investment firms saw some relief as the global economic crisis eased and their restructuring paid off. At Morgan Stanley, a loss of $159 million was reported for the second quarter of 2009, followed by a gain of $757 million in the third quarter. Most notably, Goldman Sachs’ third quarter revenues reached $12.37 billion with net earnings of $3.19 billion. By the end of 2009, each of America’s top four banking firms had made plans to repay tens of billions of dollars in federal bailout monies they had received under a program known as TARP. These banks had sold additional shares of stock in order to recapitalize and reduce their need for government backing. This is an important step on the road back to normalcy. 3) Increased Regulation and Government Scrutiny Loom Over the Financial Industry In the U.S. and Europe, one rapid result of the global financial crisis was a cry in the halls of government for greatly increased government supervision and revamped regulation of the financial industry, from banking to insurance to the investment sector. Although the details were far from settled as 2010 began, all aspects of the financial services sector are undoubtedly going to face significant regulatory changes. In the U.S., the House of Representatives had passed a sweeping financial regulation bill by the end of 2009, and similar legislation was pending in the Senate. Proposals include broad powers for the government to monitor systemic financial risk and to intervene where it deems necessary. For example, it could require a bank to shrink in size if the government believes that the bank is posing financial


risks. Another proposal is the creation of a Consumer Financial Protection Agency that would oversee and regulate the issuance of things like mortgages, credit cards and personal loans. Special taxes on certain stock trades and option trades are being considered. These proposals are highly contentious and are the subject of much lobbying and jockeying for position. Unfortunately, the outcome could easily err on the side of too much new oversight enforced by inefficient new bureaucracies. 4) Giant Mergers Change the Face of Global Banking and Investment Firms The financial crisis brought about quick mergers and acquisitions of immense proportions, leaving a stalwart few still standing among global banks. In the U.S., Bank of America Corp., J.P. Morgan Chase & Co., Citigroup and Wells Fargo are the Big Four in bank holding companies. These are the four companies that can boast of total assets of more than $1 trillion each. During the financial crisis, non-bank companies sought and obtained status as bank holding companies in order to qualify for federal backing. These firms included investment banks Goldman Sachs Group and Morgan Stanley, as well as insurance giant Metlife, Inc. 2008 was a year that rocked the U.S. banking and investment industry as unprecedented mergers took place. First, J.P. Morgan Chase (Chase) acquired investment bank Bear Stearns for $1.1 billion in May. Then in September, Bank of America agreed to acquire investment bank Merrill Lynch for $47 billion. That same month, Chase took over the giant savings bank Washington Mutual (WaMu) after U.S. federal regulators seized WaMu’s assets. Next, in a highly contested takeover, Wells Fargo acquired Wachovia for $12 billion. Wachovia was initially to be acquired by Citigroup in a U.S. governmentbacked transaction brokered by the Federal Deposit Insurance Corp. (FDIC), but instead went to Wells Fargo which made a private bid. During 2009, 140 FDIC-insured institutions failed, compared to 25 during 2008. Overall, the FDIC insured 8,195 banking institutions as of June 2009, down from 8,615 in mid-2007 and an all-time high of 9,066 in 2004. Further consolidation of the banking industry will occur. In particular, watch for regional banks to be snapped up. Sovereign Bankcorp, an important regional firm in Philadelphia, was acquired in October 2008 by Banco Santander of Spain. On the international front, the largest bank acquisition in history was agreed to in October 2007,


when Royal Bank of Scotland (RBS) along with Spain’s Santander and Belgium’s insurance and banking giant Fortis cooperated in the acquisition of banking giant ABN Amro for $101 billion. Their timing couldn’t have been worse, and the price they paid was steep, both in terms of the amount paid for ABN Amro and in the resulting effect on Fortis and RBS. As part of the acquisition, Santander, a stronger bank than most, took control of ABN’s Latin America divisions with some success, while ABN Amro’s main banking business, split between RBS and Fortis, has been devastated by the recent credit crisis. The result was Fortis’ ultimate demise and RBS being forced to accept a massive injection of capital from the U.K. government, which made the government a controlling shareholder of the firm. Meanwhile, the collapse of the banking arm of Fortis brought about another merger of staggering proportions. In September 2008, Fortis received an emergency capital injection of roughly $15.2 billion from the governments of The Netherlands, Luxemburg and Belgium, in exchange for a 49% interest in the firm. In early October 2008, the bank faced a capital crisis to the extent that it was no longer able to operate. The Dutch government seized its operations in that country, and the Belgian government arranged a $20 billion sale of what was left of Fortis to French banking giant BNP Paribas, which is now the largest bank in Europe based on deposits. A major U.S. financial institution that was not bailed out by the federal government was investment bank Lehman Brothers. The firm declared bankruptcy in September 2008 due to its heavy involvement in subprime and prime mortgages along with its immense liabilities in credit default swaps, among other problems. After Lehman’s bankruptcy, U.K. banking giant Barclays announced its intention to buy Lehman’s U.S. capital markets division for a mere $1.75 billion while Japan’s Nomura Holdings agreed to purchase a number of Lehman’s European, Middle Eastern and Asian assets. In addition, private equity companies Bain Capital and Hellman & Friedman planned to spend $2.15 billion on Lehman’s money management concerns, including Neuberger Berman, a lucrative asset management subsidiary. 5) Aging Populations, Baby Boomers Create Opportunities/U.S. Pension Accounts Top $14 Trillion According to the Investment Company Institute, Americans held $14 trillion in retirement and pension


assets at the end of 2008, including individual IRA, employer-sponsored pension or savings plans and plans for government employees. (These numbers do not include life insurance plans, expected benefits from Social Security, privately-held annuities or certain other types of retirement savings.) Americans aged 55 years or older are the fastest-growing segment of the population. 2006 marked the year that the first Baby Boomers turned 60, meaning that many will take early retirement. By the year 2020, the total number of Americans over age 65 will be the highest in the history of the nation, at about 55 million, up from about 20 million 50 years earlier in 1970. The aging of populations in the U.S., Japan, Russia, South Korea and many other nations in Europe and Asia will create both challenges and opportunities for the investment industry. For example, as large segments of the population age and retire, they will rely more and more on asset management and retirement products for income, rather than their previous salaries. In America, Japan, Europe and elsewhere, there will be huge new opportunities to provide investment products tailored to retired Baby Boomers. The popularity of annuities is but one example. In fact, nations like Japan, with extremely high personal savings rates and rapidly aging populations, will be particularly attractive to firms that sell investment products. Large amounts of money will be rolling over each year from savings plans at work, such as 401(k)s, into individual retirement accounts as American workers retire. Retirees rolling over these funds will have specific needs, and investment firms will want to anticipate proactively the goals and desires of people in this market. After the extreme disappointments suffered by older investors in 2008 and the vast, $50 billion investment fraud alleged in the Madoff investment firm scandal in the U.S., the biggest challenge facing firms that market investments to retirees will be the need to create a feeling of safety, honesty and reliability. Retirees and those soon to retire were hit hard, and millions of them are rightly concerned about their financial condition. Many of them saw their dreams crushed in 2008, due to a combination of plummeting investment values and very low home values. Part of the investment account challenge lies in defined benefit pension plans, which are rarely offered to workers any more but remain obligations of employers that offered them in the past. These plans must pay a guaranteed retirement income to workers who qualify. Employers cover these


obligations by setting aside investment funds that are assumed to earn enough to cover these pension obligations. However, the market declines of 2008 left many such plans woefully underfunded. Here again, America’s aging population has good reason to be nervous about their standard of living during retirement years. Much of upcoming 401(k) rollover funds will go into IRAs where a wide variety of investment options is available. IRAs already totaled about $2.4 trillion in assets in the U.S. at the end of 2008. Some retirees will want to actively manage their own portfolios. Others will want to enter into new agreements with asset managers who understand the unique needs and concerns of aging seniors. Unfortunately, the elderly can be extremely susceptible to investment frauds and bad advice, and they are sometimes sold financial products that are completely inappropriate. Financial planners who cater to aging Baby Boomers should see a significant upturn in business, especially those planners who can create a sense of safety and security for their clients. Vanguard and Fidelity are among investment funds that have been particularly proactive in designing new products and services for this market. Like Vanguard, many firms see the need to position themselves as a place where retirees can seek competent advice. Another leading company, Fidelity, has launched a free Fidelity Retirement Income Advisor service with great success. Vanguard, Fidelity and other firms have recently introduced mutual funds that are designed to use asset allocation schemes in an attempt to provide an average annual stream of income of a given amount over a set number of years. The efforts include an attempt to increase the annual payout by an amount equal to the rate of inflation. The term “Baby Boomer” generally refers to people born from 1946 to 1964. It evolved to include the children of soldiers and war industry workers who were involved in World War II. When those veterans and workers returned to civilian life, they started or added to their families in large numbers. As a result, the Baby Boom generation is one of the largest demographic segments in the U.S. These people number 75 to 76 million surviving Baby Boomers as of 2010, or about 25% of the total population. By 2011, millions will begin turning traditional retirement age (65), resulting in extremely rapid growth in the senior portion of the population. There will be continuing debate over whether and how to reform America’s Social Security system. When Social Security was first launched in the 1930s, the typical American was vastly younger than


today (the median age in 1930 was only 26.5 years compared to about 37 years in 2009), and the ratio of workers to retirees in the U.S. was 41 to 1. In 2004, there were only 3.4 workers per retiree. In 2034, the projected number is two workers per retiree. In 1930, there were only 6.6 million Americans age 65 and above; in 2009 there were more than 39 million. That number is increasing dramatically as the Baby Boom generation hits retirement. Clearly, the burden of retirement payouts has grown to a degree unanticipated by the founders of the pay-as-you-go Social Security system. Meanwhile, Baby Boomers are more affluent and in much better health than any previous retiring generation. They are also likely to be well educated and somewhat financially savvy. These new retirees know that they are likely to live for a long time, and they want solid investments and financial planning that will enable them to live well. For example, an American male aged 65 has an average life expectancy of nearly 15 more years. A female can expect to enjoy nearly 19 more years. Investment firms have an unprecedented opportunity to earn lucrative fees by serving this market, not only in the U.S., but in other rapidly aging nations including Japan and virtually all of Europe. 6) Employers Make 401(k) Enrollment Automatic/Broad Changes are Suggested for Retirement Savings Plans About 49.8 million Americans were enrolled in 401(k) savings plans at the workplace as of the beginning of 2009. In July 2005, the oldest Baby Boomers turned 59 ½, the youngest age at which they may start withdrawing funds from their 401(k) plans without penalties. Many of them are taking early retirement. By the end of 2007, according to the Investment Company Institute, Americans had about $3.0 trillion in 401(k) savings plans. By the end of 2008, due to declining stock markets, the value had slumped to $2.4 trillion, but strong markets in 2009 regained some of the lost value. About one-half of those funds are invested in mutual funds. Employers have been trying harder to engage young workers in savings plans. Many relatively young employees feel strapped for cash. They may need current income to pay off student loans or to pay down credit card debt. Participation rates among workers in their early 20s has historically been very low. Employers have been changing their tactics in order to encourage more workers to participate in


savings plans. The biggest change is that the largest companies now tend to enroll their employees in savings plans automatically, rather than waiting for the employees to request enrollment on their own. (Employees may opt-out, but must do so in writing.) This greatly boosts participation, particularly among workers of modest income. Next, employers are providing workers with greater investment plan choices and much better opportunities for education about investing in their plans. Some employers are making it more difficult for employees to make preretirement withdrawals from their plans except in cases of extreme hardship. “Target-date” mutual funds are growing in popularity for use in 401(k)s, despite the fact that they may endure relatively high management fees. A target-date fund is so-named because it continually adjusts investment strategy from higher-risk during a worker’s younger years to lower-risk near a targeted retirement date as the worker ages. The employer-sponsored savings plan has been a major contributor to the growth in stock investment participation in the U.S. For example, in 1983, shortly after savings plans were first established, only 15.9 million households participated in stock ownership. By early 2005, that figure ballooned to 56.9 million according to a study sponsored by the Investment Company Institute and the Securities Industry Association. 401(k)s were first established on January 1, 1980 as a way for people to save for retirement on a taxdeferred basis. (Johnson & Johnson, PepsiCo, Honeywell, Hughes Aircraft and JC Penney were among the first employers to offer the plans.) Eligible workers make contributions to these accounts, and many employers match some portion of employee deposits as a benefit. The system works very well as long as the funds are not touched until the account holder reaches retirement age and the holder and employer continue to contribute. While 401(k)s are for employees of for-profit companies, there are similar plans for non-profit organizations (403(b)s), and for state and local government employees (457(b)s). These numbers all refer to portions of the federal tax code, since the plans are allowed to grow on a tax-deferred basis. Under these plans, employees make a taxdeferred deposit into an account. In the best plans, the company makes annual matching donations to the employees’ accounts, typically in some proportion to deposits made by the employees themselves. Many of the best plans match 100% of employee deposits, up to 6% of wages. (One of the most generous plans


of all is for members of Congress—with a 200% match of deposits by congressional participants.) More typically, a good plan will match one-half of employee deposits of up to 6% of wages. However, some plans do not call for the employer to make a matching deposit at all. Other plans call for a matching contribution to be made at the discretion of the firm’s board of directors. Actual terms of these plans vary widely from firm to firm. Generally, these savings plans allowed employees to deposit as much as $16,500 or 10% of wages into the plan on a taxdeferred basis, as of 2010, with the maximum adjusted for inflation each year thereafter. (Participants who are 50 years of age or older may be allowed to make larger “catch up” contributions.) However, the portion that the employer uses to calculate its matching deposit is generally limited to a maximum of 6%. Employees should take care to diversify the holdings in their 401(k) accounts, and most people should seek professional guidance or investment management for their accounts. Also, employees should be aware that employers may not make matches if corporate profits are down. This is exactly what happened in 2008 during the global financial crisis—many employers announced that they would not make matching contributions. Employers typically hire outside firms to handle the management of 401(k)s. Employees are often unaware of annual fees (generally 0.5% to 2% of the money invested) relating to those accounts and their impact of fees on their net investment returns. The demise of Enron Corporation urgently underlined the poor manner in which many workers manage their pension plan assets. In the case of Enron, the fact that the company’s stock value plummeted to nothing almost overnight wiped out the savings of many Enron employees who had left all of their 401(k) assets invested in Enron stock. In fact, surveys continue to show that many workers have large shares of their retirement assets tied up in the stock of their employers. Today, employers are trying harder to educate workers about good management and about investment options, including information about fees paid for fund management. At the same time, they are making more asset management options available. As the U.S. population ages, more and more 401(k) holders will be in a position each year to rollover their funds upon retirement. As a result, brokers will require greater expertise in retirement benefits management. Companies such as Merrill Lynch are promoting professional designations of specialty in retirement planning and benefits. In


addition, brokerage houses are offering new products and services aimed at this market. Vanguard, for example, debuted a free service in 2004 that handles the paperwork for rollovers of at least $100,000 in assets. Unfortunately, despite the fact that 401(k) savings plans have been available for a long time, most workers have low balances that will be inadequate for their true retirement needs. Many observers find the 401(k) system to be poorly designed, and numerous suggestions have been offered to create a more effective system. Thanks to the plunge in market values during 2008, this debate will increase. Recommendations for reform to retirement savings come from a wide variety of sources. Proposals that may be under debate over the mid-term include: x Universal retirement savings plans, sponsored by the federal government, rather than employers. Such plans would be open to all Americans, regardless of where, or whether, they work. x Simplification of existing savings plan rules. Currently, sponsorship, reporting and administration place significant burdens on the organizations that offer such plans to their employees. x The creation of links or synergies between savings plans and the Social Security system. x Elimination of the federal income tax break on annual deposits to savings plans, while giving workers other strong incentives to save. (At present, the incentive to deposit money into a savings plan is greater for those workers who earn enough to be in a high income tax bracket of 30% or more, but diminishes quickly for those who pay only a nominal tax rate, such as 10%.) Of course, additional reforms will be suggested and analyzed. Over the long term, changes may take place that will encourage increased personal savings while perhaps limiting investors’ risks to some extent. Internet Research Tip: Employee Benefit Plans An excellent source for research on employee benefits, including savings plans and health care coverage, is the Employee Benefit Research Institute, www.ebri.org.


7) Investment Firms, Banks Compete for Clients in High Net Worth Households Focusing on financial advice and asset management is one way for financial firms to boost income. In particular, many investment banks and commercial banks target high net worth individuals. Wealthy clients, specifically those with multimilliondollar net worth, can provide a steady source of fees and income to asset managers. More important than total net worth, however, is the dollar amount available for investment. Most prized, among investment firms, are clients with $10 million or more in assets that are available for investment management. Affluent households were hit hard by declining stock markets in 2008. Many became extremely unhappy with their financial advisors and asset managers, and they sought more appealing places to move their accounts. Their goals may include lower management fees, greater liquidity, less risk in their portfolios or better communication from their managers. The Capgemini Merrill Lynch 2009 World Wealth Report found that the world’s high net worth individuals suffered a 19.5% decline in asset value during 2008. The report found that 27% of clients responding to their survey either withdrew funds from their outside asset managers or completely dropped their managers in 2008. Clearly, the industry has a great deal of work to do in making clients comfortable with their services. While the wealthy population is growing in nations like China and India, the U.S., Japan and Germany still account for 54% of the world’s wealthiest people (those with at least $1 million in investable assets), according to the report. This unique, global population segment was 8.6 million at the end of 2008. Ultra high net worth people ($30 million in investible assets) totaled 79,000 worldwide. The report projects that households with $1 million+ in investable assets will enjoy financial wealth totaling $48.5 trillion by 2013, up from $32.8 trillion in 2008. The high-wealth market is spread among the biggest brokerage firms (including Merrill Lynch and Morgan Stanley) along with other competitors led by the “private banking” units at the largest banks, such as Citibank and Wells Fargo. Bank of America’s recent acquisition of Merrill Lynch gives it a leg up in this competition for market share. In addition, this market is served by trust companies, boutique investment firms and financial advisor offices.


More and more investors are choosing to work with financial planners and advisors rather than brokers. Brokers are fighting back with services and staff geared specifically toward the management of large investment accounts. Merrill Lynch opened centers in six U.S. cities designed specifically to serve the needs of the super-rich. Likewise, Citibank has created wealth planning centers around the U.S. that focus on trusts and investments for upper-end families. Hundreds of specially trained advisors to the wealthy are now working in such offices. Meanwhile, investment firms have recently created special training requirements for top investment advisors who want to focus on the wealthiest households. This elite group of advisors has the opportunity to earn very substantial annual fees based on the total dollar value of assets under management. 8) ETFs Expand and Take Market Share from Mutual Funds/Fund Operators Are Forced to Change One of the hottest things going in the investment world is the ETF, or Exchange-Traded Fund. ETFs are baskets of different stocks for sale under one ticker symbol. They are designed to compete with index mutual funds (commonly called “index funds;” index funds are invested so as to represent the performance of the Standard & Poor’s 500, the NASDAQ 100 or other stock indexes). They also compete with mutual funds that invest in specific industrial sectors, and, more recently, they compete with managed funds. There are, however, important differences between ETFs and mutual funds. The primary difference lies in the way they are priced. Mutual funds are traded and priced only once daily. ETFs act like stocks, fluctuating in price all day long as the underlying values of the stocks they hold fluctuate. ETFs tend to have low fee structures and offer quick, easy access to widely diversified baskets of stocks. Since there are many smaller indexes that track specific business sectors such as retailing or energy (these indexes are maintained by investment banks and analysts), ETFs can easily be designed to be sector-oriented by following a specific industrial sector’s index. Some ETFs even track indexes based on gold, real estate investment trusts (REITs) and other more limited ranges of investments. These funds have experienced tremendous growth. Since the first fund was launched in 1993, ETFs had collectively attracted about $250 billion in assets in 170 ETFs through the end of 2005. By the


third quarter of 2008, global ETF assets had soared to about $765 billion worldwide in 1,499 ETFs managed by 86 different firms, according to a study by Barclays Global Investors. By November 2009, the American ETF industry hit $739 billion under management in a total of 802 ETFs, according to a report from State Street Global Advisors. Analysts at Morgan Stanley have suggested that total global ETF assets could reach as high as $2 trillion by 2011. The world’s largest ETF managers in late 2009 included Barclay Global Investors, recently acquired by BlackRock, Inc, at $361 billion under management. It was followed by State Street at $174 billion and Vanguard Group at $88 billion. One of the most popular examples of an ETF is the SPDR (pronounced “spider”), which stands for Standard & Poor's Depositary Receipt—a security designed to track the S&P 500 stocks. Another ETF is the VIPER, or Vanguard Index Participation Equity Receipts. Launched by mutual fund leader Vanguard Group, there are now multiple types of VIPERs on the market holding billions of dollars in assets. ETFs have evolved and expanded to fill a wide variety of niches, appealing to investors who want to bet on indexes covering commodities such as gold, as well as oil, currencies such as the Euro, and tech stocks. ETFs are increasingly popular with individual investors and are expected to continue their impressive growth pattern. They provide investors with lower cost alternatives to mutual funds and with the ability to bet against stocks or bonds by short selling. Since ETFs are bought and sold like stocks, investors trade them through stockbrokers. As more and more individual investors become aware of ETFs, they have begun to displace mutual funds, to a growing extent. This means that ETFs are showing up in the portfolios of large numbers of IRAs and 401(k)s. Since investors must pay a brokerage commission each time they buy or sell ETF shares, the trading costs can be prohibitive for those who invest only small amounts of money or who trade often. On the other hand, ETFs have extremely low management expense ratios, often less than one-tenth of one percent, a significant advantage over many mutual funds. In addition, there are no up-front sales charges when buying ETFs as there are in some mutual funds. A final advantage to ETFs for some investors is that capital gains taxes will not be created for individual investors until they sell the ETF shares. In comparison, individuals owning mutual funds may


find themselves owing taxes even though they have not yet sold their shares. The big news is a new breed of ETFs that are not tied exclusively to specific indexes. Instead, these are “actively managed” ETFs, run by stock pickers who hope to make investment choices that will beat the indexes. Typically, managers of these ETFs are free to trade in and out of stocks, based on a management firm’s own unique computer models and market forecasts. This puts the ETFs in direct competition with actively managed mutual funds. For example, Invesco PowerShares offered several actively managed ETF products at the end of 2009. One is focused on shares in real estate firms. Another is focused on trading within high market capitalization companies. x x x

Major ETF Companies to Watch: Barclay’s Global Investors, creator of iShares ETFs, www.barclaysglobal.com and www.ishares.com Vanguard Group, creator of the VIPER ETFs, www.vanguard.com PowerShares, creator of the PowerShares ETFs, www.powershares.com

Mutual fund assets in the U.S. totaled about $9.5 trillion as of November 2008, down from about $10.9 trillion one year earlier. By October 2009, they had rebounded to $10.6 trillion. According to ICI, global mutual fund assets were $26.15 trillion at their peak in the fourth quarter of 2007. By the end of 2008, they had plunged to $18.9 trillion. By the second quarter of 2009, the value had climbed to $20.34 trillion. Meanwhile, mutual fund companies were forced to endure significant changes as a result of the recent financial crisis. To begin with, hundreds of mutual funds were liquidated or merged into other funds by their management firms. This was an effort to reduce marketing and management costs, or to close poorlyperforming funds. Elsewhere, mutual fund companies realized that they needed to offer products that would give investors more confidence and lower risk. Many investors were spooked by the major market meltdown of 2008 through early 2009. “Absolute return” funds were launched by companies including Putnam. In Putnam’s case, its new funds were designed to target annual returns to investors equal to a set amount above U.S. Treasury bills. The focus of many individual investors changed. For example, bond management firm PIMCO


enjoyed renewed interest by investors in the relatively stable returns offered by mutual funds that invest in high-quality bonds rather than stocks. 9) Online Brokers Open Physical Offices/Online Trading is Free for Large Depositors Banks have long sought to offer a full array of financial services, and they are offering deeply discounted stock trades. In fact, Bank of America announced in late 2006 that it would offer up to 30 free online stock trades monthly to customers that have at least $25,000 in combined deposits. Banks such as Bank of America want to be one-stop shops, and they see free or discounted stock trades as a way to bring customers back to their web sites on a frequent basis where they will also be offered feegenerating services such as mortgages and retirement products. Other firms have toyed with free, or nearly free, trades. Zecco Holdings, Inc. (www.zecco.com) charges no commission on up to 10 standard trades monthly for customers with minimum account values of $25,000. Otherwise, they charge only $4.50 per trade. Genesis Securities LLC, which normally specializes in trades for large institutional orders, has a new unit called SogoInvest (www.sogotrade.com) that may offer trades for as little as $3 each. Online investors are using the Internet to their advantage, and the entire structure of Wall Street has changed as a result. The cost of trading stocks online has plummeted since the inception of online trading in the 1990s, thanks to the low overhead achieved when an Internet-enabled brokerage uses the latest technology to cut the amount of costly office space and support staff required to execute trades. Furthermore, an increasing number of investors are using the Internet as their primary method of buying, selling and tracking investment portfolios and financial accounts, regardless of whether those portfolios consist of stocks, bonds, mutual funds or other assets. Likewise, millions of households now manage their bank accounts online. Research and investment advice (both good and bad) are readily available and easily located on the Internet. Virtually all stock brokerages that offer online trading also make research reports available online to their registered account holders. Also, like most banking companies, many leading online brokerages are adopting a bricks-andclicks model that combines physical storefronts with online services. For example, E*Trade opened its first physical brokerage branches in 2001. Called E*Trade Financial Centers, these branches are


designed to encourage personal visits by customers. Locations are now in major cities nationwide. In fact, E*Trade has broadened its services beyond trading to include banking, lending and outsourced services. Leading discount broker Charles Schwab has also built a blend of storefronts and online offerings, as have many other discount and online brokers, along with mutual fund companies like Fidelity. Likewise, TD Ameritrade has hundreds of branches across the U.S. to service its accounts in person as well as online. This is all part of a general trend for discount brokerages to grow through acquisitions, expand physical branch networks and seek new ways to earn revenues from fees and services in addition to trading. These services may include options and futures trading, financial advisory services, life insurance, annuities, banking, lending and outsourced employee benefit services. This is particularly important today since competition for discount trades has become so fierce and commission rates have dropped to rock-bottom levels. One of the most interesting bricks-and-clicks brokers is Scottrade (www.scottrade.com). It offers deeply discounted online trading along with appropriate tools to assist customers online. At the same time, this discount broker has a chain of more than 375 physical brokerage offices so that customers can obtain assistance in person when desired, to accomplish tasks such as opening accounts and making broker-assisted trades. This firm’s bricksand-clicks strategy also includes touch-tone phone trading—it is seeking every possible avenue to communicate with and satisfy its customers. 10)

Hedge Funds Regroup, Change Strategy and Sometimes Lower Fees Many of the world’s hedge funds suffered deeply during the global financial crisis. There were approximately 10,000 hedge funds operating globally as of October 2008, but the number is not static. Instead, some funds close up shop due to poor returns on investment, while new funds open. Overall, the industry managed a total of about $2 trillion at the beginning of 2008, which fell drastically to $1.5 trillion by the end of the year. Many rebounded during the better markets of 2009. By the end of 2009, there was enough interest among investors to enable the launch of several new hedge funds, although some were offering lowered management fees. Hedge funds are investment pools for institutional investors and wealthy individuals. A


hedge fund is a private investment fund that may utilize aggressive strategies such as selling shares short, leveraging via heavy borrowing and/or the timing of trading via very sophisticated computer models, arbitrage or derivatives. Generally, hedge funds may use strategies that are not available to more regulated mutual funds. (A small number of hedge funds in various nations have issued publicly held shares, or have set very low minimum investment requirements, but this is the exception rather than the rule.) In addition to hefty fees (generally 1% to 2% of assets plus 0.4% to 0.6% in administrative fees), hedge fund managers typically receive a 20% cut of any profits. In many cases the investments within a fund may be in privately held companies or in other assets that are not commonly traded on exchanges. This means that valuing the assets can be arbitrary. The higher the asset value claimed by a fund’s manager, the higher the fees that the manager receives. In a typical year, at least a few hedge fund managers will deploy extremely effective strategies for current market conditions, to the extent that investors will earn vast returns and the managers will each earn $1 billion or more in annual fees. Nonetheless, there is no magic in this business, and funds have been known to post stunning losses. Results always vary widely from fund to fund. As a result of a general pull back by investors in the financial crisis, when many hedge funds lost vast amounts of their clients’ money, some funds have lowered their fees and begun more transparency in their reports to clients. Pension funds, foundations, endowments and retirement funds are frequent hedge fund investors, as are wealthy individuals. Many of these investors are quick to move their money when investments prove to be disappointing. A popular variation on the hedge fund industry has been the “fund of funds” or “FOF.” FOFs are investment pools that collect money from investors and then invest that money across a range of hedge funds in order to spread the risk. FOFs typically interview hundreds or even thousands of hedge fund managers in an effort to identify the greatest opportunities. According to analysts at Hedge Fund Research, FOFs accounted for nearly one-half of all hedge fund investments at their peak. The FOF concept is being questioned, however, as some FOFs were invested in the scandalous Madoff debacle, where the founder is alleged to have created a scam that may involve up to $50 billion. This is exactly the kind of problem that managers at FOFs are


charged with avoiding, since they are in the business of carefully analyzing hedge funds and selecting only the best-managed companies. Hedge funds have become so prominent that they create a considerable portion of commissions earned by stock brokers. The funds play a major role in trading in markets such as convertible bonds, credit insurance derivatives and securitized debt obligations. Meanwhile, swaps and derivatives are enabling hedge funds to use leverage creatively to enhance returns. When the funds make good bets on the direction of the assets they purchase, that leverage boosts returns. Unfortunately, that leverage can also exaggerate losses. This happened extensively in 2008. In addition, hedge funds are seeking increasingly diverse and creative ways to earn high returns. In fact, the lines between hedge funds and their financial industry competitors, such as investment banks and private equity firms, are starting to blur. For example, some funds are making medium- to highrisk loans to companies, thereby taking over the role traditionally played by commercial banks. Other funds are backing major insurance risks such as potential loss to hurricanes, effectively taking on a role traditionally played by reinsurance companies. Another option for hedge fund managers is investing in commodities, even to the extent of backing oil and gas exploration, development and reserves acquisition. Moreover, hedge funds are backing corporate mergers, acquisitions and leveraged buyouts, traditionally handled by commercial banks, investment banks and private equity companies. Hedge funds are largely unregulated. In the U.S., the SEC attempted to require most funds to register disclosure documents, similar to those required of mutual funds, which would list risks, management details and other items that would better arm potential investors to consider the pros and cons of a fund, its track record and its managers. The courts struck down the SEC's proposed rules in mid-2006. However, the global financial crisis of 2008 put hedge funds in the spotlight in a negative way, and steepened disclosure requirements and regulations will undoubtedly follow over the mid-term. While the funds are aimed primarily at institutions and wealthy investors, many variations occur around the globe. In Australia, for example, individuals who are not wealthy may invest in local hedge funds.


11)

Private Equity Firms Stumble on Tighter Credit There are myriad companies, both in the U.S. and abroad, that specialize in making private equity investments. Industry leaders include Blackstone Group, Kohlberg Kravis Roberts (KKR), Texas Pacific Group, Thomas H. Lee and Carlyle Group. Thomson Financial estimates that the private equity industry received $229 billion from investors to put into investment pools in 2007 alone. Globally, there are thousands of these firms in operation, but most of the money is held by a few top-tier companies. Generally, these firms pool money from institutions, pension plans and wealthy individuals who are looking to make higher returns on their investments. The fund managers use these pools to acquire large (or controlling) interests in companies of all types. Significant amounts of leverage are typically employed so that a combination of debt and equity creates larger potential returns. Such investments are often referred to as “leveraged buyouts” or “LBOs.” Until recently, an environment of extremely low interest rates, easy credit terms and an active market for low-quality “junk” bonds fueled the LBO fire to an extent never seen before. As private equity firms became larger, and the market for LBOs heated up, they took greater and greater risks, and paid ever-higher premiums for the companies they were purchasing. Meanwhile, private equity firms became more diverse in the types of investments they are willing to make. For example, many have been making “mezzanine” investments in the stocks of private companies that are seeking to grow or go public; private placements in public companies (which are referred to as PIPEs); and higher-risk “bridge” loans to help firms that need capital today in anticipation of future funding events. But the biggest risks were established by private equity firms willing to borrow the most while bidding up the price of the companies they were purchasing. These investments soared in total dollar amount, from about $50 billion in 2000 to more than $400 billion in 2006. Money center banks and investment banks of all types jumped on board, by providing highly leveraged loans to private equity deals and underwriting immense junk bond issues. Meanwhile, typical prices paid for a company, as a ratio of annual cash flow, soared from a factor of about five in 2000 to 10 or more in 2006. A big LBO in 2003 was considered to be $4 billion or so. By 2005, car rental giant Hertz was acquired for $15 billion. In 2006, Equity Office Properties was acquired for $38.8


billion. Finally, in 2007 amazingly large LBOs were announced, including the buyout of Canadian telecommunications firm BCE for $48.5 billion and Texas utilities firm TXU for $43.8 billion. The TXU deal has closed. However, the BCE deal collapsed in late 2008, as did a relatively large deal to acquire Huntsman, a chemicals firm. In fact, many acquisitions have collapsed, been renegotiated as to price and terms, or failed to attain necessary funding. The global credit meltdown made it much more difficult for private equity firms to obtain bank loans or to find investors for new debt by late 2007. Markets for the junk bonds and exotic debt instruments that made these highly leveraged deals possible collapsed. The 2003 through mid-2007 era will be looked upon as a long lost era of easy money. While credit became easier to obtain by the end of 2009, it is still nowhere near the robust market of 2006-2007. Now, the best-managed private equity firms with the deepest pockets are likely to prosper while poorly managed, poorly capitalized firms will suffer. The biggest firms have recently enjoyed opportunities to scoop up deals and debt instruments at bargain prices. The largest private equity management firms often raise $10 billion or more to manage in a single new pool, and each firm may have several such pools that were raised in succession over a number of years. Management fees are extremely lucrative, typically 1% to 2% of assets for annual management, plus 1% of the value of completed deals, fees for various services, and 20% of total net profits. In order to justify these fees, investors must be offered the potential of enormous profits. Eventually, private equity investors earn a return on capital when the acquired firms have an IPO or are sold off. Additional returns are often earned when managers do a complete financial restructuring of an acquired firm. This might involve loading the acquired firm up with significant amounts of debt, and then using all or most of that debt to pay a huge dividend to the private equity shareholders. Then, the heavily indebted company might have an IPO, selling its stock to the public, hopefully creating an even higher return for the private equity shareholders. Average annual returns on invested capital can be very high. In good years, successful private equity funds have often returned annual profits of 30% or more to investors. Fortunately, as 2010 began, bank loans were becoming easier for private equity funds to obtain, although on much tougher terms than those they enjoyed before the financial crisis. Also, the ability for a private equity firm to sell its holdings has


become much easier, as buyers are returning to the acquisitions market, and IPOs are returning to the market in modest numbers. Returns to private equity investors may be relatively good in 2010, compared to a very difficult 2008 and a challenging 2009. 12)

Annuity Account Managers Create New Product Strategies Variable annuities, those that change with stock and bond market values, declined both in value and new account sales during 2008. Americans owned investments in variable annuities totaling $1.49 trillion in September 2007, according to the Insured Retirement Institute, formerly National Association for Variable Annuities (NAVA), about a 9.5% increase from one year earlier. Unfortunately, by December 2008 the total had dropped considerably to $1.13 trillion. Total annuity industry net assets, including nonvariable annuities, were $1.996 trillion in 2007 and $1.682 trillion in 2008. Large improvements in stock market values created a rebound in variable annuity assets during 2009. Total U.S. annuity industry sales were $264.1 billion in 2008, up from $255.0 billion the previous year. Variable annuity sales in 2008 were $23.8 billion, down from $33.4 billion the previous year. For many years, annuities were a significant growth industry. The total number of unique annuity products offered more than tripled from 1999 through 2008, rising from 359 to 1,491. The plunges of financial markets in 2008 and early 2009 had a damaging effect on the industry, as profits on assets owned by underwriters plunged. As a result, insurance companies that underwrite these annuities faced large losses when they paid out returns that they had guaranteed to policy holders. Many companies that offer annuities are changing the structure of their products: raising fees, lowering guaranteed minimum payouts, or both. While annuity underwriters typically use sophisticated hedging strategies to limit losses in the event of market downturns, the plunging markets of 2008 left many firms with large net losses, despite their best hedging and management efforts. Going forward, consumers can expect lower guaranteed benefits, and sometimes higher costs. This is bad timing, considering the vast number of Baby Boomers who are soon entering retirement age. There are numerous types of annuity accounts, and their variations and complicated details are enough to confuse most consumers. There are multiple styles of variable annuities that attempt to


match the investor’s age, financial circumstances and tolerance for risk. The investor may make deposits on a regular basis, such as monthly, or may make a large lump sum deposit when establishing the account. The account’s earnings are income taxdeferred until the investor begins withdrawing money. A simple annuity grows at a stated range of rate of return offered by the insurance company. The insurance firm takes all of the market risk. This is a good bet for retirees who are looking to create a permanent stream of income. A variable annuity, in contrast, is an annuity funded by a separate account that invests in mutual funds, bonds or the stock market, at the policyholder’s direction. Variable annuities are better suited to workers who have 15 years or more until retirement. The annuity’s value rises and falls with that of the underlying portfolio securities. Investors who feel they can get superior returns from the stocks and funds held by the account may prefer this very popular type of annuity. However, the investor assumes the market risk and often pays high management or sales fees. Styles of variable annuities include those that are pegged to a particular stock market index, such as the S&P 500. “TargetDate” accounts, also called “life-cycle funds,” are turned over to professional money managers who automatically balance the underlying investments based on the investor’s age (the assumption being that the older the investor becomes the lower the level of risk that should be assumed). “Target-Risk” accounts are invested based on the investor’s tolerance for risk. The biggest players in the U.S. variable annuity business include MetLife, TIAA-CREF, AXA, ING, Lincoln National, Prudential Financial, AIG, Manulife Financial, Hartford Financial and Pacific Life. Most major annuity firms have been working to improve their products and services. They are managing the practices of sales forces more carefully, striving to make annuity products match the needs of a wide variety of consumers and taking care to make the risks, costs and features of annuity accounts more readily understandable. Fidelity Investments, for example, offers a variable annuity with no extra benefits or guarantees that charges as little as 0.25% in annual fees. As more annuity options become available on the market, investors are switching old, higher-fee contracts for new ones that cost less. In fact, many brokerage firms such as Charles Schwab & Co. and Fidelity are offering their clients


specialized databases that help annuity owners compare annuities and their inherent costs. Another insurance-based investment option is a personal pension. As more employers phase out pension plans, firms such as MetLife, Inc. and New York Life Insurance are offering pension products that are based on annuities. Like most annuities, personal pension plans carry heavy penalties for early withdrawal. As life expectancies increase, insurers in the U.S. and around the world are looking to expand their annuity business. French insurer AXA SA, for example, has established “risk labs” in Paris and New York to study longevity and its relationship to financial markets. The markets in Europe, Japan and the U.S. are especially ripe for annuity sales due to rapid growth in the senior population segments, and firms such as Hartford Financial Services Group, Inc. in the U.S., Aegon NV and ING Groep NV in The Netherlands, and Allianz SE in Germany have been promoting marketing efforts on an international scale. 13)

Credit Default Swaps (CDS) and Derivatives Soar into the Trillions of Dollars A credit default swap is a contract whereby the seller of the swap agrees to make a payment to the buyer in the event of a specified event. That event is typically a default on a debt of some sort. The buyer of the swap may purchase it with one upfront payment or with a series of payments over time. The seller is guaranteeing that a debt will not be defaulted upon. In return, the seller receives a fee rather like an insurance premium. This reduces risk on the part of the debt holder, who is the buyer of the swap. Hedge funds are common sellers of these swaps. In fact, hedge funds, banks, insurance company subsidiaries and investment firms have generated immense amounts of credit swaps. Underwriting these swaps is a relatively easy way for hedge funds and financial institutions to generate lucrative fee income. Unfortunately, it also can be risky. A swap transaction might look like this: 1) A pension fund manager purchases $100 million in high-yield, high-risk corporate bonds (“junk bonds”). The fund manager wants to enjoy the high rate of interest on the bonds, but since junk bonds frequently default, he decides to lay-off some of the risk with a swap. 2) A hedge fund agrees to underwrite a swap that will pay up to $50 million to the pension fund in the event that the pension fund incurs a loss on the bonds. The hedge fund collects a fee, which may range up to a few million dollars.


Money center banks, like JPMorgan Chase and Bank of America, along with major investment banks like Goldman Sachs, have been big buyers and sellers of such swaps. As one of the most popular types of financial derivatives, these swaps can be used to assume or lay-off the risk of many subunits of debt instruments, depending on the needs of the ultimate owner of the debt. Such slices of investments are often called “tranches.” Banks and investment firms have reaped immensely profitable fees from swaps. Swaps bought by speculators are often known as “naked swaps” when the swap purchasers do not own the underlying bond or other debt instrument. A credit default swap is vaguely similar to a short sale of a stock. The buyer of the swap profits if the value of the debt instrument, which is insured by the swap, declines. As with short selling of stock, many swaps are purchased by speculators who do not actually own the debt instruments. This is a popular practice. The U.S. Securities and Exchange Commission (SEC), other federal agencies and some states have expressed interest in regulating swaps. Meanwhile, the Financial Accounting Standards Board (FASB) has issued stringent rules regarding how firms must account for and disclose their swaps positions and risks. Oversight of swaps and derivatives of most types may become part of a massive federal financial industry regulatory overhaul in 2010, if the Obama administration gets its way. There is always some risk that the swaps could blow up. If a large number of corporations are unable to make timely payments on their debt instruments, or if substantial numbers of risks covered by swaps result in large losses, then the banks, insurance companies or hedge funds that have sold such swaps could find themselves struggling to pay off their obligations. For example, large amounts of swaps were written to cover the risks involved in owning securities representing pools of subprime mortgages. Those subprime mortgages plummeted in value, and the sellers of those swaps face billions of dollars in losses. In an effort to make the swaps market more orderly and transparent, nine banks, including Credit Suisse, J.P. Morgan Chase and Goldman Sachs, have announced that they will use a new online trading platform for their swaps activities. The platform, TradeWeb, is controlled by Thomson Reuters, but the banks are minor partners as well. Of course, one piece of big news was the U.S. government’s need to bailout global insurance giant American International Group (AIG) in the fall of 2008. AIG was considered by most analysts to be a


reasonably well-managed insurance company with good long-term potential in the global market. Unfortunately, a relatively small division at AIG had taken immense risks by writing credit default swaps totaling hundreds of billions of dollars. (Many of their swaps insured subprime mortgage securities.) This helped break the company’s back. The American government provided AIG up to $85 billion in loans in exchange for effective control of the firm and a change of top management. That need quickly grew to $150 billion when AIG found it difficult to find buyers for assets and operating companies that it intends to sell. An important test of the CDS model took place in the fall 2008, when large numbers of default swaps came due on Lehman Brothers (the recently bankrupt investment bank) obligations. According to the Depository Trust & Clearing House, a firm that processes investment transactions, CDS insuring Lehman Brothers obligations were settled in October with a relatively modest $5.2 billion changing hands. While a much larger total of CDS were outstanding among Depository Trust & Clearing House’s clients, many of these swaps cancelled each other out. Elsewhere, bailed-out AIG stated that it paid only $6.2 million to settle its CDS insuring Lehman Brothers debt. The amount was relatively minor because many of AIG’s positions covering Lehman cancelled each other out by taking opposing sides of a transaction. Meanwhile, derivatives of all types remain a massive, global market. Derivatives are so named because their value derives from underlying assets. These assets might be stocks, bonds, other debt instruments, commodities or some mutually agreed price index such as a stock index. Derivatives are used as a way of hedging risk or speculating on a future outcome. Credit default swaps, as a widely traded credit derivative, are included in this market. Derivatives traded over the counter were outstanding in an amount equal to $604 trillion total potential (“notional”) value worldwide in mid-2009, according to the Bank for International Settlements. (This is an immense increase from the $127 trillion notional value in mid 2002.) The gross market value of these derivatives in 2009 was $25.3 trillion. Derivatives that are bought and sold on standardized terms are traded on large exchanges or over the counter (OTC). The most common derivatives include those covering foreign currency exchange contracts, interest rate contracts, equity (stock)-linked contracts, commodity contracts


(covering such items as metals, oil and food stocks), as well as credit default swaps. 14)

Credit Card Issuers and Debt Holders Face a Difficult Market/Consumers Pay Down Debts and Charge Less Global consumers are awash in credit card debt. Visa, for example, reports that it processed charges amounting to $4.3 trillion worldwide in the year ended March 31, 2009 (up from $3.3 trillion two years earlier) on its customers’ 1.7 billion cards (up from 1.4 billion in 2007). In total, Visa processed 59 billion transactions in the year ending March 31, 2009. MasterCard’s customers totaled 981 million at the end of 2008. Other major credit card issuers include American Express and Discover. Another competitor in consumer payments is the e-commerce firm PayPal, a unit of eBay which electronically debits customer’s checking accounts for online purchases. During the third quarter of 2009, PayPal saw its number of active registered accounts soar by 20% to 78 million worldwide, while its quarterly revenue rose 15% to $668.1 million. PayPal has adopted an open source software strategy, which enables developers to easily incorporate PayPal into web sites. In total, credit card firms in America manage hundreds of millions of dollars in debt. While the banks have historically sold much of this debt in the form of securitized pools of debt obligations, market conditions have made it much more difficult to find buyers for these debts. Unfortunately, a significant portion of outstanding credit card debt is owed by subprime borrowers. In 2008 and 2009, credit card issuers cancelled cards held by people with low credit scores, lowered credit limits and reduced their marketing to potential new card holders. Meanwhile, card issuers in America face a long list of new regulations from the Credit Card Act of 2009, which was scheduled to go into effect, for the most part, in February 2010. The rules dramatically limit issuers’ ability to raise interest rates and alter fee structures, while requiring much higher levels of disclosure to card holders. One outcome has been a scramble by issuers to change accounts from fixed interest rates to variable rates. Profits at card issuers will be under significant pressure in 2010. One result may be an effort by issuers to lower their participation in expensive loyalty reward programs. American consumers have also changed their habits regarding debt and purchases. Personal savings were on the rise in 2008 and 2009, while credit card balances were declining sharply. There


are many indications that a firm trend has taken hold, under which consumers will be much more careful with their money and much less likely to enter into debt for discretionary spending. For the fourth quarter of 2008, Visa announced that, for the first time in history, spending on Visa debit cards in the U.S. was higher than spending via Visa credit cards. This means that consumers are switching to the cashlike debit card, paying from current funds, rather than incurring a credit card balance. Earnings from credit card operations are in serious decline. For the third quarter of 2008, for example, American Express saw income from continuing business operations drop by 23% over the same period of 2007, despite an increase in total revenues. The firm announced staff cuts, and saw its net write-offs of credit card debt leap to about 6% from 3% a year earlier. For the third quarter of 2009, the company saw a 16% drop in revenues (over the same period in 2008) and a 25% drop in earnings from continuing operations. Competition among credit card companies is intense and getting stronger. Revolution Money, partly backed by Steve Case who made his money at American Online (AOL), has created a new credit card network. Its appeal to merchants is a vastly lower transaction fee of 0.5%, compared to about 2.1% charged by Visa. It’s one thing to invent a credit card, but another to convince people to use it. Murphy Oil, which runs gas stations at hundreds of Wal-Mart stores, was offering consumers a three-cent per gallon discount for using the RevolutionCard in 2008. In November 2009, American Express announced its intent to acquire Revolution Money. Credit cards utilize some of the most sophisticated communications technology in the world. For example, Visa transactions soar along millions of miles of fiber-optic cable. Charges made in almost any location around the globe can be processed across phone lines to one of dozens of Visa data centers, authorized through a network by the issuing bank while the approval is sent back to the point of purchase with an averaged elapsed time of two seconds. The company’s recently enhanced network has the capability of handling 11,000 transactions per second. Visa’s rival MasterCard is a technology wonder itself. It operates a 550,000 square foot global technology and operations center that cost $136 million, equipped with 743 miles of conduit, 160 miles of fiber optic and 360 massive server cabinets. Meanwhile, banks and stock brokerages have upped the ante in the affluent card holder market.


American Express has long been the leader in serving affluent customers, as well as providing cards for use by businesses including major corporations. Amex card users tend to be much more affluent than users of competing cards, and they charge, on average, twice as much per year to their cards. Amex’s Platinum and black Centurion cards are recognized as the purchasing cards for the wealthy. Holders of those cards pay substantial annual fees. In return, they receive excellent personal services, including the use of agents who can book travel arrangements, restaurant reservations and show tickets, as well as access to specialists who can help travelers in emergencies. Competing organizations see no reason to leave affluent card holders to American Express. Visa and MasterCard issuers such as Merrill Lynch have launched their own very high-level cards to compete. Card holders who travel remain the most desired customers for card issuers. Cards such as Citibank’s AAdvantage card, an American Airlines relationship that offers mileage rewards, and American Express’s Delta SkyMiles card remain among the most profitable of all card offerings. Holders of these cards tend to rack up very high charges each year, receiving airline mileage rewards in exchange for their loyalty. (Selling mileage awards to the credit card companies is one of the best profit centers for major airlines.) American consumers are the world’s biggest users and holders of credit and debit cards by far, charging purchases much faster than consumers in other nations. In fact, in many nations, such as Japan, consumers are reluctant to own multiple credit cards and even more reluctant to carry balances on their cards. However, consumers in some nations, notably Brazil (where there were 266 million Visa cards by 2008) and Mexico, have been adopting credit card use quickly in recent years. As of mid2008, 71 million Visa cards had been issued in the rapidly-growing nation of India. 15)

Exchanges Must Provide Fast, Inexpensive Services in Order to Survive/High Speed Trading Exchanges worldwide are racing to provide the fastest possible trades in order to retain professional clients. Over the past few years, upstart electronic exchanges have forced the leader, the NYSE Euronext, to adapt and invest millions in high-speed electronic trading technology. The Tokyo exchange launched a $140 million electronic upgrade in late 2009 that dramatically increased trading speeds.


Meanwhile, the human element on trading floors continues to dwindle. For example, the Wall Street bastion known as the New York Stock Exchange had only 1,200 people working on the trading floor at the beginning of 2009, down from 3,000 five years earlier. At one point in 2008, the NYSE trading floor’s market share of trades in NYSE-listed stocks had declined to 24% from a 2005 share of 80%. To fight back, the NYSE bought its own electronic trading unit in March 2006, NYSE Arca, formerly known as Archipelago. Its goal is for Arca plus the trading floor to attain a market share of about 50%. Major competitors in electronic trading include the Nasdaq OMX Group, with about a 33% market share of all trades in U.S. equities as of the beginning of 2009. Meanwhile, an upstart founded in Kansas City, Missouri in 2006, BATS Global Markets, handled 10% of U.S. volume as 2009 began. It has grown to become America’s third-largest equities exchange. BATS also operates a London-based exchange for European securities. It announced plans to launch an options exchange in the U.S. sometime in 2010. To successful stock and options traders, three things count: 1) the speed with which the trade is executed (counted in microseconds), 2) the cost of the trade, and 3) a trader’s ability to use multiple exchanges when possible, to avoid tipping off other traders and driving up the price of a stock. Some exchanges offer better features than others, and the competition between exchanges to improve remains fierce. Meanwhile, the competition between the largest traders is fierce as well. A major trend is called “high-speed” trading by “high-frequency” traders. Firms such as Getco, now one of the leading trading offices in the U.S., are able to execute trades for hundreds of millions of shares daily with a relatively small number of employees utilizing the latest in technology. Costs are slashed, liquidity is enhanced, and the profits can be astonishing. High-speed trading has moved into markets of all types, including commodities markets. This is the ultimate use of technology in the financial world “Naked access” is another trend. In this case, instead of firm registering with the SEC as a broker and becoming a member of an exchange, a trading firm pays a broker for the use of the broker’s computer code. This is called “sponsored access.” In some cases, this access is through the registered broker’s computer system, which gives the broker a chance to monitor the activity to some extent, and thereby limit risk. In other cases, the access is


outside of the registered brokers’ systems, directly with an exchange, and therefore both faster and subject to less scrutiny. Traders using naked access may be able to execute a trade in 300 microseconds or about one-half the time required for sponsored access trades. This may increase the chance that a reckless trader could cause serious problems or huge losses. On the other hand, speed is an immense advantage. The leading electronic exchanges and trading offices invest immense sums in installing and maintaining the fastest-possible communications connections, computers and algorithms. The small number of people who are highly experienced and skilled in this arena are in very high demand. This trend is rapidly reshaping trading the world over in organized markets of all types. 16)

Investment Product Facts

A. Mutual Funds Most individual investors have no business trying to choose stocks and bonds on their own—successful stock investment requires extensive research and knowledge, and the risks are great. Proper research prior to making a stock investment can encompass such areas as a company’s operations, its place among its competitors, its potential earnings, the strength of its management and the overall desirability of the industry within which it operates. Picking stocks and bonds is a full-time job best left to professionals, such as those who manage mutual funds. At the same time, most investors are much better served by spreading their money over several different stocks and industries rather than placing all of their money in a small number of stocks. Investing in one or more mutual funds can fill this need. Mutual funds provide investors with professional stock selection, management on a day-to-day basis and diversification. i. Types of Mutual Funds There is a type of fund to suit every conceivable investor. Some provide income that is free from income taxes. Some are focused on providing dividend income, while others focus on growth of capital. Some funds have multiple objectives. The following is a brief description of the primary types of mutual funds, organized by their investment objectives:


x Aggressive Growth Funds (also known as Capital Appreciation Funds) seek to invest in a portfolio of stocks that will provide maximum capital appreciation; current income is not a significant goal. Some may use specialized investment techniques such as option writing or short-term trading. These funds usually entail greater risk, thus the "aggressive" name. x Balanced Funds try to balance three different objectives: long-term growth of capital, current income and stability. x Corporate Bond Funds seek a high level of income primarily by purchasing bonds of U.S.based corporations. The income and stability of the fund will depend on the quality of the bonds in which the fund's manager is allowed to invest. For example, bonds rated BBB to A+++ (generally considered to be “investment grade”) will offer lower income but greater stability than riskier bonds rated BB or below. (Also, see “High-Yield Bond Funds.”) x Flexible Portfolio Funds may invest in any one investment class (stocks, bonds or money market instruments), or any combination, depending on the conditions in each market. These funds provide the greatest flexibility in anticipating or responding to economic changes. However, these funds may attempt to anticipate shifts in the markets (“timing” the markets), and thus may endure greater risk. x Ginnie Mae or GNMA Funds invest primarily in mortgage securities backed by the Government National Mortgage Association (GNMA). These mortgage securities carry a guarantee from a U.S. Government agency and therefore offer greater stability. x Global Bond Funds seek a high level of income by investing in the debt securities of companies and governments worldwide. They are subject to risk from fluctuation in the value of various currencies. x Global Equity Funds invest in securities traded worldwide. They are subject to risk from fluctuation in the value of various currencies. x Growth and Income Funds invest mainly in the common stocks of companies that may offer


growth in value as well as consistent dividend payments. Such funds attempt to provide investors with long-term capital growth and a steady stream of income. x Growth Funds aim to provide capital appreciation rather than steady income. They may be more aggressive and thus entail greater risk. x High-Yield Bond Funds maintain at least two-thirds of their portfolios in non-investmentgrade corporate bonds. Generally, high-yield bonds are considered to be those rated BB or below (so-called “junk bonds”) by the agencies that analyze bond risk. Some high-yield bonds may carry very low ratings. In return for potentially greater income, high-yield funds present investors with much higher risk. x Income-Bond Funds seek a high level of income by investing in a mixture of corporate and government bonds. x Income-Equity Funds invest primarily in stocks of companies with a consistent history of dividend payments. x Income-Mixed Funds seek a high level of current income by investing in income-producing securities, including both equities and debt instruments. x Index Funds invest in a specific stock index, such as the Standard & Poor's 500 or the Wilshire 5000. This requires no special investment acumen on the part of the investment managers. They simply buy a balanced collection of the stocks that make up the particular index. For the investor, this provides tremendous diversification and makes the value of the fund easy to follow and understand. For example, if the Standard & Poor’s is up, so is a fund that invests only in that index. x International Funds invest in equity securities of companies located outside the U.S. (See “Global Equity Funds.”) x National Municipal Bond Funds – LongTerm invest primarily in bonds issued by states and municipalities to finance public projects. In most cases, the Federal Government does not tax


income earned on these securities, although the income may or may not be taxed by state and local governments. x Precious Metals/Gold Funds invest at least two-thirds of fund assets in securities associated with gold, silver and other precious metals. The investments may include inventories of gold or metals or stocks in mining companies. These funds generally involve greater risk because the value of the securities is associated with the market value of the gold, silver, etc., which may fluctuate widely, and the success or failure of the mining ventures attempting to produce the precious metals. x Real Estate Investment Trusts (REITs) work in a manner very similar to mutual funds, but in this case investors pool their money to jointly own real estate rather than stocks or bonds. Many REITs specialize in a specific type of real estate, such as shopping centers or apartments. REITs differ from mutual funds in that they are required to distribute almost all of their income annually, directly to shareholders. Investors generally buy shares in REITs with a two-fold purpose: 1) to earn current income and 2) for long-term capital gains on appreciation in value of the real estate in the REIT. Investors considering a dive into REITs because of their high dividends should note that real estate entails significant risks. x Sector Funds invest solely in specific sectors of the economy. Sector funds are available in the areas of oil and gas, timber, Internet companies, biotechnology firms and a host of other choices. If you're fortunate enough to hit the right sector and the right fund in that sector, the returns can be exceptional. x State Municipal Bond Funds – Long-Term work like national municipal bond funds, except that their portfolios contain primarily the issues of only one state government. The dividends on these funds may be exempt from income tax for residents of the state whose bonds are in the fund. x Target-Date mutual funds are growing in popularity. A target-date fund is so-named because it continually adjusts investment strategy from higher-risk during a worker’s younger years to lower-risk near a targeted retirement date.


However, management fees may be relatively high in such funds. x Taxable Money Market Mutual Funds seek the highest income consistent with preserving investment principal. These funds seek to maintain a stable $1.00 share price while investing in short-term money market securities of high credit quality (a portfolio’s average maturity typically must be 90 days or less). x Tax-Exempt Money Market Funds – National seek the highest level of income exempt from federal income taxes. These funds invest in short-term municipal securities issued by states and municipalities. x Tax-Exempt Money Market Funds – State invest primarily in issues from one state government. Investors who reside in the state whose bonds are in the fund may be exempt from state income tax on dividends. x U.S. Government Income Funds seek income by investing in a variety of U.S. Government securities, including treasury bonds. These funds may also hold bonds issued by government agencies, such as Ginnie Mae mortgage-backed securities. (For additional fund descriptions, see “A Short Investment & Securities Industry Glossary” at the front of this book.) ii. How Mutual Funds Began The first true mutual fund was introduced in Boston in 1924. That fund, and the great many that followed, grew out of a practice dating to 19th Century England, where investors’ money was pooled in English and Scottish investment companies. These British investment companies financed a variety of instruments issued by businesses, such as U.S. farm mortgages and stocks in railroads and other industries. In America in the early 1920s, when the stock market was soaring, mutual funds grew in number. Shortly after the first funds were organized, however, the 1929 stock market crash ruined U.S. financial markets. Despite setbacks, well-managed investment companies continued their services. Later, the Securities and Exchange Commission (SEC) undertook a special study of investment companies that resulted in the Investment Company


Act of 1940. Today, mutual fund companies are the nation’s second-largest financial deposit-holding group, surpassed only by commercial banks. iii. Initial Investment Some funds seek only larger investor accounts ($2,500 and more), while others go out of their way to attract even the smallest investors. Most fund accounts for individuals can be opened with a minimum of $1,000. The initial investment minimum is usually smaller for accounts which will be used as IRAs or which will have an automatic monthly deposit feature. Many funds also offer the convenience of writing checks as a means of withdrawal, although most limit check amounts to $250 or more. Many management companies run a family of funds offering different investment objectives, and investors commonly switch from one type of fund to another. iv. Broker/Dealers Mutual fund distributors sell fund shares through securities brokers that have a commissioned sales force (broker/dealers). In addition to traditional brokers (such as Merrill Lynch), banks, insurance agents and some financial planners have become major sellers of mutual fund accounts, earning commissions on the sales they generate. v. Ownership Options Individual investors may choose from several potential types of fund ownership. In the simplest form, an investor may own a fund account in his or her own name or jointly with a spouse. Frequently, individuals are participants in employer-sponsored retirement or savings plans. The individual may make choices within the plan regarding types of funds, but the retirement plan takes actual ownership of the fund. Individuals may also set up trusts for themselves, their children, their spouses or their heirs. These trusts may own the mutual fund shares. vi. Disclosure of Fees and Charges All mutual fund companies charge fees for the operation and management of their funds. First, a yearly management fee goes to the parent company for operating the business end of the fund. Next, an advisory fee is paid to the investment adviser, which is a related or independent company that makes the investment decisions. In addition, many funds charge a sales fee (an initial front-end load charge when the shares are purchased or a back-end load charge when


the shares are sold). Some funds are no-load, which means there is no sales fee. Information on all fees and charges must be included in a table in the fund’s prospectus (a regulated disclosure document that describes the fund). A 12b-1 fee is frequently charged, which is included in annual fund expenses and is used primarily to pay distribution and marketing costs. Under NASD (National Association of Securities Dealers) rules, 12b-1 fees cannot exceed 1% of a fund’s average net assets per year. Furthermore, the NASD imposes a rolling cap on total sales charges: 6.25% of gross new sales for funds that pay an annual service fee and 7.25% plus interest for funds that do not pay an annual service fee. Often an annual 12b-1 fee is combined with a declining charge when shares are redeemed, a type of back-end load. Many U.S. investors now purchase their mutual fund shares through discount brokers. For example, Charles Schwab’s heavily advertised One Source mutual fund service is state-of-the art and allows Schwab clients to invest in a dizzying number of different funds from different managers. vii. How Mutual Funds Work x When investors buy into a fund, they are buying shares in an investment pool that is professionally managed. x The fund invests in a wide array of companies or bonds to diversify its portfolio. x Depending on their charter, mutual funds may invest in stocks, bonds or special debt instruments such as convertible bonds, or all of the above. x Based on the performance of the portfolio of securities, the fund pays out earnings to shareholders in the form of dividends and capital gains. viii. Risks of Mutual Funds x There is no guarantee of earnings, and fund shares often decline in value. Therefore, there is no guarantee of the safety of an investor's principal. x A mutual fund is not insured as, for example, a bank deposit may be insured by the FDIC. However, some fund assets, such as GNMA mortgage securities, may have underlying government guarantees.


x There is great variance in the performance of the thousands of mutual funds that are available. This is due to the varying abilities of fund managers and the varying performance of the stocks and bonds in which they invest. ix. Advantages of Mutual Funds x A mutual fund may invest in dozens or even hundreds of different stocks or bonds at once, thereby offering tremendous diversification (which an individual investor would have difficulty achieving). x A mutual fund typically has full-time professional management.


invest in U.S. Government bonds and in municipal bonds may be exempt from some or all income taxes. xi. Income Taxation on Mutual Fund Shares When They are Sold by the Investor x Capital gains are taxed to the individual as ordinary income. x Capital losses can be used to offset a limited amount of capital gains, and capital losses in excess of that amount may be carried over to later years.

x Dividends and earnings on mutual fund shares are automatically reinvested in the fund until the investor makes a withdrawal.

x Changing from one fund to another within a family of funds is also considered a taxable event. Taxes must be paid by the individual investor on capital gains when this kind of exchange is made.

x Mutual funds provide investors with consistent and well-prepared records.

xii.

Within many mutual fund families, investors may exchange shares in one type of fund for shares in another. x An investor can easily meet a wide variety of objectives by purchasing mutual funds. x Mutual fund shares generally offer great liquidity. x.

Income Tax Consequences

x Shareholders of individual funds pay taxes on distributed and undistributed income from dividends and capital gains. However, until the shareholders redeem their shares, the investment company retains undistributed dividend income. x In the case of undistributed dividends, investors pay ordinary income tax in the year these dividends are credited to their account. x Distributed capital gains are created when a mutual fund sells its investments. These gains are taxed as ordinary income. x Except in the case of tax-exempt funds, mutual fund investors may be subject to ordinary income tax on distributed dividends. Funds that

Mutual Fund Management Companies Since fund management companies can charge high fees from their funds, there is very keen competition for investor dollars among these companies. Highly successful mutual funds may gather billions of dollars in investment money. While there are hundreds of relatively small players in the mutual funds management business, the most successful companies are large, well-known firms. Many of them are subsidiaries of major bank holding companies or insurance companies. Others, such as Fidelity, are giant companies that specialize in mutual funds. B. ETFs (Exchange-Traded Funds) An ETF, or Exchange Traded Fund, is a basket of stocks designed to mirror a particular index, such as the NASDAQ 100, while trading like shares of stock on an exchange. The price of an ETF fluctuates throughout the day, accurately reflecting the value of the underlying stocks in the basket at any time of day. Some ETFs track narrow indexes that represent specific industrial sectors, or even more limited areas such as indexes covering gold or real estate investment trusts. ETFs were designed to compete with index mutual funds (also known simply as index funds), as well as mutual funds that invest in specific industrial sectors. The largest difference is that index funds and mutual funds are priced only once daily. ETFs have low operating costs and may offer income



plans. Unfortunately, there is no strict standard for the titles by which plans are named in employee handbooks. Therefore, employers offering a 401(k) savings plan may call it by various names that imply it is more beneficial than it really is. The most generous major employers offer packages that consist of several different types of plans at once. For example: 1) A discount stock purchase plan that enables the employee to buy limited amounts of corporate stock at a discount-to-market price. The discount is typically 5% to 15%. 2) A 401(k) savings plan in which the employer matches up to 50% of the employee’s deposit. 3) A true profit-sharing plan where the firm deposits from 5% to 15% of the company’s annual pre-tax profit. It is vital that prospective employees completely understand the nature and benefits of an employer's plans. Additional plan terms are defined below.

tax advantages over index funds. Recently, the investment industry has begun offering “activelymanaged” ETFs. Rather than strictly following specific indexes or baskets of stocks, the managers of these ETFs attempt to improve returns by selecting specific investments to be held in the funds. C. Common Types of Retirement Plans x

Individual Retirement Accounts (IRAs). This type of account was one of the original selfdirected retirement vehicles. It enables individuals to deposit money into a retirement plan and then exclude the amount deposited from the current year’s taxable income. Qualified deposits are thus fully deductible for tax purposes. However, the growth in value of the plan’s assets is taxable as it is withdrawn, and there are tax penalties for certain types of early withdrawals.

x

Roth IRAs. Several differences exist between traditional IRAs and the newer Roth IRA, which was created as part of the Taxpayer Relief Act of 1997. The tax structure of the Roth IRA is completely different from the original IRAs. Growth is tax-free, but contributions are not made on a tax-deductible basis. Instead, they are made with after-tax dollars. However, withdrawals will not affect the investor’s taxable adjusted gross income during retirement, since withdrawals are not reportable income.

x

Small Business Plans. These plans are aimed at small businesses (generally those with fewer than 100 employees) and at the self-employed. Employer contributions may be tax-deductible under certain circumstances, and earnings may accumulate on a tax-deferred basis in qualified plans. Possible plan types include Simplified Employee Pension (SEP), Profit Sharing, Money Purchase Pension and SIMPLE IRA (Savings Incentive Match Plan for Employees).

x

Corporate Retirement and Savings or Profit Sharing Plans. Employers may establish complex tax-qualified retirement and profit sharing plans. If these plans meet qualification rules established by the IRS, contributions are tax-deductible and earnings accumulate on a taxsheltered basis. These plans typically take the form of Stock Purchase, Stock Ownership, 401(k) Savings, Profit Sharing and/or Pension

x

Defined Benefit plans are traditional pension plans, which have become less common in recent years. This type of plan pays the retiree a specific monthly amount, based upon a formula calculated against the retiree's level of salary during the end of his or her career.

x

Defined Contribution plans are now dominating the retirement plan field. In this type of plan, the employer contributes a set amount for the employee each year. For example, a 401(k) plan is a defined contribution plan. In a defined contribution plan, the retiree's payout is not a guaranteed amount (as it would be under a defined benefit plan). Instead, the amount that the retiree receives depends on the success of the investments in the retiree's account. In many cases, a large portion of the account may be invested in the employer’s stock because the employer deposits stock instead of cash. In most retirement plans, the employee has considerable leeway to choose the type of funds that his or her money is invested in and to make changes in those choices on a regular basis. The U.S. Department of Labor requires that a 401(k) plan offer several investment options. Vast choices are not uncommon. For example, employees at one major industrial firm may choose from 24 investment funds, from cash reserve accounts to growth funds to income funds.

x

Cash Balance plans are a slight variation on the defined contribution plan. In cash balance, the



contribution at any time. This is exactly what happened in the financial crisis during 2008, when many employers were cutting all possible expenses in order to ride out the recession, and many of America’s largest corporations stopped making matching contributions, at least temporarily.

employer deposits an amount equal to a percentage of the employee's earnings, for example 5%. The employer also guarantees a minimum return on that deposit, typically a return equal to that of a Treasury bond. x

Section 401(k) Savings Plans. This is an employer-sponsored retirement plan that enables employees to defer taxes on a portion of their salaries by earmarking that portion for the retirement plan. In a typical plan, employees may deposit 1% to 6% of earnings. The employer then matches all or a portion of the employee's deposit. A common employer match equals one-half of an employee's deposits of up to 6% of salary. In other words, if an employee deposits 6% of a $40,000 salary ($2,400), the employer would match one-half of that deposit ($1,200). The employee would then have $2,400 plus $1,200 in the savings plan ($3,600). 401(k) type plans may also be established by the selfemployed. Typical 401(k) savings plan for one year for an employee who earns $40,000 in annual salary

Employee deposit for one-year at 6% of salary Company matching deposit at one-half of employee deposit This year's total deposit to the 401(k) plan—will grow tax-deferred

$2,400 $1,200 $3,600

The 401(k) account will grow on a tax-deferred basis until the employee begins drawing money at retirement. It is important to note that the provisions of these plans vary widely from one employer to the next. Some employers make no matching deposit. Some generous firms match 100% of qualified employee deposits. (Most plans also let the employee put additional deposits—above 6% of earnings—into the plan on a tax-deferred basis, but these additional deposits will not qualify for matching funds from the employer.) Not surprisingly, members of Congress have voted themselves what is probably the most generous savings plan in the nation, where the government matches 200% of their qualified deposits. It is important to note that an employer’s contribution to a 401(k) is voluntary. That is, the company may elect to lower or even drop its

x

403(b) Plan. This is an employer-sponsored retirement plan that enables employees of universities, public schools and nonprofit organizations to defer taxes on a portion of their salaries by earmarking that portion for the retirement plan. These plans are similar to 401(k) plans.

x

Vesting. Employees who are participants in retirement plans need to be keenly aware of their vesting rights within the plans. That is, certain periods of continual employment may be required before the employee earns full rights to the amounts that have been deposited by the employer.

x

Stock in the Employer. Employers that are publicly held often want their employees to own stock in the company so they will have a personal stake in the company's success. This means that many pension plans, profit sharing plans and 401(k) matching deposits may contain large amounts of stock in the employer. This is wonderful if you work for a company that is performing well and has a rapidly growing stock value. On the other hand, it can be devastating if your firm is failing, as shown by the 2001 bankruptcy of Enron and the 2002 bankruptcy of Global Crossing. Employees at some suffering firms have found themselves out of a job and owning benefit plans that have plummeted in value due to the low price per share of the employer's stock.

D. Annuities An annuity is a contract between an issuer— frequently an insurance company but sometimes a mutual fund management company—and an individual. The company agrees to provide an income, either fixed or variable in amount, for a specified period. This income is provided by the company in exchange for a stipulated investment by the individual. Hopefully, the investment will grow in value over the contract period of time, and the return to the investor will result in a good investment


overall. The annuity investment amount has an opportunity to grow on an income tax-deferred basis. Under most circumstances, income taxes are not due until income is withdrawn from the annuity. Consequently, annuities make excellent vehicles for retirement savings. For example, an individual who is already putting the maximum allowable amount into a 401(k) savings plan and an IRA may want to set additional tax-deferred retirement funds aside in an annuity. Or, an individual who has come into a large amount of cash, from the sale of a business for example, may want to deposit into an annuity, for future retirement, a substantial amount in one payment. An annuity is an excellent vehicle for such situations. Annuities are also used to fund special circumstances. For example, a person who is injured in an accident may receive an annuity in settlement of damages. In this case, the defendant may put a specified amount, say $1 million, into an annuity with an insurance company. The insurance company might then pay to the injured party a monthly income for life, and that annuity investment would be professionally managed without the need for any personal input or oversight by the beneficiary. i.

How Annuities Work

x The person who will have the future income is called the “annuitant.” x The annuitant deposits a sum of money with the company (the “insurer”), either in one large payment or in a series of smaller payments extended over a certain period of time. For example, the annuitant who wants to save on a regular basis might deposit $100 per month until retirement age. The investor who wants to set aside a large amount of cash for future retirement might pay a lump sum of $100,000 into the account. x At a specified time, the issuing company begins making payments to the annuitant. Generally, this begins upon the retirement of the investor. x These payments to the annuitant will most likely total more than the original amount paid in, as a result of applied interest, capital gains and dividends. Hopefully, the value of the account has grown. If the annuity has been in existence


for a long period of time, it may have built up very substantial value. x Payments may be made to the investor under several different options. For example, a retiree may receive monthly payments for the rest of his or her life. Or, the annuity contract may call for payments to be made for a specified period of time—for example, 25 years. ii. Types of Annuities x Immediate Annuities are purchased with a lump sum of money, a single premium. Payments back to the annuitant begin almost immediately. For example, if the annuitant will receive a monthly check, the first payment begins a month after the annuity is purchased. x Deferred Annuities are those for which payments to the annuitant are deferred for several years. This period of time gives the investment in the annuity an opportunity to grow. This type of annuity may be purchased either with a single lump-sum premium or with a series of smaller investments (such as monthly investments over a period of years). x Fixed Annuities (or “fixed-dollar” annuities) provide a guaranteed amount of money in each payout period. x Variable Annuities are funded by separate accounts that invest in mutual funds or the stock market. The difference between variable and fixed annuities is the way they are invested. Fixed annuities are invested in relatively safe, stable bonds and mortgages, which may have a low return. Variable annuities may be invested in the stock market, which is riskier, but may have a higher return over a long period of time. Because the value of a variable annuity rises and falls with market conditions, the issuing company offers a variable rate, based on performance. If the company provides astute management, and if market conditions are favorable, annuitants have the opportunity to earn considerably more money under a variable annuity. Many variable annuities are structured so that the annuitant directs which funds or types of investments are used.


E. Guaranteed Investment Contracts (GICs) Guaranteed Investment Contracts (GICs) appeal to retirement plan beneficiaries who do not tolerate risk well and are therefore willing to accept a modest but guaranteed return. These are typically sold to corporate 401(k) and pension plans. They guarantee a specific return on invested capital over the life of the contract. F. Health Savings Account (HSA) A health savings account (sometimes called Medical Savings Account) is a plan that combines a tax-free savings and investment account (somewhat similar to a 401k) with a high-deductible health coverage plan. The intent is to give the consumer more incentive to control health care costs by reducing unnecessary care while shopping for the best prices. The consumer contributes pre-tax dollars annually to a savings account (up to $2,900 for an individual or $5,800 for a family, as of 2008). The employer may or may not match part of that contribution. The account may be invested in stocks, bonds or mutual funds. It grows tax-free, but the money may be spent only on health care. Unspent money stays in the account at the end of each year. The consumer must purchase an insurance policy or health care plan with an annual deductible of at least $1,000 for individuals or $2,000 for families. G. Alternative Investment Vehicles Designed for Wealthy Households, Pension Plans and Trusts Several alternative investment vehicles have been designed specifically to offer specialty opportunities to organizations and people who have large amounts of money that they want to diversify. These specialty investments typically face much higher management fees and higher risks than standard stock or bond funds. However, some managers of alternative investments have been able to create significant profits for their clients, and it is this potential that attracts billions of dollars into alternative investments each year. x Hedge Funds are managed by investment professionals, analysts, computer programmers and mathematicians who create unique investment plans that are often driven by proprietary computer programs. They may invest in combinations of commodities, currencies, stocks, bonds or derivatives; buy or sell options; make loans; underwrite insurance risks; and make direct investments in companies and/or take other extreme


positions designed to take advantage of their own forecasts of market conditions. x Venture Capital Funds are managed by professionals who attempt to find the most promising growth company or start up company opportunities. These funds underwrite those companies with the goal of earning extremely high returns on investments when these companies that they have funded go public or are sold. x Private Equity Funds are managed by people who often include experienced executives and seasoned entrepreneurs, along with analysts and financial professionals. These funds generally invest in acquisitions of existing companies, with the goal of improving profitability or marketability of the companies and reselling them at substantial profit.



Chapter 2 INVESTMENT & SECURITIES STATISTICS Tables and Charts: U.S. Investment & Securities Industry Overview Stock Market Performance Indices, U.S.: 1985-Nov. 2009 Stock Market Volume, U.S.: 1985-Oct. 2009 Value Traded on the NYSE & NASDAQ Stock Exchanges: 1985-Oct. 2009 Common Stock Prices & Yields, U.S.: 1980-Nov. 2008 Sales, Profits & Stockholders' Equity, All Manufacturing Corporations, U.S.: 1980-June 2008 Components of U.S. Money Stock Measures: 1970-Dec. 2009 U.S. Mutual Fund Assets by Type of Fund: 1985-Oct. 2009 U.S. Mutual Fund Net Sales: 1985-Oct. 2009 Treasury Securities Outstanding by Kind of Obligation, U.S.: Fiscal 1978-2009 Estimated Ownership of U.S. Treasury Securities: 1999-Sept. 2008 Public Debt Securities Held by Private Investors, U.S.: Fiscal 1970-2008 Average Interest Rates of 3-Month & 10-Year U.S. Treasuries: 1985-Nov. 2009 Time Deposits & Savings Deposits of Individual Retirement Accounts (IRAs), U.S.: Fiscal 2000-Q2 2009 Employment in the Investment & Securities Industry, U.S.: 2003-Nov. 2009

34 35 36 37 38 39 40 41 42 43 44 45 46 47 48



U.S. Investment & Securities Industry Overview Amount

Units

Date

Source

2.4

Tril. US$

2008

ICI

3.0

Tril. US$

Dec-09

ICI

Estimated Total Participants in 401(k) Plans

49.8

Million

2008

EBRI/ICI

Percent of 401(k) Plans Invested in Mutual Funds

46.5

%

2008

ICI

Estimated Total Assets of 401(k) Plans, 2008 Estimated Total Assets of 401(k) Plans, 2009

Note: EBRI estimates that 401(k) plans lost up to 25% of their value in 2008, depending on job tenure. Interest Rate on 3-Month Treasuries

0.07

%

12/23/2009

FR

Interest Rate on 10-Year Treasuries

3.77

%

12/23/2009

FR

Total Corporate Underwritings, U.S.

1,168.5

Bil. US$

2008

T

1,092.0

Bil. US$

Oct-09

T

391.2

Bil. US$

2008

T

Total Municipal Bond Underwriting, U.S. (YTD 2009)

334.6

Bil. US$

Oct-09

T

Total Revenue Bonds

276.7

Bil. US$

2008

T

Total General Obligations

110.0

Bil. US$

2008

T

Total Mutual Fund Assets, U.S.

10,688.3

Bil. US$

Oct-09

ICI

Equity

4,596.2

Bil. US$

Oct-09

ICI

Hybrid

604.5

Bil. US$

Oct-09

ICI

Bond

2,126.4

Bil. US$

Oct-09

ICI

Money Market

3,361.2

Bil. US$

Oct-09

ICI

ETF Assets Under Management, U.S.

739.0

Bil. US$

Nov-09

SSGA

ETFs in Operation, U.S.

802.0

Bil. US$

Nov-09

SSGA

NYSE

1,967.7

Mil. Shares

Oct-09

NYSE

AMEX

365.1

Mil. Shares

Oct-09

AMEX

2,338.5

Mil. Shares

Oct-09

NASDAQ

NYSE

49.3

Bil. US$

Oct-09

NYSE

NASDAQ

50.4

Bil. US$

Oct-09

NASDAQ

795.2

Thousand

Nov-09

BLS

Total Corporate Underwritings, U.S. (YTD 2009) Total Municipal Bond Underwriting, U.S.

Average Daily Stock Market Volume

NASDAQ Average Daily Value Traded on the Stock Market

Employment In Companies Involved In Securities, Commodity Contracts & Investments, U.S. EBRI = Employee Benefits Research Institute

ICI = Investment Company Institute

FR = Board of Governors of the U.S. Federal Reserve

BLS = U.S. Bureau of Labor Statistics

T = Thomson Financial

SSGA = State Street Global Advisors

ETF = Exchange Traded Funds Source: Plunkett Research, Ltd. Copyright © 2009, All Rights Reserved www.plunkettresearch.com



Stock Market Performance Indices, U.S.: 1985-Nov. 2009 (End of Period) Year

Dow Jones Industrial Average

S&P 500

NYSE Composite

NASDAQ Composite

1985

1,546.67

211.28

1,285.66

324.93

1986

1,895.95

242.17

1,465.31

348.83

1987

1,938.83

247.08

1,461.61

330.47

1988

2,168.57

277.72

1,652.25

381.38

1989

2,753.20

353.40

2,062.30

454.82

1990

2,633.66

330.22

1,908.45

373.84

1991

3,168.83

417.09

2,426.04

586.34

1992

3,301.11

435.71

2,539.92

676.95

1993

3,754.09

466.45

2,739.44

776.80

1994

3,834.44

459.27

2,653.37

751.96

1995

5,117.12

615.93

3,484.15

1,052.13

1996

6,448.27

740.74

4,148.07

1,291.03

1997

7,908.25

970.43

5,405.19

1,570.35

1998

9,181.43

1,229.23

6,299.93

2,192.69

1999

11,497.12

1,469.25

6,876.10

4,069.31

2000

10,786.85

1,320.28

6,945.57

2,470.52

2001

10,021.50

1,148.08

6,236.39

1,950.40

2002

8,341.63

879.82

5,000.00

1,335.51

2003

10,453.92

1,111.92

6,440.30

2,003.37

2004

10,783.01

1,211.92

7,250.06

2,175.44

2005

10,717.50

1,248.29

7,753.95

2,205.32

2006

12,463.15

1,418.30

9,139.02

2,415.29

2007

13,264.82

1,468.36

9,740.32

2,652.28

2008

8,776.39

903.25

5,757.05

1,577.03

2009*

10,344.84

1,095.63

7,092.36

2,144.60

* Figures through November 2009. Sources: Securities Industry and Financial Markets Association (SIFMA); Dow Jones & Co., Inc.; Standard & Poor's (S&P); NYSE; NASDAQ Plunkett Research, Ltd. www.plunkettresearch.com



Stock Market Volume, U.S.: 1985-Oct. 2009 (Daily Average; In Millions of Shares) Year

NYSE

AMEX

NASDAQ

1985

109.2

8.3

82.1

1986

141.0

11.8

113.6

1987

188.9

13.9

149.8

1988

161.5

9.9

122.8

1989

165.5

12.4

133.1

1990

156.8

13.2

131.9

1991

178.9

13.3

163.3

1992

202.3

14.2

190.8

1993

264.5

18.1

263.0

1994

291.4

17.9

295.1

1995

346.1

20.1

401.4

1996

412.0

22.1

543.7

1997

526.9

24.4

647.8

1998

673.6

28.9

801.7

1999

808.9

32.7

1,081.8

2000

1,041.6

52.9

1,757.0

2001

1,240.0

65.8

1,900.1

2002

1,441.0

63.7

1,752.8

2003

1,398.4

67.1

1,685.5

2004

1,456.7

66.0

1,801.3

2005

1,602.2

63.5

1,778.5

2006

1,826.7

70.8

2,001.9

2007

2,110.9

206.2

2,132.0

2008

2,609.4

459.3

2,259.3

2009*

1,967.7

365.1

2,338.5

* Figures through October 2009. Sources: Securities Industry and Financial Markets Association (SIFMA); NYSE; AMEX; NASDAQ Plunkett Research, Ltd. www.plunkettresearch.com



Value Traded on the NYSE & NASDAQ Stock Exchanges: 1985-Oct. 2009 (Daily Average; In Billions of US$) Year

NYSE

NASDAQ

1985

3.9

0.9

1986

5.4

1.5

1987

7.4

2.0

1988

5.4

1.4

1989

6.1

1.7

1990

5.2

1.8

1991

6.0

2.7

1992

6.9

3.5

1993

9.0

5.3

1994

9.7

5.8

1995

12.2

9.5

1996

16.0

13.0

1997

22.8

17.7

1998

29.0

22.9

1999

35.5

43.7

2000

43.9

80.9

2001

42.3

44.1

2002

40.9

28.8

2003

38.5

28.0

2004

46.1

34.6

2005

56.1

39.5

2006

68.3

46.5

2007

86.8

60.0

2008

82.4

59.7

2009*

49.3

50.4

* Figures through October 2009. Sources: Securities Industry and Financial Markets Association (SIFMA); NYSE; NASDAQ Plunkett Research, Ltd. www.plunkettresearch.com



Common Stock Prices & Yields, U.S.: 1980-Nov. 2008 (Latest Year Available) Stock Yields 2 (S&P) (%)

Common Stock Prices1 Year

New York Stock Exchange 3,4 Composite Index

Dow Jones 4 Industrial Average

1980

720.15

891.41

Standard & Poor's Composite Index 4 (1941-43 = 10) 118.78

1981

782.62

932.92

128.05

1982

728.84

884.36

119.71

188.97

5.81

1983

979.52

1,190.34

160.41

285.43

4.40

1984

977.33

1,178.48

160.46

248.88

4.64

1985

1,142.97

1,328.23

186.84

290.19

4.25

1986

1,438.02

1,792.76

236.34

366.96

3.49

1987

1,709.79

2,275.99

286.83

402.57

3.08

1988

1,585.14

2,060.82

265.79

374.43

3.64

1989

1,903.36

2,508.91

322.84

437.81

3.45

1990

1,939.47

2,678.94

334.59

409.17

3.61

1991

2,181.72

2,929.33

376.18

491.69

3.24

1992

2,421.51

3,284.29

415.74

599.26

2.99

1993

2,638.96

3,522.06

451.41

715.16

2.78

1994

2,687.02

3,793.77

460.42

751.65

2.82

1995

3,078.56

4,493.76

541.72

925.19

2.56

1996

3,787.20

5,742.89

670.50

1,164.96

2.19

1997

4,827.35

7,441.15

873.43

1,469.49

1.77

1998

5,818.26

8,625.52

1,085.50

1,794.91

1.49

1999

6,546.81

10,464.88

1,327.33

2,728.15

1.25

2000

6,805.89

10,734.90

1,427.22

3,783.67

1.15

2001

6,397.85

10,189.13

1,194.18

2,035.00

1.32

2002

5,578.89

9,226.43

993.94

1,539.73

1.61

2003

5,447.46

8,993.59

965.23

1,647.17

1.77

2004

6,612.62

10,317.39

1,130.65

1,986.53

1.72

2005

7,349.00

10,547.67

1,207.23

2,099.32

1.83

2006

8,357.99

11,408.67

1,310.46

2,263.41

1.87

2007

9,648.82

13,169.98

1,477.19

2,578.47

1.86

6

8,265.17

11,494.17

1,251.22

2,216.51

2.31

2008 1

Averages of daily closing prices.

2

Based on 500 stocks in the S&P composite index.

NASDAQ Composite Index (Feb. 5, 1971 = 4 100)

Dividend5 Price Ratio

168.61

5.26

203.18

5.20

3

Data for NYSE composite index reflect the new composite index, released on January 9, 2003 by the NYSE, incorporating new methodology, definitions and base value. 4

Includes stocks as follows: for NYSE, all stocks listed (nearly 3,000); for Dow Jones industrial average, 30 stocks; for S&P composite index, 500 stocks; and for NASDAQ composite index, over 5,000. 5

Aggregate cash dividends (based on latest known annual rate) divided by aggregate market value based on Wednesday closing prices. Monthly data are averages of weekly figures; annual data are averages of monthly figures. 6

Averages as of November 2008.

Sources: NYSE; Dow Jones & Co., Inc.; Standard & Poor's (S&P); NASDAQ Plunkett Research, Ltd. www.plunkettresearch.com



Sales, Profits & Stockholders' Equity, All Manufacturing Corporations, U.S.: 1980-June 2008 (In Billions of US$; Latest Year Available) Year or Qtr

All Manufacturing Corporations

Durable Goods Industries

Profits Before After Income Income 1 Taxes Taxes 145.8 92.6


Sales (net)

Stockholders' 2 Equity

Sales (net)

668.1

889.1

Nondurable Goods Industries


Sales (net)

317.7

1,023.7



1980

1,912.8

1981

2,144.7

158.6

101.3

743.4

979.5

67.2

41.6

350.4

1,165.2

91.3

59.6

393.0

1982

2,039.4

108.2

70.9

770.2

913.1

34.7

21.7

355.5

1,126.4

73.6

49.3

414.7

1983

2,114.3

133.1

85.8

812.8

973.5

48.7

30.0

372.4

1,140.8

84.4

55.8

440.4

1984

2,335.0

165.6

107.6

864.2

1,107.6

75.5

48.9

395.6

1,227.5

90.0

58.8

468.5

1985

2,331.4

137.0

87.6

866.2

1,142.6

61.5

38.6

420.9

1,188.8

75.6

49.1

445.3

1986

2,220.9

129.3

83.1

874.7

1,125.5

52.1

32.6

436.3

1,095.4

77.2

50.5

438.4

1987

2,378.2

173.0

115.6

900.9

1,178.0

78.0

53.0

444.3

1,200.3

95.1

62.6

456.6

3

2,596.2

215.3

153.8

957.6

1,284.7

91.6

66.9

468.7

1,311.5

123.7

86.8

488.9

1989

2,745.1

187.6

135.1

999.0

1,356.6

75.1

55.5

501.3

1,388.5

112.6

79.6

497.7

1990

2,810.7

158.1

110.1

1,043.8

1,357.2

57.3

40.7

515.0

1,453.5

100.8

69.4

528.9

1991

2,761.1

98.7

66.4

1,064.1

1,304.0

13.9

7.2

506.8

1,457.1

84.8

59.3

557.4

4

2,890.2

31.4

22.1

1,034.7

1,389.8

-33.7

-24.0

473.9

1,500.4

65.1

46.0

560.8

1993

3,015.1

117.9

83.2

1,039.7

1,490.2

38.9

27.4

482.7

1,524.9

79.0

55.7

557.1

1994

3,255.8

243.5

174.9

1,110.1

1,657.6

121.0

87.1

533.3

1,598.2

122.5

87.8

576.8

1995

3,528.3

274.5

198.2

1,240.6

1,807.7

130.6

94.3

613.7

1,720.6

143.9

103.9

627.0

1996

3,757.6

306.6

224.9

1,348.0

1,941.6

146.6

106.1

673.9

1,816.0

160.0

118.8

674.2

1997

3,920.0

331.4

244.5

1,462.7

2,075.8

167.0

121.4

743.4

1,844.2

164.4

123.1

719.3

1998

3,949.4

314.7

234.4

1,482.9

2,168.8

175.1

127.8

779.9

1,780.7

139.6

106.5

703.0

1999

4,148.9

355.3

257.8

1,569.3

2,314.2

198.8

140.3

869.6

1,834.6

156.5

117.5

699.7

2000

4,548.2

381.1

275.3

1,823.1

2,457.4

190.7

131.8

1,054.3

2,090.8

190.5

143.5

768.7

2001

4,295.0

83.2

36.2

1,843.0

2,321.2

-69.0

-76.1

1,080.5

1,973.8

152.2

112.3

762.5

2002

4,216.4

195.5

134.7

1,804.0

2,260.6

45.9

21.6

1,024.8

1,955.8

149.6

113.1

779.2

2003

4,397.2

305.7

237.0

1,952.2

2,282.7

117.6

88.2

1,040.8

2,114.5

188.1

148.9

911.5

2004

4,934.1

447.5

348.2

2,206.3

2,537.3

200.0

156.5

1,212.9

2,396.7

247.5

191.6

993.5

2005

5,411.5

524.2

401.3

2,410.4

2,730.5

211.3

161.2

1,304.0

2,681.0

312.9

240.2

1,106.5

2006

5,788.7

608.9

474.0

2,687.1

2,920.3

253.2

196.3

1,390.1

2,868.4

355.7

277.7

1,297.0

2007

6,055.2

598.0

439.5

2,912.0

3,009.1

245.3

158.3

1,492.9

3,046.1

352.7

281.3

1,419.1

2008Q1

1,562.3

148.6

116.8

3,062.6

736.8

58.2

44.7

1,551.0

825.5

90.4

72.1

1,511.5

2008Q2

1,716.7

143.3

110.8

3,079.3

781.4

49.4

33.0

1,554.8

935.3

93.9

77.8

1,524.5

1988

1992

350.4

Note: Data are not necessarily comparable from one period to another due to changes in accounting principles, industry classifications, sampling procedures, etc. For explanatory notes concerning compilation of the series, see "Quarterly Financial Report for Manufacturing, Mining, and Trade Corporations," Department of Commerce, Bureau of the Census. 1

Income taxes refer to Federal, State and Local income taxes. Annual data are average equity for the year (using four end-of-quarter figures). 3 Beginning 1988, profits before and after income taxes reflect inclusion of minority stockholders' interest in net income before and after income taxes. 4 Data for 1992 reflect the early adoption of Financial Accounting Standards Board Statement 106 (Employer's Accounting for PostRetirement Benefits Other Than Pensions) by a large number of companies during the fourth quarter of 1992. Data for 1993 also reflect adoption of Statement 106. Corporations must show the cumulative effect of a change in accounting principle in the first quarter of the year in which the change is adopted. 2

Source: U.S. Department of Commerce, Bureau of the Census Plunkett Research, Ltd. www.plunkettresearch.com



Components of U.S. Money Stock Measures: 1970-Dec. 2009 (Averages of Daily Figures In Billions of US$; Seasonally Adjusted) 1

Year 1970 1971 1972 1973 1974 1975 1976 1977 1978 1979 1980 1981 1982 1983 1984 1985 1986 1987 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 4 2009

Total 261.0 292.2 321.4 326.8 338.6 388.9 453.2 492.2 481.9 423.8 400.3 343.9 400.1 684.9 704.7 815.3 940.9 937.4 926.4 893.7 922.9 1,044.5 1,187.2 1,219.3 1,151.3 1,135.9 1,274.8 1,401.8 1,605.0 1,740.3 1,878.7 2,310.6 2,774.2 3,162.3 3,506.4 3,599.2 3,685.4 3,858.9

Savings deposits At At thrift commercial institutions banks 98.6 162.3 112.8 179.4 124.8 196.6 128.0 198.7 136.8 201.8 161.2 227.6 201.8 251.4 218.8 273.4 216.5 265.4 195.0 228.8 185.7 214.5 159.0 184.9 190.1 210.0 363.2 321.7 389.3 315.4 456.6 358.6 533.5 407.4 534.8 402.6 542.4 383.9 541.1 352.6 581.3 341.6 664.8 379.6 754.2 433.1 785.3 434.0 752.8 398.5 774.8 361.0 906.0 368.8 1,022.9 378.8 1,188.5 416.5 1,289.0 451.2 1,424.6 454.1 1,739.5 571.1 2,060.4 713.8 2,337.7 824.7 2,631.0 875.3 2,771.5 827.7 2,904.0 781.4 3,033.7 825.3

2

Small-denomination time deposits At At thrift Total commercial institutions banks 151.2 79.3 71.9 189.7 94.7 95.1 231.6 108.2 123.5 265.8 116.8 149.0 287.9 123.1 164.8 337.9 142.3 195.5 390.7 155.5 235.2 445.5 167.5 278.0 521.0 185.1 335.8 634.3 235.5 398.7 728.5 286.2 442.3 823.1 347.7 475.4 850.9 379.9 471.0 784.1 350.9 433.1 888.8 387.9 500.9 885.7 386.4 499.3 858.4 369.4 489.0 921.0 391.7 529.3 1,037.1 451.2 585.9 1,151.3 533.8 617.6 1,173.4 610.7 562.7 1,065.6 602.2 463.3 868.1 508.1 360.0 782.0 467.9 314.1 818.1 503.6 314.5 933.1 575.8 357.3 948.8 594.2 354.6 968.6 625.5 343.2 952.4 626.4 326.1 956.8 636.9 319.9 1,047.6 700.2 347.5 976.5 635.4 341.1 896.0 590.8 305.2 818.7 541.3 277.4 830.0 551.2 278.8 996.2 644.9 351.3 1,171.4 759.2 412.2 1,218.9 823.0 395.9

Retail money funds

Institutional money 3 funds

0.0 0.0 0.0 0.1 1.4 2.4 1.8 1.8 5.8 33.9 62.5 151.7 184.3 136.0 164.8 174.7 208.2 222.6 244.1 320.8 356.7 371.0 351.1 351.1 378.0 445.7 515.6 591.1 725.5 814.4 899.3 952.3 876.1 768.5 688.0 689.9 789.0 959.9

0.0 0.0 0.0 0.0 0.2 0.5 0.6 1.0 3.5 10.4 16.0 38.2 48.8 40.9 62.4 65.5 86.4 93.9 93.9 111.9 140.6 189.9 214.3 218.6 213.4 266.6 327.2 401.8 552.9 659.3 816.8 1,224.6 1,275.5 1,142.1 1,093.4 1,161.2 1,362.0 1,901.2

4,032.0 3,247.6 784.5 1,314.1 975.0 339.1 1,059.7 2,150.0 4,823.4 3,989.0 834.4 1,082.9 797.3 285.6 810.5 2,223.5 1 Savings deposits including money market deposits accounts (MMDAs); data prior to 1982 are savings deposits only. 2 Small-denomination deposits are those issued in amounts of less than $100,000. 3 Institutional money funds are not part of non-M1 M2. 4 As of December 7, 2009 (based on preliminary data). Source: Board of Governors of the Federal Reserve Plunkett Research, Ltd. www.plunkettresearch.com



U.S. Mutual Fund Assets by Type of Fund: 1985-Oct. 2009 (In Billions of US$)

122.6

Money Market 243.8

Total Assets 495.4

18.8

243.3

292.2

715.7

24.2

248.4

316.1

769.2

194.7

21.1

255.7

338.0

809.4

1989

248.8

31.8

271.9

428.1

980.7

1990

239.5

36.1

291.3

498.3

1,065.2

1991

404.7

52.2

393.8

542.5

1,393.2

1992

514.1

78.0

504.2

546.2

1,642.5

1993

740.7

144.5

619.5

565.3

2,070.0

1994

852.8

164.5

527.1

611.0

2,155.4

1995

1,249.1

210.5

598.9

753.0

2,811.5

1996

1,726.1

252.9

645.4

901.8

3,526.3

1997

2,368.0

317.1

724.2

1,058.9

4,468.2

1998

2,978.2

364.7

830.6

1,351.7

5,525.2

1999

4,041.9

383.2

808.1

1,613.1

6,846.3

2000

3,962.0

346.3

811.1

1,845.2

6,964.3

2001

3,418.2

346.3

925.1

2,285.3

6,975.0

2002

2,667.0

327.4

1,124.9

2,272.0

6,391.3

2003

3,684.8

436.7

1,240.9

2,051.7

7,414.1

2004

4,384.0

519.3

1,290.4

1,913.2

8,106.9

2005

4,940.0

567.3

1,357.4

2,040.5

8,905.2

2006

5,911.4

653.1

1,494.3

2,354.8

10,413.6

2007

6,521.4

713.4

1,678.9

3,085.8

11,999.5

2008

3,708.1

494.2

1,567.2

3,832.3

9,601.8

2009*

4,596.2

604.5

2,126.4

3,361.2

10,688.3

Year

Equity

Hybrid

Bond

1985

116.9

12.0

1986

161.4

1987

180.5

1988

* Figures through October 2009. Source: Investment Company Institute, Washington, DC, 2009 Plunkett Research, Ltd. www.plunkettresearch.com



U.S. Mutual Fund Net Sales*: 1985-Oct. 2009 (In Billions of US$) Year

Equity

Hybrid

Bond

Money Market

1985

8.5

1.9

63.2

-5.4

68.2

Total LongTerm Funds 73.6

1986

21.7

5.6

102.6

33.9

163.8

129.9

1987

19.0

4.0

6.8

10.2

40.0

29.8

1988

-16.1

-2.5

-4.5

0.1

-23.0

-23.1

1989

5.8

4.2

-1.2

64.1

72.8

8.8

1990

12.8

2.2

6.2

23.2

44.4

21.2

1991

39.4

8.0

58.9

5.5

111.8

106.3

Total

1992

78.9

21.8

71.0

-16.3

155.4

171.7

1993

129.4

39.4

73.3

-14.1

228.0

242.1

1994

118.9

20.9

-64.6

8.8

84.1

75.2

1995

127.6

5.3

-10.5

89.4

211.8

122.4

1996

216.9

12.3

2.8

89.4

321.3

232.0

1997

227.1

16.5

28.4

102.1

374.1

272.0

1998

157.0

10.2

74.6

235.3

477.1

241.8

1999

187.7

-12.4

-5.5

193.6

363.4

169.8

2000

309.4

-30.7

-49.8

159.6

388.6

228.9

2001

31.9

9.5

87.7

375.6

504.8

129.2

2002

-27.7

8.6

140.3

-46.7

74.5

121.2

2003

152.3

32.6

31.0

-258.5

-42.6

215.8

2004

177.9

42.7

-10.8

-156.6

53.2

209.8

2005

135.5

25.2

31.3

63.1

255.2

192.0

2006

160.1

7.1

60.6

247.5

475.2

227.8

2007

95.6

22.2

108.6

661.5

887.9

226.4

2008

-237.7

-21.7

33.0

631.7

405.2

-226.4

2009**

-4.9

16.6

312.8

-490.0

-165.5

324.6

* New sales (excluding reinvested dividends) minus redemptions, combined with net exchanges. ** Figures through October 2009. Source: Investment Company Institute, Washington, DC, 2009 Plunkett Research, Ltd. www.plunkettresearch.com



Treasury Securities Outstanding by Kind of Obligation, U.S.: Fiscal 1978-2009 (In Billions of US$) End of Year

Total Treasury Out1 standing

1978 1979 1980 1981 1982 1983 1984 1985 1986 1987 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 1 2001 2002 2003 2004 2005 2006 2007 2008 6 2009

767.0 819.0 906.4 996.5 1,140.9 1,375.8 1,559.6 1,821.0 2,122.7 2,347.8 2,599.9 2,836.3 3,210.9 3,662.8 4,061.8 4,408.6 4,689.5 4,950.6 5,220.8 5,407.5 5,518.7 5,647.2 5,622.1 5,807.5 6,228.2 6,783.2 7,379.1 7,932.7 8,507.0 9,007.7 10,024.7 12,113.0

Marketable Total

2

485.2 506.7 594.5 683.2 824.4 1,024.0 1,176.6 1,360.2 1,564.3 1,676.0 1,802.9 1,892.8 2,092.8 2,390.7 2,677.5 2,904.9 3,091.6 3,260.4 3,418.4 3,439.6 3,331.0 3,233.0 2,992.8 2,930.7 3,136.7 3,460.7 3,846.1 4,084.9 4,303.0 4448.1 5,236.0 7,174.6

Non-marketable

Treasury Bills

Treasury Notes

Treasury Bonds

Total

U.S. Savings 3 Securities

Foreign 4 Series

Gov't Account Series

Other

160.9 161.4 199.8 223.4 277.9 340.7 356.8 384.2 410.7 378.3 398.5 406.6 482.5 564.6 634.3 658.4 697.3 742.5 761.2 701.9 637.6 653.2 616.2 734.9 868.3 918.2 961.5 914.3 911.5 958.1 1,489.8 1,850.5

267.9 274.2 310.9 363.6 442.9 557.5 661.7 776.4 896.9 1,005.1 1,089.6 1,133.2 1,218.1 1,387.7 1,566.3 1,734.2 1,867.5 1,980.3 2,098.7 2,122.2 2,009.1 1,828.8 1,611.3 1,433.0 1,521.6 1,799.5 2,109.6 2,328.8 2,447.2 2,458.0 2,624.8 4,039.8

56.4 71.1 83.8 96.2 103.6 125.7 158.1 199.5 241.7 277.6 299.9 338.0 377.2 423.4 461.8 497.4 511.8 522.6 543.5 576.2 610.4 643.7 635.3 613.0 593.0 576.9 552.0 520.7 534.7 561.1 582.9 704.9

281.8 312.3 311.9 313.3 316.5 351.8 383.0 460.8 558.4 671.8 797.0 943.5 1,118.2 1,272.1 1,384.3 1,503.7 1,597.9 1,690.2 1,802.4 1,967.9 2,187.7 2,414.2 2,629.3 2,876.7 3,091.5 3,322.5 3,533.0 3,847.8 4,203.9 4,559.5 4,788.7 493,805.0

79.8 80.4 72.7 68.0 67.3 70.0 72.8 77.0 85.6 97.0 106.2 114.0 122.2 133.5 148.3 167.0 176.4 181.2 184.1 182.7 180.8 180.0 177.7 186.5 193.3 201.6 204.2 203.6 203.7 197.1 194.3 191.8

21.7 28.1 25.2 20.5 14.6 11.5 8.8 6.6 4.1 4.4 6.3 6.8 36.0 41.6 37.0 42.5 42.0 41.0 37.5 34.9 35.1 31.0 25.4 18.3 12.5 11.0 5.9 3.1 3.0 3.0 3.0 4.4

153.3 176.4 189.8 201.1 210.5 234.7 259.5 313.9 365.9 440.7 536.5 663.7 779.4 908.4 1,011.0 1,114.3 1,211.7 1,324.3 1,454.7 1,608.5 1,777.3 2,005.2 2,242.9 2,492.1 2,707.3 2,912.2 3,130.0 3,380.6 3,722.7 4,026.8 4,297.7 4,497.4

27.1 27.4 24.2 23.7 24.1 35.6 41.8 63.3 102.8 129.8 148.0 159.0 180.6 188.5 188.0 179.9 167.8 143.8 126.1 141.9 194.4 198.1 183.3 179.9 178.4 197.7 192.9 260.5 274.5 332.6 293.8 244.9

Note: Through fiscal year 1976, the fiscal year was on a July 1-June 30 basis; beginning October 1976 (fiscal year 1977), the fiscal year is on an October 1-September 30 basis. 1 Data beginning January 2001 are interest-bearing and non-interest-bearing securities; prior data are interest-bearing securities only. 2 Includes Federal Financing Bank securities, not shown separately. 3 Through 1996, series is U.S. savings bonds. Beginning 1997, includes U.S. retirement plan bonds, U.S. individual retirement bonds, and U.S. savings notes previously included in "other" nonmarketable securities. 4 Nonmarketable certificates of indebtedness, notes, bonds, and bills in the Treasury foreign series of dollar-denominated and foreign currency denominated issues. 5 Includes depository bonds, retirement plan bonds, Rural Electrification Administration bonds, State and local bonds, special issues held only by U.S. Government agencies and trust funds and the Federal home loan banks and for the period July 2003 through February 2004, depositary compensation securities. 6 As of November 30, 2009. Source: U.S. Department of the Treasury Plunkett Research, Ltd. www.plunkettresearch.com

5



Estimated Ownership of U.S. Treasury Securities: 1999-Sept. 2008 (End of Year Numbers; In Billions of US$; Latest Year Available) Owners of Treasury Securities

1999

2000

2001

2002

2003

2004

2005

2006

2007

2008*

1

5,776.1

5,662.2

5,943.4

6,405.7

6,998.0

7,596.1

8,170.4

8,680.2

9,229.2

10,024.7

2,542.2

2,781.8

3,123.9

3,387.2

3,620.1

3,929.0

4,199.8

4,558.1

4,833.5

4,680.8

3,233.9

2,880.4

2,819.5

3,018.5

3,377.9

3,667.1

3,970.6

4,122.1

4,395.7

5,343.9

248.6

201.5

181.5

222.9

154.2

127.5

117.2

115.1

129.9

NA

186.4

184.8

190.3

194.9

203.8

204.4

205.1

202.4

196.5

194.3

153.0

145.0

144.6

150.8

169.2

170.5

181.2

193.2

211.6

NA

State & local gov't pension funds

198.8

179.1

155.1

158.9

147.9

130.4

129.4

153.0

164.5

NA

Insurance companies

123.4

110.2

105.7

139.7

136.5

149.7

160.4

159.0

123.3

NA

6

228.7

225.7

261.9

281.0

281.6

254.9

252.2

250.7

362.7

NA

State & local governments

304.5

310.0

328.4

354.7

364.2

387.4

456.2

497.7

531.5

NA

1,268.7

1,034.2

1,051.2

1,246.8

1,533.0

1,853.4

2,035.5

2,105.0

2,355.1

2,862.0

521.7

490.0

400.8

268.9

387.5

388.9

433.3

445.9

320.7

NA

Total public debt

Federal Reserve & gov't accounts

2

Total held by private investors Depository institutions U.S. savings bonds

4

Private pension funds

Mutual funds

3

5

Foreign & international Other investors

7

8

* As of September 2008. 1

Face value.

2

Federal Reserve holdings exclude Treasury securities held under repurchase agreements.

3

Includes commercial banks, savings institutions, and credit unions.

4

Current accrual value.

5

Includes Treasury securities held by the Federal Employees Retirement System Thrift Savings Plan "G Fund."

6

Includes money market mutual funds, mutual funds, and closed-end investment companies.

7

Includes nonmarketable foreign series Treasury securities and Treasury deposit funds. Excludes Treasury securities held under repurchase agreements in custody accounts at the Federal Reserve Bank of New York.

8

Includes individuals, Government-sponsored enterprises, brokers and dealers, bank personal trusts and estates, corporate and noncorporate businesses, and other investors. Source: U.S. Department of the Treasury Plunkett Research, Ltd. www.plunkettresearch.com



Public Debt Securities Held by Private Investors, U.S.: Fiscal 1970-2008 (In Millions of US$; Latest Year Available) End of Yr. 1970 1971 1972 1973 1974 1975 1976 1977 1978 1979 1980 1981 1982 1983 1984 1985 1986 1987 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008

Amount Outstanding, Privately Held 157,910 161,863 165,978 167,869 164,862 210,382 279,782 326,674 356,501 380,530 463,717 549,863 682,043 862,631 1,017,488 1,185,675 1,354,275 1,445,366 1,555,208 1,654,660 1,841,903 2,113,799 2,363,802 2,562,336 2,719,861 2,870,781 3,011,185 2,998,846 2,856,637 2,728,011 2,469,152 2,328,302 2,492,821 2,804,092 3,145,244 3,334,411 3,496,359 3,634,666 4,745,256

Maturity Class

Average Length

1

Within 1 Yr.

1 to 5 Yrs.

5 to 10 Yrs.

10 to 20 Yrs.

20 Yrs. and Over

Yrs.

Months

76,443 74,803 79,509 84,041 87,150 115,677 150,296 161,329 163,819 181,883 220,084 256,187 314,436 379,579 437,941 472,661 506,903 483,582 524,201 546,751 626,297 713,778 808,705 858,135 877,932 1,002,875 1,058,558 1,017,913 940,572 915,145 858,903 900,178 939,986 1,057,049 1,127,850 1,100,783 1,140,553 1,176,510

57,035 58,557 57,157 54,139 50,103 65,852 90,578 113,319 132,993 127,574 156,244 182,237 221,783 294,955 332,808 402,766 467,348 526,746 552,993 578,333 630,144 761,243 866,329 978,714 1,128,322 1,157,492 1,212,258 1,206,993 1,105,175 962,644 791,540 650,522 802,032 955,239 1,150,979 1,279,646 1,295,589 1,309,871

8,286 14,503 16,033 16,385 14,197 15,385 24,169 33,067 33,500 32,279 38,809 48,743 75,749 99,174 130,417 159,383 189,995 209,160 232,453 247,428 267,573 280,574 295,921 306,663 289,998 290,111 306,643 321,622 319,331 378,163 355,382 329,247 311,176 351,552 414,728 499,386 589,748 677,905

7,876 6,357 6,358 8,741 9,930 8,857 8,087 8,428 11,383 18,489 25,901 32,569 33,017 40,826 49,664 62,853 70,664 72,862 74,186 80,616 82,713 84,900 84,706 94,345 88,208 87,297 111,360 154,205 157,347 149,703 167,082 174,653 203,816 243,755 243,036 281,229 290,733 291,963

8,272 7,645 6,922 4,564 3,481 4,611 6,652 10,531 14,805 20,304 22,679 30,127 37,058 48,097 66,658 88,012 119,365 153,016 171,375 201,532 235,176 273,304 308,141 324,479 335,401 333,006 322,366 298,113 334,212 322,356 296,246 273,702 235,811 196,497 208,652 173,367 179,736 178,417

3 3 3 3 2 2 2 2 3 3 3 4 3 4 4 4 5 5 5 6 6 6 5 5 5 5 5 5 5 6 6 6 5 5 4 4 4 4

8 6 3 1 11 8 7 11 3 7 9 0 11 1 6 11 3 9 9 0 1 0 11 10 8 4 3 5 10 0 2 1 6 1 11 10 11 10

2,042,003

1,468,455

719,347

352,430

163,022

4

1

Note: Through fiscal year 1976, the fiscal year was on a July 1-June 30 basis; beginning October 1976 (fiscal year 1977), the fiscal year is on an October 1-September 30 basis. 1

In 2002, the average length calculation was revised to include Treasury inflation-protected securities.

Source: U.S. Department of the Treasury Plunkett Research, Ltd. www.plunkettresearch.com



Average Interest Rates of 3-Month & 10-Year U.S. Treasuries: 1985-Nov. 2009 Year

3-Mo. T Bills

10-Yr. Treasuries

Spread

1985

7.47

10.62

3.15

1986

5.97

7.68

1.71

1987

5.78

8.39

2.61

1988

6.67

8.85

2.18

1989

8.11

8.49

0.38

1990

7.50

8.55

1.05

1991

5.38

7.86

2.48

1992

3.43

7.01

3.58

1993

3.00

5.87

2.87

1994

4.25

7.09

2.84

1995

5.49

6.57

1.08

1996

5.01

6.44

1.43

1997

5.06

6.35

1.29

1998

4.78

5.26

0.48

1999

4.64

5.65

1.01

2000

5.82

6.03

0.21

2001

3.39

5.02

1.63

2002

1.60

4.61

3.01

2003

1.01

4.02

3.00

2004

4.27

2.90

2005

1.37 3.15

4.29

1.14

2006

4.73

4.79

0.06

2007

4.35

4.63

0.28

2008

1.37

3.67

2.30

2009*

0.16

3.23

3.07

* Figures through November 2009. On 12/23/2009, the interest rates for 3-month Tbills and 10-year treasury securities were at 0.07 and 3.77, respectively. Source: Board of Governors of the Federal Reserve Plunkett Research, Ltd. www.plunkettresearch.com



Time Deposits & Savings Deposits of Individual Retirement Accounts (IRAs)*, U.S.: Fiscal 2000-Q2 2009 (In Billions of US$; End of Period; Not Seasonally Adjusted) Sector

2000

2001

2002

2003

2004

2005

2006

2007

2008

Q2 2009

All sectors IRAs liability

2,629

2,619

2,533

2,993

3,299

3,652

4,220

4,736

3,572

3,739

U.S.-chartered commercial banks IRAs & KEOUGHs liability

157.0

160.1

165.6

166.1

168.0

175.3

202.0

210.7

248.1

269.9

Savings institutions IRAs liability

56.4

54.6

53.8

54.8

53.7

53.8

57.6

71.2

77.9

81.6

Credit unions IRAs liability

36.7

39.9

43.3

46.8

47.7

49.3

53.2

58.2

65.5

72.0

Life insurance companies IRAs liability

245.5

251.0

308.3

338.4

347.0

381.0

406.0

424.2

376.8

379.4

Money market mutual funds IRAs liability

141.0

165.0

181.0

164.0

148.0

143.0

176.0

222.0

268.0

258.0

1,048.0

963.3

823.0

1,095.0

1,277.0

1,485.0

1,764.0

1,985.0

1,257.0

1,355.0

944.4

985.1

958.0

1,127.9

1,257.7

1,364.6

1,561.2

1,764.7

1,278.7

1,323.1

Mutual funds IRAs liability Households & nonprofit organizations IRAs liability

* Assets of the household sector shown at market value. IRA assets are not included in pension fund reserves, except for those at life insurance companies. Figures for depositories include Keogh accounts. Variable annuities in IRAs are in the life insurance sector and are excluded from the mutual fund and money market fund sectors. Note: Fiscal Q2 ends on March 31. Source: Board of Governors of the Federal Reserve Plunkett Research, Ltd. www.plunkettresearch.com



Employment in the Investment & Securities Industry, U.S.: 2003-Nov. 2009 (Annual Estimates in Thousands of Employed Workers) NAICS Code1

Industry Sector Securities, commodity contracts, investments

523

2003

2004

2005

2006

2007

2008

20092

757.7

766.1

786.1

818.3

848.6

858.1

795.2

52312

Securities brokerage

294.2

292.2

294.5

300.1

302.9

294.2

262.1

5231,2

Securities & commodity contracts brokerages & exchanges

493.3

492.7

498.9

510.6

518.8

511.0

462.9

5239

Other financial investment activities

332.3

264.3

273.5

287.1

307.8

329.7

347.1

52391

Miscellaneous intermediation

23.8

23.2

22.9

23.7

24.0

25.8

23.7

52392

Portfolio management

98.9

105.3

112.9

121.0

129.3

140.4

132.4

52393

Investment advice

93.7

100.0

110.5

121.3

130.1

133.0

129.7

52399

All other financial investment activities

48.0

44.9

40.9

41.8

46.3

48.0

46.5

Funds, trusts & other financial vehicles

80.4

81.7

83.7

87.9

88.7

90.3

87.8

5251

Insurance & employee benefit funds

47.1

47.0

46.4

47.8

48.6

49.2

49.2

5259

Other investment pools & funds

33.3

34.7

37.3

40.1

40.1

41.1

38.5

525

1

For a full description of the NAICS codes used in this table, see www.census.gov/epcd/www/naics.html.

2

Data estimated based on observed values from January-September and projected for October-November.

Source: U.S. Bureau of Labor Statistics Plunkett Research, Ltd. www.plunkettresearch.com



Chapter 3 IMPORTANT INVESTMENT & SECURITIES INDUSTRY CONTACTS

Contents: I. II. III. IV. V. VI. VII. VIII. IX. X. XI. XII. XIII. XIV. XV. XVI. XVII. XVIII. XIX. XX. XXI. XXII. XXIII. XXIV. XXV. XXVI. XXVII. XXVIII.

Annuities Industry Associations Banking Industry Associations Banking Industry Resources Banks/Banking-Global Biotechnology Investing Bond Market Data Canadian Government Agencies-Finance Careers-Banking Careers-First Time Jobs/New Grads Careers-General Job Listings Careers-Job Reference Tools Chinese Government Agencies-General Conference Calls with Corporate Management Consulting Industry Associations Consulting Industry Resources Corporate Information Resources Currency Exchange Economic Data & Research Financial Advice-General Financial Industry Resources Financial Planners & Advisors Associations Foreign Exchange Industry Associations Government Agencies-Hong Kong Government Agencies-Singapore Hedge Funds Resources Industry Research/Market Research Insurance Industry Associations Insurance Industry Associations-Agents & Brokers

XXIX. XXX. XXXI. XXXII. XXXIII. XXXIV. XXXV. XXXVI. XXXVII.

Insurance Industry Resources Investment Industry Associations Investment Industry Resources Investment Information-Funds IPOs (Initial Public Offerings) Magazines, Business & Financial MBA Resources Mortgage Industry Associations Payment, E-Commerce and Data Interchange Technology XXXVIII. Pensions, Benefits & 401(k)s Associations XXXIX. Pensions, Benefits & 401(k)s Resources XL. Private Equity Resources XLI. Ratings-Bank, Insurance Co., Bond XLII. Securities Industry Associations XLIII. Securities Industry Resources XLIV. Stocks and Financial Markets Data XLV. Trade Associations-General XLVI. Trade Associations-Global XLVII. U.S. Government Agencies XLVIII. Venture Capital Associations I.

Annuities Industry Associations

Insured Retirement Institute 1331 L St, NW, Ste. 310 Washington, DC 20005 US Phone: 202-469-3000 E-mail Address: [email protected] Web Address: www.irionline.org


The Insured Retirement Institute (formerly NAVA, the Association for Insured Retirement Solutions) publishes a wealth of information about annuities. Its annual Annuity Fact Book can be downloaded at its very useful website. II.

Banking Industry Associations

American Bankers Association (ABA) 1120 Connecticut Ave. NW Washington, DC 20036 US Fax: 202-663-7578 Toll Free: 800-226-5377 E-mail Address: [email protected] Web Address: www.aba.com The American Bankers Association (ABA) represents banks of all sizes on issues of national importance for financial institutions and their customers. The site offers financial information and solutions, financial news and member access to further advice and content. Indian Banks' Association World Trade Ctr. Complex, Cuff Parade 6th Fl., Ctr. 1 Bldg. Mumbai, 400 005 India Web Address: www.iba.org.in The Indian Banks' Association is composed of members of public, private and foreign banks which have offices in India. The Association of Banks in Singapore 10 Shenton Way 12-08 MAS Bldg. 079117 Singapore Phone: 65-6224-4300 Fax: 65-6224-1785 E-mail Address: [email protected] Web Address: www.abs.org.sg The Association of Banks in Singapore is made up of member banks drawn from a wide spectrum of banking entities ranging from major global giants to smaller financial niche service providers. III.

Banking Industry Resources

American Banker 1 State St. Plz., 27th Fl. New York, NY 10004 US Phone: 212-803-8200 Fax: 212-843-9600 Toll Free: 800-221-1809 Web Address: www.americanbanker.com


American Banker publishes an online magazine and offers news, reports and research tools on a broad spectrum of business and financial topics on a subscriber basis. Bank Rate Monitor 11760 U.S. Hwy. 1, Ste. 200 North Palm Beach, FL 33408 US Phone: 561-630-2400 Fax: 561-625-4540 Web Address: www.bankrate.com Bank Rate Monitor, an online publication, provides online customers with financial data, research and editorial information on a variety of financial products. News, educational information, links and stories are featured on this site. People's Bank of China No. 32 Chengfang St. Beijing, 100800 China Phone: 86-010-66194114 E-mail Address: [email protected] Web Address: www.pbc.gov.cn People's Bank of China website contains many links to news, statistics, regulations and related sites. IV.

Banks/Banking-Global

Financial Stability Forum (FSF) Centralbahnplatz 2 Basel, CH-4002 Switzerland Phone: 41-61-280-8298 Fax: 41-61-280-9100 E-mail Address: [email protected] Web Address: www.fsforum.org The Financial Stability Forum (FSF) was convened in April 1999 to promote international financial stability through information exchange and international cooperation in financial supervision and surveillance. The Forum brings together national authorities responsible for financial stability in significant international financial centers, international financial institutions, sector-specific international groupings of regulators and supervisors, and committees of central bank experts. International Monetary Fund (IMF) 700 19th St. NW Washington, DC 20431 US Phone: 202-623-7300 Fax: 202-623-6278 E-mail Address: [email protected] Web Address: www.imf.org


The International Monetary Fund (IMF) is an organization of 184 countries, working to foster global monetary cooperation, secure financial stability, facilitate international trade, promote high employment and sustainable economic growth and reduce poverty. World Bank 1818 H St. NW Washington, DC 20433 US Phone: 202-473-1000 Fax: 202-477-6391 E-mail Address: [email protected] Web Address: www.worldbank.org The World Bank is a development bank that provides loans to help countries improve their standard of living. It publishes significant data on global business, investment, social issues, health and governments. V.

Biotechnology Investing

Burrill & Company 1 Embarcadero Ctr., Ste. 2700 San Francisco, CA 94111 US Phone: 415-591-5400 Fax: 415-591-5401 E-mail Address: [email protected] Web Address: www.burrillandco.com Burrill & Company is a leading private merchant bank concentrated on companies in the life sciences industries: biotechnology, pharmaceuticals, medical technologies, agricultural technologies, animal health and nutraceuticals. VI.

Bond Market Data

Bonds Online 121 Lakeside Ave., Ste. 100A Seattle, WA 98122 US Phone: 206-236-3040 Toll Free: 800-883-1808 E-mail Address: [email protected] Web Address: www.bondsonline.com Bonds Online offers a wealth of information for both individual and institutional investors, including on demand current or historic prices and descriptive information for all current or past stocks, preferred stocks, bonds, indices and other securities. Investing-in-Bonds E-mail Address: [email protected] Web Address: www.investinginbonds.com


Investing-in-Bonds is a service of the Securities Industry and Financial Markets Association (SIFMA) that provides a forum for investors in which industry professionals can respond to current issues affecting the bond market. VII. Canadian Government Agencies-Finance Bank of Canada (The) 234 Wellington St. Ottawa, Ontario K1A 0G9 Canada Phone: 613-782-8111 Fax: 613-782-7713 Toll Free: 800-303-1282 E-mail Address: [email protected] Web Address: www.bankofcanada.ca The Bank of Canada is the national bank belonging to the Canadian government. It's responsibilities include Canada's monetary policy, bank notes and financial system as a whole. Department of Finance Canada (DFC) 140 O'Connor St. Ottawa, ON K1A 0G5 Canada Phone: 613-992-1573 E-mail Address: [email protected] Web Address: www.fin.gc.ca The Department of Finance Canada (DFC) governs the federal financial institutions; insurance companies and credit unions; and manages the debt and reserves of the Canadian government. Financial Transactions and Reporting Analysis Centre of Canada (FINTRAC) 234 Laurier Ave. W, 24th Fl. Ottawa, ON K1P 1H7 Canada Fax: 613-943-7931 Toll Free: 866-346-8722 E-mail Address: [email protected] Web Address: www.fintrac.gc.ca The Financial Transactions and Reporting Analysis Centre of Canada (FINTRAC) analyzes financial intelligence to safeguard against money laundering and the financing of threats to the security of Canada. VIII.

Careers-Banking

National Banking & Financial Service Network (NBFSN) 3075 Brickhouse Ct. Virginia Beach, VA 23452-6860 US Phone: 757-463-5766


Fax: 757-340-0826 E-mail Address: [email protected] Web Address: www.banking-financejobs.com The National Banking & Financial Service Network (NBFSN) is made up of recruiting firms in the banking and financial services marketplace. The web site provides job listings. IX.

Careers-First Time Jobs/New Grads

Black Collegian Online (The) 140 Carondelet St. New Orleans, LA 70130 US Phone: 504-523-0154 Web Address: www.black-collegian.com The Black Collegian Online features listings for job and internship opportunities, as well as other tools for students of color; it is the web site of The Black Collegian Magazine, published by IMDiversity, Inc. The site includes a list of the top 100 minority corporate employers and an assessment of job opportunities. Collegegrad.com, Inc. 234 E. College Ave., Ste. 200 State College, PA 16801 US Phone: 262-375-6700 Toll Free: 1-800-991-4642 Web Address: www.collegegrad.com Collegegrad.com, Inc. offers in-depth resources for college students and recent grads seeking entry-level jobs. Job Web Nat'l Association of Colleges & Employers (NACE) 62 Highland Ave. Bethlehem, PA 18017-9085 US Phone: 610-868-1421 Fax: 610-868-0208 Toll Free: 800-544-5272 E-mail Address: [email protected] Web Address: www.jobweb.com Job Web, owned and sponsored by National Association of Colleges and Employers (NACE), displays job openings and employer descriptions. The site also offers a database of career fairs, searchable by state or keyword, with contact information. MBAjobs.net Fax: 413-556-8849 E-mail Address: [email protected] Web Address: www.mbajobs.net


MBAjobs.net is a unique international service for MBA students and graduates, employers, recruiters and business schools. The MBAjobs.net service is provided by WebInfoCo. MonsterTRAK 11845 W. Olympic Blvd., Ste. 500 Los Angeles, CA 90064 US Toll Free: 800-999-8725 E-mail Address: [email protected] Web Address: www.college.monster.com MonsterTRAK provides information about internships and entry-level jobs. National Association of Colleges and Employers (NACE) 62 Highland Ave. Bethlehem, PA 18017-9085 US Phone: 610-868-1421 Fax: 610-868-0208 Toll Free: 800-544-5272 E-mail Address: [email protected] Web Address: www.naceweb.org The National Association of Colleges and Employers (NACE) is a premier U.S. organization representing college placement offices and corporate recruiters who focus on hiring new grads. X.

Careers-General Job Listings

Career Exposure, Inc. 805 SW Broadway, Ste. 2250 Portland, OR 97205 US Phone: 503-221-7779 Fax: 503-221-7780 E-mail Address: [email protected] Web Address: www.careerexposure.com Career Exposure, Inc. is an online career center and job placement service, with resources for employers, recruiters and job seekers. CareerBuilder, Inc. 200 N. LaSalle St., Ste. 1100 Chicago, IL 60601 US Phone: 773-527-3600 Toll Free: 800-638-4212 Web Address: www.careerbuilder.com CareerBuilder, Inc. focuses on the needs of companies and also provides a database of job openings. The site has 1.5 million jobs posted by 300,000 employers, and receives an average 23 million unique visitors monthly. The company also operates online career centers for 150 newspapers,


1,000 partners and other online portals such as America Online. Resumes are sent directly to the company, and applicants can set up a special e-mail account for job-seeking purposes. CareerBuilder is primarily a joint venture between three newspaper giants: The McClatchy Company (which recently acquired former partner Knight Ridder), Gannett Co., Inc. and Tribune Company. In 2007, Microsoft acquired a minority interest in CareerBuilder, allowing the site to ally itself with MSN. CareerOneStop Toll Free: 877-348-0502 E-mail Address: [email protected] Web Address: www.careeronestop.org CareerOneStop is operated by the employment commissions of various state agencies. It contains job listings in both the private sector and in government. CareerOneStop is sponsored by the U.S. Department of Labor. It includes a wide variety of useful career resources and workforce information. JobCentral DirectEmployers Association, Inc. 9002 N. Purdue Rd., Quad III, Ste. 100 Indianapolis, IN 46268 US Phone: 317-874-9000 Fax: 317-874-9100 Toll Free: 866-268-6206 E-mail Address: [email protected] Web Address: www.jobcentral.com JobCentral, operated by the nonprofit DirectEmployers Association, Inc., links users directly to hundreds of thousands of job opportunities posted on the sites of participating employers, thus bypassing the usual job search sites. This saves employers money and allows job seekers to access many more job opportunities. Jobsinthemoney.com 4101 NW Urbandale Dr. Urbandale, IA 50322 US Phone: 515-280-1144 Fax: 515-280-1452 Toll Free: 800-979-3423 E-mail Address: [email protected] Web Address: www.jobsinthemoney.com Jobsinthemoney.com provides employment listings in the finance industry as well as job tools, such as salary surveys, resume writing assistance and industry news. It is owned by Dice, a part of Dice Holdings, Inc.


LaborMarketInfo Employment Dev. Dept., Labor Market Info. Div. 800 Capitol Mall, MIC 83 Sacramento, CA 95814 US Phone: 916-262-2162 Fax: 916-262-2352 Toll Free: 800-480-3287 Web Address: www.labormarketinfo.edd.ca.gov LaborMarketInfo, formerly the California Cooperative Occupational Information System, is geared to providing job seekers and employers a wide range of resources, namely the ability to find, access and use labor market information and services. It provides demographical statistics for employment on both a local and regional level, as well as career searching tools for California residents. The web site is sponsored by California's Employment Development Office. Recruiters Online Network 947 Essex Ln. Medina, OH 44256 US Phone: 888-364-4667 Fax: 888-237-8686 E-mail Address: [email protected] Web Address: www.recruitersonline.com The Recruiters Online Network provides job postings from thousands of recruiters, Careers Online Magazine, a resume database, as well as other career resources. True Careers, Inc. Web Address: www.truecareers.com True Careers, Inc. offers job listings and provides an array of career resources. The company also offers a search of over 2 million scholarships. It is partnered with CareerBuilder.com, which powers its career information and resume posting functions. USAJOBS U.S. Office of Personnel Management 1900 E St. NW Washington, DC 20415 US Phone: 202-606-1800 Web Address: usajobs.opm.gov USAJOBS, a program of the U.S. Office of Personnel Management, is the official job site for the U.S. Federal Government. It provides a comprehensive list of U.S. government jobs, allowing users to search for employment by location; agency; type of work, using the Federal Government’s numerical identification code, the General Schedule (GS) Series; or by senior executive positions. It also has a special veterans’


employment section; an information center, offering resume and interview tips and other useful information such as hiring trends and a glossary of Federal terms; and allows users to create a profile and post a resume. Wall Street Journal - CareerJournal Wall Street Journal 200 Liberty St. New York, NY 10281 US Phone: 212-416-2000 Toll Free: 800-568-7625 E-mail Address: [email protected] Web Address: cj.careercast.com/careers/jobsearch The Wall Street Journal's CareerJournal, an executive career site, features a job database with thousands of available positions; career news and employment related articles; and advice regarding resume writing, interviews, networking, office life and job hunting. Yahoo! HotJobs 45 W. 18th St., 6th Fl. New York, NY 10011 US Phone: 646-351-5300 Web Address: www.hotjobs.yahoo.com Yahoo! HotJobs, designed for experienced professionals, employers and job seekers, is a Yahooowned site that provides company profiles, a resume posting service and a resume workshop. The site allows posters to block resumes from being viewed by certain companies and provides a notification service of new jobs. XI.

Careers-Job Reference Tools

NewsVoyager 4401 Wilson Blvd., Ste. 900 Arlington, VA 22203-1867 US Phone: 571-366-1000 Fax: 571-366-1195 E-mail Address: [email protected] Web Address: www.newsvoyager.com NewsVoyager, a service of the Newspaper Association of America (NAA), links individuals to local, national and international newspapers. Job seekers can search through thousands of classified sections. Vault.com, Inc. 75 Varick St., 8th Fl. New York, NY 10013 US Phone: 212-366-4212 E-mail Address: [email protected]


Web Address: www.vault.com Vault.com, Inc. is a comprehensive career web site for employers and employees, with job postings and valuable information on a wide variety of industries. Vault gears many of its features toward MBAs. The site has been recognized by Forbes and Fortune Magazines. XII. Chinese Government Agencies-General Ministry of Commerce the People's Repulblic of China No. 2 Dong Chang'an Ave. Beijing, 100731 China Phone: (010)65284671 Fax: (010)65599340 Web Address: english.mofcom.gov.cn The Ministry of Commerce the People's Repulblic of China (MOFCOM) has links to general information regarding trade and commerce in China as well as links to other related governmental departments. XIII.

Conference Calls with Corporate Management

BestCalls 116 Simpson St. Geneva, IL 60134 US Phone: 978-723-2232 Fax: 978-246-5689 E-mail Address: [email protected] Web Address: www.bestcalls.com BestCalls is the Internet's largest source for conference call schedules and access information. Earnings.com Thompson Financial 195 Broadway New York, NY 10007 US Phone: 646-822-2000 Toll Free: 888-888-1082 E-mail Address: [email protected] Web Address: www.earnings.com Earnings.com provides live web casts and online replays, free annual reports, an investment events calendar, profiles, management presentations and interactive information requests and alerts. The web site is powered by Thomson StreetEvents, part of the Thompson Financial business unit of Thompson Reuters. Vcall, Inc. PrecisionIR Group


601 Moorefield Park Dr. Richmond, VA 23236 US Phone: 804-327-3400 Fax: 804-327-7546 Toll Free: 888-301-5399 E-mail Address: [email protected] Web Address: www.vcall.com Vcall, Inc. provides live and archived web casts, special events and conference broadcasts of investor relations events. Vcall is part of the PrecisionIR Group. XIV.

Consulting Industry Associations


Business Wire 44 Montgomery St., 39th Fl. San Francisco, CA 94104 US Phone: 415-986-4422 Fax: 415-788-5335 Toll Free: 800-227-0845 Web Address: www.businesswire.com Business Wire offers news releases, industry- and company-specific news, top headlines, conference calls, IPOs on the Internet, media services and access to tradeshownews.com and BW Connect On-line through its informative and continuously updated web site.

Investment Management Consultant Association (IMCA) 5619 DTC Pkwy., Ste. 500 Greenwood Village, CO 80111 US Phone: 303-770-3377 Fax: 303-770-1812 E-mail Address: [email protected] Web Address: www.imca.org The Investment Management Consultant Association (IMCA) provides information and communication for investment management consultants.

Edgar Online, Inc. 50 Washington St., 11th Fl. Norwalk, CT 06854 US Phone: 203-852-5666 Fax: 203-852-5667 Toll Free: 800-416-6651 Web Address: www.edgar-online.com Edgar Online, Inc. is a gateway and search tool for viewing corporate documents, such as annual reports on Form 10-K, filed with the U.S. Securities and Exchange Commission.

XV.

PR Newswire Association LLC 810 7th Ave., 32nd Fl. New York, NY 10019 US Phone: 201-360-6700 Toll Free: 800-832-5522 E-mail Address: [email protected] Web Address: www.prnewswire.com PR Newswire Association LLC provides comprehensive communications services for public relations and investor relations professionals ranging from information distribution and market intelligence to the creation of online multimedia content and investor relations web sites. Users can also view recent corporate press releases. The Association is owned by United Business Media plc.

Consulting Industry Resources

CFO Executive Board 1919 N. Lynn St. Arlington, VA 22209 US Phone: 571-303-3000 Fax: 571-303-3100 E-mail Address: [email protected] Web Address: www.cfo.executiveboard.com The CFO Executive Board is a research organization that works to serve the interests of senior finance executives from the world's largest corporations. XVI.

Corporate Information Resources

bizjournals.com 120 W. Morehead St., Ste. 400 Charlotte, NC 28202 US Web Address: www.bizjournals.com Bizjournals.com is the online media division of American City Business Journals, the publisher of dozens of leading city business journals nationwide. It provides access to research into the latest news regarding companies small and large.

Silicon Investor 100 W. Main P.O. Box 29 Freeman, MO 64746 US E-mail Address: [email protected] Web Address: siliconinvestor.advfn.com Silicon Investor is focused on providing information about technology companies. The company's web site serves as a financial discussion forum and offers quotes, profiles and charts.


XVII. Currency Exchange Exchange Rates Web Address: www.x-rates.com Exchange Rates allows visitors to view the day's currency exchange rates and to access charts demonstrating fluctuations in exchange rates of past months. X-Rates.com E-mail Address: [email protected] Web Address: www.x-rates.com X-Rates.com allows users to calculate currency exchanges and to look up historic currency values and currency photos. XVIII.

Economic Data & Research

Dismal Scientist Moody’s Economy.com 121 N. Walnut St., Ste. 500 West Chester, PA 19380-3166 US Phone: 610-235-5299 Fax: 610-235-5302 Toll Free: 866-275-3266 Web Address: www.economy.com/dismal Dismal Scientist, geared towards small business owners and students, is a site that offers economic data and analysis (written by economists) at the metro, state and national level. It is run by Moody’s Economy.com, which is owned by Moody’s Analytics, Inc. EconData.Net 3133 Connecticut Ave. NW, Ste. 317 Washington, DC 20009 US Phone: 202-797-3498 E-mail Address: [email protected] Web Address: www.econdata.net EconData.Net is designed to help practitioners, researchers, students and other data users quickly gain access to relevant state and substate socioeconomic data. The web site is owned and operated by two firms: Andrew Reamer & Associates; and Impresa, Inc. Economic and Social Research Council (ESRC) Polaris House North Star Avenue Swindon, SN2 1UJ UK Phone: 01793 413000 Fax: 01793 413001 Web Address: www.esrc.ac.uk


The Economic and Social Research Council (ESRC) funds research and training in social and economic issues. It is an independent organization, established by Royal Charter. The group focuses on six research areas: economic affairs, education and human development, environment and planning, government and law, industry and employment and social affairs. Eurostat Phone: 32-2-299-9696 Toll Free: 80-0-6789-1011 Web Address: www.epp.eurostat.ec.europa.eu Eurostat is the European Union's service that publishes a wide variety of comprehensive statistics on European industries, populations, trade, agriculture, technology, environment and other matters. Organization for Economic Co-operation and Development (OECD) 2 rue André Pascal Cedex 16 Paris, F-75775 France Phone: 33-145-24-8200 Fax: 33-145-24-8500 Web Address: www.oecd.org The Organization for Economic Co-operation and Development (OECD) publishes detailed economic, government, population, social and trade statistics on a country-by-country basis for the 30 nations representing the world's largest economies. Sectors covered range from industry, labor, technology and patents, to health care, environment and globalization. Statistics Canada 150 Tunney's Pasture Driveway Ottawa, ON K1A 0T6 Canada Phone: 613-951-8116 Fax: 613-951-0581 Toll Free: 800-263-1136 Web Address: www.statcan.gc.ca A complete portal to Canadian economic data and statistics. STAT-USA/Internet STAT-USA, HCHB, U.S. Dept. of Commerce Rm. 4885 Washington, DC 20230 US Phone: 202-482-1986 Fax: 202-482-2164 Toll Free: 800-782-8872 E-mail Address: [email protected]


Web Address: www.stat-usa.gov STAT-USA/Internet offers daily economic news, statistical releases and databases relating to export and trade, as well as the domestic economy. It is provided by STAT-USA, which is an agency in the Economics & Statistics Administration of the U.S. Department of Commerce. The site mainly consists of two main databases, the State of the Nation (SOTN), which focuses on the current state of the U.S. economy; and the Global Business Opportunities (GLOBUS) & the National Trade Data Bank (NTDB), which deals with U.S. export opportunities, global political/socio-economic conditions and other world economic issues. The Centre for European Economic Research (ZEW) Wirtschaftsforschung GmbH Postfach 10 34 43 Mannheim, D-68034 Germany Phone: 49(0)621-1235-01 Fax: 49(0)621-1235-224 E-mail Address: [email protected] Web Address: www.zew.de/en Zentrum fur Europaische, The Centre for European Economic Research (ZEW), distinguishes itself in the analyses of internationally comparative data in the European context and in the creation of databases which are important as a basis for scientific research. The institute maintains a special library relevant to economic research and provides external parties with selected data for the purpose of scientific research. ZEW also offers public events and seminars concentrating on banking, business and other economic-political topics. XIX.

Financial Advice-General

GetSmart 11115 Rushmore Dr. Charlotte, NC 28277 US Toll Free: 800-438-7627 Web Address: www.getsmart.com GetSmart, a service of LendingTree, is an online financial marketplace for financial planning advice that includes information on credit cards, mortgages, loans, insurance and other services. Kiplinger.com 1729 H St. NW Washington, DC 20006 US Toll Free: 800-544-0155 Web Address: www.kiplinger.com


Kiplinger.com offers a great deal of personal finance information for the business savvy individual. It includes sections on retirement, saving, borrowing and home owning, as well as investing updates and information. Quicken.com 2632 Marine Way Mountain View, CA 94043 US Toll Free: 800-446-8848 Web Address: www.quicken.com Quicken.com has information on their portfolio management software available online. It also offers members a newsletter, news, quotes and research services, market tracking, mutual fund advice, mortgages, instant insurance quotes, small business information, budgeting advice and more. XX.

Financial Industry Resources

MoneyControl.com New Era Mills Compound, Mogul Ln. Matunga W., Behind Magnet Mall Mumbai, 400 016 India Phone: 91-22-6618-4400 Fax: 91-22-5650-9445 E-mail Address: [email protected] Web Address: www.moneycontrol.com MoneyControl.com is an Indian financial information portal site that provides news, stock quotes, statistics and investment advice regarding financial markets in India and abroad. SNL Financial 1 SNL Plz. P.O. Box 2124 Charlottesville, VA 22902 US Phone: 434-977-1600 Fax: 434-977-4466 Toll Free: 866-296-3743 E-mail Address: [email protected] Web Address: www.snl.com SNL Financial provides industry-specific research and statistics in the banking, financial services, insurance, real estate and energy sectors. XXI.

Financial Planners & Advisors Associations

Certified Financial Planner Board of Standards, Inc. 1425 K. St. NW, Ste. 500 Washington, DC 20005 US


Phone: 202-379-2200 Fax: 202-379-2299 Toll Free: 800-487-1497 E-mail Address: [email protected] Web Address: www.cfp.net The Certified Financial Planner Board of Standards, Inc. is designed to help people benefit from competent, professional, and ethical financial planning. It provides training, testing and certification for the CFP designation (Certified Financial Planner). CFA Institute 560 Ray C. Hunt Dr. Charlottesville, VA 22903 US Phone: 434-951-5499 Fax: 434-951-5262 Toll Free: 800-247-8132 E-mail Address: [email protected] Web Address: www.cfainstitute.org The CFA Institute (formerly the Association for Investment Management and Research) provides training, testing and professional certification in the CFA (Chartered Financial Analyst) designation and the CIPM (Certificate in Performance Measurement) designation. Headquartered in the U.S., it has 135 chapters worldwide and more than 90,000 members. Institute of Financial Consultants (IFC) 1090 W. Pender St., Ste. 420-1090 Vancouver, BC V6E 2N7 Canada Fax: 604-687-1221 E-mail Address: [email protected] Web Address: www.ifconsultants.org The Institute of Financial Consultants (IFC) is a worldwide network of certified financial consultants offering an educational program leading to the CFC (Certified Financial Consultant) designation. Members of the Institute are drawn from the related but separate fields of accountancy, insurance, law, funds management, tax and pensions. International Association of Registered Financial Consultants (IARFC) 2507 N. Verity Pkwy. P.O. Box 42506 Middletown, OH 45042 US Fax: 513-424-5752 Toll Free: 800-532-9060 E-mail Address: [email protected] Web Address: www.iarfc.org The International Association of Registered Financial Consultants (IARFC) is a professional organization


for the accreditation of financial consultants. It provides testing and certification for the RFC (Registered Financial Consultant) designation. XXII. Foreign Exchange Industry Associations Foreign Exchange Dealers’ Association of India Cuffe Parade 17th Fl., Maker Twr. 'F' Mumbai, 400 005 India Phone: 91-22-22184432 Fax: 91-22-22189946 E-mail Address: [email protected] Web Address: www.fedai.org.in Foreign Exchange Dealers’ Association of India represents an association of banks dealing in the foreign exchange market in India. XXIII.

Government Agencies-Hong Kong

GovHK 12 Harbour Rd. 16/F-22/F and 25/F Wanchai Twr. Wan Chai, Hong Kong Phone: 852-183-5500 E-mail Address: [email protected] Web Address: www.gov.hk GovHK is the one-stop portal of the Hong Kong Special Administrative Region (HKSAR) Government. GovHK features links to governmental agencies, information and services. It also organizes them by user groups (transport, business, trade) and subjects (education, youth, etc.). XXIV.

Government Agencies-Singapore

Singapore Government Online (SINGOV) 140 Hill St., MICA Bldg., 5th Fl. 179369 Singapore E-mail Address: [email protected] Web Address: www.gov.sg Singapore Government Online (SINGOV) is the default homepage for the Singapore Government and is a portal for governmenal information. The website lists governmental agencies, news, information, policies and inititives. XXV. Hedge Funds Resources Hedge Funds Review 28-29 Haymarket London, Sw1Y UK


Phone: 44 0870 787 6822 Web Address: www.hedgefundsreview.com Published by Incisive Media, Hedge Funds Review provides in-depth news and resources about the hedge fund industry. XXVI.

Industry Research/Market Research

Forrester Research 400 Technology Sq. Cambridge, MA 02139 US Phone: 617-613-6000 Fax: 617-613-5200 Toll Free: 866-367-7378 Web Address: www.forrester.com Forrester Research identifies and analyzes emerging trends in technology and their impact on business. Among the firm's specialties are the financial services, retail, health care, entertainment, automotive and information technology industries. Marketresearch.com 11200 Rockville Pike, Ste. 504 Rockville, MD 20852 US Phone: 240-747-3000 Fax: 240-747-3004 Toll Free: 800-298-5699 E-mail Address: [email protected] Web Address: www.marketresearch.com Marketresearch.com is a leading broker for professional market research and industry analysis. Users are able to search the company's database of research publications including data on global industries, companies, products and trends. Plunkett Research, Ltd. P.O. Drawer 541737 Houston, TX 77254-1737 US Phone: 713-932-0000 Fax: 713-932-7080 E-mail Address: [email protected] Web Address: www.plunkettresearch.com Plunkett Research, Ltd. is a leading provider of market research, industry trends analysis and business statistics. Since 1985, it has served clients worldwide, including corporations, universities, libraries, consultants and government agencies. At the firm's web site, visitors can view product information and pricing and access a great deal of basic market information on industries such as


financial services, infotech, e-commerce, health care and biotech. XXVII. Insurance Industry Associations General Insurance Association of Singapore 112 Robinson Rd. 05-03 HB Robinson 068902 Singapore Phone: 65-6221-8788 Fax: 65-6227-2051 E-mail Address: [email protected] Web Address: www.gia.org.sg General Insurance Association of Singapore represents companies providing non-life insurance services. Life Insurance Association (LIA) China Square Central 20 Cross St. 02-07/08 China Court 048422 Singapore Phone: 65-6438-8900 Fax: 65-6438-6989 E-mail Address: [email protected] Web Address: www.lia.org.sg Founded in the 1950s, the Life Insurance Association (LIA) is the trade association of life insurance companies that are licensed by the Monetary Authority of Singapore (MAS) to issue life insurance products in Singapore. LIA has 14 member companies, and three associate members comprising life reinsurance companies. XXVIII.

Insurance Industry AssociationsAgents & Brokers

British Insurance Brokers' Association 18 Bevis Marks John Stow House, 8th Fl. London, EC3A 7JB UK Phone: 0870 950 1790 Fax: 020 7626 9676 E-mail Address: [email protected] Web Address: www.biba.org.uk The British Insurance Brokers' Association represents roughly 1,700 regulated firms, insurance brokers, intermediaries and their customers. XXIX.

Insurance Industry Resources

Insurance Information Institute 110 William St.


New York, NY 10038 US Phone: 212-346-5500 Toll Free: 800-331-9146 E-mail Address: [email protected] Web Address: www.iii.org The Insurance Information Institute works to improve public understanding of what insurance does and how it works. The group's web site provides information on all types of insurance, as well as facts, statistics, interviews and hot topics and issues. It also provides excellent statistics on financial services, banking and investment sectors. See the Facts and Statistics area. XXX. Investment Industry Associations ACI - The Financial Markets Association ACI 8, Rue du Mail Paris, F-75002 France Phone: 33-1-4297-5115 Fax: 33-1-4297-5116 E-mail Address: [email protected] Web Address: www.aciforex.com ACI - The Financial Markets Association is the global umbrella body of national associations. The Paris-based body, founded as Association Cambiste Internationale (ACI), has more than 13,000 members worldwide in more than 80 countries. This makes ACI the largest international association in the wholesale financial markets. ACI - The Financial Markets Association was founded in France in 1955 following an agreement between foreign exchange dealers in Paris and London. Investment Industry Association of Canada (IIAC) 11 King St. W., Ste. 1600 Toronto, Ontario M5H 4C7 Canada Phone: 416-364-2754 Fax: 416-364-4861 E-mail Address: [email protected] Web Address: www.iiac.ca The Investment Industry Association of Canada (IIAC) is the trade organization for the Canadian investment industry, representing over 200 investment and investment-related firms. Investment Management Association of Singapore (IMAS) 1 Phillip St., 10-02 048692 Singapore Phone: 65-6223-9353 Fax: 65-6223-9352 E-mail Address: [email protected]


Web Address: www.imas.org.sg The Investment Management Association of Singapore (IMAS) is a representative body of investment managers spearheading the development and growth of the industry in Singapore. Singapore Investment Banking Association (SIBA) 24 Raffles Pl. 16-02 Clifford Ctr. 048621 Singapore Phone: 65-6532-7565 Fax: 65-6532-3390 Web Address: www.siba.org.sg The Singapore Investment Banking Association (SIBA) is membership organization representing investment banking professionals in Singapore. XXXI.

Investment Industry Resources

Business Times, Singapore (BT) 1000 Toa Payoh N. News Centre 318994 Singapore Phone: 65-6388-3838 Fax: 65-6744-4875 E-mail Address: [email protected] Web Address: www.businesstimes.com.sg The Business Times (BT), a member of the Singapore Press Holdings group, is one of Southeast Asia's leading business dailies. BT provides a comprehensive and concise package of corporate, financial, economic and political news, analysis and commentary. Committee on Capital Markets Regulation (CCMR) 125 Mt. Auburn St., 3rd Fl. Cambridge, MA 02138 US Phone: 617.384.5364 Fax: 617.496.5251 E-mail Address: [email protected] Web Address: www.capmktsreg.org The Committee on Capital Markets Regulation (CCMR) is an independent and bipartisan group comprised of 24 leaders from the investor community, business, finance, law, accounting, and academia. In 2006, the Committee issued its interim report, highlighting areas of concern about the competitiveness of U.S. capital markets and outlining 32 recommendations in four key areas to enhance that competitiveness. It continues to study issues in



such areas as derivatives, mutual funds and shareholder rights.

India and provides information regarding economic data, statistics and related links.

Economic Times, The DLF City Phase V, Opposite DLF Golf Course 4th Fl., I World Twr. Gurgaon, Haryana 122 002 India Phone: 0124-4187000 Web Address: www.economictimes.indiatimes.com The Economic Times, a site operated by India Times, provides economic news, industry specific headlines and market advice. The site has stock market updates, indices and statistics for the Indian and global markets.

XXXII. Investment Information-Funds

Institute of Banking & Finance, Singapore (IBF) 10 Shenton Way 13-07/08 MAS Bldg. 079117 Singapore Phone: 65-6220-8566 Fax: 65-6224-4947 Web Address: www.ibf.org.sg The Institute of Banking & Finance (IBF) was established to serve the banking and finance industry in Singapore. IBF now administers part of the Capital Markets and Financial Advisory Services (CMFAS) examination series on behalf of the Monetary Authority of Singapore (MAS). It is also the national accreditation and certification agency for financial competency under the Financial Industry Competency Standards (FICS) framework. Money Market Directories (MMD) 320 E. Main St. P.O. Box 1608 Charlottesville, VA 22902 US Phone: 434-977-1450 Fax: 434-979-9962 Toll Free: 800-446-2810 Web Address: www.mmdaccess.com The Money Market Directories (MMD) provides information, often in the form of comprehensive databases, on the pension and financial services industries. The Finance Ministry-Gov. of India North Block New Delhi, 110 001 India Phone: 23092378 Web Address: www.finmin.nic.in The Government of India's Finance Ministry website includes information about the financial situation in

FundAlarm E-mail Address: [email protected] Web Address: www.fundalarm.com FundAlarm is a free, non-commercial web site that provides objective information designed to help investors make decisions on when to sell a mutual fund. Maxfunds.com 4949 NE 16th Ave. Unit D Portland, OR 97211 US E-mail Address: [email protected] Web Address: www.maxfunds.com Maxfunds.com in an independent service that offers information and advice on mutual funds. The site has several custom metrics and data points to help uninformed investors make good decisions. Mutual Fund Investor's Center Web Address: www.mfea.com Mutual Fund Investor's Center is a free-access web site designed to serve as an important resource for investors who wish to use mutual funds to reach their financial goals. Here, users find a comprehensive listing of mutual funds companies, web site links, fund listings and exclusive planning, tracking and monitoring tools. XXXIII.

IPOs (Initial Public Offerings)

123Jump.com, Inc. 235 Lincoln Rd. Miami Beach, FL 33139 US Web Address: www.123jump.com 123Jump.com, Inc. is an online financial web site dedicated to gathering, validating and archiving both historic and current information on public offerings for investors. The site also contains investment tools, such as an earnings analysis, an IPO calendar, an economic release calendar, industry sector tables, mutual funds sector tables, ETF tables and an IPO sector. OpenIPO 555 Lancaster Ave., Ste. 100 Berwyn, PA 19312 US Phone: 610-725-1150


Fax: 610-725-1167 Toll Free: 800-673-6476 E-mail Address: [email protected] Web Address: www.wrhambrecht.com OpenIPO is an auction process for distributing stock individuals and institutional investors in initial public offerings. It is a service of WR Hambrech & Co. XXXIV.

Magazines, Business & Financial

BusinessWeek Online P.O. Box 8418 Red Oak, IA 51591-1418 US Fax: 712-623-5229 Toll Free: 800-635-1200 E-mail Address: [email protected] Web Address: www.businessweek.com Business Week Online offers an investor service, global business advice, technology news, small business guides, career information, business school advice, daily news briefs and more. Economist (The) 25 St. James's St. London, SW1A 1HG UK Phone: 44-0-20-7830-7000 Fax: 44-20-7839-2968/9 E-mail Address: [email protected] Web Address: www.economist.com The Economist, operating in print and online, tracks global and domestic economic, political and technological trends, and is full of informative articles and commentary. Financial Times Number One Southwark Bridge London, SE1 9HL UK Phone: 44-0-20-7873-3000 Toll Free: 800-628-8088 E-mail Address: [email protected] Web Address: www.ft.com Financial Times covers news and stock information, allows users to maintain a profile and provides specific company information. The company offers a newspaper, FT.com, alerts and news feeds. Forbes Online 90 5th Ave. New York, NY 10011 US Phone: 212-366-8900 E-mail Address: [email protected] Web Address: www.forbes.com


Forbes Online offers varied stock information, news and commentary on business, technology and personal finance, as well as financial calculators and advice. Fortune Time & Life Bldg. Rockefeller Ctr. New York, NY 10020-1393 US Phone: 212-522-6724 Fax: 212-522-6412 Toll Free: 800-777-1444 E-mail Address: [email protected] Web Address: money.cnn.com/magazines/fortune Fortune, one of the world’s premiere business magazines, contains news, business profiles and information on investing, careers, small business, technology and other details of U.S. and international business. Fortune is a publication of Cable News Network (CNN), a Time Warner company. Institutional Investor 225 Park Ave. South New York, NY 10003 US Phone: 212-224-3300 Web Address: www.institutionalinvestor.com Institutional Investor is a leading international business to business publisher, focused primarily on international finance. It publishes magazines, newsletters and journals as well as research, directories, books and maps. It also runs conferences, seminars and training courses and is a provider of electronic business information through its capital market databases and emerging markets information service. Investor's Business Daily (IBD) 12655 Beatrice St. Los Angeles, CA 90066 US Phone: 310-448-6600 Toll Free: 800-831-2525 E-mail Address: [email protected] Web Address: www.investors.com Investor's Business Daily (IBD) offers subscribers information and articles on the stock market, educational resources, advice from analyst William O'Neil, personal portfolios and updates on events and workshops. Research Magazine 88 Kearny St., Ste. 1800 San Francisco, CA 94108 US Phone: 415-348-4200


Fax: 415-956-2401 Toll Free: 800-543-0874 E-mail Address: [email protected] Web Address: www.researchmag.com Research Magazine provides information concerning international markets, REITs, utilities and global markets. It is focused on information for investment advisors. Wall Street Journal Online (The) 200 Liberty St. New York, NY 10281 US Phone: 212-416-2000 Toll Free: 800-568-7625 E-mail Address: [email protected] Web Address: www.wsj.com The outstanding resources of The Wall Street Journal are available online for a nominal fee. XXXV. MBA Resources MBA Depot Phone: 512-499-8728 Web Address: www.mbadepot.com MBA Depot is an online community for MBA professionals. XXXVI.

Mortgage Industry Associations

Council of Mortgage Lenders Bush House, N. W. Wing, Aldwych London, WC2B 4PJ UK Phone: 44-845-373-6771 Fax: 44-845-373-6778 E-mail Address: [email protected] Web Address: www.cml.org.uk The Council of Mortgage Lenders is a trade organization whose members account for approximately 98% of U.K. mortgage lending industry. Mortgage Bankers Association (MBA) 1331 L St. NW Washington, DC 20005 US Phone: 202-557-2700 Web Address: www.mbaa.org The Mortgage Bankers Association (MBA) serves the real estate finance industry by representing its legislative and regulatory interests before Congress and federal agencies; providing educational programs, periodicals and publications; and supporting its business interests with research initiatives, products and services.


National Reverse Mortgage Lenders Association (NRMLA) 1400 16th St. NW, Ste. 420 Washington, DC 20036 US Phone: 202-939-1760 Fax: 202-265-4435 E-mail Address: [email protected] Web Address: www.nrmlaonline.org The National Reverse Mortgage Lenders Association (NRMLA) was established in 1997 to provide consumer education, industry events and information, and public policy initiatives for the reverse mortgage industry. XXXVII. Payment, E-Commerce and Data Interchange Technology Data Interchange Standards Association (DISA) 7600 Leesburg Pike, Ste. 430 Falls Church, VA 22043 US Phone: 703-970-4480 Fax: 703-970-4488 E-mail Address: [email protected] Web Address: www.disa.org The Data Interchange Standards Association (DISA) is a leading nonprofit organization that supports the development and use of electronic business interchange standards in e-commerce. Financial Services Technology Consortium (FSTC) 44 Wall St., 12th Fl. New York, NY 10005 US Phone: 212-461-7116 Fax: 646-349-3629 Web Address: www.fstc.org The Financial Services Technology Consortium (FSTC) sponsors project-oriented collaborative research and development on inter-bank technical projects affecting the entire financial services industry. Particular emphasis is placed on payment systems and services and the leveraging of new technologies that help banks cement customer relationships, boost operational efficiency and expand market reach. XXXVIII. Pensions, Benefits & 401(k)s Associations Profit Sharing/401(k) Council of America (PSCA) 20 N. Wacker Dr., Ste. 3700 Chicago, IL 60606 US Phone: 312-419-1863


Fax: 312-419-1864 E-mail Address: [email protected] Web Address: www.psca.org The Profit Sharing/401(k) Council of America (PSCA) is a national nonprofit association of 1,200 companies and their 6 million employees. The group expresses its members' interests to federal policymakers and offers practical, cost-effective assistance with profit sharing and 401(k) plan design, administration, investment, compliance and communication. Its web site offers a thorough glossary, statistics and educational material. XXXIX.

Pensions, Benefits & 401(k)s Resources

Employee Benefits Security Administration (EBSA) 200 Constitution Ave. NW Washington, DC 20210 US Phone: 202-693-8700 Fax: 202-693-8736 Toll Free: 866-444-3272 Web Address: www.dol.gov/ebsa The Employee Benefits Security Administration (EBSA) is a division of the U.S. Department of Labor, whose web site features a wealth of benefits information for both employers and employees. Included are the answers to such questions as to how a company's bankruptcy will affect its employees and what one should know about pension rights. Pension Benefit Guarantee Corporation (PBGC) 1200 K St. NW Washington, DC 20005-4026 US Phone: 202-326-4000 Fax: 202-326-4344 Toll Free: 800-400-7242 E-mail Address: [email protected] Web Address: www.pbgc.gov The Pension Benefit Guarantee Corporation (PBGC) is a U.S. Government agency that guarantees a portion of the retirement incomes of about 44 million American workers in about 30,000 private defined benefit pension plans. Its web site contains information regarding this guarantee, along with information on retirement planning and links to several related organizations. XL.

Private Equity Resources

Private Equity International (PEI) Sycamore House


Sycamore Street London, EC1Y 0SG UK Web Address: www.peimedia.com PEI publishes a wide variety of data of interest to the private equity community, in both printed and electronic form. The Deal 105 Madison Av New York, NY 10016 US Phone: 212-313-9200 Web Address: www.thedeal.com The Deal covers business acquisitions, financings and mergers through print, electronic media and events. The Elevator Phone: 954-446-7030 Web Address: The Elevator publishes information of interest to the private equity community, in printed and electronic formats. XLI.

Ratings-Bank, Insurance Co., Bond

A.M. Best Co. Ambest Rd. Oldwick, NJ 08858 US Phone: 908-439-2200 Web Address: www.ambest.com A.M. Best Co. offers comprehensive data covering all aspects of the insurance industry. Its web site offers ratings and analysis, news publications, insurance resources and other products and services. Fitch Ratings 1 State St. Plz. New York, NY 10004 US Phone: 212-908-0500 Toll Free: 800-893-4824 E-mail Address: [email protected] Web Address: www.fitchratings.com Fitch Ratings is a leading provider of global credit ratings and research, offering articles, information on financial institutions, finances of all types and access to related research. Moody's Investor's Service, Inc. 250 Greenwich St. 7 World Trade Ctr. New York, NY 10007 US Phone: 212-553-0300 Fax: 212-553-0882 E-mail Address: [email protected]



Web Address: www.moodys.com Moody's Investor's Services, Inc. provides credit rating, research, risk and analyst information for consumers.

company acquired its smaller rival, Chicago Board of Trade, for about $8 billion. The combined company is one of the biggest exchanges in the world, known as the CME Group.

XLII. Securities Industry Associations

Financial Industry Regulatory Authority, Inc. (FINRA) 1735 K St. Washington, DC 20006 US Phone: 301-590-6500 Web Address: www.finra.org The Financial Industry Regulatory Authority, Inc. (FINRA) is one of the largest non-governmental regulators for security firms in the United States. The organization was created in July 2007 through the consolidation of the National Association of Security Dealers (NASD) and the member functions of the New York Stock Exchange, and is dedicated to protecting investors and maintaining market integrity.

Bombay Stock Exchange Limited (BSE) Phiroze Jeejeebhoy Twrs. Dalal St. Mumbai, 400 001 India Phone: 91-22-22721233/4 Fax: 91-22-22721919 Web Address: www.bseindia.com The Bombay Stock Exchange Limited (BSE) in India is now one of the largest exchanges. The BSE Index, the SENSEX, is one of India's first stock market indexes. Chicago Board Options Exchange (CBOE) 400 S. LaSalle St. Chicago, IL 60605 US Phone: 312-786-5600 Toll Free: 877-843-2263 E-mail Address: [email protected] Web Address: www.cboe.com Chicago Board Options Exchange (CBOE) is one of the world's largest options exchanges. Its investment products include options on Equities, Indices, Interest Rates, Exchange Traded Funds and HOLDRs. Chicago Stock Exchange (CHX) 440 S. LaSalle St. 1 Financial Pl. Chicago, IL 60605 US Phone: 312-663-2222 E-mail Address: [email protected] Web Address: www.chx.com The Chicago Stock Exchange (CHX) is one of the world's largest stock exchanges. CME Group 20 S. Wacker Dr. Chicago, IL 60606 US Phone: 312-930-1000 Toll Free: 800-331-3332 E-mail Address: [email protected] Web Address: www.cmegroup.com CME Group is an international marketplace that brings together buyers and sellers of derivatives products that trade on its trading floors, on its GLOBEX electronic trading system and through privately negotiated transactions. In 2007, the

Futures Industry Association, Inc. (FIA) 2001 Pennsylvania Ave. NW, Ste. 600 Washington, DC 20006 US Phone: 202-466-5460 Fax: 202-296-3184 E-mail Address: [email protected] Web Address: www.futuresindustry.org The Futures Industry Association, Inc. (FIA) represents organizations that have an interest in the futures market. The web site offers a yellow pages section, the current issue of FIA magazine online, an educational section, news and information on conferences and products, a press center, organizational information and contact information. International Swaps and Derivatives Association (ISDA) 360 Madison Ave., 16th fl. New York, NY 10017 US Phone: 212-901-6000 Fax: 212-901-6001 E-mail Address: [email protected] Web Address: www.isda.org ISDA, the International Swaps and Derivatives Association, was chartered in 1985, and today has over 800 member institutions from 55 countries on six continents. These members include most of the world's major institutions that deal in privately negotiated derivatives, as well as many of the businesses, governmental entities and other end users that rely on over-the-counter derivatives to manage financial market risks inherent in their core economic activities The organization has offices in New York


City, Washington DC, London, Singapore, Brussels, Tokyo and Hong Kong. Investment Company Institute (ICI) 1401 H St. NW Washington, DC 20005 US Phone: 202-326-5800 E-mail Address: [email protected] Web Address: www.ici.org The Investment Company Institute (ICI) is a national association of U.S. investment companies. It represents its members in matters of legislation, regulation, taxation, public information, economic and policy research, business operations and statistics. London Stock Exchange 10 Paternoster Sq. London, EC4M 7LS UK Phone: 44-(0)-20-7797-1000 E-mail Address: [email protected] Web Address: www.londonstockexchange.com The London Stock Exchange is one of most international of all the world’s stock exchanges with companies from over 60 countries admitted to trading on its markets. NASDAQ 165 Broadway, 1 Liberty Plz. New York, NY 10006 US Web Address: www.nasdaq.com NASDAQ is an electronic U.S. stock market which plays host to about 3,900 companies. It is home to companies in technology, retail, communications, financial services, transportation, media and biotechnology. The exchange is owned by NASDAQ OMX. National Securities Clearing Corp. (NSCC) Phone: 212-855-5745 Fax: 212-855-4095 E-mail Address: [email protected] Web Address: www.nscc.com National Securities Clearing Corp. (NSCC) is a leading provider of centralized clearance, settlement and information services to the financial services industry. National Stock Exchange (NSX) 440 S. LaSalle St., Ste. 2600 Chicago, IL 60605 US Phone: 312-786-8803


Fax: 312-939-7239 Toll Free: 800-843-3924 Web Address: www.nsx.com The National Stock Exchange (NSX), formerly the Cincinnati Stock Exchange, is an all-electronic stock exchange. NSX provides its members and their customers with an efficient, highly regulated market for the trading of equity securities. National Stock Exchange of India Limited Bandra-Kurla Complex, Bandra (E) Exchange Plz., Plot C/1, G Block Mumbai, 400 051 India Phone: 022-26598100 Fax: 022-26598120 E-mail Address: [email protected] Web Address: www.nseindia.com The National Stock Exchange of India Ltd. (NSE) is one of the largest stock exchanges in India. North American Securities Administrators Association (NASAA) 750 1st St. NE, Ste. 1140 Washington, DC 20002 US Phone: 202-737-0900 Fax: 202-783-3571 E-mail Address: [email protected] Web Address: www.nasaa.org The North American Securities Administrators Association (NASAA) is the oldest international organization devoted to investor protection. It is a voluntary association of securities administrators. NYSE Euronext 11 Wall St. New York, NY 10005 US Phone: 212-656-3000 Fax: 212-656-6973 E-mail Address: [email protected] Web Address: www.nyse.com The NYSE Euronext, the result of the resent merger between the New York Stock Exchange and Euronext N.V., is the worlds largest equities exchange group. Its web site features extensive market information, listed company information, international viewpoints, market regulation data, educational information and more. Securities Industry and Financial Markets Association (SIFMA) 120 Broadway, 35th Fl. New York, NY 10271-0080 US Phone: 212-313-1200


Fax: 212-313-1301 E-mail Address: [email protected] Web Address: www.sifma.org The Securities Industry and Financial Markets Association (SIFMA), formed by the recent merger of the Securities Industry Association (SIA) and the Bond Market Association, brings together the shared interests of more than 650 securities and bond industry firms to accomplish common goals. Securities Investor Protection Corp. (SIPC) 805 15th St. NW, Ste. 800 Washington, DC 20005-2215 US Phone: 202-371-8300 Fax: 202-371-6728 E-mail Address: [email protected] Web Address: www.sipc.org Securities Investor Protection Corp. (SIPC) acts as a trustee and works with an independent courtappointed trustees in missing asset cases to recover funds. Security Traders Association (STA) 420 Lexington Ave., Ste. 2334 New York, NY 10170 US Phone: 212-867-7002 Fax: 212-867-7030 Web Address: www.securitytraders.org The Security Traders Association (STA) is a professional trade organization that works to improve the ethics, business standards and working environment for members, who are engaged in the buying, selling and trading of securities. Singapore Exchange Limited (SGX) 2 Shenton Way 19-00 SGX Ctr. 1 068804 Singapore Phone: 65-6236-8888 Fax: 65-6535-6994 Toll Free: 800-225-5749 E-mail Address: [email protected] Web Address: www.sgx.com The Singapore Exchange Limited (SGX) was formed from the merger of the Stock Exchange of Singapore (SES) and the Singapore International Monetary Exchange (SIMEX) in 1999. TSX Group (The) 130 King St. W. 3rd Fl., P.O. Box 450 Toronto, ON M5X 1J2 Canada Phone: 416-947-4670


Fax: 416-947-4662 Toll Free: 888-873-8392 E-mail Address: [email protected] Web Address: www.tsx.com The TSX Group operates the Toronto Stock Exchange and the TSX Venture Exchange, serving the senior equity market. This site features information about the market, annual reports, the listed companies and market-related news releases. It includes a glossary of investment terms and offers several links and a securities-related course. XLIII.

Securities Industry Resources

China Securities Regulatory Commission Focus Pl. 19 Jin Rong St., W. District Beijing, 100140 China E-mail Address: [email protected] Web Address: www.csrc.gov.cn The China Securities Regulatory Commission (CSRC) was authorized supervise and regulate the securities and futures markets in accordance with the law. Securities & Exchange Board of India Bandra Kurla Complex, Bandra E. Plot No. C4-A, G Block Mumbai, 400 051 India Phone: 91-22-26449000 Fax: 91-22-26449016 E-mail Address: [email protected] Web Address: www.sebi.gov.in The Securities & Exchange Board of India serves to promote and regulate the securities market in India. Securities and Futures Commission 8 Connaught Rd., 8th Fl. Chater House Central, Hong Kong Phone: 852-2840-9222 Fax: 852-2521-7836 Web Address: www.sfc.hk The Securities and Futures Commission (SFC) is non-governmental and independent statutory body responsible for regulating the securities and futures markets in Hong Kong. XLIV.

Stocks and Financial Markets Data

10-K Wizard 3232 McKinney Ave., Ste. 750 Dallas, TX 75204 US Phone: 214-800-4560


Toll Free: 800-365-4608 E-mail Address: [email protected] Web Address: www.10kwizard.com 10-K Wizard, acquired by Morningstar, provides high-quality financial data and filings available on the Internet. Users have access to filings, financial data and analysis, as well as the ability to download data into popular applications. ADR.com 161 N. Concord Exchange South St. Paul, MN 55075 US Phone: 651 453-2128 Toll Free: 800-749-1687 E-mail Address: [email protected] Web Address: www.adr.com ADR.com, a JPMorganChase offering, is a comprehensive company-specific data source for investors interested in the American Depository Receipt stocks and foreign firms. Visitors can view news, quotes, analyst estimates, institutional ownership and more. ADR.com provides global, national and local economic analysis as well as industry sector research. BigCharts 201 California St. San Francisco, CA 94111 US Phone: 212-691-7900 E-mail Address: [email protected] Web Address: www.bigcharts.com BigCharts is a comprehensive and easy-to-use online charting and investment research site, providing access to interactive charts, quotes, reports and indicators on over 50,000 stocks, mutual funds and market indices. BigCharts is a free service supported entirely by site sponsors. Bloomberg LP 731 Lexington Ave. New York, NY 10022 US Phone: 212-318-2000 Fax: 917-369-5000 Web Address: www.bloomberg.com Bloomberg LP is one of the world's premier providers of archived financial information online. Briefing.com 401 N. Michigan, Ste. 2910 Chicago, IL 60611 US Phone: 312-670-4463 Toll Free: 800-752-3013 E-mail Address: [email protected]


Web Address: www.briefing.com Briefing.com is a membership web site that delivers the latest information to the U.S. stock and bond investor. In addition to offering intra-daily commentary, stock quotes and charting, briefing.com enables the user to build a portfolio and receive the latest economic information. Upgrades, downgrades, stock splits, tech stock coverage, earnings news and analysis are available. BusinessWeek Online-Investing P.O. Box 8418 Red Oak, IA 51591-1418 US Fax: 712-623-5229 Toll Free: 888-878-5151 E-mail Address: [email protected] Web Address: www.businessweek.com/investor/index.html BusinessWeek Online-Investing is the result of a joint venture between S&P Personal Wealth and BusinessWeek Online. It provides a comprehensive Ste. of investment management features, original editorial content, premium news and advice and recommendations. CNN Money One CNN Ctr. Atlanta, GA 30303 US E-mail Address: [email protected] Web Address: money.cnn.com CNN Money provides financial information and news, delayed stock quotes, industry commentary, individualized portfolios and financial calculators, all free of charge. Corporate Financials Online, Inc. 50-15 217th St. Bayside, NY 11364 US Web Address: www.cfonews.com Corporate Financials Online, Inc. offers a web site geared toward financial officers, investor relations officers and other managers of publicly held corporations who need broad, rapid dissemination of quarterly earnings, news releases and other investment information. Corporate Information Online 440 Wheelers Farms Rd. Milford, CT 06460 US Phone: 203-783-4433 Fax: 203-783-4401 Web Address: www.corporateinformation.com


Corporate Information Online, operating on a subscription basis, profiles a large pool of information on companies, all organized by country. The corporate links can enhance and simplify any researcher's work. Dailystocks.com E-mail Address: [email protected] Web Address: www.dailystocks.com Dailystocks.com offers stock tracking indicators and a lengthy selection of market commentary links. Links to SEC and EDGAR filings, news headlines, calendars, columns and more are easily accessed from this site. DayTraders Online P.O. Box 150 Pacific Grove, CA 93950-0150 US E-mail Address: [email protected] Web Address: www.daytraders.com DayTraders Online provides subscribers with timely market research useful for both short-term investing and intra-day trading. Entry prices, sell targets and support levels are provided, as well as recommendations for stocks. DayTraders.org E-mail Address: [email protected] Web Address: www.daytraders.org DayTraders.org is one of the largest chat rooms for day trading professionals. The site features a chat room, a forum for frequently asked questions, research information, links, polls, access to traders and intraday tools. Dowjones.com 200 Liberty St. 1 World Financial Ctr. New York, NY 10281 US Phone: 212-416-2000 E-mail Address: [email protected] Web Address: www.dowjones.com Dowjones.com provides online access to Dow Jones stock quotes. Subscribers may view article archives, personalized news, market and portfolio information and utilize search functions. The web site is operated by Dow Jones & Company, which is itself a subsidiary of News Corp. DRIP Central Web Address: www.dripcentral.com Drip Central is a good starting point for information about Dividend Reinvestment Plans (DRIPs) and


Direct Purchase Stocks. The site also features several links to other information-rich sites specializing in low-cost common stock investing measures. E-Line Financials Phone: 613-830-7831 Fax: 613-834-9897 E-mail Address: [email protected] Web Address: www.financials.com E-Line Financials offers quotes, company data, portfolio management, online trading and broker information. Annual reports, today's business news and links can be found on this comprehensive site as well. Users can create and maintain individual portfolios. Elliot Wave Chart Blog (The) E-mail Address: [email protected] Web Address: www.wavechart.com (The) Elliot Wave Chart Blog features long- and short-term Elliot Wave forecasts of the market and its periodic fluctuations. Financial Engines 1804 Embarcadero Rd. Palo Alto, CA 94303 US Phone: 650-565-4900 Fax: 650-565-4905 Toll Free: 888-443-8577 E-mail Address: [email protected] Web Address: www.financialengines.com The Financial Engines web site assists visitors by forecasting what investments might be worth in the future. The site provides users with unbiased advice in order to assist in making better and more informed financial decisions. Users can also monitor investments and read news features. Freerealtime.com 22365 El Toro Rd., Ste. 224 Lake Forest, CA 92630 US Phone: 949-458-6935 E-mail Address: [email protected] Web Address: www.freerealtime.com Freerealtime.com is an investment services and media firm that provides an array of stock market data, business information and sophisticated research, analysis and management tools to individual investors. GreenJungle 1153 Bordeaux Dr., Ste. 109 Sunnyvale, CA 94089 US


Phone: 408-747-1222 Fax: 408-747-1364 E-mail Address: [email protected] Web Address: www.greenjungle.com GreenJungle, produced by PWJohnson Wealth Management, provides educational resources for investors and extended services for clients. The site is easy to use and offers several useful links, original articles about investing and money, information about other educational resources, recommended reading and more. GreenMoney Journal P.O. Box 67 Santa Fe, NM 87504 US Phone: 505-988-7423 Toll Free: 800-849-8751 E-mail Address: [email protected] Web Address: www.greenmoneyjournal.com GreenMoney Journal is a publication that discusses equality, ecology and economics in regard to sustainability. The site promotes socioenvironmentally sound business and strives to educate others about ethical business and financial principles. Growth Report 1015 18th St. NW, Ste. 508 Washington, DC 20036 US Phone: 202-420-7800 Fax: 202-318-0362 Toll Free: 866-447-8625 E-mail Address: [email protected] Web Address: www.growthreport.com Growth Report is an investment advisory focused on uncovering small-cap stocks with substantial growth potential. The site screens thousands of stocks and offers a subscription service with detailed stock reports and recommendations. InvestorGuide E-mail Address: [email protected]. Web Address: www.investorguide.com InvestorGuide's comprehensive web site offers a wealth of financial information and links. Personal portfolios can be tracked and users can browse the InvestorGuide University to learn more about investing. MarketTrak 4425 Juan Tabo Blvd. NE, Ste. 202 Albuquerque, NM 87111 US E-mail Address: [email protected]


Web Address: www.markettrak.com MarketTrak provides a weekly forecast of the Dow Jones Industrial Average (DJIA). A new forecast is computed every week and published on the site each Monday before the market opens. Marketwatch E-mail Address: [email protected] Web Address: www.marketwatch.com Marketwatch, a product of DowJones, offers multiple personal portfolios, market and company research, interday and technical charting, mutual and money market fund data, direct brokerage access and reliable delayed quotes. All services are offered free of charge. Morningstar, Inc. 225 W. Wacker Dr., 6th Fl. Chicago, IL 60606 US Phone: 312-696-6000 Fax: 312-696-6001 E-mail Address: [email protected] Web Address: www.morningstar.com Morningstar, Inc. is a publicly traded company that provides data and charts for mutual funds, stocks and exchange traded fund. It has operations in 18 countries, and serves 6.1 million individual investors, 240,000 financial advisors and 2,400 institutional clients. Motley Fool (The) 2000 Duke St., 4th Fl. Alexandria, VA 22314 US Fax: 703-254-1999 E-mail Address: [email protected] Web Address: www.fool.com The Motley Fool attempts to untangle the world of finance by publishing a series of books and newsletters on investing. The web site offers forums and articles designed to encourage prudent financial strategies. MSN Money Central Web Address: moneycentral.msn.com MSN Money Central features daily announcements, special reports, highlights from financial providers and a wealth of links and other financial information. Mtrader.com Phone: 530-872-1484 Toll Free: 888-590-6255 E-mail Address: [email protected] Web Address: www.mtrader.com


Mtrader.com is a momentum trading forum with a live chat room and videos designed to educate on day trading techniques. A real-time day trading commentary is also offered. Online Investor (OLI) 52 E. 13th St., Ste. 5D New York, NY 10003 US Phone: 650-494-3885 E-mail Address: [email protected] Web Address: www.theonlineinvestor.com The Online Investor (OLI) provides information and insight to encourage those who are comfortable making individual investment decisions to do so based on thorough, independent research. The columns and editorials explain how investors can find and use quality information to evaluate investments. PC Quote 9 Desbrosses St., 3rd Fl. New York, NY 10013 US Phone: 212-334-2000 Fax: 212-334-4464 Toll Free: 888-860-4800 Web Address: www.pcquote.com PC Quote, a subsidiary of Money.net, Inc., provides financial information such as real-time securities quotes, news and investment tools to clients worldwide. Quote.com 3955 Point Eden Way Hayward, CA 94545 US Phone: 510-266-6000 Fax: 510-266-6100 Toll Free: 800-815-8256 Web Address: www.quote.com A good resource for stock market quotes and charts, as well as information on options, futures, ETFs, bonds and foreign exchange. Quote.com is operated by eSignal, Inc., a subsidiary of Interactive Data Corporation. Reuters.com Thompson Reuters Headquarters 3 Times Sq. New York, NY 10036 US Phone: 646-223-4000 Toll Free: 800-738-8377 Web Address: www.reuters.com Reuters.com, a service of Thompson Reuters, offers information on business and world markets, political


and international news and company-specific stock information. Siliconvalley.com Bay Area News Group 2527 Camino Ramon, Ste. 300 San Ramon, CA 94583 US Phone: 408-920-5888 E-mail Address: [email protected] Web Address: www.siliconvalley.com Siliconvalley.com, run by San Jose Mercury News, offers an excellent summary of current financial news and information in the field of technology. SmartMoney 1755 Broadway, 2nd Fl. New York, NY 10019 US Toll Free: 866-219-0687 E-mail Address: [email protected] Web Address: www.smartmoney.com SmartMoney is a great tool for individual investors, offering frequently refreshed stock information, funds, bonds and a variety of other topics such as mortgages, personal financial planning and taxation. Tools such as a stock screener, portfolio tracker and market map are also available to visitors. Thestreet.com, Inc. 14 Wall St., 15th Fl. New York, NY 10005 US Phone: 212-321-5200 Fax: 212-321-5013 Toll Free: 866-321-8726 E-mail Address: [email protected] Web Address: www.thestreet.com Thestreet.com, Inc. provides users with financial reporting and current analysis. Visitors can subscribe to RealMoney for even more in-depth articles by financial analysts. Yahoo! Finance Yahoo! Inc. 701 1st Ave. Sunnyvale, CA 94089 US Phone: 408-349-5070 Web Address: finance.yahoo.com Yahoo! Finance provides a wealth of links and a supreme search guide. Users can find just about any financial information concerning both U.S. and world markets. Tax, insurance information, financial news and community research can be conducted through this site, as can searches for other aspects of the financial world.


Zacks Investment Research, Inc. 111 N. Canal St., Ste. 1101 Chicago, IL 60606 US Phone: 312-265-9339 Fax: 312-630-9898 Toll Free: 800-767-3771 E-mail Address: [email protected] Web Address: www.zacks.com Zacks Investment Research, Inc. reviews the stock recommendations of analysts employed by U.S. brokerage firms, to provide their users with comprehensive stock profiles. The site organizes brokerage recommendations and other conclusions into a number of subscription and free services, as well as offering its own wealth management service. XLV.

Trade Associations-General

BUSINESSEUROPE 168 Ave. de Cortenbergh Brussels, 1000 Belgium Phone: 32-0-2-237-65-11 Fax: 32-0-2-231-14-45 E-mail Address: [email protected] Web Address: www.businesseurope.eu BUSINESSEUROPE is a major European trade federation that operates in a manner similar to a chamber of commerce. Its members are the central national business federations of the 34 countries throughout Europe from which they come. Companies cannot become direct members of BUSINESSEUROPE, though there is a support group which offers the opportunity for firms to encourage BUSINESSEUROPE objectives in various ways. XLVI.

Trade Associations-Global

International Chamber of Commerce (ICC) 38 cours Albert 1er Paris, 75008 France Phone: 33-1-49-53-28-28 Fax: 33-1-49-53-28-59 Web Address: www.iccwbo.org International Chamber of Commerce (ICC) is the voice of world business championing the global economy as a force for economic growth, job creation and prosperity. ICC's Uniform Customs and Practice for Documentary Credits (UCP 500) are the rules that banks apply to finance billions of dollars worth of world trade every year.


Organization for Economic Cooperation and Development (OECD) 2 rue Andre Pascal, Cedex 16 Paris, F-75775 France Phone: 33-1-45-24-82-00 Fax: 33-1-45-24-85-00 E-mail Address: [email protected] Web Address: www.oecd.org Organization for Economic Cooperation and Development (OECD) has been one of the world's largest sources of comparable statistics, and economic and social data. As well as collecting data, OECD monitors trends, analyses and forecasts economic developments and researches social changes or evolving patterns in trade, environment, agriculture, technology, taxation and more. Organization for International Investment (OFII) 1225 19th St. NW, Ste. 501 Washington, DC 20036 US Phone: 202-659-1903 Fax: 202-659-2293 E-mail Address: [email protected] Web Address: www.ofii.org OFII is a business association located in Washington D.C. that represents the unique issues of U.S. subsidiaries of firms with foreign headquarters. OFII's member companies range from medium-sized enterprises to some of the largest firms in the United States. The group publishes numerous studies. World Trade Organization (WTO) Centre William Rappard Rue de Lausanne 154 Geneva 21, CH-1211 Switzerland Phone: 41-22-739-51-11 Fax: 41-22-731-42-06 E-mail Address: [email protected] Web Address: www.wto.org The World Trade Organization (WTO) is a global organization dealing with the rules of trade between nations. To become a member, nations must agree to abide by certain guidelines. Membership increases a nation's ability to import and export efficiently. XLVII. U.S. Government Agencies Board of Governors of the Federal Reserve System (FRB) 20th St. and Constitution Ave. NW Washington, DC 20551 US Phone: 202-452-3000 Web Address: www.federalreserve.gov


The Board of Governors of the Federal Reserve System (FRB) regulates the national banking system to promote a more stable monetary and financial system. Bureau of Economic Analysis (BEA) 1441 L St. NW Washington, DC 20230 US Phone: 202-606-9900 E-mail Address: [email protected] Web Address: www.bea.gov The Bureau of Economic Analysis (BEA), an agency of the U.S. Department of Commerce, is the nation's economic accountant, preparing estimates that illuminate key national, international and regional aspects of the U.S. economy. Bureau of Labor Statistics (BLS) 2 Massachusetts Ave. NE Washington, DC 20212-0001 US Phone: 202-691-5200 Web Address: stats.bls.gov The Bureau of Labor Statistics (BLS) is the principal fact-finding agency for the Federal Government in the field of labor economics and statistics. It is an independent national statistical agency that collects, processes, analyzes and disseminates statistical data to the American public, U.S. Congress, other federal agencies, state and local governments, business and labor. The BLS also serves as a statistical resource to the Department of Labor. Federal Housing Administration (FHA) U.S. Dept of Housing & Urban Development 451 7th Street S.W. Washington, DC 20410 US Toll Free: 800-225-5342 Web Address: www.fha.gov The Federal Housing Administration, generally known as FHA, is the largest government insurer of mortgages in the world, insuring over 35 million properties since its inception in 1934. A part of the United States Department of Housing and Urban Development (HUD), FHA provides mortgage insurance on single-family, multifamily, manufactured homes and hospital loans made by FHA-approved lenders throughout the United States and its territories. FedStats Web Address: www.fedstats.gov FedStats compiles information for statistics from over 100 U.S. federal agencies. Visitors can sort the


information by agency, geography and topic, as well as perform searches. Government Printing Office (GPO) 732 N. Capitol St. NW Washington, DC 20401 US Phone: 202-512-0000 Fax: 202-512-2104 Toll Free: 866.512.1800 E-mail Address: [email protected] Web Address: www.gpo.gov The U.S. Government Printing Office (GPO) is the primary information source concerning the activities of Federal agencies. GPO gathers, catalogues, produces, provides, authenticates and preserves published information. U.S. Census Bureau 4600 Silver Hill Rd. Washington, DC 20233-8800 US Phone: 301-763-4636 Fax: 301-457-3670 Toll Free: 800-923-8282 E-mail Address: [email protected] Web Address: www.census.gov The U.S. Census Bureau is the official collector of data about the people and economy of the U.S. Founded in 1790, it provides official social, demographic and economic information. U.S. Department of Commerce (DOC) 1401 Constitution Ave. NW Washington, DC 20230 US Phone: 202-482-2000 E-mail Address: [email protected] Web Address: www.commerce.gov The U.S. Department of Commerce (DOC) regulates trade and provides valuable economic analysis of the economy. U.S. Department of Labor (DOL) Frances Perkins Bldg. 200 Constitution Ave. NW Washington, DC 20210 US Toll Free: 866-487-2365 Web Address: www.dol.gov The U.S. Department of Labor (DOL) is the government agency responsible for labor regulations. This site provides tools to help citizens find out whether companies are complying with family and medical-leave requirements.


U.S. Securities and Exchange Commission (SEC) 100 F St. NE Washington, DC 20549 US Phone: 202-551-6000 Toll Free: 888-732-6585 E-mail Address: [email protected] Web Address: www.sec.gov The U.S. Securities and Exchange Commission (SEC) is a nonpartisan, quasi-judicial regulatory agency responsible for administering federal securities laws. These laws are designed to protect investors in securities markets and ensure that they have access to disclosure of all material information concerning publicly traded securities. Visitors to the web site can access the EDGAR database of corporate financial and business information. U.S. Treasury-Financial Stability Initiative 1500 Pennsylvania Ave. NW Washington, DC 20220 US Phone: 202-622-2000 Fax: 202-622-6415 Web Address: www.financialstability.gov The U.S. Treasury-Financial Stability Initiative website includes links to information about the Financial Stability Plan, Capital Assistance Program, Consumer and Business Lending Initiatives and other links for homeowners. XLVIII.

Venture Capital Associations

Canada's Venture Capital & Private Equity Association (CVCA) 101 College St., Ste. 120 J Toronto, ON M5G 1L7 Canada Phone: 416-487-0519 Fax: 416-487-5899 E-mail Address: [email protected] Web Address: www.cvca.ca Canada’s Venture Capital & Private Equity Association (CVCA) represents the majority of private equity companies in Canada, with over 1000 members. CVCA members have over $50 billion in capital under management, in three distinct market segments: buyout, mezzanine and venture investments. National Venture Capital Association 1655 N. Fort Myer Dr., Ste. 850 Arlington, VA 22209 US Phone: 703-524-2549 Fax: 703-524-3940 Web Address: www.nvca.org


The National Venture Capital Association (NVCA) is a trade association that represents the U.S. venture capital industry. It is a member-based organization, which consists of venture capital firms that manage pools of risk equity capital designated to be invested in high growth companies.



Chapter 4 THE INVESTMENT 350: WHO THEY ARE AND HOW THEY WERE CHOSEN Includes Indexes by Company Name, Industry & Location, And a Complete Table of Sales, Profits and Ranks

The companies chosen to be listed in PLUNKETT’S INVESTMENT & SECURITIES INDUSTRY ALMANAC comprise a unique list. THE INVESTMENT 350 (the actual count is 350 companies) were chosen specifically for their dominance in the many facets of the investment and securities industry in which they operate. Complete information about each firm can be found in the “Individual Profiles,” beginning at the end of this chapter. These profiles are in alphabetical order by company name. THE INVESTMENT 350 includes leading companies from all parts of the United States as well as many other nations, and from all investment and related industry segments including regional, national and global brokerage firms; banks; exchanges, asset management firms and more. Simply stated, the list contains 350 of the largest, most successful, fastest growing firms in investments and related industries in the world. To be included in our list, the firms had to meet the following criteria:

1) Generally, these are corporations based in the U.S., however, the headquarters of 92 firms are located in other nations. 2) Prominence, or a significant presence, in investment and supporting fields. (See the following Industry Codes section for a complete list of types of businesses that are covered). 3) The companies in THE INVESTMENT 350 do not have to be exclusively in the investment and securities field. 4) Financial data and vital statistics must have been available to the editors of this book, either directly from the company being written about or from outside sources deemed reliable and accurate by the editors. A small number of companies that we would like to have included are not listed because of a lack of sufficient, objective data.

Plunkett Research, Ltd. INDEXES TO THE FIRMS, AS FOUND IN THIS CHAPTER AND IN THE BACK OF THE BOOK: Industry List, With Codes p. 76 Index of Rankings Within Industry Groups p. 77 Alphabetical Index p. 86 Index of U.S. Headquarters Location by State p. 89 Index of Non-U.S. Headquarters Location by Country p. 93 Index by Regions of the U.S. Where the Firms Have Locations p. 95 Index by Firms with International Operations p. 104 Index of Firms Noted as “Hot Spots for Advancement” for Women/Minorities p. 460 Index by Subsidiaries, Brand Names and Selected Affiliations p. 462

INDUSTRY LIST, WITH CODES This book refers to the following list of unique industry codes, based on the 2007 NAIC code system (NAIC is used by many analysts as a replacement for older SIC codes because NAIC is more specific to today’s industry sectors, see www.census.gov/NAICS). Companies profiled in this book are given a primary NAIC code, reflecting the main line of business of each firm.

www.plunkettresearch.com 524210 541213 561450

InfoTech 511210 518210

511110 511130

519130

511120 522110 522320 523110 523120 523120A 52312E 523140 523210 523910 523920 524 524113 524114 524126

Internet Publishing & Web Search Portals

Manufacturing 323

Printing Services Printing

Real Estate 531120

Real Estate Real Estate Investment Trusts Nonresidential

Services 5311

Financial Services Financial Data Financial Data Publishing- Print & Online Banking, Credit & Finance Commercial Banking Payment & Transaction Processing Services Stocks & Investments Investment Banking Stock Brokerage Stock Brokerage-Specialist Stock & Bond Brokerage-Online Commodity & Futures Brokerage Stocks, Bonds & Commodities Exchanges Venture Capital/Private Equity Investments Investment Management/Mutual Funds/Pension Funds Insurance Insurance Underwriting/General Insurance Carriers Insurance-Life Insurance-Health, HMO's & PPO's Insurance--Property & Casualty, Specialty, Surety

Software Computer Software, Publisher Information & Data Processing Services Data Processing Services

Internet

Entertainment Publishing Newspapers, Publishing Books, Publishing

Insurance Brokerage, Agencies & Exchanges Professional Services, Financial Tax Return Preparation Credit Bureaus Credit Bureaus

55111

Real Estate Real Estate Operations & Development-General Management Management of Companies & Enterprises



INDEX OF RANKINGS WITHIN INDUSTRY GROUPS Company MCGRAW HILL COS INC ALLIED IRISH BANKS PLC BANCO SANTANDER CENTRAL HISPANO SA BANK OF AMERICA CORP BANK OF IRELAND BANK OF MONTREAL (BMO) BANK OF NEW YORK MELLON BANK OF NOVA SCOTIA (SCOTIABANK) BARCLAYS PLC BBVA (BANCO BILBAO VIZCAYA ARGENTARIA) BNP PARIBAS BOC HONG KONG (HOLDINGS) CANADIAN IMPERIAL BANK OF COMMERCE CITIGROUP INC CITIZENS FINANCIAL GROUP INC COMMERZBANK AG COMMONWEALTH BANK OF AUSTRALIA CREDIT AGRICOLE SA CREDIT SUISSE GROUP DANSKE BANK AKTIESELSKAB DEUTSCHE BANK AG DEXIA GROUP FIFTH THIRD BANCORP HARRIS BANKCORP INC HDFC BANK LTD HSBC HOLDINGS PLC HSBC NORTH AMERICA HOLDINGS INC HSBC USA HYPO VEREINSBANK AG (HVB GROUP) ING GROUP (ING GROEP NV) INTESA SANPAOLO SPA JP MORGAN CHASE & CO INC KBC GROUP NV KEYCORP LLOYDS BANKING GROUP PLC MARSHALL & ILSLEY CORP MIZUHO FINANCIAL GROUP INC NATIONAL AUSTRALIA BANK PNC FINANCIAL SERVICES GROUP INC REGIONS FINANCIAL CORP

2008 Industry Sales Code (U.S. $ thousands) Books, Publishing 511130 6,355,100 Commercial Banking 522110 5,056,120

Sales Rank

2008 Profits (U.S. $ thousands)

Profits Rank

1

799,500

1

41

1,099,220

27

522110 522110 522110 522110 522110 522110 522110

117,803,000 113,106,000 5,961,870 19,365,000 13,652,000 25,944,000 75,136,000

5 6 40 30 32 28 14

12,992,000 4,008,000 2,504,750 1,928,000 1,445,000 3,061,000 8,035,000

1 12 20 22 26 15 2

522110 522110 522110

61,184,000 136,096,000 2,915,130

15 4 43

7,348,000 4,422,000 431,340

3 9 30

522110 522110 522110 522110 522110 522110 522110 522110 522110 522110 522110 522110 522110 522110 522110 522110 522110 522110 522110 522110 522110 522110 522110 522110 522110 522110 522110 522110

2,829,010 112,372,000

44 8

-2,006,120 -27,684,000

38 47

34,776,000 8,689,400 103,582,000 45,296,000 34,291,000 81,360,000 161,269,000 8,640,000

23 36 10 20 24 13 2 37

4,287,000 2,922,500 1,499,000 -7,594,000 198,000 -5,613,000 -4,868,000 -2,113,000

10 18 25 45 32 44 42 40

2,605,000 142,049,000

45 3

328,700 5,728,000

31 5

226,577,000 52,947,000 101,491,000 32,606,000 6,658,000 32,196,000 4,025,809 45,725,900 31,213,000 9,886,000 9,636,621

1 17 11 25 39 26 42 19 27 34 35

-1,067,000 3,737,000 5,605,000 -3,636,000 -1,468,000 1,502,000 -2,043,462 2,485,910 4,104,000 882,000 -5,595,774

36 13 6 41 37 24 39 21 11 28 43


Company


Industry Code 522110

2008 Sales (U.S. $ thousands)

Sales Rank 22

ROYAL BANK OF CANADA (RBC) 36,616,000 ROYAL BANK OF SCOTLAND GROUP PLC (THE, RBS) 522110 113,087,000 7 SOCIETE GENERALE GROUP 522110 104,378,000 9 STATE BANK OF INDIA 522110 8,142,830 38 SUMITOMO MITSUI FINANCIAL GROUP (SMFG) 522110 38,632,190 21 SUNTRUST BANKS INC 522110 13,012,674 33 SVB FINANCIAL GROUP 522110 610,416 48 TORONTO-DOMINION BANK (TD BANK) 522110 25,070,000 29 UBS AG 522110 59,882,000 16 UNICREDIT SPA (UNICREDIT GROUP) 522110 94,036,000 12 US BANCORP 522110 14,677,000 31 WACHOVIA CORP 522110 WEBSTER FINANCIAL CORP 522110 1,066,592 46 WELLS FARGO & CO 522110 51,652,000 18 WILMINGTON TRUST CORP 522110 1,042,800 47 Commodity & Futures Brokerage RJ O'BRIEN & ASSOCIATES 523140 ROSENTHAL COLLINS GROUP 523140 Computer Software Publisher BGC PARTNERS INC 511210 1,228,932 2 S1 CORPORATION 511210 228,435 4 SS&C TECHNOLOGIES INC 511210 280,006 3 SUNGARD DATA SYSTEMS INC 511210 5,596,000 1 Credit Bureaus MOODY'S CORPORATION 561450 1,755,400 1 STANDARD & POORS (S&P) 561450 Data Processing, Hosting & Related Services AUTOMATIC DATA PROCESSING 518210 8,776,500 1 INVESTMENT TECHNOLOGY GROUP INC (ITG) 518210 762,983 2 Insurance Brokerages, Agencies & Exchanges MARSH & MCLENNAN COMPANIES INC 524210 11,587,000 1 Insurance Underwriting/General Insurance Carriers SOMPO JAPAN INSURANCE INC 524 18,213,100 1 Insurance--Health, HMO's & PPO's CONSECO INC 524114 4,131,300 1 Insurance--Life AIG SUNAMERICA INC 524113 ASSICURAZIONI GENERALI SPA 524113 103,103,000 1 AVIVA PLC 524113 35,506,000 7 AXA FINANCIAL INC 524113 AXA GROUP 524113 80,257,000 2 DAI-ICHI MUTUAL LIFE INSURANCE COMPANY 524113 45,438,000 5 GENWORTH FINANCIAL INC 524113 9,948,000 12 GUARDIAN LIFE INSURANCE COMPANY OF AMERICA 524113 7,472,000 16

2008 Profits 4,440,000

Profits Rank 8

-43,167,000 2,942,000 1,923,480

48 17 23

5,018,580 785,774 78,628 3,736,000 -19,301,000 5,872,000 2,946,000

7 29 33 14 46 4 16

-321,830 2,655,000 -23,600

35 19 34

-29,709 21,850 18,801 470,000

4 2 3 1

457,600

1

1,161,700

1

114,642

2

-73,000

1

596,400

1

-1,126,700

1

1,260,000 -1,678,000

5 23

1,351,000

3

1,309,000 -572,000

4 16

437,000

11

(U.S. $ thousands)


Company


Industry Code


Sales Rank

HARTFORD FINANCIAL SERVICES GROUP INC 524113 9,219,000 15 ING NORTH AMERICA INSURANCE CORP 524113 JOHN HANCOCK FINANCIAL SERVICES INC 524113 LINCOLN NATIONAL CORP 524113 9,883,000 14 MASSACHUSETTS MUTUAL LIFE INSURANCE CO 524113 18,745,000 10 MEIJI YASUDA LIFE INSURANCE 524113 38,082,000 6 METLIFE INC 524113 55,085,000 4 MIDLAND NATIONAL LIFE INSURANCE COMPANY 524113 MUTUAL OF OMAHA COMPANIES 524113 4,072,790 19 NATIONWIDE FINANCIAL NETWORK 524113 NATIONWIDE FINANCIAL SERVICES INC 524113 2,707,600 20 NEW YORK LIFE INSURANCE 524113 16,830,000 11 NIPPON LIFE INSURANCE CO 524113 65,951,000 3 NORTHWESTERN MUTUAL LIFE INSURANCE CO 524113 21,734,400 9 OLD MUTUAL PLC 524113 75,280 23 PACIFIC MUTUAL HOLDING CO 524113 5,252,000 18 PHOENIX COMPANIES 524113 2,008,300 22 PRINCIPAL FINANCIAL GROUP 524113 9,935,900 13 PROTECTIVE LIFE CORP 524113 2,505,564 21 PRUDENTIAL FINANCIAL INC 524113 29,275,000 8 PRUDENTIAL PLC 524113 SECURITY BENEFITS GROUP OF COMPANIES 524113 THRIVENT FINANCIAL FOR LUTHERANS 524113 6,413,000 17 Insurance--Property & Casualty, Specialty, Surety ALLIANZ SE 524126 142,395,000 1 ALLSTATE CORPORATION 524126 29,394,000 5 AMBAC FINANCIAL GROUP 524126 483,713 16 AMERICAN INTERNATIONAL GROUP (AIG) 524126 92,625,000 2 ASSURANCES GENERALES DE FRANCE 524126 ASSURED GUARANTY LTD 524126 618,270 15 CNA FINANCIAL CORP 524126 10,290,000 11 FINANCIAL GUARANTY INSURANCE COMPANY 524126 431,212 17 FINANCIAL SECURITY ASSURANCE HOLDINGS LTD 524126 658,400 14 LIBERTY MUTUAL GROUP INC 524126 28,855,000 6 MBIA INC 524126 MITSUI SUMITOMO INSURANCE GROUP HOLDINGS INC 524126 16,165,500 9 NATIONWIDE MUTUAL INSURANCE CO 524126 19,848,000 8 PMI GROUP INC 524126 907,787 13 RADIAN GROUP INC 524126 1,808,000 12 STATE FARM INSURANCE COMPANIES 524126 61,343,400 3


Profits Rank

-2,749,000

24

57,000

12

-924,000 1,239,000 3,209,000

20 6 1

47,048

13

-849,000 -1,016,000 3,015,000

19 21 2

483,200 1,093,990 534,000 -726,000 458,100 -41,855 -1,073,000 -623,300

9 7 8 18 10 14 22 17

-315,000

15

-3,577,000 -1,679,000 -5,609,248

15 13 16

-99,289,000

18

68,883 1,108,000

7 4

-560,618

11

-8,443,200 1,140,000 -2,672,693

17 3 14

90,240 -342,000 -928,508 -410,600 -541,800

6 8 12 9 10

Plunkett Research, Ltd. 2008 Industry Sales Sales Code Rank (U.S. $ thousands) TRAVELERS COMPANIES INC 524126 24,477,000 7 USAA 524126 12,912,000 10 ZURICH FINANCIAL SERVICES 524126 32,349,000 4 Internet Publishing & Web Search Portals BLOOMBERG LP 519130 6,100,000 2 FACTSET RESEARCH SYSTEMS 519130 575,519 4 INTERACTIVE DATA CORP 519130 750,541 3 MORNINGSTAR INC 519130 502,457 5 THOMSON REUTERS 519130 11,707,000 1 Investment Banking ARLINGTON ASSET INVESTMENT CORPORATION 523110 96,953 28 BARCLAYS CAPITAL 523110 BROADPOINT GLEACHER SECURITIES GROUP INC 523110 145,013 26 BURRILL & COMPANY 523110 CANTOR FITZGERALD LP 523110 CENTERVIEW PARTNERS LLC 523110 CIBC WORLD MARKETS INC 523110 CITIC SECURITIES INTERNATIONAL COMPANY LTD 523110 CITIGROUP INSTITUTIONAL CLIENTS GROUP 523110 CITIGROUP JAPAN HOLDINGS 523110 COWEN GROUP INC 523110 217,324 22 CREDIT SUISSE (USA) 523110 DAISHIN SECURITIES CO LTD 523110 2,227,660 10 DAIWA SECURITIES GROUP INC 523110 5,428,340 6 EVERCORE PARTNERS INC 523110 340,000 19 GOLDMAN SACHS GROUP INC 523110 53,579,000 1 GREENHILL & COMPANY INC 523110 221,873 21 HANWHA SECURITIES CO LTD 523110 HOULIHAN LOKEY 523110 INVESTEC LIMITED 523110 2,360,630 9 JANNEY MONTGOMERY SCOTT 523110 JEFFERIES BROADVIEW 523110 JEFFERIES GROUP INC 523110 1,682,739 11 KBW INC 523110 242,217 20 KYOBO SECURITIES CO LTD 523110 LADENBURG THALMANN FINANCIAL 523110 120,970 27 LAZARD LTD 523110 1,557,207 12 LEGG MASON INC 523110 4,634,086 7 MACQUARIE GROUP LIMITED 523110 6,573,540 5 MERRILL LYNCH & CO INC 523110 16,784,000 3 MESIROW FINANCIAL HOLDINGS INC 523110 492,000 17 MOELIS & COMPANY 523110 MORGAN KEEGAN & CO INC 523110 MORGAN STANLEY 523110 24,700,000 2

Company

www.plunkettresearch.com 2008 Profits 2,924,000 423,000 3,039,000

Profits Rank 2 5 1

125,017 142,648 92,532 1,264,000

3 2 4 1

-417,463

26

-17,362

18

-72,154

23

152,460 522,560 -9,384 2,322,000 48,978

9 5 17 1 11

640,890

4

-536,128 -62,349

27 22

-20,263 3,138 267,610 1,634,090 -27,612,000

19 14 6 3 29

1,700,000

2

(U.S. $ thousands)

Plunkett Research, Ltd. 2008 Industry Sales Sales Code Rank (U.S. $ thousands) N M ROTHSCHILD & SONS 523110 NH INVESTMENT & SECURITIES CO LTD 523110 155,370 25 NOMURA HOLDINGS INC 523110 8,936,860 4 OPPENHEIMER HOLDINGS INC 523110 920,070 13 PERELLA WEINBERG PARTNERS 523110 PIPER JAFFRAY COMPANIES 523110 7,625 31 RAYMOND JAMES FINANCIAL 523110 3,204,932 8 RBC CAPITAL MARKETS 523110 RBC DOMINION SECURITIES INC 523110 RBC WEALTH MANAGEMENT 523110 RELIANCE CAPITAL LIMITED 523110 889,650 14 REPUBLIC FINANCIAL CORP 523110 ROBERT W BAIRD & CO INC 523110 680,000 16 ROTH CAPITAL PARTNERS LLC 523110 SANDERS MORRIS HARRIS GROUP 523110 196,330 23 SIAM CITY SECURITIES CO LTD 523110 SIEBERT FINANCIAL CORP 523110 29,750 30 SIMMONS & COMPANY INTERNATIONAL 523110 STIFEL FINANCIAL CORP 523110 888,847 15 SWS GROUP INC 523110 477,527 18 THOMAS WEISEL PARTNERS GROUP INC 523110 195,465 24 UBS INVESTMENT BANK 523110 ZIEGLER COMPANIES 523110 81,762 29 Investment Management/Mutual Funds/Pension Funds ABERDEEN ASSET MANAGEMENT PLC 523920 604,490 24 AFFILIATED MANAGERS GROUP 523920 1,158,217 18 AGF MANAGEMENT LIMITED 523920 725,600 23 ALLIANCEBERNSTEIN HOLDING 523920 3,514,159 8 ALLIANZ GLOBAL INVESTORS OF AMERICA LP 523920 AMERICAN CENTURY COMPANIES INC 523920 AMERIPRISE FINANCIAL INC 523920 6,970,000 5 AMP LIMITED 523920 2,559,580 12 ARIEL CAPITAL MANAGEMENT 523920 ARTIO GLOBAL INVESTORS INC 523920 ASSET ALLIANCE CORP 523920 BESSEMER GROUP INC 523920 BLACKROCK INC 523920 5,064,000 7 CALAMOS ASSET MANAGEMENT 523920 391,589 25 CALIFORNIA PUBLIC EMPLOYEES RETIREMENT (CALPERS) 523920 CALVERT GROUP LTD 523920 CAPITAL GROUP COMPANIES INC (THE, AMERICAN FUNDS) 523920 7,630,000 4 CAPITAL RESEARCH AND MANAGEMENT COMPANY (AMERICAN FUNDS) 523920 CI FINANCIAL INCOME FUND 523920 1,417,030 15 CITADEL INVESTMENT GROUP 523920

Company

www.plunkettresearch.com 2008 Profits (U.S. $ thousands)

Profits Rank

21,970 -770,190 -20,770

13 28 20

-182,975 235,078

25 7

217,680

8

-25,293

21

-1,760

16

55,502 31,932 -158,569

10 12 24

1,301

15

65,840 23,170 128,600 839,240

18 20 15 4

-38,000 516,010

23 7

786,000 -24,521

5 22

417,410

11


Company CLINTON GROUP INC CLIPPER FUND INC COLUMBIA MANAGEMENT GROUP INC CREDIT SUISSE ASSET MANAGEMENT DAVIS SELECTED ADVISORS LP DODGE & COX DREYFUS CORPORATION DWS INVESTMENTS EATON VANCE CORP EVERGREEN INVESTMENT MANAGEMENT CO LLC FARALLON CAPITAL MANAGEMENT LLC FAYEZ SAROFIM & CO FEDERATED INVESTORS INC FIRST AMERICAN FUNDS FIRST EAGLE INVESTMENT MANAGEMENT FMR CORP (FIDELITY INVESTMENTS) FRANK RUSSELL COMPANY FRANKLIN RESOURCES INC (FRANKLIN TEMPLETON) GAMCO INVESTORS INC IGM FINANCIAL INC INVESCO AIM MANAGEMENT GROUP INC INVESCO LTD JANUS CAPITAL GROUP INC LONGLEAF PARTNERS LORD ABBETT & CO LLC MACKENZIE FINANCIAL CORP MAN GROUP PLC MASSACHUSETTS FINANCIAL SERVICES COMPANY (MFS) NATIONAL FINANCIAL PARTNERS CORP NEUBERGER BERMAN GROUP NEW YORK STATE AND LOCAL RETIREMENT SYSTEM NUVEEN INVESTMENTS INC OAK ASSOCIATES LTD OAKMARK OHIO PUBLIC EMPLOYEES RETIREMENT SYSTEM OLD MUTUAL ASSET MANAGEMENT CORP US OPPENHEIMERFUNDS INC PACIFIC INVESTMENT MANAGEMENT CO (PIMCO) PINEBRIDGE INVESTMENTS PIONEER INVESTMENT MANAGEMENT USA INC PUTNAM LLC


Industry Code 523920 523920 523920 523920 523920 523920 523920 523920 523920 523920 523920 523920 523920 523920 523920 523920 523920


Sales Rank


Profits Rank

1,095,800

20

195,663

13

1,223,680

17

224,317

12

12,900,000

2

523920 523920 523920 523920 523920 523920 523920 523920 523920 523920

6,032,400 245,012 2,563,700

6 26 11

1,588,200 24,866 692,700

3 19 6

3,307,600 1,037,900

9 21

481,700 136,900

10 14

3,171,000

10

3,471,000

1

523920 523920 523920

1,150,387

19

14,836

21

523920 523920 523920 523920 523920 523920 523920 523920 523920 523920 523920


Company


Industry Code 523920 523920


Sales Rank

RS INVESTMENT MANAGEMENT SCHRODERS PLC 1,507,880 14 SCHWAB RETIREMENT PLAN SERVICES COMPANY 523920 SCM ADVISORS LLC 523920 SEI INVESTMENTS CO 523920 1,247,919 16 SINOPIA ASSET MANAGEMENT 523920 STATE STREET CORP 523920 10,693,000 3 SUN CAPITAL PARTNERS INC 523920 T ROWE PRICE GROUP INC 523920 2,116,000 13 TIAA-CREF 523920 29,362,000 1 TREMONT CAPITAL MANAGEMENT INC 523920 US TRUST BANK OF AMERICA PRIVATE WEALTH MANAGEMENT 523920 VAN KAMPEN INVESTMENTS 523920 VANGUARD GROUP INC 523920 VIRTUS INVESTMENT PARTNERS INC 523920 178,300 27 WADDELL & REED FINANCIAL 523920 919,120 22 WELLINGTON MANAGEMENT COMPANY LLP 523920 WELLS CAPITAL MANAGEMENT 523920 WELLS FARGO ADVISORS 523920 Magazine and Periodicals Publishing BT RADIANZ 511120 VALUE LINE INC 511120 82,678 1 Management of Companies & Enterprises BERKSHIRE HATHAWAY INC 55111 107,786,000 1 VULCAN INC 55111 Newspapers, Publishing DOW JONES & CO INC 511110 Payment & Transaction Processing Services DEPOSITORY TRUST & CLEARING CORPORATION 522320 1,027,275 4 DST SYSTEMS INC 522320 2,285,400 2 FISERV INC 522320 4,739,000 1 INSTINET INC 522320 METAVANTE TECHNOLOGIES 522320 1,707,300 3 PERSHING LLC 522320 Printing BOWNE & CO INC 323 766,645 1 DE LA RUE PLC 323 763,410 2 R R DONNELLEY CAPITAL MARKETS 323 R R DONNELLEY GLOBAL INVESTMENT MARKETS 323 Real Estate Investment Trusts - Nonresidential COLONY CAPITAL LLC 531120 Real Estate Rental, Leasing, Development & Management BROOKFIELD ASSET MANAGEMENT INC 5311 12,868,000 1


Profits Rank

123,590

16

496,349

8

1,811,000

2

491,000 -3,345,000

9 25

-529,100 96,163

24 17

25,550

1

4,994,000

1

127,601 242,900 569,000

4 2 1

147,350

3

-23,167 144,020

2 1

649,000

1


Company A B WATLEY GROUP INC BOURSORAMA CORTAL CONSORS SA E*TRADE FINANCIAL CORP SCOTTRADE INC SHAREBUILDER CORP TD AMERITRADE HOLDING TRADESTATION GROUP INC CHARLES SCHWAB CORP FIRST ALLIED SECURITIES INC GFI GROUP INC ICAP PLC INTERACTIVE BROKERS GROUP JONES FINANCIAL COMPANIES (EDWARD JONES) KEEFE BRUYETTE & WOODS KNIGHT CAPITAL GROUP INC LINSCO/PRIVATE LEDGER TULLETT PREBON PLC

www.plunkettresearch.com 2008 Industry Sales Code (U.S. $ thousands) Stock & Bond Brokerage--Online 52312E 52312E 52312E 52312E 3,323,013 52312E 52312E 52312E 2,537,356 52312E 160,432 Stock Brokerage 523120 5,150,000 523120 523120 1,015,503 523120 2,376,520 523120 2,182,102

Sales Rank

523120 523120 523120 1,042,616 523120 3,100,000 523120 1,535,900 Stock Brokerage-Specialist LABRANCHE & CO INC 523120A 224,149 Stocks, Bonds & Commodities Exchanges CHICAGO BOARD OPTIONS EXCHANGE INC (CBOE) 523210 423,800 DEUTSCHE BORSE AG 523210 3,632,810 EUREX 523210 FINRA (FINANCIAL INDUSTRY REGULATORY AUTHORITY) 523210 HONG KONG EXCHANGES & CLEARING LIMITED 523210 973,540 INTERCONTINENTALEXCHANGE INC (ICE) 523210 813,078 INTERNATIONAL SECURITIES EXCHANGE (ISE) 523210 LCH CLEARNET GROUP LTD 523210 2,312,100 LONDON STOCK EXCHANGE PLC (LSE) 523210 819,600 NASDAQ OMX 523210 3,648,693 NEW YORK MERCANTILE EXCHANGE INC 523210 NYSE AMEX LLC 523210 NYSE EURONEXT INC 523210 4,703,000 TMX GROUP INC 523210 533,189 TOKYO STOCK EXCHANGE (TSE) 523210 Tax Return Preparation H&R BLOCK INC 541213 4,086,630 Venture Capital/Private Equity Investments 3I GROUP PLC 523910 1,533,700 ADVENT INTERNATIONAL CORP 523910


Profits Rank

1

-511,790

3

2 3

803,917 30,637

1 2

1

1,212,000

1

7 3 4

53,106 535,870 93,047

6 2 5

6 2 5

177,911

4

285,010

3

1

-65,963

1

9 3

115,300 1,528,970

8 1

5

661,480

2

7

300,972

5

4 6 2

319,720 260,700 319,880

4 6 3

1 8

-738,000 181,952

9 7

1

-308,647

1

3

1,258,600

1


Company APAX PARTNERS LLP APOLLO GLOBAL MANAGEMENT ATLAS VENTURE BAIN CAPITAL LLC BATTERY VENTURES BLACKSTONE GROUP LP BRIDGEWATER ASSOCIATES CARLYLE GROUP CERBERUS CAPITAL MANAGEMENT LP CLAYTON DUBILIER & RICE INC COMPASS DIVERSIFIED HOLDINGS DE SHAW & CO LP DRAPER FISHER JURVETSON FIRST RESERVE CORP FORTRESS INVESTMENT GROUP LLC GLG PARTNERS INC HELLMAN & FRIEDMAN LLC HM CAPITAL PARTNERS LLC J C FLOWERS & CO LLC KKR & CO LP (KOHLBERG KRAVIS ROBERTS & CO) KLEINER PERKINS CAUFIELD & BYERS LEUCADIA NATIONAL CORP MADISON DEARBORN PARTNERS LLC MAYFIELD FUND NEW ENTERPRISE ASSOCIATES OAKTREE CAPITAL MANAGEMENT LP ONEX CORPORATION PROVIDENCE EQUITY PARTNERS SAFEGUARD SCIENTIFICS INC SEQUOIA CAPITAL SILVER LAKE PARTNERS SUMMIT PARTNERS THOMAS H LEE PARTNERS LP TPG (TEXAS PACIFIC GROUP) UNITAS CAPITAL WARBURG PINCUS LLC


Industry Code 523910 523910 523910 523910 523910 523910 523910 523910 523910 523910 523910 523910 523910 523910 523910 523910 523910 523910 523910 523910 523910 523910 523910 523910 523910 523910 523910 523910 523910 523910 523910 523910 523910 523910 523910 523910


Sales Rank


Profits Rank

1,476,357

4

-1,163,032

7

1,538,473

2

78,294

3

731,800 494,991

6 7

-322,288 -629,697

5 6

1,080,653

5

-2,535,425

8

21,047,500

1

221,590

2

73,736

8

-52,013

4


ALPHABETICAL INDEX 3I GROUP PLC A B WATLEY GROUP INC ABERDEEN ASSET MANAGEMENT PLC ADVENT INTERNATIONAL CORPORATION AFFILIATED MANAGERS GROUP AGF MANAGEMENT LIMITED AIG SUNAMERICA INC ALLIANCEBERNSTEIN HOLDING LP ALLIANZ GLOBAL INVESTORS OF AMERICA LP ALLIANZ SE ALLIED IRISH BANKS PLC ALLSTATE CORPORATION (THE) AMBAC FINANCIAL GROUP AMERICAN CENTURY COMPANIES INC AMERICAN INTERNATIONAL GROUP (AIG) AMERIPRISE FINANCIAL SERVICES INC AMP LIMITED APAX PARTNERS LLP APOLLO GLOBAL MANAGEMENT LLC ARIEL CAPITAL MANAGEMENT LLC ARLINGTON ASSET INVESTMENT CORPORATION ARTIO GLOBAL INVESTORS INC ASSET ALLIANCE CORPORATION ASSICURAZIONI GENERALI SPA ASSURANCES GENERALES DE FRANCE ASSURED GUARANTY LTD ATLAS VENTURE AUTOMATIC DATA PROCESSING INC AVIVA PLC AXA FINANCIAL INC AXA GROUP BAIN CAPITAL LLC BANCO SANTANDER CENTRAL HISPANO SA BANK OF AMERICA CORP BANK OF IRELAND BANK OF MONTREAL (BMO FINANCIAL GROUP) BANK OF NEW YORK MELLON CORP BANK OF NOVA SCOTIA (SCOTIABANK) BARCLAYS CAPITAL BARCLAYS PLC BATTERY VENTURES BBVA (BANCO BILBAO VIZCAYA ARGENTARIA) BERKSHIRE HATHAWAY INC BESSEMER GROUP INC (THE) BGC PARTNERS INC BLACKROCK INC BLACKSTONE GROUP LP (THE) BLOOMBERG LP BNP PARIBAS BOC HONG KONG (HOLDINGS) LTD BOURSORAMA BOWNE & CO INC BRIDGEWATER ASSOCIATES INC BROADPOINT GLEACHER SECURITIES GROUP INC BROOKFIELD ASSET MANAGEMENT INC BT RADIANZ

www.plunkettresearch.com BURRILL & COMPANY CALAMOS ASSET MANAGEMENT CALIFORNIA PUBLIC EMPLOYEES RETIREMENT (CALPERS) CALVERT GROUP LTD CANADIAN IMPERIAL BANK OF COMMERCE CANTOR FITZGERALD LP CAPITAL GROUP COMPANIES INC (THE, AMERICAN FUNDS) CAPITAL RESEARCH AND MANAGEMENT COMPANY (AMERICAN FUNDS) CARLYLE GROUP (THE) CENTERVIEW PARTNERS LLC CERBERUS CAPITAL MANAGEMENT LP CHARLES SCHWAB CORP (THE) CHICAGO BOARD OPTIONS EXCHANGE INC (CBOE) CI FINANCIAL INCOME FUND CIBC WORLD MARKETS INC CITADEL INVESTMENT GROUP LLC CITIC SECURITIES INTERNATIONAL COMPANY LIMITED CITIGROUP INC CITIGROUP INSTITUTIONAL CLIENTS GROUP CITIGROUP JAPAN HOLDINGS CORP CITIZENS FINANCIAL GROUP INC CLAYTON DUBILIER & RICE INC CLINTON GROUP INC CLIPPER FUND INC CNA FINANCIAL CORP COLONY CAPITAL LLC COLUMBIA MANAGEMENT GROUP INC COMMERZBANK AG COMMONWEALTH BANK OF AUSTRALIA COMPASS DIVERSIFIED HOLDINGS CONSECO INC CORTAL CONSORS SA COWEN GROUP INC CREDIT AGRICOLE SA CREDIT SUISSE (USA) CREDIT SUISSE ASSET MANAGEMENT CREDIT SUISSE GROUP DAI-ICHI MUTUAL LIFE INSURANCE COMPANY DAISHIN SECURITIES CO LTD DAIWA SECURITIES GROUP INC DANSKE BANK AKTIESELSKAB DAVIS SELECTED ADVISORS LP DE LA RUE PLC DE SHAW & CO LP DEPOSITORY TRUST & CLEARING CORPORATION (THE) DEUTSCHE BANK AG DEUTSCHE BORSE AG DEXIA GROUP DODGE & COX DOW JONES & CO INC DRAPER FISHER JURVETSON DREYFUS CORPORATION (THE)

Plunkett Research, Ltd. DST SYSTEMS INC DWS INVESTMENTS E*TRADE FINANCIAL CORPORATION EATON VANCE CORP EUREX EVERCORE PARTNERS INC EVERGREEN INVESTMENT MANAGEMENT CO LLC FACTSET RESEARCH SYSTEMS INC FARALLON CAPITAL MANAGEMENT LLC FAYEZ SAROFIM & CO FEDERATED INVESTORS INC FIFTH THIRD BANCORP FINANCIAL GUARANTY INSURANCE COMPANY FINANCIAL SECURITY ASSURANCE HOLDINGS LTD FINRA (FINANCIAL INDUSTRY REGULATORY AUTHORITY) FIRST ALLIED SECURITIES INC FIRST AMERICAN FUNDS FIRST EAGLE INVESTMENT MANAGEMENT FIRST RESERVE CORPORATION FISERV INC FMR CORP (FIDELITY INVESTMENTS) FORTRESS INVESTMENT GROUP LLC FRANK RUSSELL COMPANY FRANKLIN RESOURCES INC (FRANKLIN TEMPLETON) GAMCO INVESTORS INC GENWORTH FINANCIAL INC GFI GROUP INC GLG PARTNERS INC GOLDMAN SACHS GROUP INC GREENHILL & COMPANY INC GUARDIAN LIFE INSURANCE COMPANY OF AMERICA H&R BLOCK INC HANWHA SECURITIES CO LTD HARRIS BANKCORP INC HARTFORD FINANCIAL SERVICES GROUP INC (THE) HDFC BANK LTD HELLMAN & FRIEDMAN LLC HM CAPITAL PARTNERS LLC HONG KONG EXCHANGES & CLEARING LIMITED HOULIHAN LOKEY HOWARD & ZUKIN INC (HOULIHAN LOKEY) HSBC HOLDINGS PLC HSBC NORTH AMERICA HOLDINGS INC HSBC USA HYPO VEREINSBANK AG (HVB GROUP) ICAP PLC IGM FINANCIAL INC ING GROUP (ING GROEP NV) ING NORTH AMERICA INSURANCE CORP INSTINET INC INTERACTIVE BROKERS GROUP INC INTERACTIVE DATA CORPORATION

www.plunkettresearch.com INTERCONTINENTALEXCHANGE INC (ICE) INTERNATIONAL SECURITIES EXCHANGE (ISE) INTESA SANPAOLO SPA INVESCO AIM MANAGEMENT GROUP INC INVESCO LTD INVESTEC LIMITED INVESTMENT TECHNOLOGY GROUP INC (ITG) J C FLOWERS & CO LLC JANNEY MONTGOMERY SCOTT LLC JANUS CAPITAL GROUP INC JEFFERIES BROADVIEW JEFFERIES GROUP INC JOHN HANCOCK FINANCIAL SERVICES INC JONES FINANCIAL COMPANIES LLP (EDWARD JONES) JP MORGAN CHASE & CO INC KBC GROUP NV KBW INC KEEFE BRUYETTE & WOODS INC KEYCORP KKR & CO LP (KOHLBERG KRAVIS ROBERTS & CO) KLEINER PERKINS CAUFIELD & BYERS KNIGHT CAPITAL GROUP INC KYOBO SECURITIES CO LTD LABRANCHE & CO INC LADENBURG THALMANN FINANCIAL SERVICES LAZARD LTD LCH CLEARNET GROUP LTD LEGG MASON INC LEUCADIA NATIONAL CORP LIBERTY MUTUAL GROUP INC LINCOLN NATIONAL CORPORATION LINSCO/PRIVATE LEDGER CORP LLOYDS BANKING GROUP PLC LONDON STOCK EXCHANGE PLC (LSE) LONGLEAF PARTNERS LORD ABBETT & CO LLC MACKENZIE FINANCIAL CORPORATION MACQUARIE GROUP LIMITED MADISON DEARBORN PARTNERS LLC MAN GROUP PLC MARSH & MCLENNAN COMPANIES INC MARSHALL & ILSLEY CORP MASSACHUSETTS FINANCIAL SERVICES COMPANY (MFS) MASSACHUSETTS MUTUAL LIFE INSURANCE CO MAYFIELD FUND MBIA INC MCGRAW HILL COS INC MEIJI YASUDA LIFE INSURANCE COMPANY MERRILL LYNCH & CO INC MESIROW FINANCIAL HOLDINGS INC METAVANTE CORPORATION METLIFE INC MIDLAND NATIONAL LIFE INSURANCE COMPANY MITSUI SUMITOMO INSURANCE GROUP HOLDINGS INC

Plunkett Research, Ltd. MIZUHO FINANCIAL GROUP INC MOELIS & COMPANY MOODY'S CORPORATION MORGAN KEEGAN & CO INC MORGAN STANLEY MORNINGSTAR INC MUTUAL OF OMAHA COMPANIES (THE) N M ROTHSCHILD & SONS NASDAQ OMX NATIONAL AUSTRALIA BANK LTD NATIONAL FINANCIAL PARTNERS CORP NATIONWIDE FINANCIAL NETWORK NATIONWIDE FINANCIAL SERVICES INC NATIONWIDE MUTUAL INSURANCE CO NEUBERGER BERMAN GROUP LLC NEW ENTERPRISE ASSOCIATES NEW YORK LIFE INSURANCE CO NEW YORK MERCANTILE EXCHANGE INC NEW YORK STATE AND LOCAL RETIREMENT SYSTEM NH INVESTMENT & SECURITIES CO LTD NIPPON LIFE INSURANCE COMPANY NOMURA HOLDINGS INC NORTHWESTERN MUTUAL LIFE INSURANCE CO NUVEEN INVESTMENTS INC NYSE AMEX LLC NYSE EURONEXT INC OAK ASSOCIATES LTD OAKMARK OAKTREE CAPITAL MANAGEMENT LP OHIO PUBLIC EMPLOYEES RETIREMENT SYSTEM OLD MUTUAL ASSET MANAGEMENT CORP US OLD MUTUAL PLC ONEX CORPORATION OPPENHEIMER HOLDINGS INC OPPENHEIMERFUNDS INC PACIFIC INVESTMENT MANAGEMENT COMPANY (PIMCO) PACIFIC MUTUAL HOLDING CO PERELLA WEINBERG PARTNERS LP PERSHING LLC PHOENIX COMPANIES INC (THE) PINEBRIDGE GLOBAL INVESTMENTS LLC PIONEER INVESTMENT MANAGEMENT USA INC PIPER JAFFRAY COMPANIES PMI GROUP INC (THE) PNC FINANCIAL SERVICES GROUP INC PRINCIPAL FINANCIAL GROUP (THE) PROTECTIVE LIFE CORP PROVIDENCE EQUITY PARTNERS LLC PRUDENTIAL FINANCIAL INC PRUDENTIAL PLC PUTNAM LLC R R DONNELLEY CAPITAL MARKETS R R DONNELLEY GLOBAL INVESTMENT MARKETS RADIAN GROUP INC RAYMOND JAMES FINANCIAL INC

www.plunkettresearch.com RBC CAPITAL MARKETS CORP RBC DOMINION SECURITIES INC RBC WEALTH MANAGEMENT REGIONS FINANCIAL CORP RELIANCE CAPITAL LIMITED REPUBLIC FINANCIAL CORPORATION RJ O'BRIEN & ASSOCIATES ROBERT W BAIRD & CO INC ROSENTHAL COLLINS GROUP LLC ROTH CAPITAL PARTNERS LLC ROYAL BANK OF CANADA (RBC) ROYAL BANK OF SCOTLAND GROUP PLC (THE, RBS) RS INVESTMENT MANAGEMENT INC S1 CORPORATION SAFEGUARD SCIENTIFICS INC SANDERS MORRIS HARRIS GROUP SCHRODERS PLC SCHWAB RETIREMENT PLAN SERVICES COMPANY SCM ADVISORS LLC SCOTTRADE INC SECURITY BENEFITS GROUP OF COMPANIES SEI INVESTMENTS CO SEQUOIA CAPITAL SHAREBUILDER CORP SIAM CITY SECURITIES CO LTD SIEBERT FINANCIAL CORP SILVER LAKE PARTNERS SIMMONS & COMPANY INTERNATIONAL SINOPIA ASSET MANAGEMENT SOCIETE GENERALE GROUP SOMPO JAPAN INSURANCE INC SS&C TECHNOLOGIES INC STANDARD & POORS (S&P) STATE BANK OF INDIA STATE FARM INSURANCE COMPANIES STATE STREET CORP STIFEL FINANCIAL CORP SUMITOMO MITSUI FINANCIAL GROUP INC (SMFG) SUMMIT PARTNERS SUN CAPITAL PARTNERS INC SUNGARD DATA SYSTEMS INC SUNTRUST BANKS INC SVB FINANCIAL GROUP SWS GROUP INC T ROWE PRICE GROUP INC TD AMERITRADE HOLDING CORP THOMAS H LEE PARTNERS LP THOMAS WEISEL PARTNERS GROUP INC THOMSON REUTERS THRIVENT FINANCIAL FOR LUTHERANS TIAA-CREF TMX GROUP INC TOKYO STOCK EXCHANGE (TSE) TORONTO-DOMINION BANK (TD BANK) TPG INC

Plunkett Research, Ltd. TRADESTATION GROUP INC TRAVELERS COMPANIES INC (THE) TREMONT CAPITAL MANAGEMENT INC TULLETT PREBON PLC UBS AG UBS INVESTMENT BANK UNICREDIT SPA (UNICREDIT GROUP) UNITAS CAPITAL US BANCORP US TRUST BANK OF AMERICA PRIVATE WEALTH MANAGEMENT USAA VALUE LINE INC VAN KAMPEN INVESTMENTS INC VANGUARD GROUP INC (THE) VIRTUS INVESTMENT PARTNERS INC VULCAN INC WACHOVIA CORP WADDELL & REED FINANCIAL INC WARBURG PINCUS LLC WEBSTER FINANCIAL CORP WELLINGTON MANAGEMENT COMPANY LLP WELLS CAPITAL MANAGEMENT WELLS FARGO & CO WELLS FARGO ADVISORS LLC WILMINGTON TRUST CORP ZIEGLER COMPANIES (THE) ZURICH FINANCIAL SERVICES GROUP


INDEX OF U.S. HEADQUARTERS LOCATION BY STATE To help you locate companies geographically, the city and state of the headquarters of each company are in the following index. ALABAMA PROTECTIVE LIFE CORP; Birmingham REGIONS FINANCIAL CORP; Birmingham

ARIZONA DAVIS SELECTED ADVISORS LP; Tucson

CALIFORNIA AIG SUNAMERICA INC; Woodland Hills ALLIANZ GLOBAL INVESTORS OF AMERICA LP; Newport Beach BURRILL & COMPANY; San Francisco CALIFORNIA PUBLIC EMPLOYEES RETIREMENT (CALPERS); Sacramento CAPITAL GROUP COMPANIES INC (THE, AMERICAN FUNDS); Los Angeles CAPITAL RESEARCH AND MANAGEMENT COMPANY (AMERICAN FUNDS); Los Angeles CHARLES SCHWAB CORP (THE); San Francisco COLONY CAPITAL LLC; Los Angeles DODGE & COX; San Francisco DRAPER FISHER JURVETSON; Menlo Park FARALLON CAPITAL MANAGEMENT LLC; San Francisco FIRST ALLIED SECURITIES INC; San Diego FRANKLIN RESOURCES INC (FRANKLIN TEMPLETON); San Mateo HELLMAN & FRIEDMAN LLC; San Francisco HOULIHAN LOKEY; Los Angeles KLEINER PERKINS CAUFIELD & BYERS; Menlo Park LINSCO/PRIVATE LEDGER CORP; San Diego MAYFIELD FUND; Menlo Park OAKTREE CAPITAL MANAGEMENT LP; Los Angeles PACIFIC INVESTMENT MANAGEMENT COMPANY (PIMCO); Newport Beach PACIFIC MUTUAL HOLDING CO; Newport Beach PMI GROUP INC (THE); Walnut Creek ROTH CAPITAL PARTNERS LLC; Newport Beach RS INVESTMENT MANAGEMENT INC; San Francisco SCM ADVISORS LLC; San Francisco SEQUOIA CAPITAL; Menlo Park SILVER LAKE PARTNERS; Menlo Park SVB FINANCIAL GROUP; Santa Clara THOMAS WEISEL PARTNERS GROUP INC; San Francisco WELLS CAPITAL MANAGEMENT; San Francisco WELLS FARGO & CO; San Francisco

COLORADO JANUS CAPITAL GROUP INC; Denver

Plunkett Research, Ltd. REPUBLIC FINANCIAL CORPORATION; Aurora

CONNECTICUT BRIDGEWATER ASSOCIATES INC; Westport COMPASS DIVERSIFIED HOLDINGS; Westport FACTSET RESEARCH SYSTEMS INC; Norwalk FIRST RESERVE CORPORATION; Greenwich HARTFORD FINANCIAL SERVICES GROUP INC (THE); Hartford INTERACTIVE BROKERS GROUP INC; Greenwich PHOENIX COMPANIES (THE); Hartford SS&C TECHNOLOGIES INC; Windsor VIRTUS INVESTMENT PARTNERS INC; Hartford WEBSTER FINANCIAL CORP; Waterbury

DELAWARE NATIONWIDE FINANCIAL NETWORK; Newark WILMINGTON TRUST CORP; Wilmington

DISTRICT OF COLUMBIA CARLYLE GROUP (THE); Washington FINRA (FINANCIAL INDUSTRY REGULATORY AUTHORITY); Washington

FLORIDA LADENBURG THALMANN FINANCIAL; Miami RAYMOND JAMES FINANCIAL INC; St. Petersburg SUN CAPITAL PARTNERS INC; Boca Raton TRADESTATION GROUP INC; Plantation

GEORGIA ING NORTH AMERICA INSURANCE CORP; Atlanta INTERCONTINENTALEXCHANGE INC (ICE); Atlanta INVESCO LTD; Atlanta S1 CORPORATION; Norcross SUNTRUST BANKS INC; Atlanta

ILLINOIS ALLSTATE CORPORATION (THE); Northbrook ARIEL CAPITAL MANAGEMENT LLC; Chicago CALAMOS ASSET MANAGEMENT; Naperville CHICAGO BOARD OPTIONS EXCHANGE INC (CBOE); Chicago CITADEL INVESTMENT GROUP LLC; Chicago CNA FINANCIAL CORP; Chicago DWS INVESTMENTS; Chicago HARRIS BANKCORP INC; Chicago HSBC NORTH AMERICA HOLDINGS INC; Mettawa MADISON DEARBORN PARTNERS LLC; Chicago MESIROW FINANCIAL HOLDINGS INC; Chicago MORNINGSTAR INC; Chicago NUVEEN INVESTMENTS INC; Chicago R R DONNELLEY CAPITAL MARKETS; Chicago R R DONNELLEY GLOBAL INVESTMENT MARKETS; Chicago RJ O'BRIEN & ASSOCIATES; Chicago ROSENTHAL COLLINS GROUP LLC; Chicago

www.plunkettresearch.com STATE FARM INSURANCE COMPANIES; Bloomington VAN KAMPEN INVESTMENTS INC; Oakbrook Terrace ZIEGLER COMPANIES (THE); Chicago

INDIANA CONSECO INC; Carmel

IOWA PRINCIPAL FINANCIAL GROUP (THE); Des Moines

KANSAS SECURITY BENEFITS GROUP OF COMPANIES; Topeka WADDELL & REED FINANCIAL INC; Overland Park

MARYLAND CALVERT GROU.P LTD; Bethesda LEGG MASON INC; Baltimore NEW ENTERPRISE ASSOCIATES; Baltimore T ROWE PRICE GROUP INC; Baltimore

MASSACHUSETTS ADVENT INTERNATIONAL CORPORATION; Boston AFFILIATED MANAGERS GROUP; Prides Crossing ATLAS VENTURE; Waltham BAIN CAPITAL LLC; Boston BATTERY VENTURES; Waltham CLIPPER FUND INC; Canton COLUMBIA MANAGEMENT GROUP INC; Boston EATON VANCE CORP; Boston EVERGREEN INVESTMENT MANAGEMENT CO LLC; Canton FMR CORP (FIDELITY INVESTMENTS); Boston INTERACTIVE DATA CORPORATION; Bedford JOHN HANCOCK FINANCIAL SERVICES INC; Boston LIBERTY MUTUAL GROUP INC; Boston MASSACHUSETTS FINANCIAL SERVICES COMPANY (MFS); Boston MASSACHUSETTS MUTUAL LIFE INSURANCE CO; Springfield OLD MUTUAL ASSET MANAGEMENT CORP US; Boston PIONEER INVESTMENT MANAGEMENT USA INC; Canton PUTNAM LLC; Boston STATE STREET CORP; Boston SUMMIT PARTNERS; Boston THOMAS H LEE PARTNERS LP; Boston WELLINGTON MANAGEMENT COMPANY LLP; Boston

MINNESOTA AMERIPRISE FINANCIAL INC; Minneapolis FIRST AMERICAN FUNDS; Minneapolis PIPER JAFFRAY COMPANIES; Minneapolis RBC CAPITAL MARKETS; Minneapolis

Plunkett Research, Ltd. RBC WEALTH MANAGEMENT; Minneapolis THRIVENT FINANCIAL FOR LUTHERANS; Minneapolis US BANCORP; Minneapolis

MISSOURI AMERICAN CENTURY COMPANIES INC; Kansas City DST SYSTEMS INC; Kansas City H&R BLOCK INC; Kansas City JONES FINANCIAL COMPANIES (EDWARD JONES); Des Peres OAKMARK; Kansas City SCOTTRADE INC; St. Louis STIFEL FINANCIAL CORP; St. Louis WELLS FARGO ADVISORS; St. Louis

NEBRASKA BERKSHIRE HATHAWAY INC; Omaha MUTUAL OF OMAHA COMPANIES (THE); Omaha TD AMERITRADE HOLDING CORP; Omaha

NEW JERSEY AUTOMATIC DATA PROCESSING INC; Roseland KNIGHT CAPITAL GROUP INC; Jersey City LORD ABBETT & CO LLC; Jersey City PERSHING LLC; Jersey City PRUDENTIAL FINANCIAL INC; Newark

NEW YORK A B WATLEY GROUP INC; New York ALLIANCEBERNSTEIN HOLDING LP; New York AMBAC FINANCIAL GROUP; New York AMERICAN INTERNATIONAL GROUP (AIG); New York APAX PARTNERS LLP; New York APOLLO GLOBAL MANAGEMENT LLC; New York ARTIO GLOBAL INVESTORS INC; New York ASSET ALLIANCE CORPORATION; New York AXA FINANCIAL INC; New York BANK OF NEW YORK MELLON CORP; New York BESSEMER GROUP INC (THE); New York BGC PARTNERS INC; New York BLACKROCK INC; New York BLACKSTONE GROUP LP (THE); New York BLOOMBERG LP; New York BOWNE & CO INC; New York BROADPOINT GLEACHER SECURITIES GROUP INC; New York BT RADIANZ; New York CANTOR FITZGERALD LP; New York CENTERVIEW PARTNERS LLC; New York CERBERUS CAPITAL MANAGEMENT LP; New York CITIGROUP INC; New York CITIGROUP INSTITUTIONAL CLIENTS GROUP; New York CLAYTON DUBILIER & RICE INC; New York CLINTON GROUP INC; New York COWEN GROUP INC; New York

www.plunkettresearch.com CREDIT SUISSE (USA); New York CREDIT SUISSE ASSET MANAGEMENT; New York DE SHAW & CO LP; New York DEPOSITORY TRUST & CLEARING CORPORATION (THE); New York DOW JONES & CO INC; New York DREYFUS CORPORATION (THE); New York E*TRADE FINANCIAL CORPORATION; New York EVERCORE PARTNERS INC; New York FINANCIAL GUARANTY INSURANCE COMPANY; New York FINANCIAL SECURITY ASSURANCE HOLDINGS LTD; New York FIRST EAGLE INVESTMENT MANAGEMENT; New York FORTRESS INVESTMENT GROUP LLC; New York GAMCO INVESTORS INC; Rye GFI GROUP INC; New York GOLDMAN SACHS GROUP INC; New York GREENHILL & COMPANY INC; New York GUARDIAN LIFE INSURANCE COMPANY OF AMERICA; New York HSBC USA; New York INSTINET INC; New York INTERNATIONAL SECURITIES EXCHANGE (ISE); New York INVESTMENT TECHNOLOGY GROUP INC (ITG); New York J C FLOWERS & CO LLC; New York JEFFERIES BROADVIEW; New York JEFFERIES GROUP INC; New York JP MORGAN CHASE & CO INC; New York KBW INC; New York KEEFE BRUYETTE & WOODS INC; New York KKR & CO LP (KOHLBERG KRAVIS ROBERTS & CO); New York LABRANCHE & CO INC; New York LEUCADIA NATIONAL CORP; New York MARSH & MCLENNAN COMPANIES INC; New York MBIA INC; Armonk MCGRAW HILL COS INC; New York MERRILL LYNCH & CO INC; New York METLIFE INC; New York MOELIS & COMPANY; New York MOODY'S CORPORATION; New York MORGAN STANLEY; New York NASDAQ OMX; New York NATIONAL FINANCIAL PARTNERS CORP; New York NEUBERGER BERMAN GROUP INC; New York NEW YORK LIFE INSURANCE CO; New York NEW YORK MERCANTILE EXCHANGE INC; New York NEW YORK STATE AND LOCAL RETIREMENT SYSTEM; Albany NYSE AMEX LLC; New York NYSE EURONEXT INC; New York OPPENHEIMERFUNDS INC; New York PERELLA WEINBERG PARTNERS; New York

Plunkett Research, Ltd. PINEBRIDGE INVESTMENTS; New York SIEBERT FINANCIAL CORP; New York STANDARD & POORS (S&P); New York THOMSON REUTERS; New York TIAA-CREF; New York TRAVELERS COMPANIES INC (THE); New York TREMONT CAPITAL MANAGEMENT INC; Rye UBS INVESTMENT BANK; New York US TRUST BANK OF AMERICA PRIVATE WEALTH MANAGEMENT; New York VALUE LINE INC; New York WARBURG PINCUS LLC; New York

NORTH CAROLINA BANK OF AMERICA CORP; Charlotte WACHOVIA CORP; Charlotte

OHIO FIFTH THIRD BANCORP; Cincinnati KEYCORP; Cleveland NATIONWIDE FINANCIAL SERVICES INC; Columbus NATIONWIDE MUTUAL INSURANCE CO; Columbus OAK ASSOCIATES LTD; Akron OHIO PUBLIC EMPLOYEES RETIREMENT SYSTEM; Columbus SCHWAB RETIREMENT PLAN SERVICES COMPANY; Richfield

PENNSYLVANIA FEDERATED INVESTORS INC; Pittsburgh JANNEY MONTGOMERY SCOTT LLC; Philadelphia LINCOLN NATIONAL CORPORATION; Radnor PNC FINANCIAL SERVICES GROUP INC; Pittsburgh RADIAN GROUP INC; Philadelphia SAFEGUARD SCIENTIFICS INC; Wayne SEI INVESTMENTS CO; Oaks SUNGARD DATA SYSTEMS INC; Wayne VANGUARD GROUP INC (THE); Malvern

RHODE ISLAND CITIZENS FINANCIAL GROUP INC; Providence LONGLEAF PARTNERS; Pawtucket PROVIDENCE EQUITY PARTNERS; Providence

SOUTH DAKOTA MIDLAND NATIONAL LIFE INSURANCE COMPANY; Sioux Falls

TENNESSEE MORGAN KEEGAN & CO INC; Memphis

TEXAS FAYEZ SAROFI.M & CO; Houston HM CAPITAL PARTNERS LLC; Dallas INVESCO AIM MANAGEMENT GROUP INC; Houston SANDERS MORRIS HARRIS GROUP; Houston SIMMONS & COMPANY INTERNATIONAL; Houston

www.plunkettresearch.com SWS GROUP INC; Dallas TPG (TEXAS PACIFIC GROUP); Forth Worth USAA; San Antonio

VIRGINIA ARLINGTON ASSET INVESTMENT CORPORATION; Arlington GENWORTH FINANCIAL INC; Richmond

WASHINGTON FRANK RUSSELL COMPANY; Tacoma SHAREBUILDER CORP; Seattle VULCAN INC; Seattle

WISCONSIN FISERV INC; Brookfield MARSHALL & ILSLEY CORP; Milwaukee METAVANTE TECHNOLOGIES INC; Milwaukee NORTHWESTERN MUTUAL LIFE INSURANCE CO; Milwaukee ROBERT W BAIRD & CO INC; Milwaukee


INDEX OF NON-U.S. HEADQUARTERS LOCATION BY COUNTRY AUSTRALIA AMP LIMITED; Sydney COMMONWEALTH BANK OF AUSTRALIA; Sydney MACQUARIE GROUP LIMITED; Sydney NATIONAL AUSTRALIA BANK LTD; Melbourne

BELGIUM


GERMANY ALLIANZ SE; Munich COMMERZBANK AG; Frankfurt am Main CORTAL CONSORS SA; Nuremberg DEUTSCHE BANK AG; Frankfurt am Main DEUTSCHE BORSE AG; Frankfurt EUREX; Frankfurt HYPO VEREINSBANK AG (HVB GROUP); Munich

IRELAND

DEXIA GROUP; Brussels KBC GROUP NV; Brussels

HDFC BANK LTD; Mumbai RELIANCE CAPITAL LIMITED; Mumbai STATE BANK OF INDIA; Mumbai

BERMUDA

ITALY

ASSURED GUARANTY LTD; Hamilton LAZARD LTD; Hamilton

CANADA AGF MANAGEMENT LIMITED; Toronto BANK OF MONTREAL (BMO); Toronto BANK OF NOVA SCOTIA (SCOTIABANK); Toronto BROOKFIELD ASSET MANAGEMENT INC; Toronto CANADIAN IMPERIAL BANK OF COMMERCE; Toronto CI FINANCIAL INCOME FUND; Toronto CIBC WORLD MARKETS INC; Toronto IGM FINANCIAL INC; Winnipeg MACKENZIE FINANCIAL CORPORATION; Toronto ONEX CORPORATION; Toronto OPPENHEIMER HOLDINGS INC; New York RBC DOMINION SECURITIES INC; Toronto ROYAL BANK OF CANADA (RBC); Montreal TMX GROUP INC; Toronto TORONTO-DOMINION BANK (TD BANK); Toronto

CHINA BOC HONG KONG (HOLDINGS) LTD; Hong King CITIC SECURITIES INTERNATIONAL COMPANY LIMITED; Hong Kong HONG KONG EXCHANGES & CLEARING LIMITED; Hong Kong UNITAS CAPITAL; Hong Kong

DENMARK DANSKE BANK AKTIESELSKAB; Copenhagen

FRANCE ASSURANCES GENERALES DE FRANCE; Paris AXA GROUP; Paris BNP PARIBAS; Paris BOURSORAMA; Boulogne Billancourt Cedex CREDIT AGRICOLE SA; Paris SINOPIA ASSET MANAGEMENT; la Defense 9, Puteaux SOCIETE GENERALE GROUP; Paris

ASSICURAZIONI GENERALI SPA; Trieste INTESA SANPAOLO SPA; Torino UNICREDIT SPA (UNICREDIT GROUP); Milan

JAPAN CITIGROUP JAPAN HOLDINGS CORP; Tokyo DAI-ICHI MUTUAL LIFE INSURANCE COMPANY; Tokyo DAIWA SECURITIES GROUP INC; Chiyoda-ku, Tokyo MEIJI YASUDA LIFE INSURANCE; Tokyo MITSUI SUMITOMO INSURANCE GROUP HOLDINGS INC; Tokyo MIZUHO FINANCIAL GROUP INC; Tokyo NIPPON LIFE INSURANCE COMPANY; Osaka NOMURA HOLDINGS INC; Tokyo SOMPO JAPAN INSURANCE INC; Tokyo SUMITOMO MITSUI FINANCIAL GROUP (SMFG); Tokyo TOKYO STOCK EXCHANGE (TSE); Tokyo

KOREA DAISHIN SECURITIES CO LTD; Seoul HANWHA SECURITIES CO LTD; Seoul KYOBO SECURITIES CO LTD; Seoul NH INVESTMENT & SECURITIES CO LTD; Seoul SAMSUNG C&T CORPORATION; Seoul

SOUTH AFRICA INVESTEC LIMITED; Sandton

SPAIN BANCO SANTANDER CENTRAL HISPANO SA; Madrid BBVA (BANCO BILBAO VIZCAYA ARGENTARIA); Bilbao

SWITZERLAND CREDIT SUISSE GROUP; Zurich UBS AG; Zurich ZURICH FINANCIAL SERVICES; Zurich


THAILAND SIAM CITY SECURITIES CO LTD; Bangkok

THE NETHERLANDS ING GROUP (ING GROEP NV); Amsterdam

UNITED KINGDOM 3I GROUP PLC; London ABERDEEN ASSET MANAGEMENT PLC; Aberdeen ALLIED IRISH BANKS PLC; Dublin AVIVA PLC; London BANK OF IRELAND; Dublin BARCLAYS CAPITAL; London BARCLAYS PLC; London DE LA RUE PLC; Basingstoke GLG PARTNERS INC; London HSBC HOLDINGS PLC; London ICAP PLC; London LCH CLEARNET GROUP LTD; London LLOYDS BANKING GROUP PLC; London LONDON STOCK EXCHANGE PLC (LSE); London MAN GROUP PLC; London N M ROTHSCHILD & SONS; London OLD MUTUAL PLC; London PRUDENTIAL PLC; London ROYAL BANK OF SCOTLAND GROUP PLC (THE, RBS); Edinburgh SCHRODERS PLC; London TULLETT PREBON PLC; London



INDEX BY REGIONS OF THE U.S. WHERE THE FIRMS HAVE LOCATIONS WEST AIG SUNAMERICA INC ALLIANCEBERNSTEIN HOLDING LP ALLIANZ GLOBAL INVESTORS OF AMERICA LP ALLIANZ SE ALLIED IRISH BANKS PLC ALLSTATE CORPORATION (THE) AMERICAN CENTURY COMPANIES INC AMERICAN INTERNATIONAL GROUP (AIG) AMERIPRISE FINANCIAL INC APOLLO GLOBAL MANAGEMENT LLC AUTOMATIC DATA PROCESSING INC AVIVA PLC AXA FINANCIAL INC AXA GROUP BANK OF AMERICA CORP BANK OF IRELAND BANK OF NEW YORK MELLON CORP BANK OF NOVA SCOTIA (SCOTIABANK) BARCLAYS CAPITAL BATTERY VENTURES BBVA (BANCO BILBAO VIZCAYA ARGENTARIA) BERKSHIRE HATHAWAY INC BESSEMER GROUP INC (THE) BLACKROCK INC BLOOMBERG LP BNP PARIBAS BOWNE & CO INC BROADPOINT GLEACHER SECURITIES GROUP INC BROOKFIELD ASSET MANAGEMENT INC BURRILL & COMPANY CALIFORNIA PUBLIC EMPLOYEES RETIREMENT (CALPERS) CANTOR FITZGERALD LP CAPITAL GROUP COMPANIES INC (THE, AMERICAN FUNDS) CAPITAL RESEARCH AND MANAGEMENT COMPANY (AMERICAN FUNDS) CARLYLE GROUP (THE) CENTERVIEW PARTNERS LLC CERBERUS CAPITAL MANAGEMENT LP CHARLES SCHWAB CORP (THE) CIBC WORLD MARKETS INC CITADEL INVESTMENT GROUP LLC CITIGROUP INC CITIGROUP INSTITUTIONAL CLIENTS GROUP CNA FINANCIAL CORP COLONY CAPITAL LLC COMMERZBANK AG CONSECO INC COWEN GROUP INC CREDIT SUISSE (USA) CREDIT SUISSE GROUP DAIWA SECURITIES GROUP INC DE LA RUE PLC

www.plunkettresearch.com DE SHAW & CO LP DEUTSCHE BANK AG DEXIA GROUP DODGE & COX DRAPER FISHER JURVETSON DST SYSTEMS INC E*TRADE FINANCIAL CORPORATION EATON VANCE CORP EVERCORE PARTNERS INC FACTSET RESEARCH SYSTEMS INC FARALLON CAPITAL MANAGEMENT LLC FINANCIAL SECURITY ASSURANCE HOLDINGS LTD FINRA (FINANCIAL INDUSTRY REGULATORY AUTHORITY) FIRST ALLIED SECURITIES INC FISERV INC FMR CORP (FIDELITY INVESTMENTS) FORTRESS INVESTMENT GROUP LLC FRANK RUSSELL COMPANY FRANKLIN RESOURCES INC (FRANKLIN TEMPLETON) GAMCO INVESTORS INC GENWORTH FINANCIAL INC GOLDMAN SACHS GROUP INC GREENHILL & COMPANY INC GUARDIAN LIFE INSURANCE COMPANY OF AMERICA H&R BLOCK INC HARRIS BANKCORP INC HARTFORD FINANCIAL SERVICES GROUP INC (THE) HELLMAN & FRIEDMAN LLC HOULIHAN LOKEY HSBC HOLDINGS PLC HSBC NORTH AMERICA HOLDINGS INC HSBC USA ING GROUP (ING GROEP NV) ING NORTH AMERICA INSURANCE CORP INSTINET INC INTERACTIVE BROKERS GROUP INC INTERACTIVE DATA CORPORATION INVESCO AIM MANAGEMENT GROUP INC INVESCO LTD INVESTMENT TECHNOLOGY GROUP INC (ITG) JANNEY MONTGOMERY SCOTT LLC JANUS CAPITAL GROUP INC JEFFERIES GROUP INC JOHN HANCOCK FINANCIAL SERVICES INC JONES FINANCIAL COMPANIES (EDWARD JONES) JP MORGAN CHASE & CO INC KBW INC KEEFE BRUYETTE & WOODS INC KEYCORP KKR & CO LP (KOHLBERG KRAVIS ROBERTS & CO) KLEINER PERKINS CAUFIELD & BYERS KNIGHT CAPITAL GROUP INC

Plunkett Research, Ltd. LADENBURG THALMANN FINANCIAL LAZARD LTD LEGG MASON INC LEUCADIA NATIONAL CORP LIBERTY MUTUAL GROUP INC LINCOLN NATIONAL CORPORATION LINSCO/PRIVATE LEDGER CORP MACQUARIE GROUP LIMITED MARSH & MCLENNAN COMPANIES INC MARSHALL & ILSLEY CORP MASSACHUSETTS MUTUAL LIFE INSURANCE CO MAYFIELD FUND MBIA INC MCGRAW HILL COS INC MEIJI YASUDA LIFE INSURANCE MERRILL LYNCH & CO INC MESIROW FINANCIAL HOLDINGS INC METAVANTE TECHNOLOGIES INC METLIFE INC MIDLAND NATIONAL LIFE INSURANCE COMPANY MITSUI SUMITOMO INSURANCE GROUP HOLDINGS INC MIZUHO FINANCIAL GROUP INC MOELIS & COMPANY MOODY'S CORPORATION MORGAN STANLEY MUTUAL OF OMAHA COMPANIES (THE) NASDAQ OMX NATIONAL FINANCIAL PARTNERS CORP NATIONWIDE MUTUAL INSURANCE CO NEW ENTERPRISE ASSOCIATES NEW YORK LIFE INSURANCE CO NIPPON LIFE INSURANCE COMPANY NOMURA HOLDINGS INC NORTHWESTERN MUTUAL LIFE INSURANCE CO NUVEEN INVESTMENTS INC OAKTREE CAPITAL MANAGEMENT LP OLD MUTUAL ASSET MANAGEMENT CORP US OLD MUTUAL PLC ONEX CORPORATION OPPENHEIMER HOLDINGS INC PACIFIC INVESTMENT MANAGEMENT COMPANY (PIMCO) PACIFIC MUTUAL HOLDING CO PERELLA WEINBERG PARTNERS PERSHING LLC PIPER JAFFRAY COMPANIES PMI GROUP INC (THE) PNC FINANCIAL SERVICES GROUP INC PRINCIPAL FINANCIAL GROUP (THE) PROTECTIVE LIFE CORP PROVIDENCE EQUITY PARTNERS PRUDENTIAL FINANCIAL INC PRUDENTIAL PLC R R DONNELLEY CAPITAL MARKETS R R DONNELLEY GLOBAL INVESTMENT MARKETS RADIAN GROUP INC

www.plunkettresearch.com RAYMOND JAMES FINANCIAL INC RBC CAPITAL MARKETS RBC DOMINION SECURITIES INC RBC WEALTH MANAGEMENT REPUBLIC FINANCIAL CORPORATION ROBERT W BAIRD & CO INC ROSENTHAL COLLINS GROUP LLC ROTH CAPITAL PARTNERS LLC ROYAL BANK OF CANADA (RBC) RS INVESTMENT MANAGEMENT INC S1 CORPORATION SAMSUNG C&T CORPORATION SANDERS MORRIS HARRIS GROUP SCM ADVISORS LLC SCOTTRADE INC SEI INVESTMENTS CO SEQUOIA CAPITAL SHAREBUILDER CORP SIEBERT FINANCIAL CORP SILVER LAKE PARTNERS SOMPO JAPAN INSURANCE INC SS&C TECHNOLOGIES INC STANDARD & POORS (S&P) STATE FARM INSURANCE COMPANIES STATE STREET CORP STIFEL FINANCIAL CORP SUMITOMO MITSUI FINANCIAL GROUP (SMFG) SUMMIT PARTNERS SUN CAPITAL PARTNERS INC SUNGARD DATA SYSTEMS INC SVB FINANCIAL GROUP SWS GROUP INC T ROWE PRICE GROUP INC TD AMERITRADE HOLDING CORP THOMAS WEISEL PARTNERS GROUP INC THOMSON REUTERS TPG (TEXAS PACIFIC GROUP) TRAVELERS COMPANIES INC (THE) TULLETT PREBON PLC UBS AG US BANCORP US TRUST BANK OF AMERICA PRIVATE WEALTH MANAGEMENT USAA VIRTUS INVESTMENT PARTNERS INC VULCAN INC WACHOVIA CORP WADDELL & REED FINANCIAL INC WARBURG PINCUS LLC WELLINGTON MANAGEMENT COMPANY LLP WELLS CAPITAL MANAGEMENT WELLS FARGO & CO WILMINGTON TRUST CORP ZIEGLER COMPANIES (THE) ZURICH FINANCIAL SERVICES


SOUTHWEST ALLIANCEBERNSTEIN HOLDING LP ALLIANZ SE ALLSTATE CORPORATION (THE) AMERICAN INTERNATIONAL GROUP (AIG) AMERIPRISE FINANCIAL INC AUTOMATIC DATA PROCESSING INC AVIVA PLC AXA FINANCIAL INC AXA GROUP BANK OF AMERICA CORP BANK OF MONTREAL (BMO) BANK OF NEW YORK MELLON CORP BANK OF NOVA SCOTIA (SCOTIABANK) BARCLAYS CAPITAL BBVA (BANCO BILBAO VIZCAYA ARGENTARIA) BERKSHIRE HATHAWAY INC BESSEMER GROUP INC (THE) BLOOMBERG LP BNP PARIBAS BOWNE & CO INC BROADPOINT GLEACHER SECURITIES GROUP INC BROOKFIELD ASSET MANAGEMENT INC CANTOR FITZGERALD LP CAPITAL GROUP COMPANIES INC (THE, AMERICAN FUNDS) CAPITAL RESEARCH AND MANAGEMENT COMPANY (AMERICAN FUNDS) CHARLES SCHWAB CORP (THE) CIBC WORLD MARKETS INC CITIGROUP INC CITIGROUP INSTITUTIONAL CLIENTS GROUP CNA FINANCIAL CORP CONSECO INC COWEN GROUP INC CREDIT SUISSE (USA) CREDIT SUISSE GROUP DAVIS SELECTED ADVISORS LP DE LA RUE PLC DE SHAW & CO LP DEUTSCHE BANK AG E*TRADE FINANCIAL CORPORATION FAYEZ SAROFIM & CO FEDERATED INVESTORS INC FINANCIAL SECURITY ASSURANCE HOLDINGS LTD FINRA (FINANCIAL INDUSTRY REGULATORY AUTHORITY) FIRST ALLIED SECURITIES INC FISERV INC FMR CORP (FIDELITY INVESTMENTS) FORTRESS INVESTMENT GROUP LLC GENWORTH FINANCIAL INC GFI GROUP INC GOLDMAN SACHS GROUP INC GREENHILL & COMPANY INC GUARDIAN LIFE INSURANCE COMPANY OF AMERICA

www.plunkettresearch.com H&R BLOCK INC HARRIS BANKCORP INC HARTFORD FINANCIAL SERVICES GROUP INC (THE) HM CAPITAL PARTNERS LLC HOULIHAN LOKEY HSBC HOLDINGS PLC HSBC NORTH AMERICA HOLDINGS INC ICAP PLC ING GROUP (ING GROEP NV) ING NORTH AMERICA INSURANCE CORP INSTINET INC INTERCONTINENTALEXCHANGE INC (ICE) INVESCO AIM MANAGEMENT GROUP INC INVESCO LTD JEFFERIES GROUP INC JOHN HANCOCK FINANCIAL SERVICES INC JONES FINANCIAL COMPANIES (EDWARD JONES) JP MORGAN CHASE & CO INC KBW INC KEYCORP KNIGHT CAPITAL GROUP INC LIBERTY MUTUAL GROUP INC LINCOLN NATIONAL CORPORATION LINSCO/PRIVATE LEDGER CORP MACQUARIE GROUP LIMITED MARSH & MCLENNAN COMPANIES INC MARSHALL & ILSLEY CORP MASSACHUSETTS MUTUAL LIFE INSURANCE CO MCGRAW HILL COS INC MERRILL LYNCH & CO INC MESIROW FINANCIAL HOLDINGS INC METLIFE INC MIDLAND NATIONAL LIFE INSURANCE COMPANY MIZUHO FINANCIAL GROUP INC MOODY'S CORPORATION MORGAN KEEGAN & CO INC MORGAN STANLEY MUTUAL OF OMAHA COMPANIES (THE) NATIONAL FINANCIAL PARTNERS CORP NATIONWIDE MUTUAL INSURANCE CO NEW YORK LIFE INSURANCE CO NEW YORK MERCANTILE EXCHANGE INC NORTHWESTERN MUTUAL LIFE INSURANCE CO OLD MUTUAL ASSET MANAGEMENT CORP US OLD MUTUAL PLC ONEX CORPORATION OPPENHEIMER HOLDINGS INC PACIFIC MUTUAL HOLDING CO PERELLA WEINBERG PARTNERS PERSHING LLC PIPER JAFFRAY COMPANIES PMI GROUP INC (THE) PNC FINANCIAL SERVICES GROUP INC PRINCIPAL FINANCIAL GROUP (THE) PROTECTIVE LIFE CORP PRUDENTIAL FINANCIAL INC PRUDENTIAL PLC

Plunkett Research, Ltd. R R DONNELLEY CAPITAL MARKETS R R DONNELLEY GLOBAL INVESTMENT MARKETS RADIAN GROUP INC RAYMOND JAMES FINANCIAL INC RBC CAPITAL MARKETS RBC DOMINION SECURITIES INC RBC WEALTH MANAGEMENT REGIONS FINANCIAL CORP ROBERT W BAIRD & CO INC S1 CORPORATION SAMSUNG C&T CORPORATION SANDERS MORRIS HARRIS GROUP SCOTTRADE INC SEI INVESTMENTS CO SIEBERT FINANCIAL CORP SIMMONS & COMPANY INTERNATIONAL STANDARD & POORS (S&P) STATE FARM INSURANCE COMPANIES STATE STREET CORP STIFEL FINANCIAL CORP SUMITOMO MITSUI FINANCIAL GROUP (SMFG) SUNGARD DATA SYSTEMS INC SVB FINANCIAL GROUP SWS GROUP INC TD AMERITRADE HOLDING CORP THOMSON REUTERS TPG (TEXAS PACIFIC GROUP) TRADESTATION GROUP INC TRAVELERS COMPANIES INC (THE) UBS AG US BANCORP US TRUST BANK OF AMERICA PRIVATE WEALTH MANAGEMENT USAA VANGUARD GROUP INC (THE) WACHOVIA CORP WADDELL & REED FINANCIAL INC WELLS CAPITAL MANAGEMENT WELLS FARGO & CO WILMINGTON TRUST CORP ZIEGLER COMPANIES (THE)

MIDWEST ALLIANCEBERNSTEIN HOLDING LP ALLIANZ GLOBAL INVESTORS OF AMERICA LP ALLIANZ SE ALLIED IRISH BANKS PLC ALLSTATE CORPORATION (THE) AMERICAN CENTURY COMPANIES INC AMERICAN INTERNATIONAL GROUP (AIG) AMERIPRISE FINANCIAL INC ARIEL CAPITAL MANAGEMENT LLC ASSICURAZIONI GENERALI SPA AUTOMATIC DATA PROCESSING INC AVIVA PLC AXA FINANCIAL INC AXA GROUP

www.plunkettresearch.com BAIN CAPITAL LLC BANK OF AMERICA CORP BANK OF IRELAND BANK OF MONTREAL (BMO) BANK OF NOVA SCOTIA (SCOTIABANK) BARCLAYS CAPITAL BERKSHIRE HATHAWAY INC BESSEMER GROUP INC (THE) BGC PARTNERS INC BLACKROCK INC BLOOMBERG LP BNP PARIBAS BOWNE & CO INC BROADPOINT GLEACHER SECURITIES GROUP INC BROOKFIELD ASSET MANAGEMENT INC CALAMOS ASSET MANAGEMENT CANTOR FITZGERALD LP CAPITAL GROUP COMPANIES INC (THE, AMERICAN FUNDS) CAPITAL RESEARCH AND MANAGEMENT COMPANY (AMERICAN FUNDS) CERBERUS CAPITAL MANAGEMENT LP CHARLES SCHWAB CORP (THE) CHICAGO BOARD OPTIONS EXCHANGE INC (CBOE) CIBC WORLD MARKETS INC CITADEL INVESTMENT GROUP LLC CITIGROUP INC CITIGROUP INSTITUTIONAL CLIENTS GROUP CITIZENS FINANCIAL GROUP INC CNA FINANCIAL CORP COMMERZBANK AG CONSECO INC COWEN GROUP INC CREDIT SUISSE (USA) CREDIT SUISSE GROUP DE LA RUE PLC DE SHAW & CO LP DEUTSCHE BANK AG DEUTSCHE BORSE AG DST SYSTEMS INC DWS INVESTMENTS E*TRADE FINANCIAL CORPORATION EUREX FACTSET RESEARCH SYSTEMS INC FIFTH THIRD BANCORP FINRA (FINANCIAL INDUSTRY REGULATORY AUTHORITY) FIRST ALLIED SECURITIES INC FIRST AMERICAN FUNDS FISERV INC FMR CORP (FIDELITY INVESTMENTS) GAMCO INVESTORS INC GENWORTH FINANCIAL INC GOLDMAN SACHS GROUP INC GREENHILL & COMPANY INC GUARDIAN LIFE INSURANCE COMPANY OF AMERICA

Plunkett Research, Ltd. H&R BLOCK INC HARRIS BANKCORP INC HARTFORD FINANCIAL SERVICES GROUP INC (THE) HOULIHAN LOKEY HSBC HOLDINGS PLC HSBC NORTH AMERICA HOLDINGS INC ICAP PLC ING GROUP (ING GROEP NV) ING NORTH AMERICA INSURANCE CORP INSTINET INC INTERACTIVE BROKERS GROUP INC INTERACTIVE DATA CORPORATION INTERCONTINENTALEXCHANGE INC (ICE) INVESCO LTD JANNEY MONTGOMERY SCOTT LLC JANUS CAPITAL GROUP INC JEFFERIES GROUP INC JOHN HANCOCK FINANCIAL SERVICES INC JONES FINANCIAL COMPANIES (EDWARD JONES) JP MORGAN CHASE & CO INC KBW INC KEEFE BRUYETTE & WOODS INC KEYCORP KNIGHT CAPITAL GROUP INC LADENBURG THALMANN FINANCIAL LAZARD LTD LEGG MASON INC LIBERTY MUTUAL GROUP INC LINCOLN NATIONAL CORPORATION LINSCO/PRIVATE LEDGER CORP MACQUARIE GROUP LIMITED MADISON DEARBORN PARTNERS LLC MAN GROUP PLC MARSH & MCLENNAN COMPANIES INC MARSHALL & ILSLEY CORP MASSACHUSETTS MUTUAL LIFE INSURANCE CO MCGRAW HILL COS INC MERRILL LYNCH & CO INC MESIROW FINANCIAL HOLDINGS INC METAVANTE TECHNOLOGIES INC METLIFE INC MIDLAND NATIONAL LIFE INSURANCE COMPANY MITSUI SUMITOMO INSURANCE GROUP HOLDINGS INC MIZUHO FINANCIAL GROUP INC MOELIS & COMPANY MOODY'S CORPORATION MORGAN KEEGAN & CO INC MORGAN STANLEY MORNINGSTAR INC MUTUAL OF OMAHA COMPANIES (THE) NASDAQ OMX NATIONAL AUSTRALIA BANK LTD NATIONAL FINANCIAL PARTNERS CORP NATIONWIDE FINANCIAL SERVICES INC NATIONWIDE MUTUAL INSURANCE CO NEUBERGER BERMAN GROUP INC

www.plunkettresearch.com NEW YORK LIFE INSURANCE CO NIPPON LIFE INSURANCE COMPANY NORTHWESTERN MUTUAL LIFE INSURANCE CO NUVEEN INVESTMENTS INC OAK ASSOCIATES LTD OAKMARK OHIO PUBLIC EMPLOYEES RETIREMENT SYSTEM OLD MUTUAL ASSET MANAGEMENT CORP US OLD MUTUAL PLC ONEX CORPORATION OPPENHEIMER HOLDINGS INC PACIFIC MUTUAL HOLDING CO PERSHING LLC PIONEER INVESTMENT MANAGEMENT USA INC PIPER JAFFRAY COMPANIES PMI GROUP INC (THE) PNC FINANCIAL SERVICES GROUP INC PRINCIPAL FINANCIAL GROUP (THE) PROTECTIVE LIFE CORP PRUDENTIAL FINANCIAL INC PRUDENTIAL PLC R R DONNELLEY CAPITAL MARKETS R R DONNELLEY GLOBAL INVESTMENT MARKETS RADIAN GROUP INC RAYMOND JAMES FINANCIAL INC RBC CAPITAL MARKETS RBC DOMINION SECURITIES INC RBC WEALTH MANAGEMENT REGIONS FINANCIAL CORP RJ O'BRIEN & ASSOCIATES ROBERT W BAIRD & CO INC ROSENTHAL COLLINS GROUP LLC ROYAL BANK OF CANADA (RBC) ROYAL BANK OF SCOTLAND GROUP PLC (THE, RBS) SANDERS MORRIS HARRIS GROUP SCHWAB RETIREMENT PLAN SERVICES COMPANY SCOTTRADE INC SECURITY BENEFITS GROUP OF COMPANIES SEI INVESTMENTS CO SIEBERT FINANCIAL CORP SOCIETE GENERALE GROUP SOMPO JAPAN INSURANCE INC SS&C TECHNOLOGIES INC STANDARD & POORS (S&P) STATE FARM INSURANCE COMPANIES STATE STREET CORP STIFEL FINANCIAL CORP SUNGARD DATA SYSTEMS INC SVB FINANCIAL GROUP T ROWE PRICE GROUP INC TD AMERITRADE HOLDING CORP THOMAS WEISEL PARTNERS GROUP INC THOMSON REUTERS THRIVENT FINANCIAL FOR LUTHERANS TRADESTATION GROUP INC

Plunkett Research, Ltd. TRAVELERS COMPANIES INC (THE) UBS AG US BANCORP US TRUST BANK OF AMERICA PRIVATE WEALTH MANAGEMENT VAN KAMPEN INVESTMENTS INC VIRTUS INVESTMENT PARTNERS INC WACHOVIA CORP WADDELL & REED FINANCIAL INC WELLINGTON MANAGEMENT COMPANY LLP WELLS CAPITAL MANAGEMENT WELLS FARGO & CO WELLS FARGO ADVISORS WILMINGTON TRUST CORP ZIEGLER COMPANIES (THE) ZURICH FINANCIAL SERVICES

SOUTHEAST ALLIANCEBERNSTEIN HOLDING LP ALLIED IRISH BANKS PLC ALLSTATE CORPORATION (THE) AMERICAN INTERNATIONAL GROUP (AIG) AMERIPRISE FINANCIAL INC APOLLO GLOBAL MANAGEMENT LLC AUTOMATIC DATA PROCESSING INC AVIVA PLC AXA FINANCIAL INC AXA GROUP BANCO SANTANDER CENTRAL HISPANO SA BANK OF AMERICA CORP BANK OF IRELAND BANK OF MONTREAL (BMO) BANK OF NEW YORK MELLON CORP BANK OF NOVA SCOTIA (SCOTIABANK) BARCLAYS CAPITAL BBVA (BANCO BILBAO VIZCAYA ARGENTARIA) BERKSHIRE HATHAWAY INC BESSEMER GROUP INC (THE) BLACKSTONE GROUP LP (THE) BLOOMBERG LP BNP PARIBAS BOWNE & CO INC BROADPOINT GLEACHER SECURITIES GROUP INC BROOKFIELD ASSET MANAGEMENT INC CANTOR FITZGERALD LP CAPITAL GROUP COMPANIES INC (THE, AMERICAN FUNDS) CAPITAL RESEARCH AND MANAGEMENT COMPANY (AMERICAN FUNDS) CERBERUS CAPITAL MANAGEMENT LP CHARLES SCHWAB CORP (THE) CIBC WORLD MARKETS INC CITIGROUP INC CITIGROUP INSTITUTIONAL CLIENTS GROUP CNA FINANCIAL CORP COMMERZBANK AG CONSECO INC CREDIT SUISSE (USA)

www.plunkettresearch.com CREDIT SUISSE GROUP DE LA RUE PLC DE SHAW & CO LP DEUTSCHE BANK AG DST SYSTEMS INC E*TRADE FINANCIAL CORPORATION EATON VANCE CORP FACTSET RESEARCH SYSTEMS INC FIFTH THIRD BANCORP FINRA (FINANCIAL INDUSTRY REGULATORY AUTHORITY) FIRST ALLIED SECURITIES INC FIRST EAGLE INVESTMENT MANAGEMENT FISERV INC FMR CORP (FIDELITY INVESTMENTS) FRANKLIN RESOURCES INC (FRANKLIN TEMPLETON) GAMCO INVESTORS INC GENWORTH FINANCIAL INC GOLDMAN SACHS GROUP INC GUARDIAN LIFE INSURANCE COMPANY OF AMERICA H&R BLOCK INC HARRIS BANKCORP INC HARTFORD FINANCIAL SERVICES GROUP INC (THE) HOULIHAN LOKEY HSBC HOLDINGS PLC HSBC NORTH AMERICA HOLDINGS INC HSBC USA ING GROUP (ING GROEP NV) ING NORTH AMERICA INSURANCE CORP INTERCONTINENTALEXCHANGE INC (ICE) INVESCO LTD JANNEY MONTGOMERY SCOTT LLC JANUS CAPITAL GROUP INC JEFFERIES GROUP INC JOHN HANCOCK FINANCIAL SERVICES INC JONES FINANCIAL COMPANIES (EDWARD JONES) JP MORGAN CHASE & CO INC KBW INC KEEFE BRUYETTE & WOODS INC KEYCORP KNIGHT CAPITAL GROUP INC LADENBURG THALMANN FINANCIAL LAZARD LTD LEGG MASON INC LEUCADIA NATIONAL CORP LIBERTY MUTUAL GROUP INC LINCOLN NATIONAL CORPORATION LINSCO/PRIVATE LEDGER CORP MACQUARIE GROUP LIMITED MARSHALL & ILSLEY CORP MASSACHUSETTS MUTUAL LIFE INSURANCE CO MERRILL LYNCH & CO INC MESIROW FINANCIAL HOLDINGS INC METAVANTE TECHNOLOGIES INC METLIFE INC

Plunkett Research, Ltd. MIDLAND NATIONAL LIFE INSURANCE COMPANY MITSUI SUMITOMO INSURANCE GROUP HOLDINGS INC MIZUHO FINANCIAL GROUP INC MORGAN KEEGAN & CO INC MORGAN STANLEY MUTUAL OF OMAHA COMPANIES (THE) NASDAQ OMX NATIONAL FINANCIAL PARTNERS CORP NATIONWIDE MUTUAL INSURANCE CO NEW YORK LIFE INSURANCE CO NORTHWESTERN MUTUAL LIFE INSURANCE CO OLD MUTUAL ASSET MANAGEMENT CORP US OLD MUTUAL PLC ONEX CORPORATION OPPENHEIMER HOLDINGS INC PACIFIC MUTUAL HOLDING CO PERSHING LLC PIONEER INVESTMENT MANAGEMENT USA INC PMI GROUP INC (THE) PNC FINANCIAL SERVICES GROUP INC PRINCIPAL FINANCIAL GROUP (THE) PROTECTIVE LIFE CORP PRUDENTIAL FINANCIAL INC PRUDENTIAL PLC R R DONNELLEY CAPITAL MARKETS R R DONNELLEY GLOBAL INVESTMENT MARKETS RADIAN GROUP INC RAYMOND JAMES FINANCIAL INC RBC CAPITAL MARKETS RBC DOMINION SECURITIES INC RBC WEALTH MANAGEMENT REGIONS FINANCIAL CORP ROBERT W BAIRD & CO INC ROYAL BANK OF CANADA (RBC) S1 CORPORATION SANDERS MORRIS HARRIS GROUP SCOTTRADE INC SEI INVESTMENTS CO SIEBERT FINANCIAL CORP SOMPO JAPAN INSURANCE INC STATE FARM INSURANCE COMPANIES STATE STREET CORP STIFEL FINANCIAL CORP SUN CAPITAL PARTNERS INC SUNGARD DATA SYSTEMS INC SUNTRUST BANKS INC SVB FINANCIAL GROUP SWS GROUP INC T ROWE PRICE GROUP INC THOMSON REUTERS TORONTO-DOMINION BANK (TD BANK) TRADESTATION GROUP INC TRAVELERS COMPANIES INC (THE) UBS AG US BANCORP

www.plunkettresearch.com US TRUST BANK OF AMERICA PRIVATE WEALTH MANAGEMENT USAA VANGUARD GROUP INC (THE) VIRTUS INVESTMENT PARTNERS INC WACHOVIA CORP WADDELL & REED FINANCIAL INC WELLINGTON MANAGEMENT COMPANY LLP WELLS FARGO & CO WILMINGTON TRUST CORP ZIEGLER COMPANIES (THE)

NORTHEAST 3I GROUP PLC A B WATLEY GROUP INC ABERDEEN ASSET MANAGEMENT PLC ADVENT INTERNATIONAL CORPORATION AFFILIATED MANAGERS GROUP ALLIANCEBERNSTEIN HOLDING LP ALLIANZ GLOBAL INVESTORS OF AMERICA LP ALLIANZ SE ALLIED IRISH BANKS PLC ALLSTATE CORPORATION (THE) AMBAC FINANCIAL GROUP AMERICAN CENTURY COMPANIES INC AMERICAN INTERNATIONAL GROUP (AIG) AMERIPRISE FINANCIAL INC APAX PARTNERS LLP APOLLO GLOBAL MANAGEMENT LLC ARLINGTON ASSET INVESTMENT CORPORATION ARTIO GLOBAL INVESTORS INC ASSET ALLIANCE CORPORATION ASSICURAZIONI GENERALI SPA ASSURED GUARANTY LTD ATLAS VENTURE AUTOMATIC DATA PROCESSING INC AVIVA PLC AXA FINANCIAL INC AXA GROUP BAIN CAPITAL LLC BANCO SANTANDER CENTRAL HISPANO SA BANK OF AMERICA CORP BANK OF IRELAND BANK OF NEW YORK MELLON CORP BANK OF NOVA SCOTIA (SCOTIABANK) BARCLAYS CAPITAL BARCLAYS PLC BATTERY VENTURES BBVA (BANCO BILBAO VIZCAYA ARGENTARIA) BERKSHIRE HATHAWAY INC BESSEMER GROUP INC (THE) BGC PARTNERS INC BLACKROCK INC BLACKSTONE GROUP LP (THE) BLOOMBERG LP BNP PARIBAS BOWNE & CO INC BRIDGEWATER ASSOCIATES INC

Plunkett Research, Ltd. BROADPOINT GLEACHER SECURITIES GROUP INC BROOKFIELD ASSET MANAGEMENT INC BT RADIANZ BURRILL & COMPANY CALVERT GROUP LTD CANTOR FITZGERALD LP CAPITAL GROUP COMPANIES INC (THE, AMERICAN FUNDS) CAPITAL RESEARCH AND MANAGEMENT COMPANY (AMERICAN FUNDS) CARLYLE GROUP (THE) CENTERVIEW PARTNERS LLC CERBERUS CAPITAL MANAGEMENT LP CHARLES SCHWAB CORP (THE) CIBC WORLD MARKETS INC CITADEL INVESTMENT GROUP LLC CITIGROUP INC CITIGROUP INSTITUTIONAL CLIENTS GROUP CITIZENS FINANCIAL GROUP INC CLAYTON DUBILIER & RICE INC CLINTON GROUP INC CLIPPER FUND INC CNA FINANCIAL CORP COLONY CAPITAL LLC COLUMBIA MANAGEMENT GROUP INC COMMERZBANK AG COMPASS DIVERSIFIED HOLDINGS CONSECO INC COWEN GROUP INC CREDIT AGRICOLE SA CREDIT SUISSE (USA) CREDIT SUISSE ASSET MANAGEMENT CREDIT SUISSE GROUP DAI-ICHI MUTUAL LIFE INSURANCE COMPANY DAIWA SECURITIES GROUP INC DAVIS SELECTED ADVISORS LP DE LA RUE PLC DE SHAW & CO LP DEPOSITORY TRUST & CLEARING CORPORATION (THE) DEUTSCHE BANK AG DEUTSCHE BORSE AG DEXIA GROUP DODGE & COX DOW JONES & CO INC DREYFUS CORPORATION (THE) DST SYSTEMS INC E*TRADE FINANCIAL CORPORATION EATON VANCE CORP EUREX EVERCORE PARTNERS INC EVERGREEN INVESTMENT MANAGEMENT CO LLC FACTSET RESEARCH SYSTEMS INC FEDERATED INVESTORS INC FIFTH THIRD BANCORP FINANCIAL GUARANTY INSURANCE COMPANY

www.plunkettresearch.com FINANCIAL SECURITY ASSURANCE HOLDINGS LTD FINRA (FINANCIAL INDUSTRY REGULATORY AUTHORITY) FIRST ALLIED SECURITIES INC FIRST EAGLE INVESTMENT MANAGEMENT FIRST RESERVE CORPORATION FISERV INC FMR CORP (FIDELITY INVESTMENTS) FORTRESS INVESTMENT GROUP LLC FRANK RUSSELL COMPANY FRANKLIN RESOURCES INC (FRANKLIN TEMPLETON) GAMCO INVESTORS INC GENWORTH FINANCIAL INC GFI GROUP INC GLG PARTNERS INC GOLDMAN SACHS GROUP INC GREENHILL & COMPANY INC GUARDIAN LIFE INSURANCE COMPANY OF AMERICA H&R BLOCK INC HARRIS BANKCORP INC HARTFORD FINANCIAL SERVICES GROUP INC (THE) HELLMAN & FRIEDMAN LLC HOULIHAN LOKEY HSBC HOLDINGS PLC HSBC NORTH AMERICA HOLDINGS INC HSBC USA HYPO VEREINSBANK AG (HVB GROUP) ICAP PLC ING GROUP (ING GROEP NV) ING NORTH AMERICA INSURANCE CORP INSTINET INC INTERACTIVE BROKERS GROUP INC INTERACTIVE DATA CORPORATION INTERCONTINENTALEXCHANGE INC (ICE) INTERNATIONAL SECURITIES EXCHANGE (ISE) INTESA SANPAOLO SPA INVESCO LTD INVESTMENT TECHNOLOGY GROUP INC (ITG) J C FLOWERS & CO LLC JANNEY MONTGOMERY SCOTT LLC JANUS CAPITAL GROUP INC JEFFERIES BROADVIEW JEFFERIES GROUP INC JOHN HANCOCK FINANCIAL SERVICES INC JONES FINANCIAL COMPANIES (EDWARD JONES) JP MORGAN CHASE & CO INC KBC GROUP NV KBW INC KEEFE BRUYETTE & WOODS INC KEYCORP KKR & CO LP (KOHLBERG KRAVIS ROBERTS & CO) KNIGHT CAPITAL GROUP INC LABRANCHE & CO INC

Plunkett Research, Ltd. LADENBURG THALMANN FINANCIAL LAZARD LTD LCH CLEARNET GROUP LTD LEGG MASON INC LEUCADIA NATIONAL CORP LIBERTY MUTUAL GROUP INC LINCOLN NATIONAL CORPORATION LINSCO/PRIVATE LEDGER CORP LONGLEAF PARTNERS LORD ABBETT & CO LLC MACQUARIE GROUP LIMITED MAN GROUP PLC MARSH & MCLENNAN COMPANIES INC MASSACHUSETTS FINANCIAL SERVICES COMPANY (MFS) MASSACHUSETTS MUTUAL LIFE INSURANCE CO MBIA INC MCGRAW HILL COS INC MEIJI YASUDA LIFE INSURANCE MERRILL LYNCH & CO INC MESIROW FINANCIAL HOLDINGS INC METAVANTE TECHNOLOGIES INC METLIFE INC MIDLAND NATIONAL LIFE INSURANCE COMPANY MITSUI SUMITOMO INSURANCE GROUP HOLDINGS INC MIZUHO FINANCIAL GROUP INC MOELIS & COMPANY MOODY'S CORPORATION MORGAN KEEGAN & CO INC MORGAN STANLEY MUTUAL OF OMAHA COMPANIES (THE) N M ROTHSCHILD & SONS NASDAQ OMX NATIONAL AUSTRALIA BANK LTD NATIONAL FINANCIAL PARTNERS CORP NATIONWIDE FINANCIAL NETWORK NATIONWIDE MUTUAL INSURANCE CO NEUBERGER BERMAN GROUP INC NEW ENTERPRISE ASSOCIATES NEW YORK LIFE INSURANCE CO NEW YORK MERCANTILE EXCHANGE INC NEW YORK STATE AND LOCAL RETIREMENT SYSTEM NIPPON LIFE INSURANCE COMPANY NOMURA HOLDINGS INC NORTHWESTERN MUTUAL LIFE INSURANCE CO NUVEEN INVESTMENTS INC NYSE AMEX LLC NYSE EURONEXT INC OAKTREE CAPITAL MANAGEMENT LP OLD MUTUAL ASSET MANAGEMENT CORP US OLD MUTUAL PLC ONEX CORPORATION OPPENHEIMER HOLDINGS INC OPPENHEIMERFUNDS INC PACIFIC INVESTMENT MANAGEMENT COMPANY (PIMCO)

www.plunkettresearch.com PACIFIC MUTUAL HOLDING CO PERELLA WEINBERG PARTNERS PERSHING LLC PHOENIX COMPANIES (THE) PINEBRIDGE INVESTMENTS PIONEER INVESTMENT MANAGEMENT USA INC PIPER JAFFRAY COMPANIES PMI GROUP INC (THE) PNC FINANCIAL SERVICES GROUP INC PRINCIPAL FINANCIAL GROUP (THE) PROTECTIVE LIFE CORP PROVIDENCE EQUITY PARTNERS PRUDENTIAL FINANCIAL INC PRUDENTIAL PLC PUTNAM LLC R R DONNELLEY CAPITAL MARKETS R R DONNELLEY GLOBAL INVESTMENT MARKETS RADIAN GROUP INC RAYMOND JAMES FINANCIAL INC RBC CAPITAL MARKETS RBC DOMINION SECURITIES INC RBC WEALTH MANAGEMENT REGIONS FINANCIAL CORP ROBERT W BAIRD & CO INC ROYAL BANK OF CANADA (RBC) ROYAL BANK OF SCOTLAND GROUP PLC (THE, RBS) RS INVESTMENT MANAGEMENT INC S1 CORPORATION SAFEGUARD SCIENTIFICS INC SAMSUNG C&T CORPORATION SANDERS MORRIS HARRIS GROUP SCHRODERS PLC SCOTTRADE INC SEI INVESTMENTS CO SIEBERT FINANCIAL CORP SILVER LAKE PARTNERS SOCIETE GENERALE GROUP SOMPO JAPAN INSURANCE INC SS&C TECHNOLOGIES INC STANDARD & POORS (S&P) STATE FARM INSURANCE COMPANIES STATE STREET CORP STIFEL FINANCIAL CORP SUMITOMO MITSUI FINANCIAL GROUP (SMFG) SUMMIT PARTNERS SUN CAPITAL PARTNERS INC SUNGARD DATA SYSTEMS INC SUNTRUST BANKS INC SVB FINANCIAL GROUP SWS GROUP INC T ROWE PRICE GROUP INC TD AMERITRADE HOLDING CORP THOMAS H LEE PARTNERS LP THOMAS WEISEL PARTNERS GROUP INC THOMSON REUTERS TIAA-CREF

Plunkett Research, Ltd. TOKYO STOCK EXCHANGE (TSE) TORONTO-DOMINION BANK (TD BANK) TRAVELERS COMPANIES INC (THE) TREMONT CAPITAL MANAGEMENT INC TULLETT PREBON PLC UBS AG UBS INVESTMENT BANK US BANCORP US TRUST BANK OF AMERICA PRIVATE WEALTH MANAGEMENT USAA VALUE LINE INC VAN KAMPEN INVESTMENTS INC VANGUARD GROUP INC (THE) VIRTUS INVESTMENT PARTNERS INC WACHOVIA CORP WADDELL & REED FINANCIAL INC WARBURG PINCUS LLC WEBSTER FINANCIAL CORP WELLINGTON MANAGEMENT COMPANY LLP WELLS CAPITAL MANAGEMENT WELLS FARGO & CO WILMINGTON TRUST CORP ZIEGLER COMPANIES (THE) ZURICH FINANCIAL SERVICES


INDEX OF FIRMS WITH INTERNATIONAL OPERATIONS 3I GROUP PLC ABERDEEN ASSET MANAGEMENT PLC AFFILIATED MANAGERS GROUP AGF MANAGEMENT LIMITED ALLIANCEBERNSTEIN HOLDING LP ALLIANZ GLOBAL INVESTORS OF AMERICA LP ALLIANZ SE ALLIED IRISH BANKS PLC ALLSTATE CORPORATION (THE) AMBAC FINANCIAL GROUP AMERICAN CENTURY COMPANIES INC AMERICAN INTERNATIONAL GROUP (AIG) AMERIPRISE FINANCIAL INC AMP LIMITED APAX PARTNERS LLP APOLLO GLOBAL MANAGEMENT LLC ASSET ALLIANCE CORPORATION ASSICURAZIONI GENERALI SPA ASSURANCES GENERALES DE FRANCE ASSURED GUARANTY LTD ATLAS VENTURE AUTOMATIC DATA PROCESSING INC AVIVA PLC AXA FINANCIAL INC AXA GROUP BAIN CAPITAL LLC BANCO SANTANDER CENTRAL HISPANO SA BANK OF AMERICA CORP BANK OF IRELAND BANK OF MONTREAL (BMO) BANK OF NEW YORK MELLON CORP BANK OF NOVA SCOTIA (SCOTIABANK) BARCLAYS CAPITAL BARCLAYS PLC BATTERY VENTURES BBVA (BANCO BILBAO VIZCAYA ARGENTARIA) BERKSHIRE HATHAWAY INC BESSEMER GROUP INC (THE) BGC PARTNERS INC BLACKROCK INC BLACKSTONE GROUP LP (THE) BLOOMBERG LP BNP PARIBAS BOC HONG KONG (HOLDINGS) LTD BOURSORAMA BOWNE & CO INC BROADPOINT GLEACHER SECURITIES GROUP INC BROOKFIELD ASSET MANAGEMENT INC BT RADIANZ BURRILL & COMPANY CANADIAN IMPERIAL BANK OF COMMERCE CANTOR FITZGERALD LP CAPITAL GROUP COMPANIES INC (THE, AMERICAN FUNDS) CARLYLE GROUP (THE)

Plunkett Research, Ltd. CENTERVIEW PARTNERS LLC CERBERUS CAPITAL MANAGEMENT LP CHARLES SCHWAB CORP (THE) CI FINANCIAL INCOME FUND CIBC WORLD MARKETS INC CITADEL INVESTMENT GROUP LLC CITIC SECURITIES INTERNATIONAL COMPANY LIMITED CITIGROUP INC CITIGROUP INSTITUTIONAL CLIENTS GROUP CITIGROUP JAPAN HOLDINGS CORP CLAYTON DUBILIER & RICE INC CNA FINANCIAL CORP COLONY CAPITAL LLC COMMERZBANK AG COMMONWEALTH BANK OF AUSTRALIA CORTAL CONSORS SA COWEN GROUP INC CREDIT AGRICOLE SA CREDIT SUISSE (USA) CREDIT SUISSE ASSET MANAGEMENT CREDIT SUISSE GROUP DAI-ICHI MUTUAL LIFE INSURANCE COMPANY DAISHIN SECURITIES CO LTD DAIWA SECURITIES GROUP INC DANSKE BANK AKTIESELSKAB DE LA RUE PLC DE SHAW & CO LP DEPOSITORY TRUST & CLEARING CORPORATION (THE) DEUTSCHE BANK AG DEUTSCHE BORSE AG DEXIA GROUP DOW JONES & CO INC DRAPER FISHER JURVETSON DST SYSTEMS INC E*TRADE FINANCIAL CORPORATION EATON VANCE CORP EUREX EVERCORE PARTNERS INC EVERGREEN INVESTMENT MANAGEMENT CO LLC FACTSET RESEARCH SYSTEMS INC FEDERATED INVESTORS INC FIFTH THIRD BANCORP FINANCIAL GUARANTY INSURANCE COMPANY FINANCIAL SECURITY ASSURANCE HOLDINGS LTD FISERV INC FMR CORP (FIDELITY INVESTMENTS) FORTRESS INVESTMENT GROUP LLC FRANK RUSSELL COMPANY FRANKLIN RESOURCES INC (FRANKLIN TEMPLETON) GAMCO INVESTORS INC GENWORTH FINANCIAL INC GFI GROUP INC GLG PARTNERS INC

www.plunkettresearch.com GOLDMAN SACHS GROUP INC GREENHILL & COMPANY INC H&R BLOCK INC HANWHA SECURITIES CO LTD HARTFORD FINANCIAL SERVICES GROUP INC (THE) HDFC BANK LTD HELLMAN & FRIEDMAN LLC HONG KONG EXCHANGES & CLEARING LIMITED HOULIHAN LOKEY HSBC HOLDINGS PLC HSBC NORTH AMERICA HOLDINGS INC HYPO VEREINSBANK AG (HVB GROUP) ICAP PLC IGM FINANCIAL INC ING GROUP (ING GROEP NV) ING NORTH AMERICA INSURANCE CORP INSTINET INC INTERACTIVE BROKERS GROUP INC INTERACTIVE DATA CORPORATION INTERCONTINENTALEXCHANGE INC (ICE) INTESA SANPAOLO SPA INVESCO LTD INVESTEC LIMITED INVESTMENT TECHNOLOGY GROUP INC (ITG) J C FLOWERS & CO LLC JANUS CAPITAL GROUP INC JEFFERIES GROUP INC JOHN HANCOCK FINANCIAL SERVICES INC JONES FINANCIAL COMPANIES (EDWARD JONES) JP MORGAN CHASE & CO INC KBC GROUP NV KBW INC KEEFE BRUYETTE & WOODS INC KKR & CO LP (KOHLBERG KRAVIS ROBERTS & CO) KNIGHT CAPITAL GROUP INC KYOBO SECURITIES CO LTD LABRANCHE & CO INC LAZARD LTD LCH CLEARNET GROUP LTD LEGG MASON INC LEUCADIA NATIONAL CORP LIBERTY MUTUAL GROUP INC LINCOLN NATIONAL CORPORATION LLOYDS BANKING GROUP PLC LONDON STOCK EXCHANGE PLC (LSE) MACKENZIE FINANCIAL CORPORATION MACQUARIE GROUP LIMITED MAN GROUP PLC MARSH & MCLENNAN COMPANIES INC MASSACHUSETTS FINANCIAL SERVICES COMPANY (MFS) MASSACHUSETTS MUTUAL LIFE INSURANCE CO MAYFIELD FUND MBIA INC MCGRAW HILL COS INC MEIJI YASUDA LIFE INSURANCE

Plunkett Research, Ltd. MERRILL LYNCH & CO INC MESIROW FINANCIAL HOLDINGS INC METAVANTE TECHNOLOGIES INC METLIFE INC MIDLAND NATIONAL LIFE INSURANCE COMPANY MITSUI SUMITOMO INSURANCE GROUP HOLDINGS INC MIZUHO FINANCIAL GROUP INC MOELIS & COMPANY MOODY'S CORPORATION MORGAN STANLEY MORNINGSTAR INC N M ROTHSCHILD & SONS NASDAQ OMX NATIONAL AUSTRALIA BANK LTD NATIONAL FINANCIAL PARTNERS CORP NATIONWIDE MUTUAL INSURANCE CO NEUBERGER BERMAN GROUP INC NEW ENTERPRISE ASSOCIATES NEW YORK LIFE INSURANCE CO NEW YORK MERCANTILE EXCHANGE INC NH INVESTMENT & SECURITIES CO LTD NIPPON LIFE INSURANCE COMPANY NOMURA HOLDINGS INC NYSE EURONEXT INC OAKTREE CAPITAL MANAGEMENT LP OLD MUTUAL ASSET MANAGEMENT CORP US OLD MUTUAL PLC ONEX CORPORATION OPPENHEIMER HOLDINGS INC PACIFIC INVESTMENT MANAGEMENT COMPANY (PIMCO) PACIFIC MUTUAL HOLDING CO PERELLA WEINBERG PARTNERS PERSHING LLC PINEBRIDGE INVESTMENTS PIONEER INVESTMENT MANAGEMENT USA INC PIPER JAFFRAY COMPANIES PMI GROUP INC (THE) PNC FINANCIAL SERVICES GROUP INC PRINCIPAL FINANCIAL GROUP (THE) PROVIDENCE EQUITY PARTNERS PRUDENTIAL FINANCIAL INC PRUDENTIAL PLC R R DONNELLEY CAPITAL MARKETS RADIAN GROUP INC RAYMOND JAMES FINANCIAL INC RBC CAPITAL MARKETS RBC DOMINION SECURITIES INC RELIANCE CAPITAL LIMITED ROBERT W BAIRD & CO INC ROTH CAPITAL PARTNERS LLC ROYAL BANK OF CANADA (RBC) ROYAL BANK OF SCOTLAND GROUP PLC (THE, RBS) S1 CORPORATION SAMSUNG C&T CORPORATION SCHRODERS PLC

www.plunkettresearch.com SCOTTRADE INC SEI INVESTMENTS CO SEQUOIA CAPITAL SIAM CITY SECURITIES CO LTD SILVER LAKE PARTNERS SIMMONS & COMPANY INTERNATIONAL SINOPIA ASSET MANAGEMENT SOCIETE GENERALE GROUP SOMPO JAPAN INSURANCE INC SS&C TECHNOLOGIES INC STANDARD & POORS (S&P) STATE BANK OF INDIA STATE FARM INSURANCE COMPANIES STATE STREET CORP STIFEL FINANCIAL CORP SUMITOMO MITSUI FINANCIAL GROUP (SMFG) SUMMIT PARTNERS SUN CAPITAL PARTNERS INC SUNGARD DATA SYSTEMS INC SVB FINANCIAL GROUP T ROWE PRICE GROUP INC TD AMERITRADE HOLDING CORP THOMAS WEISEL PARTNERS GROUP INC THOMSON REUTERS TIAA-CREF TMX GROUP INC TOKYO STOCK EXCHANGE (TSE) TORONTO-DOMINION BANK (TD BANK) TPG (TEXAS PACIFIC GROUP) TRADESTATION GROUP INC TRAVELERS COMPANIES INC (THE) TULLETT PREBON PLC UBS AG UBS INVESTMENT BANK UNICREDIT SPA (UNICREDIT GROUP) UNITAS CAPITAL US BANCORP USAA WACHOVIA CORP WARBURG PINCUS LLC WELLINGTON MANAGEMENT COMPANY LLP WELLS FARGO & CO WILMINGTON TRUST CORP ZIEGLER COMPANIES (THE) ZURICH FINANCIAL SERVICES



Individual Profiles On Each Of THE INVESTMENT 350



3I GROUP PLC

www.3i.com

Industry Group Code: 523910 Ranks within this company's industry group: Sales: 3 Brokers/Stocks: Broker: Investment Bank: Futures/Options:

Investments: Funds: Annuities: Financial Planning: Venture Capital: Private Equity:

Asset Management: Investment Mgmt.: Employee Benefits: Fund Advisors: Futures/Options:

Profits: 1

Exchanges: Exchange: Stock Specialist: Y

Services: Financial Printing: Consulting/Research: Transfers/Payments: Specialty Services:

Technology: Financial Software: Financial Information: Online Systems: IT Consulting:

Y

GROWTH PLANS/SPECIAL FEATURES:

TYPES OF BUSINESS: Private Equity Investments Fund Management

3i Group plc is a leading global private equity firm that holds investments in over 375 companies and operates through offices in 12 countries across Europe, Asia and North America. 3i’s total assets under management are approximately $13.1 billion, including managed funds ($5 billion) and advised investment companies ($1 billion). The company focuses on four areas: growth capital, buyouts, infrastructure and quoted private equity. The firm invests in companies across a range of sectors, with specialist global teams in the oil; gas and power; technology; media; business services; healthcare; consumer; general industrial; and financial services sectors. The company also offers services for offshoring and family businesses. 3i’s extensive portfolio includes investments in Boomerang TV group; GAIN Capital Group, a provider of online foreign exchange trading services; and a minority stake in Hyperion, an international insurance group. Some of the company’s other investments and acquisitions include a 49% stake in the handbags and accessories division of Antichi Pellettieri S.p.A.; a 45% stake in Soya Concept, a women’s clothing company; in addition to buyouts of Active Pharmaceutical Ingredients and Uponor UK, Ltd. 3i Group’s currently has buyouts underway with companies that include Agent Provocateur, a luxury brand lingerie retailer; Ambea Healthcare, a private healthcare service provider; and TelecityGroup Plc, a provider of independent network data centers. In September 2009, the company sold its extensive venture capital portfolio.

BRANDS/DIVISIONS/AFFILIATES: Ambea Healthcare Boomerang TV Group GAIN Capital Group Hyperion TelecityGroup Plc Antichi Pellettieri S.p.A. Soya Concept Agent Provocateur

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Michael Queen, CEO Denise Collis, Group Dir.-Human Resources Ingrid Tighe, Dir.-Public Rel. & Corp. Comm. Julia Wilson, Group Dir.-Finance Bruce Carnegie-Brown, Managing Partner Bruno Deschamps, Managing Partner-Group Markets Jonathan Russell, Managing Partner/Global Head-Buyouts Guy Zarzavatdjian, Managing Partner/Managing Dir.-Growth Capital Chris Rowlands, Managing Partner-Asia

Phone: 44-20-7928-3131 Fax: 44-20-7928-0058 Toll-Free: Address: 16 Palace St., London, SW1E 5JD UK

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: 2008 Sales: $1,533,700 2008 Profits: $1,258,600 Int’l Ticker: III Int’l Exchange: London-LSE 2007 Sales: $2,100,600 2007 Profits: $1,605,100 Employees: 750 2006 Sales: $1,659,800 2006 Profits: $1,295,000 Fiscal Year Ends: 3/31 2005 Sales: $1,053,400 2005 Profits: $757,000 Parent Company:

SALARIES/BENEFITS: Pension Plan: Savings Plan:

ESOP Stock Plan: Stock Purch. Plan:

OTHER THOUGHTS: Apparent Women Officers or Directors: 3 Hot Spot for Advancement for Women/Minorities: Y

Profit Sharing:

Top Exec. Salary: $ Second Exec. Salary: $

Bonus: $ Bonus: $

LOCATIONS: ("Y" = Yes) West:

Southwest:

Midwest:

Southeast:

Note: Financial information, benefits and other data can change quickly and may vary from those stated here.

Northeast: Y

International: Y



A B WATLEY GROUP INC

www.abwatley.com

Industry Group Code: 52312E Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:

Y



Profits:

Exchanges: Exchange: Stock Specialist:




TYPES OF BUSINESS: Discount Brokerage Online Brokerage Online Foreign Currency Exchange

A.B. Watley Group, Inc. operates through wholly-owned subsidiary A.B. Watley Direct, Inc., an online financial services firm. The company provides large block institutional transactions with real-time data feed and instantaneous execution to individual and institutional customers over a number of trading platforms. UltimateTrader is the company’s online, high volume trading system that is designed for use by large companies or institutional traders. This platform provides real-time information; quick order execution; direct access to NASDAQ Level II data; market maker screens time and sales; real-time charts; and the ability to place orders into various exchanges and electronic communications networks (ENCs). The company’s WatleyTrader is a web-based platform tailored towards individual investors that typically trade 2-10 times a month; it offers traders financial news, updates on indices, stocks, mutual funds and markets. The company’s Ultimate FX trading platform is designed for retail and professional currency traders.

BRANDS/DIVISIONS/AFFILIATES: A.B. Watley Direct, Inc. UltimateTrader WatleyTrader Ultimate FX

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. John Hewitt, CEO John Hewitt, Pres. Michael Picone, CFO Adam Gottbetter, General Counsel Gary Mednick, Pres., A.B. Watley Direct, Inc. Steven Malin, Chmn.

Phone: 646-753-9301 Fax: 212-202-5204 Toll-Free: 888-733-9000 Address: 50 Broad St., Ste. 1728, New York, NY 10004 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: ABWG.PK 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 9/30 2005 Sales: $ 2005 Profits: $ Parent Company:



OTHER THOUGHTS: Apparent Women Officers or Directors: Hot Spot for Advancement for Women/Minorities:

Y

Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International:



ABERDEEN ASSET MANAGEMENT PLC Industry Group Code: 523920 Ranks within this company's industry group: Sales: 24 Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y Y


Y

www.aberdeen-asset.com

Profits: 18


Y


Y


Y


TYPES OF BUSINESS: Asset Management Mutual Funds Retirement Planning Real Estate Investment Trust Private Equity & Venture Capital

Aberdeen Asset Management plc is an international investment management group with approximately $233.9 billion in funds under management. The firm operates through two divisions: the investment management division and the property management division. The investment management division, headquartered in the U.K., handles the firm’s fixed income, equity and multi-asset investments. Its clients include institutional investors such as governments, national pension schemes, listed investment companies, foundations and charities as well as private banks, discretionary fund managers and individuals investing through professional intermediaries. The property management division, headquartered in Stockholm, Sweden, has invested in several property funds featuring real estate from around the world. Property in Continental and Eastern Europe accounts for 50% of the firm’s holdings; property in Nordic countries accounts for 25%; property in the U.K. accounts for 21%; and property in Asia and elsewhere accounts for roughly 4%. The company’s investors are primarily institutional investors including governments, national pension schemes, listed investment companies and charities. Aberdeen has approximately 27 offices in 22 countries around the globe. The firm’s U.S. currency-based fixed income and equity assets are managed primarily from its Philadelphia, Pennsylvania office; this location also serves North American institutional clients. In October 2008, the company entered into an agreement with Mitsubishi UFJ Trust and Banking Corporation (MUTB) wherein MUTB will promote selected Aberdeen products to the Japanese institutional market; MUTB holds an approximately 13% stake in Aberdeen. In June 2009, Aberdeen acquired certain fund management assets from Credit Suisse Group AG, in a share-based transaction valued at roughly $485 million. In October 2009, the firm announced a consolidation of its German businesses hoping to save administrative and other related costs.

BRANDS/DIVISIONS/AFFILIATES: Mitsubishi UFJ Financial Group (MUFJ) Aberdeen Property Investors Credit Suisse Group

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Martin Gilbert, CEO Ken Fry, COO Katie Cowley, Mgr.-Mktg. & Comm., U.S. Scott E. Massie, Sec. Chris Ellyatt, Head-Institutional Bus. Dev. James Thorneley, Mgr.-Comm. Bill Rattray, Dir.-Finance Anne Richards, Chief Investment Officer Charles McKenzie, Head-Fixed Income, EMEA Andrew Laing, Deputy CEO Rickard Backlund, CEO-Aberdeen Property Investors Roger Cornick, Chmn. Hugh Young, Managing Dir.-Aberdeen Asset Mgmt. Asia Ltd.

Phone: 44-1224-631-999 Fax: 44-1224-647-010 Toll-Free: Address: 10 Queen's Terrace, Aberdeen, AB10 1YG UK

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: 2008 Sales: $604,490 2008 Profits: $65,840 Int’l Ticker: ADN Int’l Exchange: London-LSE 2007 Sales: $688,700 2007 Profits: $53,400 Employees: 2006 Sales: $598,200 2006 Profits: $86,900 Fiscal Year Ends: 9/30 2005 Sales: $274,800 2005 Profits: $11,600 Parent Company:



OTHER THOUGHTS: Apparent Women Officers or Directors: 3 Hot Spot for Advancement for Women/Minorities:

Profit Sharing:

Top Exec. Salary: $652,040 Second Exec. Salary: $407,525

Bonus: $3,159,134 Bonus: $448,277


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



ADVENT INTERNATIONAL CORPORATIONwww.adventinternational.com Industry Group Code: 523910 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:



Profits:




Y


TYPES OF BUSINESS: Investment Management Private Equity

Advent International Corporation is a private equity firm based in Boston that has invested in over 500 companies in 35 countries, with more than 140 of these companies achieving IPOs. The firm controls over $23 billion in assets, primarily for institutional and corporate investors including financial institutions (35%), pension funds (33%), corporations (13%), university endowments (10%) and other investors (9%). The company invests in industries including business and financial services; retail and consumer; technology, media and telecom; and healthcare and life sciences. Some of Advent International’s investments include Aircom International; AVIP; Avisium; Delft Instruments; Domestic & General Group plc; Equiniti; Independent Care Ltd.; Gerard Darel; and H.C. Starck. Recently, the company sold American Radiology Services to CML HealthCare Income Fund and Bolix to Berger Paints. The company also has a majority stake in Bradco Supply, and a minority stake in Amscan Holdings, Inc. Craegmoor Health, Frango Assado, Quero-Quero and Aerodom are also part of the company’s portfolio. The company also controls the women’s clothing retailer Charlotte Russe. In October 2009, the company acquired the German software company GFXL Financial Services AG. Also in October 2009, the company sold its stake in Herlitz to Pelikan International Corp. In November 2009, the company acquired Renesas Technology Corp. and a majority stake in Devin AD. Also in November 2009, the company sold the electronic payment company Monext to Credit Mutuel Arkea.

BRANDS/DIVISIONS/AFFILIATES: Devin AD Renesas Technology Corp. GFXL Financial Services AG Charlotte Russe Aircom International Craegmoor Health Aerodom Quero-Quero

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Steven Collins, Managing Dir. Thomas Lauer, COO Janet Hennessy, CFO Mohammed Anjarwala, Principal Jeff Case, Principal Andrew Crawford, Principal Peter A. Brooke, Chmn.

Phone: 617-951-9400 Fax: 617-951-0566 Toll-Free: Address: 75 State St., Boston, MA 02109 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Private 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International:



AFFILIATED MANAGERS GROUP

www.amg.com



Y


Y

Profits: 20


Y




TYPES OF BUSINESS: Investment Management Mutual Funds

Affiliated Managers Group (AMG) is an asset management company with equity investments in a diverse group of midsized investment management firms (its affiliates) in three principal distribution channels: mutual fund, institutional and high-net-worth. The company typically acquires a controlling interest in a firm, allowing the management to retain the remaining equity interests and operating autonomy. AMG provides assistance to its affiliates in identifying opportunities for expansion, marketing, distribution, product development and operations. Company growth stems from the internal growth of its affiliate companies as well as investments in new affiliates. AMG’s affiliated firms manage approximately $200 billion in assets in a wide range of over 300 investment products. Through its mutual fund distribution channel, AMG provides advisory or sub-advisory services to more than 100 mutual funds, which are distributed to retail and institutional clients directly and through intermediaries, including independent investment advisors, retirement plan sponsors, broker-dealers, major fund marketplaces and bank trust deposits. Through its institutional distribution channel, AMG offers 200 investment products across approximately 50 different investment styles. In addition, its affiliates offer quantitative, alternative, credit arbitrage and fixed income products. The company’s high-net-worth distribution channel is comprised broadly of two client groups. The first group consists principally of high net worth individuals, families and charitable foundations. For these clients, affiliates provide investment management or customized investment counseling and fiduciary services. Within this group, the company is currently distributing around 35 investment products managed by eight affiliates. The second group consists of individual managed account client relationships established through intermediaries, generally brokerage firms or other sponsors. Affiliates provide investment management services through 100 managed account programs.

BRANDS/DIVISIONS/AFFILIATES:

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Sean M. Healey, CEO Nathaniel Dalton, COO/Exec. VP Sean M. Healey, Pres. Darrell W. Crate, CFO/Exec. VP John Kingston, III, General Counsel/Exec. VP Jay Horgen, Exec. VP-New Investments Laura O'Brien, Media Rel. Alexandra Lynn, Investor Rel. Daniel J. Shea, Sr. VP-Finance & Acct. Jennifer M. Borggaard, Sr. VP-Affiliate Dev. Jeffrey S. Murphy, Sr. VP-Affiliate Dev. Christine C. Carsman, Chief Regulatory Counsel/Sr. VP-Legal & Compliance Peter W. MacEwen, Sr. VP-Finance & Capital Planning William J. Nutt, Chmn.

Phone: 617-747-3300 Fax: 617-747-3380 Toll-Free: Address: 600 Hale St., Prides Crossing, MA 01965 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: AMG 2008 Sales: $1,158,217 2008 Profits: $23,170 Int’l Ticker: Int’l Exchange: 2007 Sales: $1,369,866 2007 Profits: $181,961 Employees: 80 2006 Sales: $1,170,353 2006 Profits: $151,277 Fiscal Year Ends: 12/31 2005 Sales: $916,492 2005 Profits: $119,069 Parent Company:




Profit Sharing:


Bonus: $5,400,000 Bonus: $2,700,000


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



AGF MANAGEMENT LIMITED

www.agf.com



Y


Y

Profits: 15


Y


Y Y



TYPES OF BUSINESS: Asset Management Mutual Fund Management Mortgage Banking Loans Back Office Services Financial Software

AGF Management Limited is one of Canada’s top investment companies, with approximately $44 billion in assets under management. AGF serves over 1 million investors with products that include a family of more than 50 mutual funds, a tailored investment program, investment management services, loans and mortgages. The firm operates in two segments: investments and trusts. The investment management services division is composed of AGF Elements, which offers five investment portfolios with a variety of different emphases; and AGF Harmony, which provides customizable portfolio designs that employ a conservative and diversified investment approach. Elements was launched in conjunction with partner Wilshire Associates, Inc., and the program offers an incentive called Elements Advantage, where if the portfolio does not perform at or above the designated benchmark within three years, investors receive bonus equities. Major equity funds include the AGF Aggressive and AGF Global series, as well as various funds focusing on markets in specific countries, namely Canada, the U.S., China, Japan and Germany. The company also provides AGF PIM, an advisory service for affluent investors. Investmaster Group, Ltd., AGF’s U.K. subsidiary, supplies financial software and services to the private client wealth management community. The firm’s trusts segment operates through AGF Trust Company and offers term deposits, real estate secured loans and investment loans through financial advisors and mortgage brokers. The company also owns 79% of Highstreet Partners Ltd., which provides a quantitative investment management style to the firm’s retail products. AGF operates internationally in London, Dublin, Singapore, Tokyo and Beijing. AGF offers its employees medical and dental care; disability and life insurance; a flexible health care spending account; a stock ownership plan; and an employee assistance program.

BRANDS/DIVISIONS/AFFILIATES: AGF Elements AGF Harmony Elements Advantage AGF Aggressive AGF Global Funds AGF PIM Highstreet Partners Ltd. AGF Trust Company

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Blake C. Goldring, CEO Gregory J. Henderson, CFO/Sr. VP Judy G. Goldring, General Counsel/Sr. VP W. Robert Farquharson, Vice Chmn. Martin Hubbes, Chief Investment Officer/Exec. VP Mario Causarano, Pres./CEO-AGF Trust Company Rob Badun, Pres., AGF Private Investment Mgmt. Ltd. Blake C. Goldring, Chmn.

Phone: 416-865-4307 Fax: 416-865-4220 Toll-Free: 800-520-0620 Address: 66 Wellington St. W., 31st Fl., Toronto, ON M5K 1E9 Canada

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: AGF.B 2008 Sales: $725,600 2008 Profits: $128,600 Int’l Ticker: AGF.B Int’l Exchange: Toronto-TSX 2007 Sales: $780,300 2007 Profits: $175,900 Employees: 2006 Sales: $522,300 2006 Profits: $110,400 Fiscal Year Ends: 11/30 2005 Sales: $508,400 2005 Profits: $78,600 Parent Company:


ESOP Stock Plan: Y Stock Purch. Plan:


Y

Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast:

International: Y



AIG SUNAMERICA INC

www.sunamerica.com

Industry Group Code: 524113 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y Y


Y Y Y

Profits:





TYPES OF BUSINESS: Annuities Retirement Products Mutual Funds Pension Funds Asset Management

AIG SunAmerica, Inc., a subsidiary of American International Group, Inc. (AIG), specializes in retirement services and products that assist clients plan and invest to provide an income for clients upon retirement. Alongside AIG, the company underwent a major restructuring in 2008 following AIG’s collapse and the subsequent intervention by the U.S. government. This involved the divestiture and/or closure of several divisions and services. The company currently operates via SunAmerica Retarment Markets, Inc. and SunAmerica Life Companies. SunAmerica Retirment Market, Inc. offers a variety of retirement products, which are marketed through SunAmerica Capital Services, Inc. SunAmerica Life Companies comprises the operations of SunAmerica Annuity and Life Assurance Company and First SunAmerica Life Insurance Company. SunAmerica Annuity and Life Assurance Company offers two product lines, the Polaris line of retirement savings products and the Seasons Select line of products featuring an institutional investing approach. First SunAmerica Life Insurance Company offers these products in New York. AIG SunAmerica’s retirementrelated services include planning and education; rollovers; retirement protection; retirement income strategies; retirement protection; legacy planning; and tax-advantaged investing. In addition to these services, the company offers a 401(k) product.

BRANDS/DIVISIONS/AFFILIATES: American International Group (AIG) SunAmerica Retarment Markets, Inc. SunAmerica Life Companies SunAmerica Capital Services, Inc. SunAmerica Annuity and Life Assurance Company First SunAmerica Life Insurance Company

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Jay Wintrob, CEO

Phone: 310-772-6000 Fax: Toll-Free: 800-445-7862 Address: 21650 Oxnard St., Woodland Hills, CA 91367 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company: AMERICAN INTERNATIONAL GROUP (AIG)




Profit Sharing:


Bonus: $ Bonus: $

LOCATIONS: ("Y" = Yes) West: Y

Southwest:

Midwest:

Southeast:


Northeast:

International:



ALLIANCEBERNSTEIN HOLDING LP Industry Group Code: 523920 Ranks within this company's industry group: Sales: 8 Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y Y Y


Y Y Y

www.alliancecapital.com Profits: 4



Y



TYPES OF BUSINESS: Investment Management/Mutual Funds Investment Research Annuities Life Insurance Pensions & Benefits Management

AllianceBernstein LP is a diversified global investment advisor with a presence in 25 countries. The firm provides research and diversified investment management including value equities; growth equities; fixed income securities; blend strategies; passive management; alternative investments; and asset allocation services globally to a broad range of clients such as institutional clients, retail clients; private clients, including high-net-worth individuals, trusts and estates, charitable foundations, partnerships, private and family corporations, and other entities. Institutional clients are primarily served through AllianceBernstein Institutional Investments. The institutional investments division made up 63% of assets under management in 2008. Retail services provides investment management and related services to a wide variety of individual retail investors through retail mutual funds sponsored by the company, its subsidiaries and affiliated joint venture companies. The private client services segment, through Bernstein Global Wealth Management (BGWM), provides services to high-net-worth individuals, trusts and estates, charitable foundations, partnerships, private and family corporations, and other entities. The firm targets investors with financial assets of $1 million or more. Institutional research services consist of independent research, portfolio strategy, and brokerage-related services provided to institutional investors. The company manages employee benefit plan assets for 49 Fortune 100 companies and public pension fund assets for 38 states. The firm is one of America’s largest mutual fund sponsors, with a variety of fund portfolios that serve more than 4 million shareholder accounts. Subsidiary Bernstein Investment Research and Management is a private asset manager that offers a wide range of investment alternatives including U.S. stocks, taxable and municipal bonds, foreign stocks in major and emerging markets, growth-focused and value-based portfolios and tax and estate planning services. In December 2009, the company re-launched their equity capital markets business, at wholly-owned subsidiary, Sanford C. Bernstein & Co., LLC.

BRANDS/DIVISIONS/AFFILIATES: Bernstein Investment Research and Management Sanford C. Bernstein & Co., LLC. Bernstein Global Wealth Management AllianceBernstein Institutional Investments

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Peter S. Kraus, CEO David A. Steyn, COO Robert H. Joseph, Jr., CFO/Sr. VP David A. Steyn, Exec. VP-Global Mktg. & Client Services Lori Massad, Chief Talent Officer Lawrence H. Cohen, CTO/Exec. VP Mark R. Manley, General Counsel/Chief Compliance Officer/Sr. VP Richard G. Taggert, Exec. VP/Head-Global Oper. Edward J. Farrell, Controller/Sr. VP Thomas S. Hexner, Exec. VP/Head-Bernstein Global Wealth Mgmt. Marilyn G. Fedak, Vice Chmn.-Investment Svcs. Gregory J. Tencza, Exec. VP/Head-Institutional Investments Jeffrey S. Phlegar, Exec. VP Peter S. Kraus, Chmn.

Phone: 212-969-1000 Fax: 212-969-2229 Toll-Free: 800-962-2134 Address: 1345 Ave. of the Americas, New York, NY 10105 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: AB 2008 Sales: $3,514,159 2008 Profits: $839,240 Int’l Ticker: Int’l Exchange: 2007 Sales: $4,525,317 2007 Profits: $1,260,444 Employees: 4,997 2006 Sales: $3,950,407 2006 Profits: $1,108,601 Fiscal Year Ends: 12/31 2005 Sales: $3,212,725 2005 Profits: $868,318 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $1,000,000


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



ALLIANZ GLOBAL INVESTORS OF AMERICA LP www.allianzinvestors.com Industry Group Code: 523920 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y Y


Y

Profits:


Y




TYPES OF BUSINESS: Investment Management Mutual Funds Capital Management Risk Management

Allianz Global Investors of America, L.P., formerly known as Allianz Dresdner Asset Management of America, L.P., is one of the largest investment management companies in the U.S., with more than $1.4 trillion in assets under management. A subsidiary of Allianz Group, the firm offers investment services including access to the specialized equity and fixed income expertise of its affiliated institutional investment firms, which together have a client list that includes over half of the 100 largest corporations in America. Through offices in London, Tokyo, Singapore and Sydney, the company provides institutional and individual investors with a diverse range of fixed income and equity styles and services. Allianz Global also offers stock and bond mutual funds as well as institutional separate account management. The firm markets the investment expertise and performance records of its diverse investment subsidiaries, including industry-leading firms PIMCO (Pacific Investment Management Company) and Oppenheimer Capital. PIMCO, with over $940 billion in assets under management, is one of the world’s leading fixed-income managers and operates in London, Munich, Singapore, Sydney and Tokyo. Oppenheimer Capital, with more than $8.1 billion in assets under management, focuses on research in its investment management services. Other subsidiaries and affiliates include NFJ Investment Group, with over $29.4 billion in assets under management; RCM Capital Management, with over $15.7 billion in assets under management; NicholasApplegate Capital Management, with over $9.7 billion in assets under management; and Cadence Capital Management, with over $5.8 billion in assets under management.

BRANDS/DIVISIONS/AFFILIATES: Allianz Dresdner Asset Management of America, L.P. Allianz SE Pacific Investment Management Company (PIMCO) Oppenheimer Holdings Inc NFJ Investment Group RCM Capital Management Nicholas-Applegate Capital Management Cadence Capital Management

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Udo Frank, CEO-RCM Capital Management

Phone: 949-219-2200 Fax: 949-219-3949 Toll-Free: Address: 680 Newport Ctr. Dr., Ste. 250, Newport Beach, CA 92660 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company: ALLIANZ SE




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest: Y

Southeast:


Northeast: Y

International: Y



ALLIANZ SE

www.allianz.com



Y


Y

Profits: 15





TYPES OF BUSINESS: Property, Casualty, Life & Health Insurance Asset Management Pension Funds Banking Aviation Insurance Marine Insurance Specialty Insurance Investment Products

Allianz SE, founded in 1890, is an international insurer, asset manager and provider of banking services. Serving over 75 million customers in more than 70 countries, the firm’s core businesses are property and casualty insurance; life and health insurance; and asset management. Subsidiaries include Allianz Global Corporate & Specialty (AGCS); Allianz Life Insurance Company of North America (Allianz Life); and Allianz Global Investors (AGI). AGCS provides insurance, risk consulting and claims services to large, international corporations, including roughly half of the world’s Fortune 500 firms. AGCS’s marine and aviation unit offers insurance products and services for all classes of marine and aviation operations. Allianz Life provides fixed and variable annuity products, life insurance and long term care coverage in the U.S. Allianz Global Investors (AGI) handles the company’s asset management activities, including private and institutional funds. AGI provides access to asset management and banking services, including a range of investment forms from special funds to special-purpose vehicles and discretionary portfolio options. In Germany, Allianz SE’s insurance operations are managed by Allianz Versicherungs-AG, Allianz Lebensversicherungs-AG and Allianz Private Krankenversicherungs-AG. In August 2008, the company acquired 16% additional interest in Chinabased joint venture Guotai Junan Allianz Fund Management Co. Limited (Allianz SE now owns 49% of this company). In October 2008, the firm invested $2.5 billion in The Hartford Financial Services Group, Inc. In January 2009, Allianz SE sold Dresdner Bank to Commerzbank AG. In March 2009, the company acquired Quitzow Wind Farm from Denker & Wulf. In June 2009, Allianz SE acquired Les Cent Jalois wind farm from Eurowind.

BRANDS/DIVISIONS/AFFILIATES: Allianz Global Investors Allianz Life Insurance Company of North America Allianz Global Corporate & Specialty Allianz Versicherungs-AG Allianz Lebensversicherungs-AG Allianz Private Krankenversicherungs-AG Quitzow Wind Farm Les Cent Jalois

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Michael Diekmann, CEO Christof Mascher, COO Oliver Bate, CFO Oliver Shmidt, Head-Investor Rel. Paul Achleitner, Dir.-Finance Clement B. Booth, Dir.-Insurance Anglo Broker Markets & Global Lines Enrico Cucchiani, Dir.-Insurance Europe 1 & S. America Jean-Philippe Thierry, Dir.-Insurance Europe 2 Gerhard Rupprecht, Dir.-Insurance Germany Speaking Countries Michael Diekmann, Chmn. Joachim Faber, Dir.-Asset Mgmt. Worldwide

Phone: 49-1802-255-4269 Fax: 49-8938-003-899 Toll-Free: Address: Koniginstrasse 28, Munich, 80802 Germany

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: AZ 2008 Sales: $142,395,000 2008 Profits: $-3,577,000 Int’l Ticker: ALV Int’l Exchange: Frankfurt-Euronext 2007 Sales: $157,683,000 2007 Profits: $12,243,000 Employees: 2006 Sales: $126,788,400 2006 Profits: $8,604,400 Fiscal Year Ends: 12/31 2005 Sales: $115,723,000 2005 Profits: $4,374,000 Parent Company:


ESOP Stock Plan: Stock Purch. Plan: Y


Profit Sharing:

Top Exec. Salary: $1,765,355 Second Exec. Salary: $1,176,903

Bonus: $1,635,896 Bonus: $1,035,675


Southwest: Y

Midwest: Y

Southeast:


Northeast: Y

International: Y



ALLIED IRISH BANKS PLC

www.aibgroup.com


Y



Y Y

Profits: 27



Y



TYPES OF BUSINESS: Banking Issuing Visa/Master Card Credit Cards Life Insurance Pensions Car Financing & Leasing Home Mortgages Investment Banking Treasury Risk Management

Allied Irish Banks plc (AIB) is one of Ireland’s largest banks, with international operations in the U.K., Poland and the U.S. The company’s AIB Bank Republic of Ireland division consists of its retail and commercial activities in the Republic of Ireland. It also the firm’s Wealth Management unit; and AIB Financing and Leasing, which provides lending services to customers for vehicle, equipment, retail, investment property and personal loans. The company’s AIB Bank U.K. division provides retail and commercial banking services in Northern Ireland, operating as First Trust Bank; and operates in Great Britain as Allied Irish Bank (GB). Another division, AIB Capital Markets, comprises the global treasury, investment banking and corporate banking activities of the firm; this includes Goodbody, one of Ireland’s oldest stockbrokerage firms. AIB Capital Markets operates in the U.S. through three business units: Allied Irish America, which provides financial services to the not-for-profit sector; AIB Corporate Banking, which provides banking services such as structured finance, lending corporate finance and stock broking services throughout Ireland, the U.K., the U.S. and Continental Europe; and AIB Global Treasury Services, which offers treasury risk management services and solutions to both commercial and retail customers of the group. The company’s Poland division owns a 70.5% interest in Bank Zachodni WBK S.A., a multi-regional retail and commercial bank operating in Poland. In addition, AIB has a 24.2% interest in M&T Bank Corporation. In early 2008, the company acquired a 49.99% interest in BulgarianAmerican Credit Bank AD.

BRANDS/DIVISIONS/AFFILIATES: AIB Bank Republic of Ireland Bank Zachnodni WBK S.A. AIB Bank U.K. First Trust Bank AIB Capital Markets Goodbody AIB Corporate Banking

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Eugene J. Sheehy, Group Chief Exec. Dir. Steve Meadows, COO John O'Donnell, Group Dir.-Finance Mary Toomey, Head-Group Strategic Human Resources Liam Kinsella, Sec. Donal Forde, Group Dir.-Strategy Catherine Burke, Head-Corp. Rel. Alan Kelly, Gen. Mgr.-Group Finance Colm Doherty, Managing Dir.-AIB Capital Markets plc Robbie Henneberry, Managing Dir.-AIB Bank Republic of Ireland Div. Gerry Byrne, Managing Dir.-AIB CEE Div. Dan O’Connor, Chmn. Nick Treble, Managing Dir.-AIB Bank UK

Phone: 353-1-660-0311 Fax: 353-1-660-9137 Toll-Free: Address: Bankcentre, Ballsbridge, Dublin, 4 UK

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: AIB 2008 Sales: $5,056,120 2008 Profits: $1,099,220 Int’l Ticker: AIB Int’l Exchange: Dublin-ISE 2007 Sales: $7,489,590 2007 Profits: $2,793,190 Employees: 2006 Sales: $11,111,600 2006 Profits: $2,622,100 Fiscal Year Ends: 12/31 2005 Sales: $7,595,600 2005 Profits: $1,697,300 Parent Company:

SALARIES/BENEFITS: Pension Plan: Y Savings Plan:



Profit Sharing: Y


Bonus: $ Bonus: $


Southwest:

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



ALLSTATE CORPORATION (THE)

www.allstate.com



Y


Y

Profits: 13





TYPES OF BUSINESS: Insurance, Direct Property & Casualty Auto Insurance Homeowners Insurance Life Insurance Business Insurance

The Allstate Corporation is a holding company for Allstate Insurance Co., through which it principally conducts its business. The firm is primarily engaged in the personal property and casualty insurance business; and the life insurance, retirement and investment products business. Allstate provides insurance products to more than 17 million households through a distribution network that utilizes a total of over 14,000 exclusive agencies and exclusive financial specialists in the U.S. and Canada. The company conducts its business through four business segments: Allstate Protection; Allstate Financial; discounted lines and coverages; and corporate/other. Allstate Protection, which accounts for approximately 93% of the firm’s consolidated insurance premiums and contract charges, sells primarily private passenger auto and homeowners insurance (principally through agencies), under the Allstate, Encompass and Deerbrook brand names. The segment also sells a wide range of personal property and casualty insurance products; these products are for renters, condominiums, residential fire, manufactured housing, boat owners, loan protection and selected commercial property. In addition, it operates the Allstate Motor Club, Inc., which provides emergency road service. Allstate Financial provides life insurance; retirement and investment products; and supplemental accident and health insurance to individual and institutional customers. The discontinued lines and coverages segment includes results from insurance coverage that the company no longer writes and results for certain commercial and other business in run-off. The corporate/other division is comprised of holding company activities and certain non-insurance operations. In June 2008, Allstate acquired Partnership Marketing Group, a roadside assistance service provider, from General Electric Money. The company offers its employees medical, dental, vision and life insurance; AD&D and disability insurance; flexible spending accounts; a retirement plan; a profit sharing fund with 401(k) options; tuition reimbursement; and childcare discounts.

BRANDS/DIVISIONS/AFFILIATES: Allstate Insurance Co. Allstate Life Insurance Co. Allstate Motor Club, Inc. Deerbrook Encompass Allstate Partnership Marketing Group

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Tom Wilson, CEO Tom Wilson, Pres. Don Civgin, CFO/Sr. VP Joan H. Walker, Interim Chief Mktg. Officer Jim D. DeVries, Sr. VP-Human Resources Catherine S. Brune, CIO/Sr. VP Michele Coleman Mayes, General Counsel/VP Steven P. Sorenson, Sr. VP-Prod. Oper. Joan H. Walker, Sr. VP-Corp. Rel. George E. Ruebenson, Pres., Allstate Protection Judy Greffin, Chief Investment Officer/Sr. VP George E. Ruebenson, Interim CEO/Pres., Allstate Financial Thomas J. Wilson, Chmn.

Phone: 847-402-5000 Fax: 847-402-2351 Toll-Free: 800-255-7828 Address: 2775 Sanders Rd., Northbrook, IL 60062 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: ALL 2008 Sales: $29,394,000 2008 Profits: $-1,679,000 Int’l Ticker: Int’l Exchange: 2007 Sales: $36,769,000 2007 Profits: $4,636,000 Employees: 38,900 2006 Sales: $35,796,000 2006 Profits: $4,993,000 Fiscal Year Ends: 12/31 2005 Sales: $35,383,000 2005 Profits: $1,765,000 Parent Company:

SALARIES/BENEFITS: Pension Plan: Y Savings Plan: Y



Profit Sharing: Y

Top Exec. Salary: $1,040,769 Second Exec. Salary: $655,556

Bonus: $736,261 Bonus: $461,763


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



AMBAC FINANCIAL GROUP

www.ambac.com




Profits: 16



Y



TYPES OF BUSINESS: Insurance-Financial Guaranty Software

Ambac Financial Group, Inc. is a holding company that provides financial guaranty products and financial management services to clients in both the public and private sectors in the U.S. and abroad. The firm offers financial guarantee services such as financial guarantee insurance and other credit enhancement products. Financial guarantee insurance provides an unconditional and irrevocable guarantee that protects the holder of a fixed income obligation against non-payment of principal and interest when due. The company's principal operating subsidiary, Ambac Assurance Corporation is an insurer of municipal and structured finance obligations. Ambac Assurance UK Limited insures infrastructure financings, assetsecuritizations and utility operations, primarily within Western Europe. The firm has offices in New York, London, Sydney and Milan. In late 2008, the firm discontinued writing new business in its financial services segment and the business is currently in run-off. Employees are offered medical and dental insurance; life insurance; AD&D insurance; disability coverage; tuition reimbursement; and a health club membership discount.

BRANDS/DIVISIONS/AFFILIATES: Ambac Assurance Corporation Ambac Assurance UK Limited

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. David Wallis, CEO David Wallis, Pres. Greg Bienstock, Sr. VP-Employment Counsel Greg Bienstock, Chief Admin. Officer Kevin J. Doyle, General Counsel/Sr. VP Susan Oehrig, Managing Dir.-Media Rel. Peter Poillon, Managing Dir.-Investor Rel. Robert Eisman, Chief Acct. Officer Gregory Raab, Chief Risk Officer Diana N. Adams, Sr. Managing Dir.-Ambac Assurance UK Michael Callen, Chmn.

Phone: 212-668-0340 Fax: 212-509-9190 Toll-Free: 800-221-1854 Address: 1 State St. Plaza, New York, NY 10004 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: ABK 2008 Sales: $483,713 2008 Profits: $-5,609,248 Int’l Ticker: Int’l Exchange: 2007 Sales: $753,870 2007 Profits: $-3,248,157 Employees: 2006 Sales: $1,832,104 2006 Profits: $875,911 Fiscal Year Ends: 12/31 2005 Sales: $1,614,149 2005 Profits: $751,010 Parent Company:

SALARIES/BENEFITS: Pension Plan: Savings Plan: Y



Profit Sharing:


Bonus: $500,000 Bonus: $975,000


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



AMERICAN CENTURY COMPANIES INC Industry Group Code: 523920 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y


Y Y Y

www.americancentury.com

Profits:





TYPES OF BUSINESS: Investment Management/Mutual Funds Fund Advisors Retirement Accounts Financial Software Online Financial Literature

American Century Companies, Inc., through its subsidiary American Century Investment Management, Inc., is an investment management company serving investment professionals, institutions, corporations and 1.6 million individual investors. The company oversees approximately $100 billion in assets through mutual funds, separate accounts, commingled trusts, sub-advisory accounts and institutional class funds. The firm offers a variety of investment allocation products that include retirement portfolios and strategic allocation funds. In addition, American Century has developed and utilizes a proprietary software system that targets likely companies for investment based on earnings and revenue acceleration. The company also operates Stowers Innovations, a web site featuring financial planning tools, strategies and literature. The company offers its employees medical, dental and vision coverage; an employee assistance program; a 401(k) plan; and annual bonuses.

BRANDS/DIVISIONS/AFFILIATES: American Century Investment Management, Inc. Stowers Innovations

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Jonathan Thomas, CEO Barry Fink, COO/Exec. VP Jonathan Thomas, Pres. Stephen Lurito, Chief Investment Officer-U.S. Growth Equity Phillip N. Davidson, Chief Investment Officer-Value Equity Discipline G. David MacEwen, Chief Investment Officer-Fixed Income James E. Stowers, III, Chmn. Mark On, Chief Investment Officer-Int'l Equity

Phone: 816-531-5575 Fax: 816-340-7962 Toll-Free: 800-345-2021 Address: 4500 Main St., Ste. 1500, Kansas City, MO 64111-1816 US

FINANCIALS:





Y Y

Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest: Y

Southeast:


Northeast: Y

International: Y



AMERICAN INTERNATIONAL GROUP (AIG) Industry Group Code: 524126 Ranks within this company's industry group: Sales: 2 Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y Y


Y Y

www.aig.com

Profits: 18





TYPES OF BUSINESS: Insurance, Direct Property & Casualty Life Insurance Consumer Loans Retirement Products Asset Management & Private Equity Reinsurance Automotive Insurance

American International Group, Inc. (AIG) until recently was one of the largest underwriters of commercial and industrial insurance in the world, as well as a provider of a wide variety of financial services. In the fall of 2008, the U.S. government provided a $150 billion bailout of AIG in order to prevent the firm from being forced into bankruptcy. This bailout, in the form of loans at high interest rates and warrants giving the government the right to own up to 80% of the firm's stock, gave the government effective control of the company. AIG is selling off assets as quickly as possible in order to repay the loan. The biggest problem was AIG's massive obligations in the form of credit default swaps (CDS) that it had underwritten. While the business unit that wrote these CDS created only a small portion of AIG’s revenues, it exposed the firm to extremely high potential risks. The company hopes to refocus primarily as a U.S. property and casualty company, with foreign general insurance and life insurance operations. To that end, AIG plans to form a holding company which will be called AIU Holdings, Inc. It will be composed of AIG’s Commercial Insurance Group, Foreign General unit and other property and casualty operations. In September 2009, AIG announced plans to sell a portion of its investment advisory and asset management business to Bridge Partners, L.P., a unit of private investment firm Pacific Century Group (PCG) based in Hong Kong. AIG's continuing investment operation oversees approximately $480 billion in assets. Today, AIG has operations in more than 130 countries, serving commercial, institutional and individual customers, in addition to providing retirement services, financial services and asset management. AIG offers its employees a wide variety of insurance plans, a health care reimbursement account and a health advisory program.

BRANDS/DIVISIONS/AFFILIATES: AIG Commerical Insurance Group Foreign General

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Robert H. Benmosche, CEO Rodney O. Martin, COO Robert H. Benmosche, Pres. David L. Herzog, CFO/Exec. VP Kathleen E. Shannon, Sec. Christina Pretto, VP-Corp. Media Rel. David L. Herzog, Sr. VP/Controller Monika M. Machon, CIO/Sr. VP Eric Martinez, CEO-United Guaranty Corp. Robert G. Gifford, Pres./CEO-AIG Global Real Estate Jay S. Wintrob, Pres./CEO-Domestic Life & Retirement Svcs.

Phone: 212-770-7000 Fax: 212-509-9705 Toll-Free: 877-638-4244 Address: 70 Pine St., New York, NY 10270 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: AIG 2008 Sales: $92,625,000 2008 Profits: $-99,289,000 Int’l Ticker: Int’l Exchange: 2007 Sales: $110,064,000 2007 Profits: $6,200,000 Employees: 116,000 2006 Sales: $113,387,000 2006 Profits: $14,048,000 Fiscal Year Ends: 12/31 2005 Sales: $108,905,000 2005 Profits: $10,477,000 Parent Company:




Profit Sharing:


Bonus: $697,921 Bonus: $724,901


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



AMERIPRISE FINANCIAL SERVICES INC Industry Group Code: 523920 Ranks within this company's industry group: Sales: 5 Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y


Y Y

www.ameriprise.com

Profits: 23





TYPES OF BUSINESS: Financial Planning Asset Management Insurance Retirement Plan Services Annuities Wealth Management

Ameriprise Financial Services, Inc. is a provider of financial planning, products and services that serve clients' cash and liquidity, asset accumulation, income protection and estate and wealth transfer needs. The firm, which has a network of over 12,400 financial advisors and registered representatives, operates as a stand-alone company, having previously operated under the name American Express Financial Advisors, a division of the corporate giant American Express. The company operates in five segments: advice and wealth management; asset management; annuities; protection; and corporate and other. The advice and wealth management segment, which accounted for 40% of the company’s total 2008 revenue, provides financial planning and advice, as well as full service brokerage and banking services primarily to retail clients. The asset management segment, 15% of 2008 revenue, provides investment advice and investment products to retail and institutional clients in the U.S. through subsidiary RiverSource Investments LLC and internationally through subsidiary Threadneedle Asset Management Holdings Sarl. Its retail products are primarily distributed internationally through third parties. The annuities segment, 22% of revenue, provides RiverSource Life variable and fixed annuity products to retail clients. The protection segment, 23% of revenue, offers a number of products for retail clients, including life, disability income and property-casualty insurance. Finally, the corporate and other segment consists of income derived from excess RiverSource Life capital and other unallocated equity and revenues. The company principally operates through the Ameriprise Financial and RiverSource brands. The firm’s other subsidiaries include Ameriprise Financial Services, Inc.; American Enterprise Investment Services, Inc.; RiverSource Life Insurance Company; and Ameriprise Trust Company. In November 2008, Ameriprise acquired H&R Block Financial Advisors, including more than 950 financial advisors and 135 offices across the U.S.; and asset management firm J. & W. Seligman & Co. In September 2009, Ameriprise announced that it will acquire the long-term asset management business of Columbia Management Group Inc. from Bank of America. When completed, this acquisition will push total Ameriprise assets under management to about $400 billion. The Columbia Management brand name will be used by Ameriprise.

BRANDS/DIVISIONS/AFFILIATES: RiverSource Investments LLC Columbia Management Group Inc Ameriprise Financial Services, Inc. Threadneedle Asset Management Holdings Sarl American Enterprise Investment Services, Inc. RiverSource Life Insurance Company H&R Block Financial Advisors J. & W. Seligman & Co.

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. James M. Cracchiolo, CEO Walter S. Berman, CFO/Exec. VP Kim M. Sharan, Chief Mktg. Officer Kelli A. Hunter, Exec. VP-Human Resources Glen Salow, Exec. VP-Tech. & Service Delivery John C. Junek, General Counsel/Exec. VP John Woerner, Chief Strategy Officer/Pres., Investment Deirdre Davey, Sr. VP-Corp. Comm. & Community Rel. Laura C. Gagnon, VP-Investor Rel. Kim M. Sharan, Pres., Financial Planning & Retirement William F. Truscott, Chief Investment Officer/Pres., U.S. Asset Mgmt. Crispin Henderson, CEO-Threadneedle Asset Mgmt. Holdings Donald E. Froude, Pres., Personal Advisors Group Joseph E. Sweeney, Pres., Advice & Wealth Mgmt. Prod. & Svcs. James M. Cracchiolo, Chmn.

Phone: 612-671-3131 Fax: Toll-Free: 800-257-8740 Address: 55 Ameriprise Financial Center, Minneapolis, MN 55474 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: AMP 2008 Sales: $6,970,000 2008 Profits: $-38,000 Int’l Ticker: Int’l Exchange: 2007 Sales: $8,556,000 2007 Profits: $814,000 Employees: 11,093 2006 Sales: $8,026,000 2006 Profits: $631,000 Fiscal Year Ends: 12/31 2005 Sales: $7,484,000 2005 Profits: $574,000 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



AMP LIMITED

www.amp.com.au



Y Y Y


Y

Profits: 7


Y


Y



TYPES OF BUSINESS: Investment Management Funds & Funds Management Equities, Annuities & Pensions Financial Planning

AMP Limited is one of the largest investment management groups in Australia and New Zealand. AMP has approximately $91.8 billion in assets under management and more than 3.4 million customers. Approximately 51% of the firm’s customers are institutional investors and 49% are individual investors, including customers living in over 100 countries worldwide. The company’s service offerings include retirement savings and income; investments; superannuation; banking; and financial planning. Its brands include AMP Capital Investors, Hillross Financial Services, Arrive Wealth Management and MAGNIFY. AMP Capital Shopping Centres manages 41 shopping malls, including the Dapto Mall, now covering over 236,800 square feet after a $52.4 million renovation completed recently. In addition to its business units, the firm has one of the largest networks of financial planners across Australia and New Zealand, with approximately 2,000 planners aligned through its dealer groups. In July 2008, the AMP Capital Core Infrastructure Fund acquired a 25% stake in a pipeline and storage business in Spain. In October 2008, PHG acquired a 25% stake in Blue Cross Community Care Service. AMP employee benefits include health insurance, pay package options, discounts on travel, accommodation and financial products, an on-site health club and an employee assistance plan.

BRANDS/DIVISIONS/AFFILIATES: AMP Capital Investors AMP Financial Services AMP Capital Shopping Centres Hillross Financial Services Arrive Wealth Management Cobalt/Gordian Principal Healthcare Group AMP Capital Core Infrastructure Fund

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Craig Dunn, CEO/Managing Dir. Paul Leaming, CFO Fiona Wardlaw, Gen. Mgr.-Human Resources Lee Barnett, CIO Brian Salter, General Counsel/Corp. Sec. Jonathan Deane, Gen. Mgr.-Group Strategy Matthew Percival, Gen. Mgr.-Public Affairs Stephen Dunne, Managing Dir.-AMP Capital Investors Craig Meller, Managing Dir.-AMP Financial Svcs. Peter Mason, Chmn. Phil Garling, Global Head-Infrastructure, AMP Capital

Phone: 61-2-9257-5000 Fax: 61-2-9257-7178 Toll-Free: Address: 33 Alfred St., Level 24, Sydney, 2000 Australia

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: AMLTF 2008 Sales: $2,559,580 2008 Profits: $516,010 Int’l Ticker: AMP Int’l Exchange: Sydney-ASX 2007 Sales: $2,552,460 2007 Profits: $976,330 Employees: 2006 Sales: $12,671,200 2006 Profits: $721,400 Fiscal Year Ends: 12/31 2005 Sales: $9,920,900 2005 Profits: $590,400 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast:

International: Y



APAX PARTNERS LLP

www.apax.com




Profits:




Y


TYPES OF BUSINESS: Private Equity Investments

Apax Partners LLP is a holding company for Apax Partners, a global private equity advisory fund. The company’s investments are focused on industries including technology and telecom; retail and consumer; media; healthcare; and business and financial services. The firm has a diverse range of investors, which include public and private pension funds; insurance companies; university endowments and other financial institutions; as well as large net worth individuals. Apax Partners has offices in London, Madrid, Milan, Munich, Stockholm, New York, Tel Aviv, Hong Kong and Mumbai. The company, through its Apax Funds division, seeks to buy majority and minority stakes in large and well established companies. Among the company’s investments are Trizetto Group, a supplier of healthcare related software; clothing retailer Tommy Hilfiger; Central European Media Enterprise, an operator of several European TV stations; and HUB International, an insurance broker. The firm is based in New York and has approximately $35 billion in assets under management. In August 2009, the company acquired the Internet-based financial services company, Bankrate, Inc. In December 2009, the company acquired the healthcare firm Marken, Ltd. That same month, Apax sold Spectrum Holding Company, Inc. for $230 million and acquired a majority stake in Psagot Investment House Ltd.

BRANDS/DIVISIONS/AFFILIATES: Tommy Hilfiger TriZetto Group, Inc. Apax Funds Central European Media Enterprise Bankrate, Inc. Marken, Ltd. HUB International Psagot Investment House Ltd.

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Martin Halusa, CEO

Phone: 212-753-6300 Fax: 212-319-6155 Toll-Free: Address: 601 Lexington Ave. 53rd Fl., New York, NY 10022 US

FINANCIALS:





Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



APOLLO GLOBAL MANAGEMENT LLC Industry Group Code: 523910 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:



Y

www.apollorealestate.com

Profits:




Y


TYPES OF BUSINESS: Private Equity Investments Real Estate Distressed Assets

Apollo Global Management, LLC is a leading global alternative asset manager, investing primarily in private equity, mezzanine funds, hedge funds and distressed funds. The company also has activities in senior debt investing. The company raises, invests and manages private equity and capital markets funds on behalf of some of the world’s most prominent pension and endowment funds, as well as other institutional and individual investors. Apollo conducts its management and investment businesses through two segments: private equity and capital markets. The private equity segment consists of traditional buyouts, accounting for 73% of the segments business, and distressed buyouts and debt investments, which account for the remaining 27%. Industries covered include manufacturing and industrial; consumer and retail, media, cable and leisure; and financial and business services, among others. The capital markets segment currently manages several capital markets funds, comprised of mezzanine, distressed and hedge funds in the U.S. and globally. Apollo’s assets under management total approximately $38 billion. Current companies under Apollo’s control include Momentive Performance Materials, Inc.; Realogy; Jacuzzi Brands; and Hexion Chemical. Recent acquisitions of the company include Harrah’s Entertainment; Norwegian Cruise Lines; and Noranda Aluminum. In November 2009, the company acquired Parallel Petroleum Corp. In December of the same year, the firm agreed to acquire Cedar Fair LP for $2.4 billion.

BRANDS/DIVISIONS/AFFILIATES: Parallen Petroleum Corp. Norwegian Cruise Lines Realogy Harrah's Entertainment Hexion Chemicals Momentive Performance Materials, Inc Noranda Aluminum Jacuzzi Brands

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Leon D. Black, CEO Henry Silverman, COO Joshua J. Harris, Pres. Kenneth A. Vecchione, CFO/VP John J. Suydam, Chief Admin. Officer John J. Suydam, Chief Legal Officer Barry J. Giarraputo, Chief Acct. Officer/Controller Marc J. Rowan, Sr. Managing Dir. Leon D. Black, Chmn.

Phone: 212-515-3200 Fax: Toll-Free: Address: 9 West 57th St., 43rd Fl., New York, NY 10019 US

FINANCIALS:





Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast: Y


Northeast: Y

International: Y



ARIEL CAPITAL MANAGEMENT LLC Industry Group Code: 523920 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y


Y

www.arielmutualfunds.com Profits:


Y


Y



TYPES OF BUSINESS: Mutual Funds Separate Investment Accounts Investment Management

Ariel Capital Management, LLC, through its subsidiary Ariel Mutual Funds, is a retail and institutional mutual funds company with $4.8 billion in assets under management. Its mutual funds include the Ariel Fund, the Ariel Appreciation Fund and the Ariel Focus Fund. The Ariel Fund invests in smaller companies with market capitalization between $1 billion and $5 billion at the time of initial investment, focusing on long-term capital appreciation. It identifies the common stocks of undervalued companies with long-term growth potential. A stock will be held until it reaches its true value, usually 2-5 years. The Ariel Appreciation Fund invests in medium-sized companies with market caps between $2.5 billion and $15 billion. The Ariel Focus Fund invests in larger companies with market caps in excess of $10 billion and is a non-diversified fund. Ariel Focus usually has no more than 20 stocks in its portfolio. In addition to the company’s mutual fund business, Ariel also manages separate investment accounts for corporate, public, union and non-profit organizations. In April 2009, the company introduced its new fund, the Ariel Micro-Cap Value Product, which targets companies with market capitalizations of under $500 million.

BRANDS/DIVISIONS/AFFILIATES: Ariel Mutual Funds Ariel Fund Ariel Appreciation Fund Ariel Focus Fund Ariel Micro-Cap Value Product

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. John W. Rogers, Jr., CEO Mellody Hobson, Pres. Thomas E. Herman, CFO Krista Rivers, Sr. VP-Institutional Mktg. & Client Svcs. Anita M. Zagrodnik, Sec. Jason J. Tyler, Sr. VP/Dir.-Research Oper. Thomas E. Herman, Treas. Sabrina Carollo, VP-Portfolio Mgmt. Timothy Fidler, Sr. VP-Portfolio Mgmt. John P. Miller, Sr. VP-Portfolio Mgmt. Matthew F. Sauer, Exec. VP-Portfolio Mgmt. John W. Rogers, Jr., Chmn.

Phone: 312-726-0140 Fax: 312-726-7473 Toll-Free: Address: 200 E. Randolph Dr., Ste. 2900, Chicago, IL 60601 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Private 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 2005 Sales: $ 2005 Profits: $ Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest: Y

Southeast:


Northeast:

International:



ARLINGTON ASSET INVESTMENT CORPORATION www.arlingtonasset.com Industry Group Code: 523110 Ranks within this company's industry group: Sales: 28 Brokers/Stocks: Broker: Investment Bank: Futures/Options:

Y Y



Y

Profits: 26



Y



TYPES OF BUSINESS: Mortgage-Backed Securities Investments Merchant Banking Investments

Arlington Asset Investment Corp., formerly Friedman, Billings, Ramsey Group, Inc. (FBR Group), is an investment firm focused on residential mortgage-backed securities (MBS). The firm previously operated in four segments, including asset management, mortgage banking, capital markets and principle investing; however, following its 2008 bankruptcy proceedings and the sale of subsidiary FBR Capital Markets in 2009, the firm operates a single segment, principle investing. The company’s principle investment portfolio consists of U.S. government-backed MBS; U.S. Treasury bonds; privately issued MBS; net interest margin securities; equity securities; mezzanine debt; and senior loans. Its government-backed MBS investments are guaranteed by Fannie Mae, Freddie Mac or Ginnie Mae. Its private-label MBS investments are backed by a pool of single-family residential mortgage loans issued by owners of residential mortgage loans, including savings and loan associations; savings, commercial, mortgage and investment banks; and subsidiaries of these institutions. The company controls assets totaling approximately $283 million. In January 2009, the company elected to revoke its status as a real estate investment trust (REIT). In October 2009, the company finalized the sale of subsidiary FBR Capital Markets. That same month, the firm changed its name to Arlington Investment Corp. in order to differentiate it from its former subsidiary. The firm offers its employees a 401(k) option.


CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Eric F. Billings, CEO J. Rock Tonkel, Jr., COO J. Rock Tonkel, Jr., Pres. Kurt R. Harrington, CFO/Exec. VP Brian Bowers, CIO/Portfolio Mgr. Kurt R. Harrington, Investor Rel. Eric F. Billings, Chmn.

Phone: 703-312-9500 Fax: 703-312-9501 Toll-Free: 877-370-4413 Address: 1001 19th St. N., Arlington, VA 22209 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: AI 2008 Sales: $96,953 2008 Profits: $-417,463 Int’l Ticker: Int’l Exchange: 2007 Sales: $316,682 2007 Profits: $-658,600 Employees: 579 2006 Sales: $1,007,904 2006 Profits: $-67,275 Fiscal Year Ends: 12/31 2005 Sales: $995,306 2005 Profits: $-170,910 Parent Company:



OTHER THOUGHTS: Apparent Women Officers or Directors: Hot Spot for Advancement for Women/Minorities: Y

Profit Sharing:


Bonus: $2,000,000 Bonus: $1,700,000


Southwest:

Midwest:

Southeast:


Northeast: Y

International:



ARTIO GLOBAL INVESTORS INC

www.artioglobal.com



Y Y


Y

Profits:





TYPES OF BUSINESS: Investment Management/Mutual Funds

Artio Global Investors, Inc. is an asset management company that provides investment management services to institutional and mutual fund clients. The company conducts its operations through its wholly-owned subsidiary Artio Global Holdings, LLC. With approximately $72.6 billion in assets under management, the company manages investments through mutual funds and other types of accounts. The firm’s revenues are comprised primarily of investment management fees rather than investment performance-based fees. The firm manages its investment portfolios based on macro-economic factors and broadbased global investment themes. Artio provides investment management services to a broad and diversified spectrum of approximately 1,110 institutional clients. These include some of the world’s leading corporations; public and private pension funds; endowments and foundations; and major financial institutions through its separate accounts, commingled funds and mutual funds. The company also managed assets for more than 700,000 mutual fund shareholders through SEC-registered Artio Global Investment Funds. In September 2009, the company became publicly traded.

BRANDS/DIVISIONS/AFFILIATES: Artio Global Investment Funds Artio Global Holdings, LLC

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Richard Pell, CEO Tony Williams, COO Glen Wisher, Pres. Francis Harte, CFO Adam Spilka, General Counsel Richard Pell, Chief Investment Officer Richard Pell, Chmn. Rudolph-Riad Younes, Head-Int'l Equity

Phone: 212-297-3600 Fax: Toll-Free: Address: 330 Madison Ave., New York, NY 10017 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: ART 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International:



ASSET ALLIANCE CORPORATION

www.assetalliance.com



Y


Y

Profits:


Y


Y



TYPES OF BUSINESS: Investment Management Hedge Funds Management Advisory Services

Asset Alliance Corporation is an alternative investment management firm, specializing in hedge funds and hedge fund products. Asset Alliance offers strategic opportunities for hedge fund managers, provides advisory services to organizations worldwide and manages investment products for high net worth and institutional investors. The company’s customers range from high net worth individuals to some of the world’s largest financial institutions. Asset Alliance’s institutional offerings include multi-manager funds and single manager funds. Subsidiary Alternative Investment Partners LLC provides the company’s retail offerings, which include its Alpha Hedge Strategies Fund and its Beta Hedged Strategies Fund. The Alpha Fund invests in securities including common and preferred stock and other debt instruments including convertible debt, options and futures. The Beta Fund is an open-end mutual fund combining an alternative investment strategy with a mutual fund, and is designed for moderate market exposure and volatility. Asset Alliance additionally provides advisory services to the global investment community.

BRANDS/DIVISIONS/AFFILIATES: Alternative Investment Partners LLC Alpha Hedge Strategies Fund Beta Hedged Strategies Fund

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Bruce H. Lipnick, CEO Arnold L. Mintz, COO Arnold L. Mintz, Pres. Stephen G. Bondi, CFO/Exec. VP Bruce H. Lipnick, Chmn. James Parker, Managing Dir.-Asset Alliance Int'l

Phone: 212-207-8786 Fax: 212-207-8785 Toll-Free: Address: 800 3rd Ave., New York, NY 10022 US

FINANCIALS:





Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



ASSICURAZIONI GENERALI SPA

www.generali.com



Y Y


Profits: 5





TYPES OF BUSINESS: Insurance, Direct Property & Casualty Life Insurance Real Estate Services Financial Services Specialty Insurance Asset Management

Assicurazioni Generali S.p.A. is the principal operating company and parent for the Generali Group, consisting of 475 insurance and financial and real estate subsidiaries serving over 60 million customers. Operating in more than 60 countries, the group’s most significant life insurance market shares are in Italy, Israel, Austria, Germany and France; non-life insurance shares are in Italy, Israel and Austria. Generali offers a full range of insurance products, primarily life insurance for individuals and groups and employee benefit packages, but also including automobile third-party liability and personal injuries coverage; industrial plant coverage; and other lines of coverage. Additionally, the company offers a range of financial services, real estate services and asset management through Banca Generali. The company’s U.S. subsidiaries are Assicurazioni Generali U.S. Branch and Generali USA Life Reassurance Company. The firm’s strategy focuses on expansion by utilizing multiple brands and a multifaceted distribution strategy centered on agent networks. The group is actively expanding its operations in the Central-Eastern European, Chinese and East Asian markets. In April 2008, Assicurazioni Generali created Generali Immobiliare to develop and coordinate the entire group’s real estate activities. In June 2008, joint venture Generali PPF, owned by Generali and PPF Group, acquired 72.7% of Asigurare Reasigurare ARDAF SA and 99.9% of Rai Insurance, two Romanian insurance companies. In August 2008, the firm entered the non-life insurance market in Belarus, and in April 2009 entered the life insurance market in the United Arab Emirates. In June 2009, Generali and PPF Group launched PPF Partners, a private equity firm of which Generali owns 27.5%. In July 2009, the company acquired a 30% stake in Guotai AMC, a Chinese asset management company. In August 2009, the firm entered the Vietnamese market. In September 2009, Generali announced plans to merge its Spanish subsidiaries Estrella Seguros and Vitalicio Seguros.

BRANDS/DIVISIONS/AFFILIATES: Generali Group Banca Generali Assicurazioni Generali U.S. Branch PPF Group Generali USA Life Reassurance Company Guotai AMC Generali PPF Rai Insurance

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Sergio Balbinot, Managing Dir. Raffaele Agrusti, CFO/Gen. Mgr. Lodovico Floriani, Deputy Gen. Mgr.-Human Resources Lorenzo Savorelli, Head-R&D Lodovico Floriani, Deputy Gen. Mgr.-IT Coordination Mel Carvill, Head-Int'l Regulatory Affairs Lodovico Floriani, Deputy Gen. Mgr.-Corp. Comm. Paola Buratti, Head-Investor Rel. Giovanni Perissinotto, Managing Dir. Valter Trevisani, Deputy Gen. Mgr.-Insurance Oper. Lodovico Floriani, Deputy Gen. Mgr.-Organization Mauro Giusto, Head-Corp. Public Affairs Antoine Bernheim, Chmn. Franco Urlini, Asst. Gen. Mgr.-Int'l & European Union Rel.

Phone: 39-040-67-1111 Fax: 39-040-67-1127 Toll-Free: Address: Piazza Duca degli Abruzzi, 2, Trieste, 34132 Italy

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: 2008 Sales: $103,103,000 2008 Profits: $1,260,000 Int’l Ticker: GASI Int’l Exchange: Milan-BI 2007 Sales: $127,999,900 2007 Profits: $4,635,800 Employees: 2006 Sales: $125,733,700 2006 Profits: $3,823,600 Fiscal Year Ends: 12/31 2005 Sales: $83,993,900 2005 Profits: $1,635,100 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest: Y

Southeast:


Northeast: Y

International: Y



ASSURANCES GENERALES DE FRANCE Industry Group Code: 524126 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y Y


www.agf.fr

Profits:





TYPES OF BUSINESS: Insurance-Direct Property & Casualty Life & Health Insurance Assistance & Credit Insurance Banking & Financial Activities Private Banking

Assurances Generales de France (AGF) is a leading provider of insurance and financial services in France and more than 20 other countries around the world. A majorityowned subsidiary of Allianz SE and one of its main business units, the firm offers property and casualty insurance, which generates approximately 45% of its premiums; property and casualty insurance, 38%; assistance and credit insurance, 15%; and banking and financial services, 2%. Currently, AGF has approximately 4.9 million customers comprising both individuals and professionals; it also insures, advises and manages assets for 300,000 small, medium and large sized companies, which includes providing health, retirement, income protection and employee savings security for 2.5 million beneficiaries from 70,000 companies. For its wealthiest clients, the firm runs the AGF Private Bank, which provides discretionary management, financial engineering, property loans and life insurance for 4,000 customers. Regionally, France generates 62% of AGF’s revenues; the rest of Europe, 29%; South America, 5%; and the rest of the world, 4%.

BRANDS/DIVISIONS/AFFILIATES: Allianz SE AGF Private Bank

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Jean-Philippe Thierry, CEO Laurent Mignon, Managing Dir./Chmn.-Exec. Committee Jean-Francois LeQuoy, Deputy Managing Dir.-Life & Financial Services Jean-Philippe Thierry, Chmn.

Phone: 33-1-44-86-20-00 Fax: 33-1-44-86-42-42 Toll-Free: Address: 87 Rue de Richelieu, Paris, 75002 France

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 3,261 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $30,272,320 2005 Profits: $2,007,340 Parent Company: ALLIANZ SE




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast:

International: Y



ASSURED GUARANTY LTD

www.assuredguaranty.com




Profits: 7



Y



TYPES OF BUSINESS: Credit Enhancement Products & Credit Support Credit Derivatives Reinsurance

Assured Guaranty Ltd., based in Bermuda, is a holding company that provides credit enhancement products to the public finance, structured finance and mortgage markets. Credit enhancement products are financial guaranty or other types of financial support such as credit derivatives that improve the credit of underlying debt obligations. These products also include insurance and reinsurance, which the company markets directly and through financial institutions worldwide. The company operates through several whollyowned subsidiaries, including Assured Guaranty Corp., Assured Guaranty US Holdings, Inc., Assured Guaranty Re Ltd. (AG Re) and Assured Guaranty Finance Overseas Ltd. (AGFOL). AGC is a Maryland-based insurance company licensed in 50 states and Washington, D.C., while its subsidiary, Assured Guaranty (U.K.) Ltd., is a U.K. licensed financial guaranty insurer. These subsidiaries provide insurance and reinsurance of investment-grade financial guaranty exposures and credit default swap transactions. AG Re underwrites financial guaranty and residential mortgage reinsurance as a direct reinsurer of third-party primary insurers and as a reinsurer of certain affiliated companies. AGFOL, based in the U.K., is an arranger that markets and sources derivative transactions. Most of the company’s business is done through AGC and AG Re. In early 2008, Assured Guaranty Corp. opened an office in Sydney, Australia, in concordance with its intent to expand into the Australian and Asian Pacific markets. In July 2009, Assured Guaranty Ltd. acquired Financial Security Assurance Holdings Ltd., which specializes in public financing, from Dexia SA for approximately $546 million.

BRANDS/DIVISIONS/AFFILIATES: Assured Guaranty Re Ltd Assured Guaranty US Holdings Inc Assured Guaranty Finance Overseas Ltd Assured Guaranty Corp Assured Guaranty (UK) Ltd Financial Security Assurance Holdings Ltd

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Dominic J. Frederico, CEO Dominic J. Frederico, Pres. Robert B. Mills, CFO John Trahan, Managing Dir.-National Sales Ivana Grillo, Dir.-Human Resources Roger Horn, Dir.-Corp. Research Kurt Vandenberg, Managing Dir.-IT James M. Michener, General Counsel/Sec. Dennis Clare, Managing Dir.-Oper. Dennis Kim, Managing Dir.-Corp. Planning Betsy Castenir, Managing Dir.-Corp. Comm. Sabra R. Purtill, Managing Dir.-Investor Rel. Donald L. Paston, Managing Dir.-Finance/Treas. Michael J. Schozer, Pres., Assured Guaranty Corp. Sean W. McCarthy, Pres./COO-Assured Guaranty US Holdings, Inc. Robert A. Bailenson, Chief Acct. Officer Walter A. Scott, Chmn. Philippe Z. Tromp, Sr. Managing Dir.-Int'l Finance

Phone: 441-299-9375 Fax: 441-296-3379 Toll-Free: Address: 30 Woodburn Ave., Hamilton, HM 08 Bermuda

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: AGO 2008 Sales: $618,270 2008 Profits: $68,883 Int’l Ticker: Int’l Exchange: 2007 Sales: $424,546 2007 Profits: $-303,272 Employees: 160 2006 Sales: $261,272 2006 Profits: $159,734 Fiscal Year Ends: 12/31 2005 Sales: $294,534 2005 Profits: $188,448 Parent Company:




Profit Sharing:


Bonus: $2,200,000 Bonus: $400,000


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



ATLAS VENTURE

www.atlasventure.com



Y


Profits:



Y



TYPES OF BUSINESS: Venture Capital Business Development Operations Management Assistance

Atlas Venture is a premier venture capital firm, with over $2 billion in committed capital. The company focuses its investments on start-up companies in technology, with 46 investments currently, and life sciences, with 77 investments. In total, Atlas Venture has invested in over 200 technology companies and over 95 biotechnology companies. Capital is usually invested in technology companies that develop components based on silicon, MEMs, nanotechnology and optics; systems, such as large distributed telecommunications systems, enterprise storage, security appliances and consumer electronics; software for infrastructure, tools and industries such as communications, healthcare and consumer markets; and Internet-based services for businesses and consumers. Preferred life sciences companies fall into three categories: product companies with clinical candidates or molecules in the clinic; drug discovery companies that implement technology to accelerate and improve lead generation and optimization, make new targets accessible to drug intervention and/or shorten the path to the clinic or change overall cost equation; and select medical device, technology and tool companies. A typical investment ranges from $5 million to $25 million over the life of the company. In addition to providing venture capital, the firm also offers assistance with internal organization, operations and management, often placing its staff on the board of directors of portfolio companies. Atlas Ventures leverages its connections to recruit top employees and customers for the companies in which it invests. It has participated in developing over 300 companies worldwide through offices in Boston, London, Munich and Paris. The company occasionally invests in later-stage companies looking for transatlantic expansion.


CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Jeanne Henry, COO Kristen Laguerre, CFO Matt Burke, Dir.-Mktg. Frank Castellucci, General Counsel Dana Samuels, Dir.-Investor Rel. Gretchen McCarey, VP-Finance

Phone: 781-622-1700 Fax: 781-622-1701 Toll-Free: Address: 890 Winter St., Ste. 320, Waltham, MA 02451 US

FINANCIALS:





Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



AUTOMATIC DATA PROCESSING INC Industry Group Code: 518210 Ranks within this company's industry group: Sales: 1 Brokers/Stocks: Broker: Investment Bank: Futures/Options:



Y

www.adp.com Profits: 1



Y Y



TYPES OF BUSINESS: Data Processing Services Business Outsourcing Solutions Information Services Payroll Processing Automobile Dealer Services

Automatic Data Processing, Inc. (ADP) is one of the world’s largest providers of business outsourcing solutions. The company offers a wide range of human resources, payroll, tax and benefits administration solutions from a single source. The firm also provides integrated computing solutions to automotive, heavy truck, motorcycle, marine and recreational vehicle dealers throughout the world. ADP operates in three segments: ADP Employer Services, professional employer organization (PEO) services and dealer services. ADP Employer Services offers a range of human resources information, payroll processing, tax and benefits administration products and services, including traditional and web-based outsourcing solutions. The segment assists roughly 560,000 employers in the U.S., Canada, Europe, South America, Australia and Asia to staff, manage, pay and retain their employees. The PEO services segment, which operates as ADP TotalSource, provides small and medium sized businesses with comprehensive employment administration outsourcing solutions (through a co-employment relationship), including payroll; payroll tax filing; human resources guidance; 401(k) plan administration; benefits administration; compliance services; health and workers’ compensation coverage; and other supplemental benefits for employees. ADP TotalSouce has approximately 46 offices in 19 states; the businesses it serves have a combined 188,000 employees. The dealer services division provides integrated dealer management systems and business solutions to over 25,000 automotive, heavy truck and powersports vehicle retailers in approximately 60 countries. In October 2008, the firm launched ADP Leave Administration Service, a program supported by NexTrak Leave Administration platform that manages and simplifies the process associated with employee leave. In March 2009, ADP Employer Services released ADP Access, a new retirement program. In April 2009, part of the employer services division, ADP Business Services (Shanghai) Co., Ltd., acquired majority ownership of ChinaLink. The company offers its employees benefits including life, AD&D, home, medical, dental and vision insurance; a pension plan; a 401(k) plan; and tuition reimbursement.

BRANDS/DIVISIONS/AFFILIATES: ADP TotalSource ADP Employer Services ADP Leave Administration Service ADP Access ADP Business Services (Shanghai) Co., Ltd. ChinaLink

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Gary C. Butler, CEO S. Michael Martone, COO Gary C. Butler, Pres. Christopher R. Reidy, CFO Benito Cachinero, VP-Human Resources Michael L. Capone, CIO/VP James B. Benson, General Counsel/VP/Sec. Terry Corallo, Sr. Dir.-Public Rel. & Advertising Raymond L. Colotti, VP/Treas. Steven J. Anenen, Pres., Dealer Svcs. Campbell B. Langdon, Pres., Employer Svcs., Major Accounts Div. Regina R. Lee, Pres., Employer Svcs.-National Acct. Div. Carlos Rodriguez, Pres., Employer Svcs.-Small Bus. Svcs. Div. Leslie A. Brun, Chmn. Lisa Bao, Mgr.-Mktg., ADP China

Phone: 973-974-5000 Fax: 973-974-5390 Toll-Free: 800-225-5237 Address: 1 ADP Blvd., Roseland, NJ 07068 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $8,867,100 2009 Profits: $1,328,200 U.S. Stock Ticker: ADP 2008 Sales: $8,776,500 2008 Profits: $1,161,700 Int’l Ticker: Int’l Exchange: 2007 Sales: $7,800,000 2007 Profits: $1,021,200 Employees: 45,000 2006 Sales: $6,835,600 2006 Profits: $1,554,000 Fiscal Year Ends: 6/30 2005 Sales: $6,131,300 2005 Profits: $1,055,400 Parent Company:




Profit Sharing:


Bonus: $2,579,405 Bonus: $1,085,950


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



AVIVA PLC

www.aviva.com



Y


Y

Profits: 23


Y




TYPES OF BUSINESS: Life Insurance Property & Casualty Insurance Investment & Fund Management Auto Insurance Long Term Savings Products Occupational Health Services Pension Products

Aviva plc is one of the largest insurance companies in the U.K. Through the Aviva group of companies, Aviva provides life insurance; home, auto and fire insurance; long-term savings; and fund management services. It also invests in securities, mortgages, loans and property. Aviva operates in five business segments: U.K. main operations, Europe main operations, Asia Pacific main operations, North America main operations and Aviva Investors. U.K. operations include Aviva UK Life; Aviva UK Insurance; RAC; and Aviva Healthcare. European operations comprise businesses in France, Ireland, Italy, the Netherlands, Poland, Spain, Russia, Turkey, Hungary, Romania and Lithuania. North American operations comprise business in the U.S. and Canada. In the U.S., Aviva provides life insurance in all 50 states and Washington, D.C. through subsidiary Aviva USA, and in Canada through Aviva Canada, Inc. The Asia Pacific segment includes operations in Singapore, Hong Kong, South Korea, India, Sri Lanka, China and Australia. Aviva Investors, the global asset management business created by the integration of Aviva’s fund management companies, commenced operations in September 2008. In addition to the Aviva name, the company also markets products under several other brands and specialist business names, including Norwich Union; RAC; Delta Lloyd; Hibernian; Commercial Union; Morley Fund Management; Navigator; Pilot; and Eurofil. The company’s primary source of income is in the long-term savings, fund management and general insurance markets. The company has premium income and investment sales of approximately $87.5 billion and approximately $616.4 billion of assets under management. The U.K. accounts for approximately 37% of the company’s revenues; the rest of Europe accounts for roughly 42%; North America generates 14%; and the Asia Pacific region accounts for the remaining 7%. Aviva serves over 50 million customers worldwide. In April 2009, Aviva acquired the nonstate pension fund business of ING Group in Russia, with assets under management totaling roughly $50 million.

BRANDS/DIVISIONS/AFFILIATES: Amerus Group Co Aviva Canada Inc Aviva UK Life Aviva UK Insurance Aviva Healthcare Aviva USA Aviva Investors

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Andrew Moss, CEO Philip Scott, CFO Amanda Mackenzie, Chief Mktg. Officer John Ainley, Group Dir.-Human Resources Veronique Arnoldi, CTO-Aviva Investors Anupam Sahay, Group Dir.-Strategy & Dev. Hayley Stimpson, Dir.-External Affairs Charles Barrows, Dir.-Investor Rel. Philip Scott, Group Dir.-Finance Andrea Moneta, CEO-Aviva Europe Alain Dromer, CEO-Aviva Global Investors & Morley Thomas C. Godlansky, CEO-North America Mark Hodges, CEO-Norwich Union Life Colin Sharman, Chmn. Simon Machell, CEO-Asia Pacific

Phone: 44-20-7283-2000 Fax: 44-20-7662-2753 Toll-Free: Address: St. Helen's, 1 Undershaft, London, EC3P 3DQ UK

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: 2008 Sales: $35,506,000 2008 Profits: $-1,678,000 Int’l Ticker: AV Int’l Exchange: London-LSE 2007 Sales: $81,830,000 2007 Profits: $2,650,000 Employees: 2006 Sales: $57,173,600 2006 Profits: $4,678,100 Fiscal Year Ends: 12/31 2005 Sales: $92,579,000 2005 Profits: $3,211,400 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



AXA FINANCIAL INC

www.axa-equitable.com



Y Y


Y Y Y

Profits:





TYPES OF BUSINESS: Investment Management Mutual Funds & Pension Funds Stock Brokerage Investment Banking Securities Underwriting Annuities Asset Management Life Insurance

AXA Financial, Inc., a wholly-owned subsidiary of AXA Group, is a diversified financial services organization offering a broad spectrum of insurance, investment banking and asset management services. The company’s main operating subsidiaries are AXA Advisors, AXA Equitable, AXA Distributors, AllianceBernstein and The MONY Group. AXA Advisors provides financial, retirement and estate planning; life insurance; annuities; and mutual funds to individuals and small businesses. AXA Equitable Life Insurance Company offers a variety of traditional variable and interest-sensitive life insurance products, variable and fixed-interest annuity products, mutual funds and other investment products to individuals, small groups, small and medium-size corporations, state and local governments and not-for-profit organizations. AXA Distributors, another of AXA Financial’s main operating subsidiaries, distributes managed investment products and services including whole and variable life insurance and fixed and variable annuities, as well as mutual funds to affiliated and independent professional financial intermediaries like brokerages, banks and independent financial planners. AXA Distributors comprises approximately 400 firms and represents over 17,000 individual producers. AllianceBernstein, L.P. provides investment management services and is one of the largest mutual fund sponsors, with approximately $800 billion in assets under management. The MONY Group is a financial services organization that originates and distributes protection, asset accumulation and retail brokerage products and services to individuals, corporations and institutions through advisory and wholesale distribution channels. MONY companies include MONY Life Insurance Company and MONY Life Insurance Company of America. The company offers performance-based compensation including short- and long-term incentive compensation. Employees can build healthcare based on their own specifications, in addition, the company offers dental, vision and retirement plans.

BRANDS/DIVISIONS/AFFILIATES: AXA Advisors LLC AXA Equitable Life Insurance Company AXA Distributors AllianceBernstein LP MONY Group MONY Life Insurance Company MONY Life Insurance Company of America AXA Group

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Christopher M. (Kip) Condron, CEO Christopher M. (Kip) Condron, Pres. Richard S. Dziadzio, CFO Barbara Goodstein, Exec. VP-Mktg./Chief Innovation Officer Jennifer L. Blevins, Exec. VP-Human Resources Kevin E. Murray, CIO/Exec. VP Barbara Goodstein, Exec. VP/Dir.-Prod. Dev. Richard V. Silver, General Counsel/Exec. VP Michael Arcaro, VP-External Affairs William Whitesell, VP-Underwriting & New Bus. Admin. Charles Marino, Sr. VP/Chief Actuary Christine Nigro, Pres., AXA Advisors Kevin Molloy, Sr. VP-Distribution Finance, AXA Equitable Life Christopher M. (Kip) Condron, Chmn.

Phone: 212-554-1234 Fax: 212-314-4480 Toll-Free: 888-292-4492 Address: 1290 Ave. of the Americas, New York, NY 10104 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 11,350 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $10,964,800 2005 Profits: $553,200 Parent Company: AXA GROUP




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



AXA GROUP

www.axa.com



Y Y


Y

Profits: 3


Y




TYPES OF BUSINESS: Life Insurance Financial Planning Banks Mutual Funds Pensions Property & Casualty Insurance Asset Management

AXA Group is a global group of insurance and asset management companies. AXA operates in Europe, North America, the Asia-Pacific region, the Middle East, Africa and Latin America. AXA has five operating business segments: Life & Savings; Property & Casualty; International Insurance; Asset Management; and Banking. The Life & Savings segment, which generated approximately 64% of the firm’s 2008 revenue, offers individual and group investment and savings products, as well as life and health products for both individuals and commercial clients. The Life & Savings segment generated 25% of its 2008 revenue in France, followed by the U.S., 24%; Germany, 11%; Japan, 8%; Switzerland, 8%; the Mediterranean and Latin American Region, 8%; the U.K., 6%; Belgium, 4%; Australia and New Zealand, 3%; Hong Kong, 2%; and other regions, 1%. AXA’s Property & Casualty segment, which generated approximately 29% of the company’s 2008 revenue, offers motor, household property and general liability insurance for both personal and commercial customers, targeting small to medium sized companies. The segment generated 25% of its 2008 revenue from the Mediterranean and Latin American region, followed by France, 21%; the U.K. and Ireland, 17%; Germany, 14%; Belgium, 8%; Switzerland, 8%; and other regions, 7%. Operations in the International Insurance segment, which generated approximately 3% of AXA’s 2008 revenue, are principally focused on reinsurance, large risks and assistance, including coverage to large national and international corporations mainly relating to property damage; third-party liability; marine; aviation and transport; construction risk; financial risk; and director or officer liability. The Asset Management segment, which generated approximately 4% of the firm’s 2008 revenue, includes the operations of subsidiary AllianceBernstein and AXA Investment Managers. In July 2008, AXA acquired Seguros ING, a leading Mexican insurer. In April 2009, the firm opened a campus in Singapore, its first location in Japan and Asia-Pacific region.

BRANDS/DIVISIONS/AFFILIATES: AllianceBernstein AXA Investment Managers Seguros ING

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Henri de Castries, Chmn.-Mgmt. Board Clause Brunet, COO Denis Duverne, CFO Veronique Weill, Group Exec. VP-IT & Operational Excellence Etienne Bouas-Laurent, Head-Investor Rel. Gerald Harlin, Exec. VP-Finance Jean-Raymond Abat, CEO-Mediterranean & Latin America Region Dominique Carrel-Billiard, CEO-AXA Investment Managers Philippe Egger, CEO-Switzerland Frank Keuper, CEO-Germany Jacques de Chateauvieux, Chmn.-Supervisory Board John Dacey, CEO-Japan & Asia Pacific Region

Phone: 33-1-40-75-57-00 Fax: 33-1-40-75-46-96 Toll-Free: Address: 25 Ave. Matignon, Paris, 75008 France

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: AXA 2008 Sales: $80,257,000 2008 Profits: $1,351,000 Int’l Ticker: CS Int’l Exchange: Paris-Euronext 2007 Sales: $148,234,000 2007 Profits: $6,711,000 Employees: 2006 Sales: $104,006,600 2006 Profits: $5,716,900 Fiscal Year Ends: 12/31 2005 Sales: $84,887,100 2005 Profits: $6,196,800 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



BAIN CAPITAL LLC

www.baincapital.com



Y Y Y


Y

Profits:





TYPES OF BUSINESS: Private Equity Investments Funds & Fund Management Private & Public Equity Funds Leveraged Debt Assets Venture Capital

Bain Capital, LLC is a private investment company with investments in private equity, venture capital, public equity, credit products and global macro hedge funds. The company operates through several affiliates and subsidiaries: Absolute Return Capital (ARC), Bain Capital Europe, Brookside Capital, Sankaty Advisors, Bain Capital Private Equity (BCPE), Bain Capital Ventures (BCV), and Bain Capital Asia. ARC is the firm’s global macro affiliate, managing assets in fixed income, equity and commodity markets. Bain Capital Europe, a private equity affiliate of the company, focuses on investment opportunities in the European market through its offices in London and Munich. Brookside Capital, Bain’s public equity affiliate, primarily makes long-term investments in securities of publicly traded companies. Sankaty Advisors, the firm’s credit affiliate, is one of the leading private managers of high-yield debt obligation in the U.S. It invests in a wide variety of securities, including leveraged loans, high-yield bonds, distressed debt, mezzanine debt, structured products and equity investments. BCPE has raised ten funds and invested in over 200 companies. Its activities include leveraged buyouts and growth capital in a wide variety of industries. BCV is the venture capital arm of Bain Capital, focused on seed through late-stage growth equity investing in software, hardware, information, healthcare, and technology-driven business services companies. Bain Capital Asia, a private equity affiliate, is focused on investments in the Asian market via offices in Hong Kong, Shanghai and Tokyo. The company currently has approximately $40 billion under management. In November 2009, the company bought a controlling stake in Bellsystem24, Inc. for approximately $1 billion.

BRANDS/DIVISIONS/AFFILIATES: Absolute Return Capital Bain Capital Europe Brookside Capital Sankaty Advisors Bain Capital Private Equity Bain Capital Ventures Bain Capital Asia

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Joshua Bekenstein, Managing Dir. Mike Goss, COO/Managing Dir. Eileen Sivolella, CFO Judy Frodigh, Dir.-Human Resources David Hamilton, Sr. VP-IT Karen McKenzie, Sr. VP-Admin. Sean Doherty, General Counsel Davis Clayson, Dir.-Investor Rel. Stacy Braatz, Dir.-Finance

Phone: 617-516-2000 Fax: 617-516-2010 Toll-Free: Address: 111 Huntington Ave., Boston, MA 02199 US

FINANCIALS:





Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest: Y

Southeast:


Northeast: Y

International: Y



BANCO SANTANDER CENTRAL HISPANO SA Industry Group Code: 522110 Ranks within this company's industry group: Sales: 5 Brokers/Stocks: Broker: Investment Bank: Futures/Options:




Y

www.santander.com

Profits: 1 Services: Financial Printing: Consulting/Research: Transfers/Payments: Specialty Services:

Y



TYPES OF BUSINESS: Banking Asset Management Investment Banking Insurance Mortgages Private Banking Services

Banco Santander Central Hispano, S.A., based in Spain, is a major financial group operating worldwide. The firm offers banking services in four main geographical areas: continental Europe, the U.K., the U.S. and Latin America. In Europe, the firm commercial units are the Santander Network with 2,933 branches, Banesto with 1,915, located in Spain, Santander Totta in Portugal with 77 branches and Santander Consumer Finance, a consumer finance company that operates in Spain, Germany, Italy and the Nordic countries. In the United Kingdom, Santander has 1,303 branches and 25 million customers. In Latin America, Santander operates 6,089 branches total and includes the countries of Mexico, Chile, Argentina and 3,551 branches and 22 million customers in Brazil. The firm’s US Bank Sovereign has 747 branches to the northeast part to the country. The group operates three business lines: retail banking; global wholesale banking; and asset management and insurance. The retail banking division includes mortgage origination, deposits, provider pension plans, tax information services and online banking services. Global wholesale encompasses the returns from global corporate banking and investment banking as well as the company’s equity business. Asset management and insurance services include short and long-term fixed yield; mixed and equity and guarantee funds; mortgage-linked and stand-alone life insurance; homeowners insurance and automobile insurance. Santander’s banking subsidiaries include Banif, Banesto and Openbank in Spain, Abbey National and Santander Wealth Management UK in the United Kingdom and Santander Totta in Portugal. The group agreed to combine its consumer finance businesses in Poland, Santander Consumer Bank SA (Poland) and AIG Bank Polska SA in July 2009. In September 2009, the firm announced plans to open an additional 600 branches in Brazil by 2013.

BRANDS/DIVISIONS/AFFILIATES: Santander BanCorp Banco Rio de la Plata Grupo Financiero Santander Mexicano Banco do Estado de Sao Paulo Banco Santander-Chile Santander Consumer Finance Santander Global Bankng & Markets Abbey National plc

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Alfredo Saenz Abad, CEO Jose Maria Fuster, COO Jose Antonio Alvarez Alvarez, CFO Jose Luis Gomez Alcitiurri, Dir.-Human Resources Jose Maria Fuster, CTO Ignacio Benjumea Cabeza de Vaca, General Sec. Jose Maria Fuster, Sr. Exec. VP-Oper. Juan Manuel Cendoya Mendez de Vigo, Dir.-Corp. Mktg., Comm. & Research Magda Salarich, Dir.-Consumer Finance Joan David Grima Terre, Dir.-Asset Mgmt. Nuno Manuel Da Silva Amado, Head-SantanderTotta unit Enrique Garcia Candelas, Head- Santander Espana unit Jesus Maria Zabalza Lotina, Head -America unit Emilio Boti, Chmn. Javier Marin Romano, Sr. Exec. VP-Global Private Banking

Phone: 34-91-520-8500 Fax: 34-91-257-1039 Toll-Free: Address: Paseo de la Castellana, Madrid, 24 Spain

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: STD 2008 Sales: $117,803,000 2008 Profits: $12,992,000 Int’l Ticker: BNC Int’l Exchange: London-LSE 2007 Sales: $72,260,000 2007 Profits: $10,020,000 Employees: 132,000 2006 Sales: $77,101,001 2006 Profits: $9,789,458 Fiscal Year Ends: 12/31 2005 Sales: $52,440,200 2005 Profits: $7,483,600 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast: Y


Northeast: Y

International: Y



BANK OF AMERICA CORP

www.bankofamerica.com


Y Y


Y Y Y


Y Y Y

Profits: 12



Y Y



TYPES OF BUSINESS: Banking Asset Management Investment & Brokerage Services Mortgages Credit Cards Insurance Agency

Bank of America Corp. is a global provider of a diversified range of banking and financial services. In banking, the company operates through three business segments: global consumer and small business banking; global corporate and investment banking; and global wealth and investment management. The firm's global consumer and small business banking division maintains nearly 6,100 banking centers worldwide with over 19,000 ATMs serving 59 million customers. Over 24 million customers use Bank of America’s online banking service. The global consumer and small business banking division offers a variety of services including checking and savings accounts, CDs, IRAs, debit cards, credit cards, mortgage and home equity products. The global corporate and investment banking division provides services in three areas: business lending; capital markets and advisory services; and treasury services. Bank of America’s credit card business is the result of the $35 billion acquisition of MBNA. As one of America's strongest financial institutions, the company was able to grow substantially during the 2008 global financial crisis, by agreeing to acquire both Countrywide Financial and Merrill Lynch & Co. The January 2009 Merrill Lynch acquisition increased Bank of America’s financial advisor ranks to more than 20,000, making it the largest stock brokerage in the world in that regard, and boosted the total amount of client assets under management to $2.5 trillion. This acquisition includes a 50% ownership in asset management firm BlackRock. In July 2008, Bank of America acquired Countrywide Financial, Corp., one of the largest mortgage lenders in the U.S., immediately providing Bank of America with a massive network of mortgage offices and millions of additional mortgage customers. The company offers its employees educational partnerships, health care and dependent care flexible spending accounts.

BRANDS/DIVISIONS/AFFILIATES: Barnett Banks, Inc. FleetBoston Merrill Lynch & Co. MBNA Corp.

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Brian T. Moynihan, CEO Brian T. Moynihan, Pres. Joe L. Price, CFO Anne Finucane, Chief Mktg. Officer J. Steele Alphin, Chief Admin. Officer Edward P. O'Keefe, General Counsel Amy Woods Brinkley, Exec.-Global Risk Neil A. Cotty, Chief Acct. Officer Walter J. Muller, Chief Investment Officer Barbara J. Desoer, Pres., Home Loans & Insurance Tom Montag, Pres., Global Markets & Corp. Banking Walter E. Massey, Chmn. Sallie Krawcheck, Head-Global Wealth & Investment Mgmt.

Phone: 704-386-8486 Fax: 704-386-6699 Toll-Free: 800-432-1000 Address: 100 N. Tryon St., 18th Fl., Charlotte, NC 28255 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: BAC 2008 Sales: $113,106,000 2008 Profits: $4,008,000 Int’l Ticker: Int’l Exchange: 2007 Sales: $124,321,000 2007 Profits: $14,982,000 Employees: 243,075 2006 Sales: $117,017,000 2006 Profits: $21,133,000 Fiscal Year Ends: 12/31 2005 Sales: $83,980,000 2005 Profits: $16,465,000 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



BANK OF IRELAND

www.bankofireland.ie



Y


Y

Profits: 20



Y Y



TYPES OF BUSINESS: Banking Mortgages, Leasing & Corporate Lending General Insurance & Life Insurance Fund & Securities Management Treasury Services Personal & Corporate Trusts Financial Advising, Pension & Brokerage Services Travel Related Services

Bank of Ireland (BOI) received its Royal Charter in 1783. It has approximately $284.9 billion in assets, 295 full-time branches and over 2,700 ATMs. Its Irish business is conducted through the following subsidiaries. Bank of Ireland Mortgage Bank handles almost all the firm’s residential mortgages. ICS Building Society handles some mortgage services including deposit collection and loan origination. Bank of Ireland Private Banking serves highincome individuals and families. Bank of Ireland Finance provides installment credit and leasing facilities. Card Services handles the group’s credit card activities, providing MasterCard, VISA and American Express cards. First Rate Enterprises offers foreign exchange and traveler’s check services through travel-related businesses including hotels and tourist shops. 365 Online offers personal loans via the Internet and telephone, and operates a call center that handles customer queries and processes transactions. Lastly, Bank of Ireland Life offers pensions and investment products. Internationally, the firm provides lending services via its corporate banking division through offices in the U.K., Paris, Frankfurt and the U.S. The global markets division manages the group’s liquidity and funding requirements through offices in the U.S. and U.K. Bank of Ireland Asset Management, Ltd. provides investment management services for institutions and pensions in Australia, Japan, Canada, the U.S. and the U.K. Iridian Asset Management provides investment management services to U.S. mainly to foundation, endowment and corporate clients. IBI Corporate Finance advises on mergers and acquisitions; disposals; and restructuring. The majority-owned Guggenheim Advisors provides hedge fund investment services for U.S. institutional and high net worth clients. Finally, joint-venture Paul Capital Investments provides private equity investment and advisory services worldwide. In 2008, BOI opened offices in Australia and Chicago. In March 2009, the firm launched 18 Month Reward Account, which offers a fixed 18-month rate; and Dualsaver, a savings account that manages regular savings and lump sum deposits.

BRANDS/DIVISIONS/AFFILIATES: Bank of Ireland Mortgage Bank ICS Building Society Bank of Ireland Private Banking Bank of Ireland Finance Bank of Ireland Asset Management, Ltd. Iridian Asset Management IBI Corporate Finance Guggenheim Advisors

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Richie Boucher, CEO John O'Donovan, CFO Christine Brennan, Head-Human Resources Liam McLoughlin, Head-Mfg. Tony Wyatt, Dir.-Customer Oper. Dan Loughrey, Head-Corp. Comm. Des Crowley, CEO-Retail Ireland & U.K. Kevin Dolan, CEO-Asset Mgmt. Svcs. Denis Donovan, CEO-Capital Markets Ronan Murphy, Group Chief Risk Officer Richie Boucher, Chmn.

Phone: 353-1-661-5933 Fax: 353-1-661-5671 Toll-Free: Address: Lower Baggot St., Dublin, Ireland 2 UK

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $3,670,880 2009 Profits: $101,720 U.S. Stock Ticker: IRE 2008 Sales: $5,961,870 2008 Profits: $2,504,750 Int’l Ticker: BIR Int’l Exchange: Dublin-ISE 2007 Sales: $6,004,620 2007 Profits: $2,433,990 Employees: 15,487 2006 Sales: $6,467,000 2006 Profits: $1,569,000 Fiscal Year Ends: 3/31 2005 Sales: $3,799,920 2005 Profits: $1,293,490 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



BANK OF MONTREAL (BMO FINANCIAL GROUP) Industry Group Code: 522110 Ranks within this company's industry group: Sales: 30 Brokers/Stocks: Broker: Investment Bank: Futures/Options:

Y


Y


Y Y Y

www4.bmo.com

Profits: 22



Y



TYPES OF BUSINESS: Banking Mortgages Loans Credit Cards Financing Corporate Lending Treasury Services Online Banking

Bank of Montreal, doing business as BMO Financial Group (BMO), is one of North America’s largest financial institutions, with total assets of over $367 billion. It offers mortgages, loans, credit cards, financing, corporate lending, treasury services, market risk management and institutional investing. These services are divided between four operating groups: Personal and Commercial Banking Canada (P&C Canada) and Personal and Commercial Banking U.S. (P&C U.S.), which together generate 57% of revenue; Private Client Group (PCG), 20%; and BMO Capital Markets (BMO CM), 23%. P&C Canada offers traditional banking services through its network of branches, ATMs and online and telephone banking portals. Operating in conjunction with other BMO businesses, it serves more than 7 million customers. P&C U.S. offers comparable services to P&C Canada for its 1.2 million U.S. customers. PCG serves ultra-high net work clients as well as institutions. It operates under two different names: BMO in Canada and Harris in the U.S. Lastly, BMO CM serves government and institutional customers worldwide, specializing in treasury services, investment and corporate banking, market risk management and debt and equity research. In all, the firm maintains roughly 980 branch locations in Canada, and almost 300 in the U.S. and abroad. Specific operating subsidiaries include the following. BMO Nesbitt Burns, also Harris Nesbitt in the U.S., one of North America’s leading investment and corporate banking firms, offers equity and debt underwriting, capital raising, corporate lending and project financing. Subsidiary Harris Bankcorp, Inc. manages branch locations in Chicago, Arizona and Florida as well Harris Investment Management, an institutional investment advisory firm. BMO InvestorLine is an online broker that offers various investments and investment accounts, including U.S. and Canadian stocks and bonds; mutual funds; cash or margin accounts; corporate accounts; and retirement savings and income accounts. In 2009, the company agreed to purchase the Diner’s Club credit card business from Citigroup Inc. Employees of the company receive an employee assistance plan.

BRANDS/DIVISIONS/AFFILIATES: BMO Financial Group BMO Harris BMO Capital Markets BMO Nesbitt Burns Harris Nesbitt Harris Bankcorp Inc BMO InvestorLine

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. William Downe, CEO William Downe, Pres. Russel C. Robertson, CFO Rose M. Patten, Sr. Exec. VP/Head-Human Resources Barry K. Gilmore, Group Head-Tech. Simon A. Fish, General Counsel/Exec. VP Barry K. Gilmore, Group Head-Oper. Ralph Marranca, Corp. Media Rel. Viki Lazaris, Sr. VP-Investor Rel. Frank Techar, CEO/Pres., Personal & Commercial Banking Canada Gilles G. Ouellette, CEO/Pres., Private Client Group Tom Milroy, CEO-BMO Capital Markets Thomas E. Flynn, Chief Risk Officer/Exec. VP David A. Galloway, Chmn. Ellen M. Costello, CEO-Harris Bankcorp, Inc./Head-P&C U.S.

Phone: 416-867-7191 Fax: 416-867-6793 Toll-Free: Address: 1 First Canadian Pl., 100 King St. W., Toronto, ON M5X 1A1 Canada

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: BMO 2008 Sales: $19,365,000 2008 Profits: $1,928,000 Int’l Ticker: BMO Int’l Exchange: Toronto-TSX 2007 Sales: $21,410,000 2007 Profits: $2,240,000 Employees: 2006 Sales: $16,197,900 2006 Profits: $2,325,300 Fiscal Year Ends: 10/31 2005 Sales: $12,935,100 2005 Profits: $1,934,800 Parent Company:




Profit Sharing:


Bonus: $1,295,097 Bonus: $1,058,132


Southwest: Y

Midwest: Y

Southeast: Y


Northeast:

International: Y



BANK OF NEW YORK MELLON CORP Industry Group Code: 522110 Ranks within this company's industry group: Sales: 32 Brokers/Stocks: Broker: Investment Bank: Futures/Options:

Y


Y


Y

www.bnymellon.com Profits: 26





TYPES OF BUSINESS: Asset Management & Securities Services Investment & Wealth Management Private Banking Shareowner Services Broker-Dealer Services Issuer Services Treasury Services

The Bank of New York Mellon Corp. (BNYM) is a newly formed financial services company resulting from the 2007 merger of Bank of New York Co., Inc. and Mellon Financial Corp. The firm provides asset management and securities services for institutions and corporations in 34 countries, reaching more than 100 markets. In addition, BNYM offers financial solutions for individuals, including investment and wealth management; private banking; and shareowner services. The company works with consultants and advisors to help them select the services that best meet their customers’ needs. Through Pershing, LLC, the firm offers broker-dealer services. Pershing is a provider of clearing, execution and financial business solutions to more than 1,150 institutional and retail financial organizations and independent registered investment advisors. BNYM’s issuer services offerings include global corporate trust services, depositary receipt services and shareowner services. The company also offers treasury services and is a market maker in over 100 currencies. BNY Overlay Associates, a Londonbased currency management firm, provides investment advisory to institutional investors. BNYM has approximately $928 billion in assets under management and $20.2 trillion in assets under administration or custody. Customers include corporations, foundations, governments, unions, endowments, mutual funds and high net worth individuals. In May 2008, the company acquired LAMP Technologies LLC, an alternative investment administrator. In March 2009, the firm acquired JPMorgan Trust Bank Limited in Japan from JPMorgan Chase & Co. In April of the same year, BNYM launched Liquidity DIRECT, an investment portal that allows clients access to a variety of liquidity management services that can be used individually or a combination. Employees are offered health insurance; flexible spending accounts; pension plans; and savings plans.

BRANDS/DIVISIONS/AFFILIATES: Bank of New York Co., Inc. (The) Mellon Financial Corp. BNY Overlay Associates Pershing LLC BNY Mellon Shareowner Services LAMP Technologies LLC Liquidity DIRECT Dreyfus Corporation (The)

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Robert P. Kelly, CEO Gerald L. Hassell, Pres. Thomas P. Gibbons, CFO Lisa B. Peters, Chief Human Resources Officer Kurt D. Woetzel, CIO Carl Krasik, General Counsel Torry Berntsen, Chief Client Mgmt. Officer Richard Brueckner, CEO-Pershing, LLC Brian G. Rogan, Chief Risk Officer Karen B. Peetz, CEO-Financial Markets & Treasury Svcs. Robert P. Kelly, Chmn.

Phone: 212-495-1784 Fax: 212-495-2546 Toll-Free: Address: 1 Wall St., New York, NY 10286 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: BK 2008 Sales: $13,652,000 2008 Profits: $1,445,000 Int’l Ticker: Int’l Exchange: 2007 Sales: $11,334,000 2007 Profits: $2,219,000 Employees: 42,900 2006 Sales: $6,838,000 2006 Profits: $2,847,000 Fiscal Year Ends: 12/31 2005 Sales: $6,055,000 2005 Profits: $1,571,000 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest:

Southeast: Y


Northeast: Y

International: Y



BANK OF NOVA SCOTIA (SCOTIABANK) Industry Group Code: 522110 Ranks within this company's industry group: Sales: 28 Brokers/Stocks: Broker: Investment Bank: Futures/Options:

Y Y


Y


Y Y Y

www.scotiabank.com

Profits: 15



Y



TYPES OF BUSINESS: Banking Trust Services Credit Cards Mortgage Financing Consumer Loans Brokerage Services Investment Services Insurance

The Bank of Nova Scotia (Scotiabank) offers banking and investment services to individuals, small and medium-sized businesses, corporations and governments worldwide. The company operates through three primary lines of business: Canada banking, international banking and Scotia Capital Inc. Scotiabank’s Canada banking segment provides a variety of banking and investment services to its over 7 million retail, wealth management, small business and commercial customers. Some services available are retail brokerage services, mutual funds and private client services, including personal trust, money management and private banking via the company’s over 1,000 branches, 2,850 automated banking machines, three call centers, 99 wealth management branches, four dealer finance centers and six commercial business support centers. The international banking segment includes the retail and commercial operations that are located in about 50 countries with focus on the Caribbean, Central America, Mexico, Latin America and Asia. Through the firm’s subsidiaries and affiliates, Scotiabank offers its over five million customers a broad range of services. Scotia Capital, Inc. handles the firm’s corporate, institutional and government clients worldwide, offering specialized and syndicated lending, acquisitions and mergers services, debt and equity underwriting and foreign exchange, as well as fixed income and institutional equities sales and trading. In March 2009, Scotiabank announced an acquisition of Five Continents Financial Ltd. (FCFL), a global asset management company, in which Scotiabank will have of a majority interest. In September 2009, the company announced plans to strengthen its wealth management division with research communications, communication and product development by organizing the units into one unit. Scotiabank offers employees job sharing, telecommuting, leaves of absence, financial services benefits, such as bestcustomer-rate loans. The company also supports ongoing professional training.

BRANDS/DIVISIONS/AFFILIATES: Scotiabank Scotia Capital, Inc. Scotia Online Financial Services Global Transaction Banking Interac Corporacion Interfin Banco Inferfin

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Rick Waugh, CEO Sarabjit S. Marwah, COO/Vice Chmn. Rick Waugh, Pres. Luc A. Vanneste, CFO/Exec. VP Sylvia D. Chrominska, Exec. VP-Human Resources Kim B. McKenzie, Exec. VP-IT & Solutions Timothy P. hayward, Exec. VP/Chief Admin. Officer Deborah M. Alexander, General Counsel/Exec. VP/Corp. Sec. Sylvia D. Chrominska, Exec. VP-Public, Corp. & Gov't Affairs Jeffrey Heathr, Exec. VP/Group Treas. Mike Durland, Co-Chmn./Co-CEO-Scotia Capital Stephen D. McDonald, Co-Chmn./Co-CEO-Scotia Capital Anatol von Hahn, Exec. VP-Latin America Alberta G. Cefis, Exec. VP/Group Head-Global Transaction Banking Robert H. Pitfield, Exec. VP-Int'l Banking

Phone: 416-866-6161 Fax: 416-866-3750 Toll-Free: 800-472-6842 Address: Scotia Plaza 44 King St. W., 8th Fl., Toronto, ON M5H 1H1 Canada

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: BNS 2008 Sales: $25,944,000 2008 Profits: $3,061,000 Int’l Ticker: BNS Int’l Exchange: Toronto-TSX 2007 Sales: $28,020,000 2007 Profits: $4,250,000 Employees: 2006 Sales: $20,060,700 2006 Profits: $3,173,000 Fiscal Year Ends: 10/31 2005 Sales: $15,584,000 2005 Profits: $2,773,900 Parent Company:




Profit Sharing:


Bonus: $500,000 Bonus: $350,000


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



BARCLAYS CAPITAL

www.barcap.com


Y Y


Y


Y

Profits:


Y


Y Y


Y


TYPES OF BUSINESS: Investment Banking Securities & Futures Brokerage Equities Financial Consulting Commodities Trading Bond Indices Private Equity Funds Mortgage Servicing

Barclays Capital is the investment banking division of Barclays Bank plc, one of the world’s largest financial institutions. The company provides financing and risk management services to its clients in the areas of bonds, commodities, credit products, electronic trading, emerging markets, equity, foreign exchange, fund solutions, derivatives, index products, interest rate products, mergers and acquisitions, prime services, private equity, research, restructuring and structured investment products. Barclays Capital forms part of Barclays Corporate and Investment Banking and Investment Management business, alongside Barclays Corporate Investors and Barclays Wealth. Its client base primarily includes large corporate, government and institutional clients. The firm’s operations include Absa Capital, the investment banking business of subsidiary Absa Group Limited. Barclay Capital Commodities Group, a subsidiary, handles trading in precious metals, oil and energy, as well as a number of underlying markets such as coffee, cotton, wheat, sugar and corn. The company’s various indices provide ratings for the bonds found within each index category. Barclay’s portfolio of indices includes the Global Carbon Index, the U.S. Power Index, the AIMS (Algorithmic Inflation Momentum Switching) Index, the Vertex Index and the Q-BES (Quantitative Barclays Earnings Surprise) Index. Barclays Private Equity, another business unit, is a leading European mid-market private equity fund. Barclays Capital has offices located in North and South America, Asia Pacific, Europe, the Middle East and Africa. In September 2008, the company agreed to acquire Lehman Brothers’ North American investment banking and capital markets operations and supporting infrastructure. In February and March 2009, Barclays Capital launched its new AUD Inspire and CAD Inspire Indices, designed to offer inflation protection to institutional investors in the Australian and Canadian markets, respectively. In November 2009, the company announced that it would partner with Goff Capital, Inc. to acquire Crescent Real Estate Equities Limited Partnership from Morgan Stanley’s real estate division.

BRANDS/DIVISIONS/AFFILIATES: Absa Group Limited Barclay Capital Commodities Group Global Carbon Index US Power Index Barclays Private Equity AUD Inspire Index CAD Inspire Index Crescent Real Estate Equities LP

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Robert E. Diamond, Jr., CEO Jerry del Missier, Pres. Patrick Clackson, CFO Jerry del Missier, Co-CEO-Corp. & Investment Banking Rich Ricci, Co-CEO-Corp. & Investment Banking Eric Bommensath, Managing Dir./Head-Fixed Income Iain Abrahams, Managing Dir.-Risk, Liquidity & Private Equity Robert Morrice, Chmn./CEO-Asia Pacific

Phone: 44-20-7623-2323 Fax: Toll-Free: Address: 5 The N. Colonnade, Canary Wharf, London, E14 4BB UK

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company: BARCLAYS PLC


Y Y



Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



BARCLAYS PLC

www.barclays.com


Y Y


Y Y Y


Y Y

Profits: 2



Y



TYPES OF BUSINESS: Banking Mortgages & Consumer Loans Asset & Investment Management Services Credit Cards Business Finance & Risk Management Services

Barclays plc is a U.K.-based financial services group engaged in banking, investment banking and investment management. The company is divided into a global retail and commercial segment and an investment banking and management segment. The global retail has six units: U.K. Retail Banking, Barclays Commercial Bank, Barclaycard, GRCB Emerging Markets, GRCB Western Europe and Absa. The U.K. banking business unit operates U.K. retail banking with nearly 15 million users and 1,720 branches. The firm provides mortgage-lending services through its Woolwich subsidiary and Barclays Financial Planning provides investment advice and products. GRCB Western Europe includes retail and commercial banking and Barclaycard operations in Spain, Italy, Portugal and Russia. The company’s Barclaycard includes Barclaycard U.K. Cards, Barclaycard Partnerships (Sky Card, Thomas Cook, Argos and Solution Personal Finance), Barclays Partner Finance, Firstplus and Goldfish. Barclaycard provides credit cards in the U.S., Germany, and South Africa, and in the Nordic region through Entercard, a joint venture with Swedbank. GRCB Emerging Markets encompasses Barclays Global Retail and Commercial Banking and Barclaycard operations in 14 countries through 805 branches. The investment banking and investment management segment includes Barclays Capital, Barclays Global Investors and Barclays Wealth. Barclays Capital is a leading global investment bank. Barclays Global Investors is one of the world’s largest asset managers and a leading provider of investment management products and services. It provides structured investment strategies including indexing, tactical asset allocation and risk-controlled active products. Barclays Capital is the company’s investment banking division, providing financing and risk management services in the interest rate, foreign exchange, commodities and credit markets. In June 2009, Barclays Bank PLC established a long-term life insurance joint venture with CNP Assurances SA in Spain, Portugal and Italy. Barclays offers its employees annual discretionary bonus, flexible schedules and health benefits.

BRANDS/DIVISIONS/AFFILIATES: Woolwich Barclaycard Barclay Global Investors NA Barclay Capital Juniper Financial Corporation Barclays Bank Delaware Absa Group Limited Barclays Art Council

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. John S. Varley, CEO Paul Idzik, COO Robert E. Diamond Jr., Pres. Chris Lucas, Dir.-Group Finance Lawrence Dickinson, Sec. Richard Broadbent, Deputy Chmn. Robert E. Diamond Jr., CEO-Investment Banking & Investment Mgmt. Frits Seegers, CEO-Global Retail & Commercial Banking Marcus Agius, Chmn.

Phone: 44-20-7116-1000 Fax: 44-20-7116-7665 Toll-Free: Address: 1 Churchill Pl., London, E14 5HP UK

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: BCS 2008 Sales: $75,136,000 2008 Profits: $8,035,000 Int’l Ticker: BARC Int’l Exchange: London-LSE 2007 Sales: $79,700,000 2007 Profits: $8,760,000 Employees: 2006 Sales: $62,892,987 2006 Profits: $8,459,394 Fiscal Year Ends: 12/31 2005 Sales: $47,941,488 2005 Profits: $5,045,386 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



BATTERY VENTURES

www.battery.com



Y Y


Profits:





TYPES OF BUSINESS: Venture Capital Private Equity

Battery Ventures is a venture capital firm concentrating on technology and related sectors. The firm typically invests no less than $100,000 and no more than $100 million in a company; and is usually the lead investor in its portfolio companies. Battery Ventures is currently investing in the following sectors: Financial Services & Tech-Enabled Businesses; Internet & Digital Media; Semiconductors & Components; Clean Tech & Advanced Materials; Communication Services; Software; and Infrastructure Technologies. Some of the more than 200 companies the firm has invested in include Ruckus Networks, FiNGERHUT, Nanoconduction, LIFFE, Consona, Rogue Wave Software, Freescale Semiconductor, @stake, Cbeyond and Nova Analytics. The firm will invest at all stages of a company’s growth, from seed to growth to buy-out. Aside from the firm's own research teams scouting out investment opportunities, Battery accepts business plan submissions over its web site; and even occasionally helps people find employment in its portfolio companies. Outside the U.S., the firm invests in companies throughout Canada, Europe, Israel and India.


CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Chris Hanson, Chief Oper. Partner Chris Schiavo, CFO Karen Bommart, VP-Mktg., Boston Lizette Perez-Deisboeck, General Counsel Neeraj Agrawal, Gen. Partner Michael Brown, Gen. Partner Rick Frisbie, Gen. Partner Ollie Curme, Gen. Partner

Phone: 781-478-6600 Fax: 781-478-6601 Toll-Free: Address: Reservoir Woods, 930 Winter St., Ste. 2500, Waltham, MA 02451 US

FINANCIALS:





Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



BBVA (BANCO BILBAO VIZCAYA ARGENTARIA) Industry Group Code: 522110 Ranks within this company's industry group: Sales: 15 Brokers/Stocks: Broker: Investment Bank: Futures/Options:

Y



Y

www.bbva.com

Profits: 3





TYPES OF BUSINESS: Banking Asset Management Investment Banking Insurance Mutual & Pension Fund Management Online Banking Consumer Financing

BBVA (Banco Bilbao Vizcaya Argentaria), with total assets of approximately $677.7 billion, is a highly diversified international financial group offering retail banking, asset management, private banking and wholesale banking services. The company has 48 million customers in over 30 countries and nearly 7,500 branches. Its operations are divided into three business segments: banking in Spain and Portugal; global businesses; and support areas. The banking in Spain and Portugal division includes the retail and business banking operations, serving individuals as well as small and medium enterprises (SMEs). The segment also includes Insurance Europe (Seguros Europa) and BBVA Portugal. The global businesses segment includes operations in Mexico, South America, the U.S., as well as Asia. In South America, the company serves pension-fund managers, international private banks and insurance companies. Operations in the U.S. are divided into five businesses: Banking business in Texas; BBVA Bancomer USA, a California-based banking franchise aimed toward first-generation immigrants and is primarily involved with money transfer; BBVA Puerto Rico, providing SMEs and individuals mortgage and consumer finance services; Bancomer Transfer Services, which provides money transfers between U.S. and Mexico and covers Latin America, India, China and the Philippines; and BBVA Finanzia USA, which offers credit card and consumer finance services. The support areas include the human resources, IT and purchasing operations of the company, as well as the chairman’s area, which is in charge of the firm’s intangible assets, as well as the overseeing internal control. In August 2009, BBVA Compass, a subsidiary of Compass Bancshares, Inc., which is in turn a wholly-owned subsidiary of the group, acquired the banking operations of Guaranty Bank. In October of the same year, the firm formed a joint venture with Newedge to form a joint venture called Altura, which provides will offer execution and clearing services to financial institutions.

BRANDS/DIVISIONS/AFFILIATES: BBVA Finanzia USA BBVA Bancomer Compass Bancshares, Inc. BBVA Compass Guaranty Bank Altura BBVA Finanzia USA BBVA Puerto Rico

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Francisco Gonzalez Rodriguez, CEO Jose Ignacio Goirigolzarri Tellaeche, COO Jose Ignacio Goirigolzarri Tellaeche, Pres. Manuel Gonzalez Cid, CFO Jose Maldonado Ramos, General Counsel Javier Ayuso Canals, Dir.-Comm. & Corp. Image Eduardo Arbizu Lostao, Dir.-Legal, Tax, Audit & Compliance Svcs. Jose Sevilla Alvarez, Head-Risk Juan Asua Madariaga, Dir.-Spain & Portugal Bus. Unit Francisco Gonzalez Rodriguez, Chmn. Jose Maria Garcia Meyer-Dohner, Dir.-U.S. Bus. Unit

Phone: 34-944-875-555 Fax: 34-944-876-161 Toll-Free: Address: Plaza San Nicolas 4, Bilbao, 48005 Spain

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: BBV 2008 Sales: $61,184,000 2008 Profits: $7,348,000 Int’l Ticker: BBVA Int’l Exchange: Madrid-MCE 2007 Sales: $54,340,000 2007 Profits: $8,940,000 Employees: 2006 Sales: $40,078,483 2006 Profits: $6,564,125 Fiscal Year Ends: 12/31 2005 Sales: $27,381,100 2005 Profits: $2,389,800 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest:

Southeast: Y


Northeast: Y

International: Y



BERKSHIRE HATHAWAY INC

www.berkshirehathaway.com




Profits: 1




Y


TYPES OF BUSINESS: Direct Property & Casualty Insurance & Reinsurance Retail Operations Foodservice Operations Building Products & Services Apparel & Footwear Technology Training Manufactured Housing & RVs Business Jet Flexible Ownership Services

Berkshire Hathaway, Inc. is a holding company that owns subsidiaries engaged in diverse business activities, most importantly insurance and reinsurance. Berkshire provides property and casualty insurance and reinsurance, as well as life accident and health reinsurance, through approximately 60 U.S. and foreign businesses. General Re Corp., through its subsidiaries, conducts global reinsurance business in 55 cities and provides reinsurance worldwide. GEICO mainly provides private passenger auto insurance to individuals in 49 states in the U.S. and Washington, D.C. The company’s financial subsidiaries include Clayton Homes, a manufactured housing company; XTRA Corporation, a provider of transportation equipment leases; and furniture rental company CORT Business Services Corp. Berkshire’s apparel and footwear businesses include Fruit of the Loom; Garan; Fechheimer Brothers; H.H. Brown Shoe Group; and Justin Brands. The firm manufactures and distributes building products through Acme Building Brands; Benjamin Moore & Co.; Johns Manville; and MiTek. Subsidiary FlightSafety provides training to aircraft and ship pilots, while NetJets, Inc. offers fractional ownership programs for aircraft. In addition, subsidiary International Dairy Queen services approximately 5,700 Dairy Queen, Orange Julius and Karmelkorn stores. Marmon Holdings, Inc. consists of approximately 130 manufacturing and service businesses. Borsheim Jewelry Company, Inc. is a retailer of fine jewelry, watches, crystal, china, stemware, flatware, gifts and collectibles. Other non-insurance operations include grocery and foodservice distribution, furniture retail, carpet manufacturing, utilities and energy, newspapers, cleaning products, confectioneries, agricultural equipment, kitchen tools and recreational vehicles. In September 2008, Berkshire invested $5 billion in banking firm Goldman Sachs, retaining the option to invest up to $10 billion total over the next five years. In November 2009, the firm agreed to purchase the remaining 77% (what it doesn’t currently own) of railroad operator, Burlington Northern Santa Fe Corp. for $26.3 billion.

BRANDS/DIVISIONS/AFFILIATES: General Re Corporation GEICO Corporation International Dairy Queen Benjamin Moore & Co Netjets Inc Cort Business Services Corporation Clayton Homes Inc Borsheim Jewelry Company, Inc.

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Warren Buffet, CEO Marc D. Hamburg, CFO/Sr. VP Forrest N. Krutter, Sec. Charles Munger, Vice Chmn. Warren Buffet, Chmn.

Phone: 402-346-1400 Fax: 402-346-3375 Toll-Free: Address: 3555 Farnam St., Ste. 1440, Omaha, NE 68131 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: BRK.A 2008 Sales: $107,786,000 2008 Profits: $4,994,000 Int’l Ticker: Int’l Exchange: 2007 Sales: $118,245,000 2007 Profits: $13,213,000 Employees: 246,000 2006 Sales: $98,539,000 2006 Profits: $11,015,000 Fiscal Year Ends: 12/31 2005 Sales: $81,663,000 2005 Profits: $8,528,000 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



BESSEMER GROUP INC (THE)

www.bessemer.com



Y Y


Y

Profits:



Y Y Y



TYPES OF BUSINESS: Investment Management Financial Planning Fund & Portfolio Management Alternative Asset Investments Trust Services Foundations & Endowments

The Bessemer Group, Inc. is a financial services holding company for Bessemer Trust, a wealth management and investment advisory firm that focuses exclusively on high net worth individuals and their families, foundations and endowments. Bessemer Trust has branches in approximately 15 of the country’s top wealth markets and currently manages more than $55.7 billion in assets for approximately 2,000 clients, 91% of which are individuals. The company also has offices located in London and the Cayman Islands. By maintaining its 3-to-1 client-to-staff ratio, Bessemer provides personal contact and care to its clients. Its investment products consist of a variety of portfolios with holdings in domestic and international equities and bonds, including its large-cap portfolio, mid-cap portfolio, international portfolio, global small cap fund, real return fund, taxable fixed-income portfolio and municipal bond portfolio. It also manages alternative asset investments such as private equity, exchange funds, hedge funds, real estate and one of the industry’s largest venture capital funds-of-funds. In addition, Bessemer Trust provides wealth management services such as fiduciary/trusteeship services, executorships (personal representative) services, custody and other portfolio services, consolidated appraisals for multiple portfolios and special financial services (letters of credit, secured loans, checking accounts, domestic payrolls, wire transfers, currency conversions, banking introductions in the U.S. and abroad, household management and personal bill payment). The firm also offers several advisory services such as insurance advisory, philanthropic advisory, real estate advisory, legacy planning and concentrated holding strategies.

BRANDS/DIVISIONS/AFFILIATES: Bessemer Trust

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. John A. Hilton, Jr., CEO John A. Hilton, Jr., Pres. Stephen A. Baxley, Chief Admin. Officer Steven L. Williamson, General Counsel/Sec./Managing Dir. Robert C. Elliott, Sr. Managing Dir.-Bus. Dev. & Client Account Mgmt. Richard T. Murtagh, Controller Marc D. Stern, Chief Investment Officer Thaddeus R. Shelly, Sr. Managing Dir. Stuart S. Janney, Chmn.

Phone: 212-708-9100 Fax: 212-265-5826 Toll-Free: Address: 630 Fifth Ave., New York, NY 10111 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Private 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $333,487 2007 Profits: $66,974 Employees: 2006 Sales: $283,609 2006 Profits: $43,564 Fiscal Year Ends: 12/31 2005 Sales: $244,676 2005 Profits: $21,518 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



BGC PARTNERS INC

www.espeed.com




Profits: 4



Y


Online Financial Trading Software Business-to-Business Services Electronic Markets Global Private Networks

BGC Partners Inc. is a global inter-dealer broker with headquarters in New York, NY, that specializes in the brokering of OTC financial and related derivative products. The company provides a range of hybrid execution and other brokerage services to banks, broker-dealers, investment banks and investment firms. Its hybrid platform allows it to participate in both voice-brokered and electronic markets. Brokerage services include execution, clearing, processing and other back office services and cover fixed income securities, interest rate swaps, foreign exchange, equity derivatives, credit derivatives, commodities, futures, structured products and other investments. The firm also offers financial technology solutions; market data and analytics related to select financial instruments and markets; and electronic marketplaces through its eSpeed and BGCCantor Market Data brands. The Company primarily serves the wholesale inter-dealer market, including large banks that trade regularly in capital markets, brokerage houses, investment firms and investment banks. ESpeed customers also include professional trading firms, futures, commission merchants and other professional market participants and financial institutions. BGCantor and Market Data products are available to a variety of capital market participants such as investment banks, brokerage firms, asset managers, hedge funds, investment analysts and financial advisors. A significant portion of BGC’s revenue is generated through brokerage, where it does not act as principal to transactions. BGC serves clients globally through its wholly and partially owned subsidiaries including Aqua, BGC Liquidez, Freedom International Brokers, Radix Energy and Aurel BGC. In March 2009, China Credit BGC, a joint venture with China Credit Trust Co. was given preliminary approval by the China Banking Regulatory Commission. In June of the same year, BGC completed its acquisition of the Brazilian broker, Liquidez DTVM Ltda. In October 2009, the firm announced plans to open an office in Moscow. Employees are offered a 401(k) plan; life, health and dental insurance; and short term disability coverage.

BRANDS/DIVISIONS/AFFILIATES: Freedom International Brokerage Co. BGC Partners

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Howard W. Lutnick, Co-CEO Paul Saltzman, COO Shaun D. Lynn, Pres. Robert K. West, CFO Matthew Claus, CTO/Sr. VP Stephen M. Merkel, General Counsel/Exec. VP/Sec. Philip Norton, Exec. Managing Dir.-e-Commerce Joseph C. Noviello, Exec. VP/Chief Prod. Architect Lee M. Amaitis, Co-CEO Sean Windeatt, Exec. Managing Dir./VP Daniel M. LaVecchia, Global Head-FX Prod./Exec. Managing Dir. Howard W. Lutnick, Chmn.

Phone: 212-610-2200 Fax: Toll-Free: Address: 499 Park Ave., New York, NY 10022 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: BGCP 2008 Sales: $1,228,932 2008 Profits: $-29,709 Int’l Ticker: Int’l Exchange: 2007 Sales: $1,116,926 2007 Profits: $31,002 Employees: 2006 Sales: $854,844 2006 Profits: $-106,391 Fiscal Year Ends: 12/31 2005 Sales: $151,834 2005 Profits: $1,534 Parent Company:

SALARIES/BENEFITS: ESOP Stock Plan: Stock Purch. Plan:


Y


TYPES OF BUSINESS:

Pension Plan: Savings Plan: Y

Y

Profit Sharing:


Bonus: $3,500,000 Bonus: $3,000,000


Southwest:

Midwest: Y

Southeast:


Northeast: Y

International: Y



BLACKROCK INC

www.blackrock.com



Y


Y

Profits: 5


Y


Y



TYPES OF BUSINESS: Investment Management Risk Management Services Investment System Services

BlackRock, Inc. and its subsidiaries form one of the largest investment management firms in the U.S., with $3.2 trillion worth of assets under management on behalf of institutional and individual investors worldwide, through a variety of fixed income, cash management, equity and balanced and alternative investment accounts and funds. The company also provides risk management, investment system outsourcing and financial advisory services. Its clients include a diverse group of institutional and retail investors globally. Institutional clients include pension funds, official institutions, foundations, endowments and charities, insurance companies, banks, sub-advisory relationships and private banks in more than 60 countries. The firm also offers risk management and investment system services through its BlackRock Solutions product line. Headquartered in New York, the company maintains offices in 24 countries around the world. Of the firm’s total assets under management in 2008, fixed income products represented approximately 37%, equity and balanced products approximately 21%, cash management products approximately 26%, alternative investment products approximately 5% and advisory portfolios 11%. Approximately 83% of assets were managed for institutions and approximately 17% for retail and high net worth investors. About 30% of the company’s assets are managed on behalf of non-U.S. investors, and nearly 30% of its employees live and work outside the U.S. Bank of America controls the 47.4% stake previously held by Merrill Lynch as a result of the 2008 merger of Merrill Lynch and Bank of America. In December 2009, BlackRock completed its merger with Barclays Global Investors (BGI). In the merger, BlackRock also acquired the exchange traded funds business, iShares. The company offers its employees benefits including medical, dental, life and disability insurance; a retirement savings plan; a 401(k) plan; and tuition assistance.

BRANDS/DIVISIONS/AFFILIATES: PNC Financial Services Group, Inc. BlackRock Solutions Quellos Group LLC BlackRock Alternative Advisors Merrill Lynch Merrill Lynch Investment Managers Bank of America

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Laurence D. Fink, CEO Susan Wagner, Co-COO/Vice Chmn. Robert S. Kapito, Pres. Blake Grossman, Head-Scientific Equities/Vice Chmn. Charles Hallac, Co-COO/Vice Chmn. Robert W. Fairbairn, Head-Global Client Group/Vice Chmn. Laurence D. Fink, Chmn. Rich Kushel, Head-Int'l Bus./Vice Chmn.

Phone: 212-810-5300 Fax: 212-935-1370 Toll-Free: Address: 40 E. 52nd St., New York, NY 10022 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: BLK 2008 Sales: $5,064,000 2008 Profits: $786,000 Int’l Ticker: Int’l Exchange: 2007 Sales: $4,844,655 2007 Profits: $995,272 Employees: 5,341 2006 Sales: $2,097,976 2006 Profits: $322,602 Fiscal Year Ends: 12/31 2005 Sales: $1,191,386 2005 Profits: $233,908 Parent Company:




Profit Sharing:


Bonus: $11,372,500 Bonus: $8,720,760


Southwest:

Midwest: Y

Southeast:


Northeast: Y

International: Y



BLACKSTONE GROUP LP (THE)

www.blackstone.com




Y

Profits: 7



Y Y


Y


TYPES OF BUSINESS: Private Equity Investments Real Estate Investments Mergers & Acquisitions Advising Financial & Restructuring Advising Hedge Fund Investments Distressed Securities Investments

The Blackstone Group L.P., together with its consolidated subsidiaries, is a leading global alternative asset manager and provider of financial advisory services based in New York. The alternative asset management businesses include the management of corporate private equity funds, real estate opportunity funds, funds of hedge funds, mezzanine funds, senior debt vehicles, proprietary hedge funds and closed-end mutual funds. Blackstone also provides various financial advisory services, including corporate and mergers and acquisitions advisory, restructuring and reorganization advisory and fund placement services. Blackstone conducts its alternative asset management and financial advisory businesses through four reportable segments: Corporate Private Equity; Real Estate; Marketable Alternative Asset Management; and Financial Advisory. Blackstone’s Corporate Private Equity segment comprises its management of corporate private equity funds. The Real Estate segment comprises the company’s management of general real estate funds and internationally focused real estate funds. The firm’s Marketable Alternative Asset Management segment is comprised of its management of funds of hedge funds, mezzanine funds, senior debt vehicles, proprietary hedge funds and closed-end mutual funds. Blackstone’s Financial Advisory segment comprises its corporate and mergers and acquisitions advisory services, restructuring and reorganization advisory services and fund placement services for alternative investment funds. In July 2008, Blackstone agreed to acquire AlliedBarton. Also in July, Blackstone, along with NBC Universal and Bain Capital, agreed to acquire the Weather Channel. In October 2008, the company acquired Apria Healthcare Group Inc. for $1.7 billion. In October 2009, the company agreed to acquire the theme-parks business from Anheuser-Busch InBev for $2.7 billion. In November 2009, Pinnacle Foods Group agreed to acquire Birds Eye Foods, Inc. That same month, The Blackstone Group sold Orangina Schweppes Group to Suntory Holdings Limited. In December 2009, the firm, along with an affiliate of SAC Capital Advisors, agreed to acquire Airvana, a creator of mobile broadband network equipment.

BRANDS/DIVISIONS/AFFILIATES: Apria Healthcare Group Inc Travelport Limited Graham Packaging Holdings Company Klockner Pentaplast GMBH & CO KG Prime Hospitality Corp Hilton Hotels Corp Carramerica Realty Corp Biomet Inc

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Stephen A. Schwarzman, CEO Hamilton E. James, COO Hamilton E. James, Pres. Laurence A. Tosi, CFO Sylvia F. Moss, Sr. Managing Dir./Head-Admin. Robert L. Friedman, Chief Legal Officer/Sr. Managing Dir. Kenneth C. Whitney, Sr. Managing Dir./Head-Limited Partner Rel. Garrett M. Moran, Sr. Managing Dir./COO-Private Equity Arthur B. Newman, Sr. Managing Dir./Co-Head-Restructuring Chad R. Pike, Sr. Managing Dir./Co-Head-Real Estate Stephen A. Schwarzman, Chmn.


FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: BX 2008 Sales: $1,476,357 2008 Profits: $-1,163,032 Int’l Ticker: Int’l Exchange: 2007 Sales: $3,050,148 2007 Profits: $1,623,237 Employees: 1,340 2006 Sales: $2,617,429 2006 Profits: $2,266,206 Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast: Y


Northeast: Y

International: Y



BLOOMBERG LP

www.bloomberg.com




Profits:


Y


Y



TYPES OF BUSINESS: Financial Data Publishing-Print & Online Magazine Publishing Management Software Multimedia Presentation Services Broadcast Television Radio Broadcasting Electronic Exchange Systems Software

Bloomberg LP is an information services, news and media company, serving the financial services industry; government offices and agencies; corporations; and news organizations in 160 countries. The firm’s core business, the Bloomberg Professional service, is delivered online to Bloomberg Terminals rented by subscribers. The terminals provide traders and asset managers real-time, around-the-clock financial news, market data, analysis, electronic trading, multimedia report capabilities and e-mail on a single platform at an average monthly fee of about $1,500 per terminal. There are four primary services included with Bloomberg Professional. Bloomberg Tradebook allows customers to trade on 65 markets in 54 countries. Bloomberg Electronic Trading Systems allows the firm’s professional services to work in conjunction with outside infrastructure and includes a global risk-management software solution and a portfolio management system. Bloomberg Data License provides access to the Bloomberg financial database and to more than 4 million financial instruments. Finally, Bloomberg Roadshows is a multimedia presentation service featuring synchronized slides, audio, streaming video and live video technology. The company also offers Bloomberg Television, broadcasting in seven languages across 10 networks into 200 million homes; Bloomberg Radio, providing business news to 750 affiliates worldwide; Bloomberg.com, offering financial news and information; and Bloomberg Magazine, specially edited for Bloomberg Professional subscribers. Bloomberg Law provides legal research tools. Finally, Bloomberg News, staffed with 1,500 reporters and editors in 145 bureaus worldwide, files over 6,000 news stories daily. In July 2008, Merrill Lynch sold its 20% interest in the company to a blind trust owned by Michael Bloomberg. In October 2009, the company agreed to purchase BusinessWeek Magazine from McGraw Hill Cos. Bloomberg offers its employees tuition reimbursement; adoption assistance; back-up childcare services; short- and long-term disability insurance; medical, dental and vision care benefits; onsite medical services; commuter expense saving programs; and flexible spending accounts.

BRANDS/DIVISIONS/AFFILIATES: Bloomberg Professional Bloomberg Terminals Bloomberg Tradebook Bloomberg Electronic Trading Systems Bloomberg Roadshows Bloomberg Television Bloomberg Magazine Bloomberg News

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Lex Fenwick, CEO Daniel L. Doctoroff, Pres. Thomas Secunda, CTO Peter T. Grauer, Treas. Norman Pearlstine, Chief Content Officer Kathleen Campion, Exec. VP Peter T. Grauer, Chmn.

Phone: 212-318-2000 Fax: 917-369-5000 Toll-Free: Address: 731 Lexington Ave., New York, NY 10022 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Private 2008 Sales: $6,100,000 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $5,400,000 2007 Profits: $ Employees: 10,500 2006 Sales: $4,700,000 2006 Profits: $1,500,000 Fiscal Year Ends: 12/31 2005 Sales: $4,100,000 2005 Profits: $ Parent Company:




Y Y Y

Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



BNP PARIBAS

www.bnpparibas.com


Y


Y


Y Y

Profits: 9



Y



TYPES OF BUSINESS: Banking Corporate & Investment Banking Asset Management & Services Mortgage Financing

BNP Paribas is a diversified financial services firm. Headquartered in France, the company operates one of the largest retail banking operations in Europe. The firm operates in three core segments: retail banking; corporate and investment banking; and investment solutions. The retail banking business division consists of the French retail banking segment; the international retail banking segment; BancWest; and BNL Banca Commerciale. The French retail banking segment consists of approximately 2,250 branches and 5,300 ATMs. The division is made up of the BNP Paribas domestic network, Banque de Bretagne, BNP Paribas Factor, BNP Paribas Developpement and Protection 24. The international retail banking and financial services division has operations in over 80 countries. BancWest provides an array of retail banking products and services to small businesses, corporate clients and individuals in 19 western and mid-western U.S. states. BNL Banca Commerciale provides commercial banking services in Italy. The corporate and investment banking business segment offers corporate finance, equity, fixed income, structured finance, export, commodity and project finance services. The investment solutions segment provides fund management and discretionary asset management services. The division operates internationally through six subsidiaries: BNP Paribas Assurance, BNP Paribas Real Estate, BNP Paribas Securities Services, BNP Paribas Wealth Management, BNP Paribas Investment Partners and BNP Paribas Personal Investors. In October 2008, the company agreed to acquire a 75% stake in Fortis S.A. N.V.; and Bank of America’s equity prime brokerage business. In December 2008, BNP Paribas Real Estate acquired Aberdeen Property Investors Belgium. In January 2009, BNP Paribas Assurance agreed to form a Taiwanese joint venture, BNP Paribas Assurance TCB Life Insurance Company, with Taiwan Cooperative Bank. In May 2009, BNP Paribas acquired 54.55% of Fortis Bank, 25% of Fortis Insurance Belgium and 12% of Royal Park Investment. In August 2009, the firm agreed to sell its Argentinean retail banking business to Banco Santander Rio.

BRANDS/DIVISIONS/AFFILIATES: BancWest Fortis Bank BNL Banca Commerciale BNP Paribas Assurance BNP Paribas Real Estate BNP Paribas Securities Services BNP Paribas Investment Partners BNP Paribas Personal Investors

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Baudouin Prot, CEO Georges Chodron de Courcel, COO Frederic Lavenir, Head-Human Resources Alain Marbach, Head-IT & Processes Philippe Bordenave, Sr. Exec. VP/Head-Dev. Philippe Bordenave, Sr. Exec. VP/Head-Finance Jean-Laurent Bonnafe, COO Jacques d'Estais, Head-Investment Solutions Alain Papiasse, Head-Corp. & Investment Banking Francois Villeroy de Galhau, Head-French Retail Banking Michel Pebereau, Chmn.

Phone: 33-1-42-98-12-34 Fax: 33-1-40-14-45-46 Toll-Free: Address: 16, Blvd. des Italiens, Paris, 75009 France

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: 2008 Sales: $136,096,000 2008 Profits: $4,422,000 Int’l Ticker: BNP Int’l Exchange: Paris-Euronext 2007 Sales: $140,726,500 2007 Profits: $10,710,000 Employees: 2006 Sales: $99,915,460 2006 Profits: $9,641,400 Fiscal Year Ends: 12/31 2005 Sales: $85,687,200 2005 Profits: $7,271,500 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



BOC HONG KONG (HOLDINGS) LTD

www.bochk.com


Y



Y

Profits: 30


Y




TYPES OF BUSINESS: Banking & Investment Activities Life Insurance

BOC Hong Kong (Holdings) Ltd. is the operator of Bank of China (Hong Kong). The bank currently has more than 280 branches and 470 ATMS in Hong Kong, as well as 22 branches in other parts of China. Its activities include personal banking, corporate banking and investment services. The personal banking division includes wealth management services; deposits; mortgage services; loans; life insurance; card services; remittance services; payroll; and Internet, phone and mobile banking. Personal banking also offers the i-Free Integrated Account Service, which provides deposit, investment, insurance, credit facility, and flexible loan services all in one group, and allows customers to manage their accounts through the Internet and phone. The Corporate Banking division encompasses commercial; small and medium enterprises (SME); financial institutions; trade finance, cash management and custody services, as well as business insurance. Investment services involve securities, foreign exchange, fund management, precious metals, debt securities, futures and investment education. The bank’s subsidiaries include Nanyang Commercial Bank Ltd; Chiyu Banking Corp; and BOC Credit Card (International) Ltd.

BRANDS/DIVISIONS/AFFILIATES: Bank of China (Hong Kong) i-Free Nanyang Commercial Bank Ltd Chiyu Banking Corp BOC Credit Card (International) Ltd

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Guangbei He, CEO Raymond Wing Hung Lee, CFO Jason Chi Wai Yeung, Sec. Yau Shing Cheung, Chief Risk Officer Gang Xiao, Chmn.

Phone: 852-2846-2700 Fax: 852-2810-5830 Toll-Free: Address: 1 Garden Rd., Bank of China Tower, 52nd Fl., Hong King, China

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: BNKHF 2008 Sales: $2,915,130 2008 Profits: $431,340 Int’l Ticker: 2388 Int’l Exchange: Hong Kong-HKE 2007 Sales: $4,934,290 2007 Profits: $1,992,970 Employees: 13,463 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast:

International: Y



BOURSORAMA

groupe.boursorama.fr


Y



Profits:





TYPES OF BUSINESS: Online Brokerage Services Financial Information

Boursorama, a subsidiary of the Societe Generale Group, is a leading European online financial services broker. The firm’s products include: futures and options trading, warrants, mutual funds, life insurance, shares, bonds and trackers trading; and access to the main international financial markets. Customers may access these services via the Internet; the firm’s Global Trading System proprietary software, telephone or WAP (Wireless Application Protocol). In France, the company operates a free financial information portal, boursorama.com, with 2.8 million individual visitors each month. In addition, Boursorama has a brokerage site, Boursorama Banque, which is the leading online broker in France. The firm's German activity is managed via subsidiaries Fimatex and Veritas, which together are the fourth largest online broker in that country. Moreover, Boursorama owns and operates SELFTRADE, a dominating online broker in Spain and in the U.K.

BRANDS/DIVISIONS/AFFILIATES: Societe Generale Group Boursorama Banque boursorama.com SELFTRADE

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Vincent Taupin, CEO Alexander Baumeister, Managing Dir.-IT Eric Mignot, Managing Dir.-Boursorama Banque Charles Morane, Managing Dir.-Resources Benoit Grisoni, Deputy Managing Dir.-Boursorama Banque Ramon Blanco, Deputy CEO-Bousorama Vincent Taupin, Chmn.

Phone: 33-1-46-09-50-00 Fax: 33-1-46-09-54-70 Toll-Free: Address: 18 Quai du Point du Jour, Boulogne Billancourt Cedex, 92659 France

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $167,126 2005 Profits: $23,461 Parent Company: SOCIETE GENERALE GROUP




Y Y

Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast:

International: Y



BOWNE & CO INC

www.bowne.com




Profits: 2



Y Y



TYPES OF BUSINESS: Financial Printing Financial Documentation Investor Communications Solutions Marketing & Business Communications Solutions

Bowne & Co., Inc. provides business communications services that help companies produce, manage, edit and translate their shareholder, investor, marketing and business communications, involving both printed and electronic media. Bowne assists clients in creating, editing and composing documents; managing the content; translating the documents when necessary; personalizing the documents and preparing them, which involves the filing, printing and distribution of those documents. It offers capital market services, which involve the creation, management, translation, filing and distribution of shareholder and investor-related documents; shareholder reporting services, such as compliance reporting, investment management services and translation sales revenue; marketing communications, including financial statements, enrollment kits and sales and marketing collateral; and commercial printing. Bowne’s services are employed by law firms, investment banks, insurance companies, bond dealers, mutual funds and other financial institutions. The company has around 56 offices in the U.S., Canada, Latin America, Asia and Europe. Its subsidiaries include Bowne International de Mexico, S.A. de C.V., Bowne International LLC, Bowne International, Ltd., Bowne International, SAS, Bowne of Canada, Ltd., Bowne Japan & Co, Inc., and Bowne of Europe, B.V. In July 2009, the company launched the Bowne XChanger Taxonomy Migration Assistant, a desktop application designed to assist Securities and Exchange Commission (SEC) registrants in updating XBRL (Extensible Business Reporting Language) taxonomies. Employees are offered medical, dental and vision insurance; life insurance; travel business accident insurance; disability coverage; a 401(k); tuition reimbursement; and an employee assistance program.

BRANDS/DIVISIONS/AFFILIATES: Bowne International de Mexico, S.A. Bowne International LLC Bowne International, Ltd. Bowne International, SAS Bowne of Canada, Ltd. Bowne Japan & Co, Inc. Bowne of Europe, B.V. Bowne XChanger Taxonomy Migration Assistant

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. David J. Shea, CEO William P. Penders, Pres. John J. Walker, CFO/Sr. VP Susan W. Cummiskey, Sr. VP-Human Resources Elaine Beitler, CIO/Sr. VP Scott L. Spitzer, General Counsel/Sr. VP/Corp. Sec. Richard Bambach, Jr., Chief Acct. Officer/Controller/VP Bryan Berndt, VP-Tax & Finance/Treas. David J. Shea, Chmn.

Phone: 212-924-5500 Fax: 212-229-3400 Toll-Free: Address: 55 Water St., New York, NY 10041 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: BNE 2008 Sales: $766,645 2008 Profits: $-23,167 Int’l Ticker: Int’l Exchange: 2007 Sales: $850,617 2007 Profits: $27,104 Employees: 3,200 2006 Sales: $833,734 2006 Profits: $-1,768 Fiscal Year Ends: 12/31 2005 Sales: $666,934 2005 Profits: $- 604 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



BRIDGEWATER ASSOCIATES INC

www.bwater.com



Y


Profits:





TYPES OF BUSINESS: Hedge Fund Investment Management Research

Bridgewater Associates, Inc., is an investment firm. The company manages approximately $71 billion in global investments for a wide array of institutional clients, numbering about 270, including foreign governments and central banks; corporate and public pension funds; university endowments; and charitable foundations. The company’s products primarily consist of hedge funds, and cover asset classes such as currencies, bonds, inflation-linked bonds, equities and commodities in more than 75 markets around the globe. Bridgewater Associates utilizes a dual-pronged approach to investment, dividing its activities into investment alpha, value-added return from active management, and beta, return from passively holding a portfolio. About one-half of clients are overseas. The firm's most important fund is called Pure Alpha. Pure Alpha operates on a proprietary computer model that balances risks across a broad range of opportunities. The Pure Alpha II is a similar fund that is designed to have 50% higher volatility. The All-Weather fund is a passive fund designed to have lower risk. Bridgewater is one of the world's largest hedge fund firms. As of January 2009, the firm was the U.S.’s largest hedge fund by assets under management with $38.6 billion. The company's management style is unique and widelyknown. It endorses the free expression of opinions by workers to their managers. The company operates a system whereby mistakes and failures are logged so that they can be indexed and studied.

BRANDS/DIVISIONS/AFFILIATES: Pure Alpha Pure Alpha II All-Weather Fund

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Ray Dalio, Pres. Greg Jensen, Head-Research Ray Dalio, Co-Chief Investment Officer Bob Prince, Co-Chief Investment Officer

Phone: 203-226-3030 Fax: 203-291-7300 Toll-Free: Address: 1 Glendinning Pl., Westport, CT 06880 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Private 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 800 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 2005 Sales: $ 2005 Profits: $ Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International:



BROADPOINT GLEACHER SECURITIES GROUP INC www.broadpointsecurities.com Industry Group Code: 523110 Ranks within this company's industry group: Sales: 26 Brokers/Stocks: Broker: Investment Bank: Futures/Options:

Y Y


Y


Y

Profits: 18



Y Y



TYPES OF BUSINESS: Stock Brokerage/Investment Banking Municipal & Government Securities Asset Management Venture Capital Fixed Income Securities Emerging Companies Securities

Broadpoint Gleacher Securities Group, Inc., formerly Broadpoint Securities Group, Inc., is an independent investment bank providing value-added advice and services to corporations and institutional investors. The company provides services and generates revenues through its Broadpoint DESCAP, Debt Capital Markets, investment banking and equities. Broadpoint DESCAP provides sales and trading on a wide range of mortgage and asset-backed securities; U.S. treasury and government agency securities; structured products such as CLOs and CDOs; whole loans; swaps; and other securities. It generates revenues from spreads and fees on trades executed on behalf of clients and from principal transactions executed to facilitate trades for clients. The company’s Debt Capital Markets team provides sales and trading of corporate debt securities, including bank debt, investment grade and high-yield debt, convertibles, distressed debt and preferred stock. The team also offers execution services for new issue activities and liability management activities including open-market repurchases, tender offers and exchange offers. The investment banking sector, including recently acquired subsidiary, Gleacher Partners, LLC, provides strategic advice to corporations globally and offers a range of financial advisory services in regards to mergers and acquisitions, restructurings and corporate finance related matters. It also raises capital for corporate clients through underwritings and private placements of debt and equity securities. The company’s equities group, through its Broadpoint AmTech broker-dealer subsidiary, provides sales and trading on equity securities and generates revenues through cash commissions on customer trades and hard-dollar fees for research and other services. Other broker-dealer subsidiaries include Broadpoint Capital, Inc. In June 2009, the company closed on its acquisition of Gleacher Partners. Following this acquisition, the firm changed its name from Broadpoint Securities Group, Inc. to Broadpoint Gleacher Securities Group, Inc. In October 2009, Broadpoint Gleacher acquired ISM Capital, a London-based investment banking firm that focuses on emerging market debt. ISM will be integrated as a subsidiary of recently created affiliate, Broadpoint International.

BRANDS/DIVISIONS/AFFILIATES: Broadpoint DESCAP Securities, Inc. Gleacher Partners, LLC Broadpoint AmTech Broadpoint International ISM Capital Broadpoint Capital, Inc. Broadpoint Securities Group, Inc.

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Lee Fensterstock, CEO Peter McNierney, COO Peter McNierney, Pres. Robert Turner, CFO Laurence Mascera, Chief Admin. Officer Patricia Arciero-Craig, General Counsel/Sec. Eric Gleacher, Chmn.

Phone: 212-273-7178 Fax: Toll-Free: Address: 12 E. 49th St. 31st Fl., New York, NY 10017 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: BPSG.O 2008 Sales: $145,013 2008 Profits: $-17,362 Int’l Ticker: Int’l Exchange: 2007 Sales: $47,111 2007 Profits: $-19,462 Employees: 255 2006 Sales: $81,305 2006 Profits: $-43,981 Fiscal Year Ends: 12/31 2005 Sales: $151,531 2005 Profits: $-10,217 Parent Company:




Profit Sharing:


Bonus: $1,600,000 Bonus: $700,000


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



BROOKFIELD ASSET MANAGEMENT INC Industry Group Code: 5311 Ranks within this company's industry group: Sales: 1 Brokers/Stocks: Broker: Investment Bank: Futures/Options:



Y Y

www.brookfield.com

Profits: 1





TYPES OF BUSINESS: Real Estate Operations Asset Management Hydroelectric Generation & Transmission Paper Production Agriculture Financial Services Timber Development Wind Power Development

Brookfield Asset Management, Inc. is a Canadian holding company that owns and manages assets in the areas of real estate and power generation. The company’s assets, totaling approximately $90 billion, includes commercial properties, 162 conventional hydroelectric power generating facilities(with 3,129 gigawatts of capacity), one wind farm and two thermal plants. These properties are located in Canada, North America and South America. Brookfield’s subsidiaries include Norbord, a paper production firm; Brookfield Renewable Power, Inc., which operates over 160 hydroelectric power facilities with a combined production capacity of roughly 4,000 megawatts; Brookfield Homes Corporation, which deals in residential real estate; Brookfield Properties Corporation, a commercial real estate management agency; Brookfield Renewable Power Fund, which owns assets that produce electricity exclusively from environmentally friendly hydroelectric resources; Brookfield Incorporacoes SA, a high-end and luxury residential real estate company based in Brazil; and Longview Fibre Company, which owns and manages Oregon and Washington timberlands for the purpose of commercial logging. Longview Fibre Company also owns and operates a pulp and paper mill and seven converting plants for production of craft paper, paperboard, and finished products such as corrugated containers. Brookfield manages office properties and development sites located in eight core markets: New York, Los Angeles, Houston, San Diego, Washington, D.C., Toronto, Ottowa and Calgary. The firm also owns retail and hotel properties in the U.K. and Brazil. In March 2009, Brookfield Asset Management agreed to acquire all remaining interest in MediSolution Ltd., of which it previously owned a controlling interest. In mid 2009, Brookfield Renewable Power agreed to sell its Ontario electric distribution business to FortisOntario Inc., and the remainder of its Canadian renewable power generation business to Great Lakes Hydro Income Fund.

BRANDS/DIVISIONS/AFFILIATES: Longview Fibre Company Norbord, Inc. Brookfield Renewable Power Fund Brookfield Incorporacoes SA Brookfield Homes Corporation Brookfield Renewable Power Inc

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. J. Bruce Flatt, CEO Brian D. Lawson, CFO Lori Pearson, Sr. VP-Human Resources Joseph S. Freedman, General Counsel Richard Clark, Sr. Managing Partner-Property Oper. Jeff Blidner, Sr. Managing Partner-Strategic Planning Katherine Vyse, Sr. VP-Comm. Katherine Vyse, Sr. VP-Investor Rel. Sachin G. Shah, Sr. VP-Finance Richard Legault, CEO/Pres., Brookfield Power Marcel R. Coutu, Chmn. Denis Couture, Sr. VP-Int'l Affairs

Phone: 416-363-9491 Fax: 416-365-9642 Toll-Free: Address: Brookfield Pl., 181 Bay St., Ste. 300, Toronto, ON M5J 2T3 Canada

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: BAM 2008 Sales: $12,868,000 2008 Profits: $649,000 Int’l Ticker: BAM Int’l Exchange: Toronto-TSX 2007 Sales: $9,343,000 2007 Profits: $787,000 Employees: 2006 Sales: $6,897,000 2006 Profits: $1,170,000 Fiscal Year Ends: 12/31 2005 Sales: $5,220,000 2005 Profits: $1,662,000 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



BT RADIANZ

www.radianz.com




Profits:



Y



TYPES OF BUSINESS: Online Systems Extranet Systems Consulting Services Voice Services Hosting Services

BT Radianz is a subsidiary of BT Group plc and one of the world’s leading providers of communications solutions. The company operates an Internet Protocol (IP)-based extranet network, RadianzNet, for providing transaction and information services. The network is capable of providing networking services for transaction processing and content delivery to the financial services industry. BT Radianz offers all of its services through a managed network service agreement between its parent company and other affiliates. The company provides telecommunications, managed network, consulting, remote dial-up, migration, voice and hosting services to these companies. It also offers the Radianz network system to independent companies. BT Radianz serves more than 14,000 financial sites worldwide through a single, redundant, fully-managed connection. The company also provides access to more than 550 pre-trade, trade and post-trade applications from roughly 250 content and service providers across the straight-through processing (STP) chain.

BRANDS/DIVISIONS/AFFILIATES: BT Group plc

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Laurie Bowen, Interim CEO Rick Snape, Pres. Lawrence K. Kinsella, CFO Richard Man, Head-Sales, APAC Robert Scott, CIO Mark Akass, CTO David Stopforth, Head-European Sales

Phone: 212-415-4600 Fax: 212-415-4603 Toll-Free: Address: 575 Lexington Ave., 12th Fl., New York, NY 10022 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 3/31 2005 Sales: $ 2005 Profits: $ Parent Company: BT GROUP PLC




Y Y

Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



BURRILL & COMPANY

www.burrillandco.com


Y


Y


Y

Profits:



Y Y



TYPES OF BUSINESS: Investment Banking-Life Sciences Strategic Partnership & Spin-Off/Outlicensing Consulting Life Sciences Publications Industry Conferences Venture Capital Funds

Burrill & Company is a life-sciences merchant bank focused exclusively on companies involved in biotechnology; pharmaceuticals; drug delivery devices; diagnostics; medical devices; human health care and related medical technologies; nutraceuticals; agricultural biotechnologies; and industrial biomaterials and bioprocesses. The company operates through several business units, including venture capital, merchant banking, private equity, publications and conferences. The venture capital unit manages and offers various funds totaling more than $950 million under management, including the Burrill Life Sciences Capital Fund; Burrill Biotechnology Capital Fund; Burrill Agbio Capital Fund; and Burrill Nutraceuticals Capital Fund. The merchant banking unit assists life science companies in identifying, negotiation and forming strategic partnerships with other companies for access to resources, technologies or collaborations. The unit also works with major life sciences companies to spin off divisions or out-license technologies. The firm’s dedicated private equity team focuses on investments in small and midcap public companies, along with select spin-offs and buy-outs from larger life sciences corporations. The publications unit publishes monthly indices on biotech industry stock market performance; quarterly reports that highlight important industry developments such as advancements in science, technology breakthroughs and important business transactions and deals; articles and commentary on the biotechnology industry for various publications; and annual biotechnology industry reports. The conference unit annually hosts and sponsors various industry conferences including the Biotech Meeting at Laguna Beach, the Indiana Life Sciences Forum, the Stem Cell Meeting, the Burrill Personalized Medicine Meeting and the Ageing Meeting. Past conferences hosted by the firm have included the Burrill China Life Sciences Meeting, the Burrill India Life Sciences Meeting and the Japan Biotech Meeting. Additionally, the Burrill International Group concentrates on investment opportunities outside the U.S., with current areas of focus including China, India, Japan, Malaysia, Korea, Australia, New Zealand, Canada, Russia, the Middle East and Eastern Europe.

BRANDS/DIVISIONS/AFFILIATES: Burrill Life Sciences Capital Fund Burrill Biotechnology Capital Fund Burrill Agbio Capital Fund Biotech Meeting at Laguna Beach Burrill Nutraceuticals Capital Fund Indiana Life Sciences Forum Burrill Personalized Medicine Meeting Burrill International Group

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. G. Steven Burrill, CEO Victor Herbert, Chief Admin. Officer Victor Herbert, Chief Legal Officer Leslie Errington, Dir.-Bus. Dev. Peter Winter, Dir.-Comm. Helena Sen, Controller Ganesh Kishore, CEO-Malaysian Life Sciences Capital Fund Tania Fernandez, Dir.-India James D. Watson, Head-Merchant Banking Hal Gerber, Managing Dir.-Private Equity Ann F. Hanham, Managing Dir.-Int'l Group

Phone: 415-591-5400 Fax: 415-591-5401 Toll-Free: Address: 1 Embarcadero Ctr., Ste. 2700, San Francisco, CA 94111 US

FINANCIALS:





Y

Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



CALAMOS ASSET MANAGEMENT

www.calamos.com



Y


Y

Profits: 22


Y




TYPES OF BUSINESS: Asset Management Mutual Funds

Calamos Asset Management and its main subsidiary, Calamos Holdings LLC, provide asset management services to investment advisory services to individuals and institutional investors. The firm manages about $30.5 billion in client assets. The company provides a range of open-end funds, closed-end funds, separate accounts, offshore funds and partnerships, representing equity, balanced, convertible, high yield, alternative, fixed income and money market investments. Target clients are generally institutions and individuals with long-term investment horizons. The company’s approach incorporates academic theory and realworld experience to determine a given company’s economic enterprise value. The company also provides wealth management services, including asset allocation, to about 555 clients, including high net worth individuals, family offices and foundations. Subsidiaries of the firm include Calamos Advisors LLC; Calamos Family Partners, Inc.; Calamos Global Funds plc; and Calamos Financial Services LLC. In January 2009, as part of an effort to cut costs, Calamos reduced its workforce by about 12%. In May 2009, the firm announced plans to establish operations in London, U.K. In April 2009, the company formed a co-branding and investment management agreement with Union Bancaire Privee, a leading Swiss bank. Employee benefits include medical, dental and vision benefits; disability and life insurance; flexible spending accounts; professional development and training programs; 401(k); a profit sharing plan; fund purchase options; tuition assistance; on-site dry cleaning; and car wash services.

BRANDS/DIVISIONS/AFFILIATES: Calamos Holdings LLC Calamos Advisors LLC Calamos Family Partners Inc. Calamos Financial Services LLC Calamos Global Funds plc

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. John P. Calamos, Sr., CEO Cristina Wasiak, CFO/Sr. VP Gary L. Felsten, Sr. VP/Dir.-Human Resources Randall T. Zipfel, COO-IT & Investments/Sr. VP James J. Boyne, General Counsel/Sr. VP Nimish S. Bhatt, Sr. VP/Dir.-Oper. Cristina Wasiak, Treas. John P. Calamos, Sr., Co-Chief Investment Officer Nick P. Calamos, Sr. Exec. VP/Co-Chief Investment Officer James F. Baka, Exec. VP-Wealth Mgmt. David H.Schabes, Exec. VP/Dir.-Alternative Prod. John P. Calamos, Sr., Chmn. Vincenzo Falbo, Sr. VP/Dir.-Int'l James J. Boyne, COO-Dist.

Phone: 630-245-7200 Fax: 630-245-6335 Toll-Free: 800-582-6959 Address: 2020 Calamos Ct., Naperville, IL 60563-2787 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: CLMS 2008 Sales: $391,589 2008 Profits: $-24,521 Int’l Ticker: Int’l Exchange: 2007 Sales: $473,477 2007 Profits: $27,745 Employees: 368 2006 Sales: $485,172 2006 Profits: $34,008 Fiscal Year Ends: 12/31 2005 Sales: $417,567 2005 Profits: $29,222 Parent Company:




Profit Sharing: Y


Bonus: $330,004 Bonus: $1,920,276


Southwest:

Midwest: Y

Southeast:


Northeast:

International:



CALIFORNIA PUBLIC EMPLOYEES RETIREMENT (CALPERS) www.calpers.ca.gov Industry Group Code: 523920 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y


Y Y

Profits:





TYPES OF BUSINESS: Investment Management Public Pension Fund

California Public Employees Retirement, otherwise known as CalPERS, is one of the largest public pension funds in the world, serving 1.6 million California Public Employees and managing an investment portfolio of more than $213.5 billion. Roughly 492,513 members of the program are retirees, and total membership is divided approximately in thirds among employees of the state, schools and other participating public entities, including a total of approximately 212 agencies. CalPERS offers a wide array of deferred compensation and supplemental savings programs, disability retirement, death benefits, health benefits, long-term care and member home loan programs, among other things. All programs are tailored to the members' specific needs, with separate options for judges, legislators, firefighters, teachers and every other type of government employee. The CalPERS Board of Administration has sole authority for the group’s investment decisions, and as such commands considerable authority in the U.S. business world in general, undertaking such initiatives as opposing social security privatization, pursuing and sponsoring legislation to stop disability fraud and pressuring the auto industry to adhere to California greenhouse regulations. In November 2008, CalPERS added 19 new investment options for local public agency and school employees. In the same month, the company reported a13.3% reduction in energy use by its real estate partners in 2008, a sign of major progress toward the company’s environmental goals. In March 2009, the company, in collaboration with Anthem Blue Cross, launched ePrescribing, a pilot project which uses an automated data entry system in a physician’s office to generate a prescription, then electronically transmits the prescription to the patient’s pharmacy. CalPERS employees receive access to the benefits package that the company administers, which includes a definedbenefit pension and a member home loan program.

BRANDS/DIVISIONS/AFFILIATES: CalPERS CalPERS Environmental Technology Program

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Anne Stausnoll, CEO Rob Feckner, Pres. Teri Bennett, Asst. Exec. Officer-IT Svcs. Peter H. Mixon, General Counsel Stephen W. Kessler, Deputy Exec. Officer-Oper. Patricia K. Macht, Asst. Exec. VP-Public Affairs Donna Lum, Asst. Exec. Officer-Member & Benefits Svcs. Kathleen Hamilton, Deputy Exec. Officer-Benefits Admin. Joseph A. Dear, Chief Investment Officer Ron Seeling, Chief Actuary

Phone: 916-795-3829 Fax: 916-795-4001 Toll-Free: 888-225-7377 Address: Lincoln Plz. N., 400 Q St., Sacramento, CA 95811 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Government-Owned 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $20,842,800 2006 Profits: $ Fiscal Year Ends: 6/30 2005 Sales: $2,885,946 2005 Profits: $-667,314 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast:

International:



CALVERT GROUP LTD

www.calvert.com



Y


Y

Profits:


Y


Y



TYPES OF BUSINESS: Investment Management/Mutual Funds Mutual Funds & Fund Management Tax-Deferred Retirement Accounts Money Market Funds Administrative Services

Calvert Group, Ltd., established in 1976, is a mutual fund management holding company with more than $14 billion in assets under management for more than 400,000 investors. The company and its subsidiaries manage and distribute its Calvert Funds, a family of approximately 55 sociallyscreened mutual funds, as well as tax-free investments products. Its family includes equity, bond, cash, money market and asset allocation investment strategies, as well as services for institutional investors. The company’s operating and management subsidiaries consist of Calvert Asset Management Company, Inc., the advisor and manager for the Calvert family of funds; Calvert Shareholder Services, Inc., the shareholder services agent for Calvert funds; Calvert Administrative Services Company, Inc., the provider of accounting, legal and other administrative services for the funds; and Calvert Distributors, Inc., the principal underwriter and distributor of the Calvert funds. The firm’s Calvert Funds only invest in companies that meet its standards concerning seven criteria: corporate governance and ethics; workplace practices; environmental performance; product safety and societal impact; international operations and human rights; indigenous peoples’ rights; and community relations, including employee volunteerism and corporate philanthropy. Calvert is part of a larger financial services family, the UNIFI Companies. In December 2008, Calvert launched three new funds: the Calvert Large Cap Value Fund, the Calvert High Yield Bond Fund and the Calvert Short-Term Government Fund. Employees of Calvert receive flexible spending accounts for medical and dependent care; life, dependent, accident and disability insurance; health club membership reimbursement; transportation subsidies; a 401(k) plan; paid parental and new parent leave; and credit union membership eligibility.

BRANDS/DIVISIONS/AFFILIATES: UNIFI, Inc. Calvert Asset Management Company, Inc. Calvert Shareholder Services, Inc. Calvert Administrative Services Company, Inc. Calvert Distributors, Inc. Calvert Large Cap Value Fund Calvert High Yield Bond Fund Calvert Short-Term Government Fund

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Barbara J. Krumsiek, CEO Barbara J. Krumsiek, Pres. Ronald M. Wolfsheimer, CFO/Sr. VP Reginald Stanley, Chief Mktg. Officer Lee Nienaber, VP-IT & Telecomm. Ronald M. Wolfsheimer, Chief Admin. Officer William M. Tartikoff, General Counsel/Sec./Sr. VP Elizabeth Le Vaca, Dir.-Corp. Comm. Karen Becker, Chief Compliance Officer-Calvert Funds Craig Cloyed, Pres., Calvert Distributors, Inc. Bennett Freeman, Sr. VP-Sustainability Research & Policy Catherine Roy, Chief Investment Officer-Fixed Income Barbara J. Krumsiek, Chmn.

Phone: 301-951-4800 Fax: 301-657-1982 Toll-Free: 800-368-2748 Address: 4550 Montgomery Ave., Ste. 1000N, Bethesda, MD 20814 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company: UNIFI INC




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International:



CANADIAN IMPERIAL BANK OF COMMERCE Industry Group Code: 522110 Ranks within this company's industry group: Sales: 44 Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y Y


Y Y

www.cibc.com

Profits: 38



Y



TYPES OF BUSINESS: Banking Trust Services & Private Banking Business Finance Securities Private Credit Card Issuer Foreign Exchange Brokerage & Asset Management

Canadian Imperial Bank of Commerce (CIBC), based in Toronto, is a Canadian financial company that provides services to more than 11 million retail, small business, corporate and investment banking customers through more than 1,050 branches and one of Canada’s largest ATM networks, with more than 3,700 ATMs. The firm has about $309 billion in total consolidated assets. The company offers a range of consumer and business services, including deposit accounts, loans, brokerage, mutual funds and trust services. CIBC operates through two segments, CIBC Retail Markets and CIBC World Markets. CIBC Retail Markets provides financial services and products to personal and small business customers, including credit cards and consumer and small business banking. Additionally, the segment operates through a retail electronic banking business, President’s Choice Financial, a co-venture with Loblaw Companies Limited. CIBC World Markets is a leading North American investment bank with niche capabilities in the U.K. and Asia. It offers corporate banking, securities and foreign exchange trading. In addition, CIBC provides internal infrastructure support services for its various subsidiaries and business segments through five functional groups: administration; finance; technology and operations; corporate development; and treasury, balance sheet and risk management. CIBC’s other affiliates include CIBC Mortgages Inc.; CIBC Trust Corporation; CIBC Securities Inc.; CIBC Investor Services Inc.; CIBC Asset Management Inc. and CIBC BA Limited. In September 2009, CBIC received approval from the Federal Reserve to open a third agency in New York. The company also operates a branch in Chicago and offices in Los Angeles and Houston. The company offers its employees a pension plan; and employee share purchase plan; medical and dental coverage; income protection; and an employee banking offer, which includes special interest rates, special services and lower transaction fees.

BRANDS/DIVISIONS/AFFILIATES: CIBC Retail Markets CIBC World Markets CIBC Wealth Management CIBC Life Insurance Company Limit CIBC Global Asset Management (USA) Ltd. CIBC Global Asset Management Inc. CIBC Private Investment Counsel Inc. CIBC BA Limited.

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Gerald T. McCaughey, CEO Gerald T. McCaughey, Pres. David Williamson, CFO/Sr. Exec. VP Ron Lalonde, Sr. Exec. VP-Tech. Michael G. Capatides, Chief Admin. Officer/Exec. VP Michael G. Capatides, General Counsel/Exec. VP Ron Lalonde, Sr. Exec. VP-Oper. Richard E. Venn, Sr. Exec. VP-Corp. Dev. Tom Woods, Sr. Exec. VP-Risk Mgmt./Chief Risk Officer Richard E. Venn, Managing Dir./Deputy Chmn.-CBIC World Markets, Inc Sonia A. Baxendale, Sr. Exec. VP-CBIC Retail Markets Richard Nesbitt, CEO/Chmn.-CIBC World Markets

Phone: 416-980-2211 Fax: 416-980-5028 Toll-Free: Address: Commerce Ct., Toronto, ON M5L 1A2 Canada

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: CM 2008 Sales: $2,829,010 2008 Profits: $-2,006,120 Int’l Ticker: CM Int’l Exchange: Toronto-TSX 2007 Sales: $11,163,200 2007 Profits: $3,209,790 Employees: 39,698 2006 Sales: $17,994,100 2006 Profits: $257,070 Fiscal Year Ends: 12/31 2005 Sales: $15,975,079 2005 Profits: $175,971 Parent Company:




Profit Sharing:

Top Exec. Salary: $1,000,000 Second Exec. Salary: $

Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast:

International: Y



CANTOR FITZGERALD LP

www.cantor.com


Y Y



Y

Profits:


Y


Y



TYPES OF BUSINESS: Stock Brokerage Bond Trading Financial Market Data Risk Arbitrage Asset Management Investment Banking Electronic Exchanges & Related Trading Technology Online Casinos/Gaming

Cantor Fitzgerald L.P. is a leading financial services provider to the institutional equity and fixed income markets, with products and services including sales and trading, investment banking, asset management, market data and market commentary. Cantor Fitzgerald is a leader in the specialized areas of equity and fixed income capital markets, with over 5,000 institutional clients and 36 office locations globally. The company’s sales and trading services comprise Debt Capital Markets (DCM) and Equity Capital Markets. DCM offers such services as Repo and Securities Lending; Credit Securities; Mortgage Securities; Structured Products; SBA Securities; Interest Rate Products; and Agency Structures. Cantor’s Equity Capital Markets includes its Domestic Equities desk; International Equities group; Equity Derivatives desk; Convertibles and Structured Products group; Portfolio Trading group; Risk Arbitrage and Relative Value Transactions desk; Stock Loan group; Cantor CFDs, a leading wholesale provider of Contracts for Difference (CFDs); and Cantor U.S. Equity Research. Cantor’s investment services comprise its Investment Banking division. Subsidiary, Cantor Fitzgerald & Co., provides investment banking services, as well as asset management, market data and market commentary. The company’s brokerage services consist of Cantor Clearing Services, a leading securities clearing intermediary; CantorCO2e, a leading provider of transaction, financing, technology and consultancy in the global environmental and alternative energy markets; Cantor Insurance Group, which focuses on the life settlement industry and operates the online marketplace, LexNet; and Cantor Spectrum & Tower Exchange, one of the first online, market-based exchanges for radio frequency spectrum rights, digital sub-channel distribution capacity, radio tower sales and rooftop assets. Additional subsidiaries include Cantor Index UK, a spread betting company, and Cantor Gaming, a provider of mobile and online gaming technologies. In October 2009, Cantor Insurance Group, along with Healthcare Interactive launched Cantor Health Interactive, a software product designed to assist businesses in the monitoring and the reduction of healthcare costs.

BRANDS/DIVISIONS/AFFILIATES: Cantor Clearing Services CantorCO2e Cantor Insurance Group LexNet Cantor Spectrum & Tower Exchange Cantor Index UK Cantor Gaming Cantor Health Interactive

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Howard W. Lutnick, CEO Douglas R. Barnard, CFO Stephen Merkel, General Counsel/Corp. Sec./Exec. Managing Dir.. Thomas Anzalone, Exec. VP/Dir.-Global Oper. Stephen Antczak, Head-Corp. Strategy Nneoma Njoku, Media Contact Stuart Fraser, Vice Chmn. Laurence Rose, Sr. Managing Dir. Shawn Matthews, CEO-Cantor Fitzgerald & Co. Howard W. Lutnick, Chmn.

Phone: 212-938-5000 Fax: 212-829-5280 Toll-Free: Address: 110 E. 59th St., New York, NY 10022 US

FINANCIALS:





Y Y Y

Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



CAPITAL GROUP COMPANIES INC (THE, AMERICAN FUNDS) www.capgroup.com Industry Group Code: 523920 Ranks within this company's industry group: Sales: 4 Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y Y


Y

Profits:


Y




TYPES OF BUSINESS: Investment Management/Mutual Funds Investment Planning Tools

The Capital Group Companies, Inc. (CGC) is one of the world’s largest assets management companies, with approximately $200 billion in assets under management. Founded in 1931, the company has grown to include several primary subsidiaries. These include American Funds, which is managed by CGC’s Capital Research and Management Company, and consists of 30 mutual funds with a wide range of investment objectives. The company’s Retirement Planning Center, a division of American Funds, acts in an advising capacity to assists individuals in retirement planning. The company’s American Funds subsidiary is one of the largest groups of mutual funds by assets in the U.S. Additionally, the company’s Growth Fund of America mutual fund is one of the largest by assets in the U.S. Another of the company’s subsidiaries, Capital International Asset Management, based in Canada, offers asset management to individuals and institutions worldwide through its Capital International Funds, a series of global equity funds. Its Capital Guardian Trust Company manages investments for high net worth individuals and foundations, with minimum investments starting at $3 million. The firm and its subsidiaries maintain a conservative approach to investing. Fund managers typically stay with Capital for many years and the funds themselves see relatively low turnover in holdings, reflecting a long-term approach. CGC has 22 offices in the U.S., Canada, Hong Kong, Japan, Singapore, India and London. In November 2009, the company increased it previous stake in China Railway Construction Corp to approximately 10%. The company offers its employees medical, dental and vision; a 401(k) plan; a Roth IRA plan; a Master Retirement Plan; tuition assistance; adoption assistance; commuting and parking subsidies; and a legal assistance plan.

BRANDS/DIVISIONS/AFFILIATES: American Funds Capital Research and Management Company Retirement Planning Center Capital International Asset Management Capital International Funds Capital Guardian & Trust Company

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Philip de Toledo, Pres. Chuck Freadhoff, Dir.-Media Rel. Jim Brown, Sr. VP/Treas. Jim Brown, Sr. VP-Capital Int'l

Phone: 213-486-9200 Fax: 213-486-9217 Toll-Free: Address: 333 S. Hope St., 53rd Fl., Los Angeles, CA 90071-1406 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Private 2008 Sales: $7,630,000 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $9,900,000 2007 Profits: $ Employees: 8,000 2006 Sales: $11,250,000 2006 Profits: $ Fiscal Year Ends: 6/30 2005 Sales: $9,246,000 2005 Profits: $ Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



CAPITAL RESEARCH AND MANAGEMENT COMPANY (AMERICAN FUNDS) www.americanfunds.com Industry Group Code: 523920 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y Y Y


Y

Profits:


Y


Y



TYPES OF BUSINESS: Mutual Funds Financial Planning Annuities Retirement Accounts Tax Planning College Savings

Capital Research and Management Company, a subsidiary of The Capital Group Companies, Inc, is the investment manager to American Funds, one of the largest mutual fund families in the U.S. The company manages 30 mutual funds that comprise American Funds, along with the American Funds Target Date Retirement Series. The subsidiary oversees assets in excess of $775 billion for 50 million shareholder accounts which include individuals, corporations, banks, trusts, insurance companies and retirement plans. Capital Research and Management Company manages its funds with a multiple portfolio counselor system in which fund assets are divided into smaller portions for ease of management. Portfolio counselors make independent investment decisions on each portion as if it were an entire fund, thereby broadening the expertise level for the fund as a whole and ensuring fund diversity and continuity. In addition to mutual funds, the firm manages American Fund’s additional investment plans that include college planning products such as its CollegeAmerica 529 Savings Plan, as well as financial planning options such as retirement accounts, IRAs, variable annuities and tax advice. The company offers its employees medical, dental and vision; life insurance; a 401(k) plan; short and long term disability; a company funded retirement plan; tuition assistance; scholarships for children of employees; commuting and parking subsidies; adoption assistance; an employee assistance program; and an employee wellness program.

BRANDS/DIVISIONS/AFFILIATES: Capital Group Companies, Inc. (The) CollegeAmerica 529 Savings Plan American Funds American Funds Target Date Retirement Series

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. James Rothenberg, Pres. Paul Haaga, Exec. VP Robert W. Lovelace, Sr. VP James Rothenberg, Chmn.

Phone: 714-671-7000 Fax: Toll-Free: 800-421-0180 Address: 333 S. Hope St., 55th Fl., Los Angeles, CA 90071-1447 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 6/30 2005 Sales: $ 2005 Profits: $ Parent Company: CAPITAL GROUP COMPANIES INC (THE, AMERICAN FUNDS)




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International:



CARLYLE GROUP (THE)

www.carlyle.com



Y Y


Y

Profits:





TYPES OF BUSINESS: Private Equity Investments Venture & Growth Capital Private Equity Funds & Funds Management Leveraged Financing Real Estate Investments

The Carlyle Group is a private equity firm, with more than $87.6 billion in assets under management in 65 funds spanning over 900 investments within the company’s portfolio. The company’s primary investment sectors include: energy and power; real estate; telecommunications and media; technology and business services; consumer and retail; automotive and transportation; industrial; health care; aerospace; and other financial services. Its investments include the complete acquisition of companies by the firm or through partnerships, or trading investment capital for the acquisition of stock interests in a company. The company has 27 offices located in 19 countries. Its portfolio currently includes AMC Entertainment, Inc; Dunkin’ Brands, Inc; InSight Health Services Corp; Vought Aircraft Industries, Inc; Legend Natural Gas; United Road Towing, Inc; and WCI Cable, Inc. In November 2009, the company entered into a public-private partnership with the state of Connecticut to upgrade and maintain the state’s 23 highway service areas. In December 2009, three of the company’s Chinese portfolio holdings completed initial public offerings (IPO); China Forestry and Kaisa trade on the Hong Kong Stock Exchange; and Concord Radiotherapy trades on the New York Stock Exchange. Also in December 2009, the company acquired a 40% stake in Medical Park, one of Turkey’s largest healthcare providers.

BRANDS/DIVISIONS/AFFILIATES: AMC Entertainment, Inc Dunkin’ Brands, Inc InSight Health Services Corp Vought Aircraft Industries, Inc Legend Natural Gas United Road Towing, Inc WCI Cable, Inc Medical Park

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. David M. Rubenstein, Managing Dir. Daniel A. D'Aniello, Managing Dir. William E. Conway, Jr., Managing Dir.

Phone: 202-729-5626 Fax: 202-347-1818 Toll-Free: Address: 1001 Pennsylvania Ave. NW, Washington, DC 200042505 US

FINANCIALS:





Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



CENTERVIEW PARTNERS LLC

www.centerviewpartners.com




Profits:



Y



TYPES OF BUSINESS: Investment Banking Advisory Services

Centerview Partners, LLC is a boutique investment banking firm. The company offers financial and merger/acquisition advisory services; capital allocation; takeover defense; and divestures services. The company operates in two divisions: the advisory segment and the private equity segment. The advisory business provides clients advisory services on financial, strategic and operational issues in business management. The segment serves companies in a wide range of industries including consumer, financial, media and entertainment and technology industries. Since the formation of Centerview, its advisors have accumulated over $275 billion in transactions. Companies involved in this division include PepsiCo, Inc.; Kraft Foods, Inc.; Facet Biotech Corporation; Altria Group, Inc.; DIC Entertainment Holdings, Inc.; and Liz Claiborne, Inc. The private equity segment focuses on acquiring equity ownership positions in leading middle market companies in the consumer industry and improving the operational and financial performance of those companies by working with management. Currently, this division’s main investment is The Nielsen Co., an international information provider that supplies consumer products and media firms with market data to improve analysis and understanding of their respective customers. In April 2009, Centerview Partners announced intentions to open new offices in London and California.


CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Blair Effron, Founding Partner Robert A. Pruzan, Founding Partner James M. Kilts, Founding Partner-Private Equity Bus. David Hooper, Founding Partner-Private Equity Bus.

Phone: 212-380-2650 Fax: 212-380-2651 Toll-Free: Address: 31 W. 52nd St., 22nd Fl., New York, NY 10019 US

FINANCIALS:





Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



CERBERUS CAPITAL MANAGEMENT LP Industry Group Code: 523910 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y


www.cerberuscapital.com

Profits:



Y


Y


TYPES OF BUSINESS: Private Equity Investments Retailing Investments Banking Investments Bus Industry Investments Entertainment Investments Manufacturing Investments

Cerberus Capital Management, L.P. is a private equity firm with offices throughout the U.S., Europe and Asia. The firm’s portfolio includes companies in the aerospace and defense; apparel; automotive and industrial; building products; commercial services; consumer and retail; financial services; healthcare; manufacturing and distribution; paper, packaging and printing; real estate; technology and telecommunications; transportation; and travel and leisure industries. Cerberus’ equity investments include some of the largest companies in their respective sectors, including Albertson’s LLC, a food retailer with over 300 stores across the U.S.; Blue Bird, a manufacturer of buses whose products are sold in more than 60 countries; GMAC Financial Services, a global financial services business with operations in 40 countries; NewPage Corporation, one of the largest printing paper manufacturers in North America; Spyglass Entertainment, a producer, distributor and financer of motion pictures; Tower Automotive, one of the largest global suppliers of automotive metal structural parts, with operations in 13 countries; and Aozora Bank, Ltd., which operates a network of 18 banks in Japan. By industry, the firm has 14% of its portfolio investments in financial services; 14% in business services; 12% in manufacturing; 9% each in technology and telecommunications; 8% each in automotive and consumer products; 4% each in software and logistics; 3% each in mortgage and healthcare; and 9% in other industries. Cerberus provides general and risk management, operations, human resources, sales and marketing, information technology, legal and procurement services to its investment companies. In June 2009, the firm and affiliate Gabriel Capital Corporation sold their 4.9% stake in Bank Leumi le-Israel BM. In July 2009, Aozora Bank agreed to merge with Shinsei Bank, a Japanese bank that is partially owned by JC Flowers & Co., another U.S. private equity firm. Cerberus was the majority owner of automobile manufacturer Chrysler prior to Chrysler's 2009 bankruptcy. During 2009, Cerberus announced that major investors were seeking to withdraw about $4.77 billion from two of its funds.

BRANDS/DIVISIONS/AFFILIATES: Tower Automotive LLC GMAC Financial Services Aozora Bank, Ltd. Albertson's LLC Blue Bird Corporation Spyglass Entertainment NewPage Corp. North American Bus Industries

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Stephen Feinberg, CEO Mark Neporent, COO Mark Neporent, General Counsel John W. Snow, Chmn.


FINANCIALS:





Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



CHARLES SCHWAB CORP (THE)

www.schwab.com



Y


Y Y

Profits: 1



Y



TYPES OF BUSINESS: Stock Brokerage-Retail, Online & Discount Investment Services Financial Services Mutual Funds Wealth Management Financial Information Banking Online Trading Platform

The Charles Schwab Corp., with $1.3 trillion in client assets, engages in securities brokerage, banking and related financial services. Its main operating subsidiaries include Charles Schwab & Co., Inc., a securities broker-dealer with 306 offices in 45 states and an office in Puerto Rico and London; Charles Schwab Bank, a federal savings bank in Reno, Nevada; and Charles Schwab Investment Management, Inc., the investment advisor for the company’s proprietary mutual funds. The company provides financial services to individuals and institutional clients through three segments: Investor Services, Advisory Services and Corporate and Retirement Services. The Investor Services segment provides retail brokerage and banking services to individual investors. Clients have access to online portfolio planning tools, as well as professional advice from Schwab’s portfolio consultants, who can help develop an investment strategy and carry out investment and portfolio management decisions. Many clients, particularly those with assets totaling over $250,000, have a relationship with a specific financial consultant, who serves as their primary point of contact for utilizing Schwab’s services. The Advisory Services provides custodial, trading, technology, practice management and other support services to investment advisors (IAs). IAs who custody client accounts at Schwab may use proprietary software that provides them with up-todate client account information, as well as trading capabilities. The Corporate and Retirement Services segment provides retirement plan services, plan administrator services, stock plan services, and mutual fund clearing services, and supports the availability of Schwab proprietary mutual funds on third-party platforms. The company serves all aspects of employer-sponsored plans: equity compensation, defined contribution plans, defined benefit plans and other investment related benefits plans. Employees are offered medical, dental and vision insurance; a flexible spending account; life insurance; disability coverage; an employee assistance program; a 401(k) plan; tuition reimbursement; an employee discount program; an employee stock purchase plan; and discounts on Schwab Bank products.

BRANDS/DIVISIONS/AFFILIATES: Charles Schwab Trust Company (The) Charles Schwab Investment Management, Inc. Charles Schwab Bank, N.A. Charles Schwab & Co., Inc. CyberTrader, Inc. Schwab Retirement Plan Service Company

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Walter W. Bettinger, II, CEO Walter W. Bettinger, II, Pres. Joseph R. Martinetto, CFO/Exec. VP Rebecca Saeger, Chief Mktg. Officer/Exec. VP Jay L. Allen, Exec. VP-Human Resources & Employee Svcs. Jan Hier-King, Exec. VP-Shared Support Svcs. Carrie E. Dwyer, General Counsel/Exec. VP/Corp. Sec. Benjamin L. Brigeman, Exec. VP-Schwab Investor Svcs. John S. Clendening, Exec. VP-Shared Strategic Svcs. James D. McCool, Exec. VP-Institutional Svcs. Randall W. Merk, Exec. VP-Investment Mgmt. Svcs. Charles R. Schwab, Chmn.

Phone: 415-636-7000 Fax: 415-636-9820 Toll-Free: 800-648-5300 Address: 120 Kearny St., San Francisco, CA 94104 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: SCHW 2008 Sales: $5,150,000 2008 Profits: $1,212,000 Int’l Ticker: Int’l Exchange: 2007 Sales: $4,994,000 2007 Profits: $2,407,000 Employees: 13,400 2006 Sales: $4,309,000 2006 Profits: $1,227,000 Fiscal Year Ends: 12/31 2005 Sales: $3,619,000 2005 Profits: $725,000 Parent Company:




Y Y

Profit Sharing:


Bonus: $2,466,833 Bonus: $4,477,200


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



CHICAGO BOARD OPTIONS EXCHANGE INC (CBOE)www.cboe.com Industry Group Code: 523210 Ranks within this company's industry group: Sales: 9 Brokers/Stocks: Broker: Investment Bank: Futures/Options:



Profits: 8


Y


Y



TYPES OF BUSINESS: Options Exchange Electronic Futures Exchange

Chicago Board Options Exchange, Inc. (CBOE), founded by the Chicago Board of Trade (CBOT), is one of the top options exchanges worldwide and one of the largest exchanges in the U.S. On its exchange, the company lists options on more than 1,900 stocks, as well as equity options; broad-based stock index options, such as the S&P 500 and S&P 100 Index; industry index options, such as health care or energy industry indexes; options on exchange traded funds (ETFs) and holding company depository receipts (HOLDRs); futures, through CBOE Futures Exchange, LLC; interest rate and credit options; and structured products. ETFs are index-based investment products that allow investors to buy or sell shares of entire portfolios of stock in a single security. HOLDRs are trust-issued receipts that represent an investor’s beneficial ownership of specified stocks in a particular industry, sector or group. Interest rate options are European-style, cash-settled options on the yield of U.S. Treasury securities, including short, medium and long-term rates. CBOE also runs The Options Institute, which provides training on how to manage risk through the use of effective options strategies. Its online tutorials, online courses and worldwide seminars cover all phases of the options business from understanding options to using options to managing client accounts. The subsidiary also provides mock-trading sessions held on CBOE’s trading floor. In addition, The Options Institute will provide customized programs for retail brokers, institutional investors, individual investors, international participants and continuing education. OneChicago is a joint venture between CBOE, CBOT and the Chicago Mercantile Exchange, and trades single-stock futures contracts. Employees are offered medical, dental and vision insurance; flexible spending accounts; a 401(k) plan; disability coverage; life and AD&D insurance; and tuition assistance.

BRANDS/DIVISIONS/AFFILIATES: Chicago Board of Trade CBOE Futures Exchange, LLC Options Institute (The) OneChicago CBOE Stock Exchange, LLC

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. William J. Brodsky, CEO Edward J. Joyce, COO Edward J. Joyce, Pres. Alan J. Dean, CFO/Exec. VP Matthew T. Moran, VP-Institutional Mktg. Deborah Woods, VP-Human Resources Richard G. DuFour, Exec. VP-Corp. Planning & Research Gerald T. O'Connell, CIO/Exec. VP Curt Schumacher, CTO-Systems Oper./VP Joseph Levin, VP-Research & Prod. Dev. Joanne Moffic-Silver, General Counsel/Exec. VP/Sec. Philip M. Slocum, Exec. VP-Trading Oper. Edward L. Provost, Exec. VP-Bus. Dev. Cynthia Elsener, VP-Internet Mktg. Carol E. Kennedy, VP-Corp. Comm. Donald R. Patton, Controller/VP-Acct. David F. Harris, CEO-CBOE Stock Exchange Daniel R. Hustad, VP-MDPM Admin. & Market Quality Assurance Patrick Fay, Sr. VP-Member & Regulation Svcs. Timothy H. Thompson, Chief Regulatory Officer/Sr. VP William J. Brodsky, Chmn.

Phone: 312-786-5600 Fax: 312-786-7409 Toll-Free: 877-843-2263 Address: 400 S. LaSalle St., Chicago, IL 60605 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Private 2008 Sales: $423,800 2008 Profits: $115,300 Int’l Ticker: Int’l Exchange: 2007 Sales: $352,300 2007 Profits: $83,200 Employees: 2006 Sales: $258,000 2006 Profits: $42,100 Fiscal Year Ends: 6/30 2005 Sales: $203,055 2005 Profits: $10,895 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest: Y

Southeast:


Northeast:

International:



CI FINANCIAL INCOME FUND

www.ci.com



Y Y


Y

Profits: 11


Y




TYPES OF BUSINESS: Investment Management/Mutual Funds Asset Management Financial Planning Insurance

CI Financial Income Fund, formerly CI Fund Management, Inc., is one of Canada’s largest investment fund companies. The firm operates through its five subsidiaries: CI Investments, Inc.; Assante Wealth Management; United Financial Corporation; Blackmont Capital, Inc.; and KBSH Capital Management, Inc. Together with its subsidiaries, the company manages over $78.1 billion in assets. Its primary subsidiary, CI Investments, Inc., has $43.7 billion in assets under management. The subsidiary has over 90 core mutual funds across the full spectrum of investment types. In addition, the company offers CI Corporate Class, which is a family of funds that offers tax advantages on capital gains. CI also manages segregated funds and other alternative investments such as deposit notes, labor-sponsored funds, hedge funds and closed-end funds. CI Investments is divided into a number of management teams, such as Signature Advisors; Harbour Advisors; and Tetrem Capital Partners Ltd. Assante has over $17.7 billion under management and provides financial planning, investment advice, wealth management, estate and succession planning and insurance through more than 1,000 advisors. United Financial Corporation, with $5.8 billion in assets under management, designs customized integrated wealth management solutions for individuals, families and businesses across Canada. Blackmont Capital, Inc. is a full service investment dealer that provides investors with a range of products through a network of approximately 160 advisors throughout Canada as well as investment banking services, independent research, and trade execution for Canadian clients. KBSH Capital Management Inc. is an institutional investment manager that focuses on global portfolios for pension funds, managed accounts and foundations. In October 2009, the company agreed to sell Blackmont to Maquarie Group, excepting its capital markets operations. In December 2009, the firm agreed to sell Blackmont’s capital market operations to an investor group comprising employees of Blackmont.

BRANDS/DIVISIONS/AFFILIATES: CI Investments, Inc. Assante Wealth Management United Financial Corporation Blackmont Capital, Inc. KBSH Capital Management Inc. Signature Advisors Harbour Advisors Tetrem Capital Partners Ltd

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. William Holland, CEO David C. Pauli, COO/Exec. VP Stephen MacPhail, Pres. Douglas J. Jamieson, CFO/Sr. VP Sheila A. Murray, General Counsel/Sr. VP/Corp. Sec. Murray Oxby, Dir.-Comm. Peter W. Anderson, Exec. VP/CEO-CI Investments, Inc. Steven Donald, Pres./CEO-Assante Wealth Management G. Raymond Chang, Chmn.

Phone: 416-364-1145 Fax: 416-364-6299 Toll-Free: 800-268-9374 Address: 2 Queen St. E., Fl. 20, Toronto, ON M5C 3G7 Canada

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: 2008 Sales: $1,417,030 2008 Profits: $417,410 Int’l Ticker: CIX Int’l Exchange: Toronto-TSX 2007 Sales: $1,551,050 2007 Profits: $585,830 Employees: 2006 Sales: $1,341,900 2006 Profits: $463,200 Fiscal Year Ends: 12/31 2005 Sales: $1,047,100 2005 Profits: $249,500 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast:

International: Y



CIBC WORLD MARKETS INC

www.cibcwm.com


Y


Y Y


Y

Profits:



Y Y



TYPES OF BUSINESS: Investment Banking Commercial & Merchant Banking Investment Management Financial Consulting & Research Private Equity Corporate Finance Investment Advisory Services

CIBC World Markets, Inc., the wholesale banking business of Canadian Imperial Bank of Commerce, is an investment bank. The company caters to over 7,000 international institutional, retail, corporate and government clients. It is most active in North America, with offices in seven major U.S. cities and six offices in Canada. The firm also operates out of offices in Beijing, Hong Kong, Tokyo, Shanghai, Sydney and London. CIBC World Markets’ products and services are grouped in three divisions: investment banking; credit and capital market products; and merchant banking. The investment banking division provides industry, product and merchant banking advisory services. The firm’s merchant banking service, CIBC Capital Partners, is responsible for all of CIBC World Markets’ principal investing activities. The credit and capital market products segment, operating through the firm’s Global Capital Markets group, partners with worldwide institutional clients to originate, syndicate, trade and sell equity and debt instruments. Its products include equities, commodities, fixed income, foreign exchange, money market and securitization services. CIBC Merchant Banking makes specialized investments to create, grow and recapitalize companies, and supports the company’s operations by structuring, monitoring and harvesting strategic bank investments. CIBC Merchant Banking has over $1 billion invested in more than 60 companies and more than 160 third party funds. The company also has industry expertise and separate operating groups for numerous industries, including finance, health care, infrastructure finance, mining, oil and gas, paper and forest products, power and utilities, real estate, technology, media and telecommunications and corporations in the public sector. The firm’s research team offers clients advice in the areas of equities, economics and strategy, foreign exchange and Canadian securities.

BRANDS/DIVISIONS/AFFILIATES: Canadian Imperial Bank of Commerce CIBC Capital Partners CIBC Merchant Banking

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Richard Nesbitt, CEO Laura Dottori-Attanasio, Head-Global Corp. Credit Prod. Tim Carrington, Head-Strategic Risks & Global Derivatives Geoffrey Belsher, Managing Dir./Head-Investment Banking Rik Parkhill, Head-Cash Equities Scott Wilson, Head-Europe, CIBC World Markets plc Gary W. Brown, Pres./CEO-CIBC World Markets Corp./Head-Risk Richard Nesbitt, Chmn. Warren Gilman, Head-APAC Harry Culham, Head-Dist., Fixed Income & Currencies

Phone: 416-594-7000 Fax: 416-954-6958 Toll-Free: Address: 161 Bay St., Brookfield Pl., Toronto, ON M5J 2S8 Canada

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $1,016,800 2007 Profits: $ Employees: 2006 Sales: $12,652,826 2006 Profits: $2,523,413 Fiscal Year Ends: 10/31 2005 Sales: $10,734,520 2005 Profits: $-30,514 Parent Company: CANADIAN IMPERIAL BANK OF COMMERCE




Profit Sharing:

Top Exec. Salary: $270,024 Second Exec. Salary: $

Bonus: $2,060,897 Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



CITADEL INVESTMENT GROUP LLC

www.citadelgroup.com



Y


Y

Profits:





TYPES OF BUSINESS: Investment Management-Hedge Funds Administrative Services for Investment Management

Citadel Investment Group, LLC is a hedge fund sponsor, with over $11 billion in investment capitalization and offices in Chicago, San Francisco, New York, London and Hong Kong. The company accounts for approximately 8% of the total daily dollar volume traded on both the New York Stock Exchange (NYSE) and the NASDAQ. Citadel’s clients include money center banks, insurance companies, Fortune 50 pension plans, endowments, foundations and high net worth individuals. The firm invests in a variety of credit, fixed-income, equities, options and energy strategies. The company’s primary investment focus includes Citadel Alternative Investments, which includes investments in global equities, convertibles, global energy, and non-agency residential mortgage securities. Citadel Securities focuses on advisory services within the investment banking sector; as well as investments in high yield bonds, bank loans, equity derivatives, and convertible securities. Additionally, the company’s subsidiary Omnium, formally Citadel Solutions LLC, offers hedge fund administrative and reporting services. The company offers its employees medical, dental and vision; a 401(k) matching plan; tuition assistance; and an employee assistance program.

BRANDS/DIVISIONS/AFFILIATES: Citadel Alternative Investments Citadel Securities Omnium

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Kenneth C. Griffin, CEO Gerald Beeson, COO Mike Pyles, Head-Global Human Capital & Dev. Thomas G. Miglis, CIO Adam Cooper, General Counsel

Phone: 312-395-2100 Fax: 312-267-7100 Toll-Free: Address: 131 S. Dearborn St., Chicago, IL 60603 US

FINANCIALS:





Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest: Y

Southeast:


Northeast: Y

International: Y



CITIC SECURITIES INTERNATIONAL COMPANY LIMITED www.citics.com.hk Industry Group Code: 523110 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:

Y Y



Profits:



Y



TYPES OF BUSINESS: Investment Banking Securities Brokerage Equity Research Fixed Income Trading Asset Management

CITIC Securities International Company Limited (CSI), formerly CITIC Securities (HK) Company, Ltd., is a whollyowned subsidiary of CITIC Securities Co., Ltd. and one of the largest investment banking and securities brokerage companies in China. The firm offers services in five business areas: investment banking, brokerage, fixed income trading, asset management and equity research. Through the investment banking segment, the firm is involved in equity capital markets and market advisory services. The brokerage segment operates through subsidiaries CITIC Securities Brokerage (HK), Ltd., which offers securities brokerage supplemented by other services such as margin financing, e-trading and custodian and nominees services; and CITIC Securities Futures (HK), Ltd., a provider of futures trading services. The division provides its services to high net worth individuals; and retail, corporate and institutional clients. The fixed income trading segment acts as an underwriter for both the primary and secondary markets in Hong Kong, facilitating bond and currency access. The asset management segment, through CITIC Securities International Investment Management (HK) Limited, provides securities advice and financial planning services. The equity research business offers regular daily products, sector analyses and reports on small- and medium-sized enterprises, in support of the company’s secondary equity market activities. In addition, the division offers research on macro-economic trends; investment strategy; individual stocks; and customized research and advisory services for institutional investors. In March 2009, the company, in cooperation with Evercore Partners, Inc., launched CITIC Securities International Partners, Ltd. in an effort to facilitate cross-border merger and acquisition activities between Chinese and foreign companies. In September 2009, the firm opened its seventh branch in Hong Kong.

BRANDS/DIVISIONS/AFFILIATES: CITIC Securities (HK) Company, Ltd. CITIC Securities Co., Ltd. CITIC Securities International Partners, Ltd. CITIC Securities Brokerage (HK), Ltd. CITIC Securities Futures (HK), Ltd. CITIC Securities Int'l Investment Mgmt. (HK), Ltd. Evercore Partners, Inc.

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Yin Ke, CEO Ni Jun, Chief Accountant Wang Dongming, Chmn.

Phone: 852-2237-6899 Fax: 852-2104-6862 Toll-Free: Address: 26/F, CITIC Tower, 1 Tim Mei Ave., Central, Hong Kong, China

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 2005 Sales: $ 2005 Profits: $ Parent Company: CITIC SECURITIES CO LTD




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast:

International: Y



CITIGROUP INC

www.citigroup.com


Y Y


Y Y Y Y


Y Y Y

Profits: 47



Y Y Y



TYPES OF BUSINESS: Banking Commercial, Residential & Consumer Lending Credit Cards Investment Banking Insurance Brokerage Services Annuities Retirement Products

Citigroup, Inc. is a leading financial services firm in the U.S. and one of the largest banking organizations in the world. Citi provides products and services to over 200 million customers in more than 100 countries. The firm is organized in three segments: Citicorp, Citi Holdings and Corporate/Other. Citicorp comprises the firm’s global commercial bank and transaction services, offering securities and trade solutions; securities and banking; underwriting and advisory; corporate lending; Citi Private Bank and institutional asset management. The division operates in two segments, retail consumer and institutional banking. Citi Holdings operates stock brokerage and asset management businesses, including Nikko Cordials Securities; Nikko Asset Management and Select Global Asset Management. The Corporate/Other segment comprises the firm’s treasury; operations and technology; and discontinued operations. In late 2008, the U.S. government provided $20 billion in new funding, in exchange for preferred shares that give the government a total stake of about 7.8% in Citi. The government also agreed to absorb the risk on $249 billion worth of loans. In January 2009, Citi agreed to merge its Smith Barney unit with Morgan Stanley's Global Wealth Management Group into a new company, Morgan Stanley Smith Barney. Morgan Stanley paid Citi $2.7 billion in cash and gave Citi a 49% stake in the new company. In September 2009, Citibank opened a banking center in Hong Kong’s United Centre, and Citi's Bank Services Group, a division of Global Transaction Services formed a partnership with Agricultural Bank of China. In late September 2009, Overseas Private Investment Corporation (OPIC) approved funding up to 250 million to expand a partnership with Citi. The partnership will provide lending to borrowers in emerging markets globally. In November of the same year, the company agreed to sell its Diners Club credit card business to Bank of Montreal.

BRANDS/DIVISIONS/AFFILIATES: Morgan Stanley Smith Barney CitiMortgage Primerica Citibank Citi Alternative Investments Citi Institutional Clients Group Citi CitiFinancial

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Vikram Pandit, CEO Pam Flaherty, Pres. John C. Gerpach, CFO Lisa M. Caputo, Exec. VP-Global Mktg. & Corp. Affairs Marty Lippert, CIO Michael Helfer, General Counsel/Sec. Terri Dial, Global Head-Consumer Strategy Jeffrey Walsh, Chief Acct. Officer/Controller Brian Leach, Chief Risk Officer Manuel Mendina-Mora, CEO/Chmn. Latin Amer. &Mexico Manuel Falco, Co-Head-Banking, European Region James Bardrick, Co-Head-Banking, European Region Richard Parsons, Chmn. Steven J. Freiberg, CEO-Global Cards

Phone: 212-559-1000 Fax: 212-793-3946 Toll-Free: 800-285-3000 Address: 339 Park Ave., New York, NY 10043 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: C 2008 Sales: $112,372,000 2008 Profits: $-27,684,000 Int’l Ticker: Int’l Exchange: 2007 Sales: $124,467,000 2007 Profits: $3,617,000 Employees: 324,850 2006 Sales: $96,497,000 2006 Profits: $21,538,000 Fiscal Year Ends: 12/31 2005 Sales: $83,642,000 2005 Profits: $24,589,000 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



CITIGROUP INSTITUTIONAL CLIENTS GROUP Industry Group Code: 523110 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:

Y Y


Y


Y Y

icg.citi.com

Profits:


Y

Y


Y Y



TYPES OF BUSINESS: Investment Banking/Stock Brokerage Futures & Options Fixed Income & Government Securities Mergers & Acquisitions Consulting Securities and Fund Services (SFS)

Citigroup Institutional Clients Group, formerly Citigroup Corporate and Investment Banking, is one of several subsidiaries of banking and holding company Citigroup, Inc. The division operates in five segments: global banking; global markets; global transaction services; Citi capital advisors; and Citi investment research and analysis. The global banking segment caters to corporations, financial institutions and governments across the globe, offering advisory services concerning acquisitions, mergers, divestitures, financial restructuring, loans, underwriting policies and debt management. The global markets segment focuses counsels a variety of institutions and retail investors on issues such underwriting; sales and trading; and distribution capabilities. This sector has offices in most major cities around the world, but concentrates services in the Americas, Europe/Middle East/Africa and Asia. The global transaction services segment is itself divided into two channels: treasury and trade solutions; and securities and fund services (SFS). The treasury and trade solutions channel offers cash management and information services. The division is also an issuer of commercial cards. SFS services are concerned with custody and fund issues unique to investors, insurance companies, brokers/dealers and agency/trust corporations. The Citi capital advisors segment manages capital for Citigroup, as well as for third-party institutional and high-net-worth investors. The segment is an integrated alternative investment platform that manages a wide range of products across five asset classes, including private equity, hedge funds, real estate, structured products and managed futures. The Citi investment research and analysis segment offers equity and fixed income research, economic and market analysis and product-specific analysis.

BRANDS/DIVISIONS/AFFILIATES: Citigroup Citigroup Global Markets Holdings, Inc. Citigroup Corporate and Investment Banking Citi Capital Advisors Citi Investment Research & Analysis

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. John Havens, CEO Zion Shohet, COO Susan Dean, CFO Jeffrey Small, General Counsel Raymond McGuire, Head-Global Banking Thomas Flexner, Head-Global Real Estate Michael Roberts, Head-Global Capital & Network Mgmt. Group Francesco Vanni d'Archirafi, CEO-Global Transaction Svcs. James Forese, Co-Head-Global Markets

Phone: 212-816-6000 Fax: 212-793-9086 Toll-Free: Address: 388 Greenwich St., 38th Fl., New York, NY 10013 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $23,863,000 2005 Profits: $6,895,000 Parent Company: CITIGROUP INC




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



CITIGROUP JAPAN HOLDINGS CORP Industry Group Code: 523110 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:

Y


Y


Y

www.citigroup.jp/english/ Profits:



Y Y



TYPES OF BUSINESS: Investment Banking Investment Management Research Sales & Trading

Citigroup Japan Holdings Corp., formerly Nikko Citi Holdings Inc., is Citigroup, Inc.’s principal holding company in Japan. The company was formed from the 2008 merger of Nikko Cordial Corporation and Citigroup Japan Holdings, Ltd. The firm oversees and coordinates the activities of its direct and indirect subsidiaries in the areas of governance, compliance, controls and risk management. Through its subsidiaries, Citigroup Japan Holdings offers investment banking, financial services, shared services, consulting services and investment research services. Nikko Citi’s primary operating subsidiaries include Citigroup Global Markets Japan, Inc. (formerly Nikko Citigroup Limited); Nikko Principal Finance Japan G.K.; and Citigroup Services Japan, Ltd. (formerly Nikko Citi Business Services, Inc.). Citigroup Global Markets Japan is a wholesale investment bank that offers financial services such as investment banking, sales and trading and research. Nikko Principal Finance Japan G.K. is an investment business and consulting company. Citigroup Services Japan, Ltd. is a shared services provider for Citigroup entities in Japan. In October 2009, the company was renamed Citigroup Japan Holdings. At the same time, Citigroup Global Markets Japan and Citigroup Services Japan were renamed from Nikko Citigroup Limited and Nikko Citi Business Services, respectively.

BRANDS/DIVISIONS/AFFILIATES: Citigroup Inc Nikko Citi Holdings Inc. Citigroup Global Markets Japan, Inc. Nikko Principal Finance Japan G.K. Citigroup Services Japan, Ltd. Nikko Citigroup Limited Nikko Citi Business Services, Inc.

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Douglas Peterson, CEO Brent Tanner, COO Douglas Peterson, Pres. Mark F. Hart, CFO Stephen Cronin, Chief Human Resources Officer Mark D. Hunsaker, Chief Legal Officer/Chief Compliance Officer Naoki Inoue, Deputy Pres./Chief Strategy & Investment Officer Masafumi Yoshino, Chief Corp. Affairs Officer Jun Kadoda, Chief Planning Officer Elmer Z. Nakao, Chief Risk Officer Joseph Monks, Chief Auditor Yukio Yoshimura, Head-Gov't Affairs Douglas L. Peterson, Chmn.

Phone: 81-3-6270-6600 Fax: Toll-Free: Address: 1-5-1 Marunouchi, Chiyoda-ku, Tokyo, 100-6520 Japan

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $4,167,400 2007 Profits: $711,000 Employees: 2006 Sales: $3,924,200 2006 Profits: $800,000 Fiscal Year Ends: 3/31 2005 Sales: $2,923,000 2005 Profits: $437,000 Parent Company: CITIGROUP INC




Profit Sharing:


Bonus: $ Bonus: $


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International: Y



CITIZENS FINANCIAL GROUP INC

www.citizensbank.com



Y Y


Y Y

Profits:



Y



TYPES OF BUSINESS: Banking Insurance Business Finance Loans Wholesale Banking Online Stock Brokerage Investment Management

Citizens Financial Group, Inc., a subsidiary of Royal Bank of Scotland Group plc, is a U.S. holding company that operates more than 1,480 branch banks and over 3,606 ATMs in the Northeast and Midwest through its subsidiary, Citizens Bank. The firm has $161 billion in assets, operates a branch network encompassing 12 states with non-branch operations in about 40 states and has its largest assets concentrated at the Citizens Bank of Pennsylvania and at its Charter One Bank operation. Various subsidiary operations include Citizens Auto Finance, CCO Mortgage Corporation, CCO Investment Services Corp., RBS Business Capital and RBS Asset Finance. The company offers personal, small business, commercial and investment services. Personal banking services consist of checking and savings accounts, loans, insurance and debit cards. Small businesses are offered checking and savings accounts, loans, business investing and small business insurance, in addition to financial and special services. Similar services are offered to commercial clients, including wholesale banking and specialized industry services. Citizens Financial has experienced rapid growth following its purchase of Medford Bancorp, as well as significant increases in deposits and lending. In May 2009, the company opened a new branch in the RBS Americas headquarters building in Stamford, Connecticut. Citizens Financial Group offers its employees reimbursement accounts, adoption assistance, a child care subsidy, discounted home and auto insurance, tuition assistance, a commuter expense reimbursement program and an identity theft protection program, as well as pet insurance.

BRANDS/DIVISIONS/AFFILIATES: Royal Bank of Scotland Citizens Bank Citizens Auto Finance CCO Investment Services Corp. RBS Business Capital RBS Asset Finance GreatBanc, Inc. RBS Citizens

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Ellen Alemany, CEO John Fawcett, CFO Theresa McLaughlin, Chief Mktg. Officer/Group Exec. VP Evelyn Tressitt, Chief Human Resources Officer Paul J. Hanlon, Exec. VP/Head-Tech. Svcs. Joel J. Brickman, General Counsel/Exec. VP/Corp. Sec. Bradford B. Kopp, Group Exec. VP-Strategy & Acquisitions Barbara S. Cottam, Exec. VP/Dir.-Corp. Affairs Joseph Dewhirst, Treas./Group Exec. VP Jay Cook, Chief Risk Officer Brad L. Conner, Vice Chmn.-Consumer Finance Martin Bischoff, Vice Chmn.-Consumer & Bus. Banking Sheldon Goldfarb, Chief Legal Officer Ellen Alemany, Chmn.

Phone: 401-456-7000 Fax: 401-456-7819 Toll-Free: 800-922-9999 Address: 870 Westminster St, 1 Citizens Plaza, 3rd Fl., Providence, RI 02903 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $10,764,000 2007 Profits: $1,489,000 Employees: 2006 Sales: $10,279,000 2006 Profits: $1,668,000 Fiscal Year Ends: 12/31 2005 Sales: $8,511,100 2005 Profits: $1,472,500 Parent Company: ROYAL BANK OF SCOTLAND GROUP PLC (THE, RBS)




Profit Sharing:


Bonus: $ Bonus: $


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Midwest: Y

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Northeast: Y

International:



CLAYTON DUBILIER & RICE INC

www.cdr-inc.com




Y

Profits:




Y


TYPES OF BUSINESS: Private Equity Investments Fund Ownership & Management

Clayton, Dubilier & Rice, Inc. (CDR) is one of the oldest private equity investment firms in the world. It currently manages funds with a combined valuation of over $6 billion, on behalf of major pension funds, university endowments and other financial institutions. The company targets divisions of large corporations and businesses facing difficult financial situations. In the past several years, it has focused on divisions of European-based parent companies that have significant North American operations. Traditionally, CDR leads a leadership buyout at a target company. It then improves operations by providing management expertise and capital in exchange for controlling interest, although it may also fully acquire a target company. The firm derives its business and management expertise from its partners, many of whom are former leading executives (including special partner John F. Welch, Jr., former Chairman and CEO of GE). Outside of the U.S., the firm has investments in France, Germany, Italy and the U.K.; and is in the process of developing a strategic alliance network in Asia. CDR recently acquired HD Supply from The Home Depot. In 2008, the company acquired Bodycote Testing group, a materials testing business from Bodycote plc. In October 2009, the firm invested $250 million in and thereby acquired roughly 68.5% of NCI Building Systems, Inc. In November 2009, CDR acquired approximately 46% of JohnsonDiversey, Inc., through a $477 million investment.

BRANDS/DIVISIONS/AFFILIATES: NCI Building Systems Inc JohnsonDiversey Inc Bodycote Testing HD Supply

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Donald J. Gogel, CEO Donald J. Gogel, Pres. Clayton M. Armstrong, Dir.-Financial & Strategic Initiatives P. Christian Broberg, Dir.-Global Investor Rel. Theresa A. Gore, Dir.-Financial Mgmt., Acct. & Budgeting Kevin J. Conway, Managing Partner Michael G. Babiarz, Dir.-Financial Structuring Joseph L. Rice, III, Chmn. Roberto Quarta, Chmn.-Clayton, Dubilier & Rice Europe

Phone: 212-407-5200 Fax: 212-407-5252 Toll-Free: Address: 375 Park Ave., 18th Fl., New York, NY 10152 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Private 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $1,100,300 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

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Northeast: Y

International: Y



CLINTON GROUP INC

www.clinton.com



Y


Y

Profits:



Y



TYPES OF BUSINESS: Investment Management-Hedge Funds Corporate Bond & Debt Offerings Arbitrage

Clinton Group, Inc. is a hedge fund company. The firm manages over $1.1 billion in hedge fund products for banks, insurance firms, pension funds, public funds and wealthy individuals in the U.S. and abroad. In addition, the company manages approximately $5 billion in structured corporate bond offerings (CBO) and corporate debt offerings (CDO) assets. Clinton Group’s various funds focus on relative value investing (or arbitrage), in which it takes simultaneous long and short positions in closely related markets. The company is mainly engaged in mortgage arbitrage, global fixed income arbitrage, convertible arbitrage, event-driven arbitrage and multi-market arbitrage. Mortgage arbitrage exploits relativevalue influences in the mortgage-backed securities market. Global fixed-income arbitrage focuses on inefficiencies in the sovereign debt markets that arise due to differences in the flow of funds in particular sectors. Convertible arbitrage involves the purchase of convertible bonds determined to be undervalued based upon their relationship to their underlying stock. Event-driven arbitrage profits from relative-value inefficiencies that arise in merger and acquisition situations. It involves the sale or purchase of stock in a company to be acquired, offset by an opposite trade in the stock of the acquirer. Multi-market arbitrage uses all of the techniques found in other arbitrage areas but focuses on the assetallocation to different sectors of global fixed income and equity markets.


CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. George E. Hall, CEO George E. Hall, Pres. John L. Hall, CFO

Phone: 212-825-0400 Fax: 212-825-0079 Toll-Free: Address: 9 W. 57th St., 26th Fl., New York, NY 10019 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Private 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $12,000 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 2005 Sales: $ 2005 Profits: $ Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


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CLIPPER FUND INC

www.clipperfund.com



Y


Y

Profits:






Clipper Fund, Inc. manages a single no-load equity mutual fund, advised by Davis Selected Advisers, L.P. The fund is directed solely at investors in the U.S., and requires a minimum investment of $10,000. The investment strategy is one of intensive research, where fund managers meet with company executives and employ a variety of research tools and analysis to determine the company’s intrinsic value. As a rule, the fund only invests in large U.S. companies (generally with market capitalizations of $5 billion or greater at the time of purchase), which it believes are selling at a price that is lower than their intrinsic value. Primary sectors invested in by the fund are financials, insurance, consumer staple goods and energy, with smaller holdings in the energy and technology sectors. The fund’s top holdings include ConocoPhilips; American Express; Costco Wholesale; Proctor and Gamble; and Berkshire Hathaway.


CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Christopher C. Davis, Portfolio Mgr. Kenneth C. Feinberg, Portfolio Mgr.

Phone: Fax: Toll-Free: 800-432-2504 Address: 30 Dan Rd., Canton, MA 02021-2809 US

FINANCIALS:





Profit Sharing:


Bonus: $ Bonus: $


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Northeast: Y

International:



CNA FINANCIAL CORP

www.cna.com



Y


Y

Profits: 4





TYPES OF BUSINESS: Insurance, Direct Property & Casualty Life Insurance Accident & Health Insurance Claims & Risk Services

CNA Financial Corp. is an insurance holding company. As a U.S. property and casualty insurer, the firm has more than 1 million businesses and professional customers throughout the U.S., Europe and Canada. The core insurance products offered are property and casualty coverage, which are conducted by Continental Casualty Co. and The Continental Insurance Co. These products are reported in two business segments: standard lines and specialty lines. Within the standard lines segment, the company offers standard property and casual coverage to small businesses; and commercial insurance and risk management products to large corporations. The specialty lines segment provides a range of professional, financial and specialty property and casualty products; surety bonds; and vehicle warranty service contracts. This segment also offers coverage sold internationally through CNA Global. CNA Financial’s noncore operations are managed in two segments: life and group non-core; and corporate and other non-core. The life and group non-core segment includes the life and group lines of business that have been sold or placed in run off. Corporate and other non-core consists of certain corporate expenses and certain property and casualty businesses in run-off. Loews Corporation owns approximately 90% of the company. In April 2008, the company introduced the Building Equipment Installation and Repair (BEAR) to coverage for water well drilling contractors and millwrights. In December 2008, the firm agreed to acquire its underwriting partner, the Scarborough Community Bank underwriting team. The company offers its employees life, disability, AD&D, medical, dental and vision insurance; flexible spending accounts; a savings plan; adoption and tuition reimbursement; domestic partner benefits; university collaboration onsite degree programs; a transit reimbursement incentive program; a 401(k); paid vacation; and an assistance program.

BRANDS/DIVISIONS/AFFILIATES: Continental Casualty Co. Continental Insurance Co. (The) Loews Corporation Scarborough Community Bank underwriting team (The) CNA Global

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Thomas F. Motamed, CEO D. Craig Mense, CFO/Exec. VP John Golden, CIO/Exec. VP Thomas Pontarelli, Chief Admin. Officer/Exec. VP Jonathan D. Kantor, General Counsel/Exec. VP/Sec. Tim Szerlong, Pres., Worldwide Field Oper. George R. Fay, Exec. VP-Worldwide P&C Claim Larry A. Haefner, Exec. VP/Chief Actuary Peter W. Wilson, Pres./COO-CNA Specialty Bob Lindemann, Pres./COO-CNA Commercial Thomas F. Motamed, Chmn. John Hennessy, CEO-CNA Europe

Phone: 312-822-5000 Fax: 312-822-6419 Toll-Free: 800-262-2000 Address: 333 S. Wabash, Chicago, IL 60604 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: CNA 2008 Sales: $10,290,000 2008 Profits: $1,108,000 Int’l Ticker: Int’l Exchange: 2007 Sales: $10,196,000 2007 Profits: $851,000 Employees: 9,000 2006 Sales: $10,290,000 2006 Profits: $1,108,000 Fiscal Year Ends: 12/31 2005 Sales: $9,872,000 2005 Profits: $264,000 Parent Company: LOEWS CORPORATION




Profit Sharing:


Bonus: $3,113,750 Bonus: $1,380,000


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



COLONY CAPITAL LLC

www.colonyinc.com



Y


Profits:




Y


TYPES OF BUSINESS: Real Estate Investment Trust Private Equity

Colony Capital, LLC is a private international investment firm focusing primarily on real estate related assets and operating companies with a strategic dependence on such assets. The firm has invested over $39 billion in over 8,500 assets since 1991. The company's current fund, its eighth, has stakes in Station Casinos, a Las Vegas locals gaming business and Native American gaming management company; Meadowlands Xanadu, a retail development of a 2.2 millionsquare-foot sports, leisure, shopping and entertainment location in New Jersey; Ambassy Court, a 484,000-squarefoot apartment building in Beijing; Brownfields, a platform specializing in the purchase, de-pollution and resale of contaminated industrial sites in Europe; La Tour, consisting of two private hospitals in Geneva, Switzerland; Challenger Financial Services Group, an Australian financial services company with $62.6 billion assets in management, administration and advice; Accor SA, a French Hotel Group with 4,000 hotels and 500,000 rooms; and 9.1% public shares of Carrefour SA, a food retailer with 12,000 locations in 29 countries. The firm operates through offices in Los Angeles, New York, Boston, Hawaii, Paris, Rome, London, Madrid, Beirut, Hong Kong, Beijing, Tokyo, Seoul and Taipei.

BRANDS/DIVISIONS/AFFILIATES: Accor SA Ambassy Court La Tour Brownfields Carrefour SA Challenger Financial Services Station Casinos Inc Meadowlands Xanadu

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Thomas J. Barrack Jr., CEO Richard B. Saltzman, Pres. Mark M. Hedstrom, CFO Ronald M. Sanders, General Counsel/Principal Duyen Tran, VP-Oper. & Finance Toshio Masui, Dir.-New Bus. Dev. Japan Richard S. Welch, Sr. VP-Finance Jonathan Grunzweig, Chief Investment Officer Naji E. Boutros, Dir.-Middle East & North Africa Henry G. Brauer, Sr. Managing Dir.-Colony Realty Partners LLC Thomas J. Barrack Jr., Chmn. Sebastien Bazin, CEO-Colony Capital SAS/Managing Dir.-Europe

Phone: 310-282-8820 Fax: 310-282-8808 Toll-Free: Address: 1999 Ave. of the Stars, Ste. 1200, Los Angeles, CA 90067 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Private 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $475,100 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 2005 Sales: $ 2005 Profits: $ Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

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Northeast: Y

International: Y



COLUMBIA MANAGEMENT GROUP INC www.columbiamanagement.com Industry Group Code: 523920 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y


Y Y Y

Profits:






Columbia Management Group, Inc., formerly the investment management division of Bank of America Corp., is one of the world’s leading asset managers. With its subsidiaries and affiliates, it has roughly $329.1 billion in assets under management. Columbia Management offers an array of investment strategies and services tailored to a diverse client base, which includes corporations, insurance companies, Taft-Hartley plans, public funds, endowments and foundations and consultants. The company’s institutional investment strategies include fundamental equity strategies; fixed income, including short duration and high yield strategies; cash investments, including a number of taxable and tax-advantaged funds, as well as national and statespecific tax-exempt funds; and quantitative strategies, including enhanced, indexed and asset allocation solutions. The company’s funds include equity and fixed-income funds. The firm’s individual investors’ solutions sector offers over 100 mutual funds, a 529 College Savings Plan, individual retirement accounts, asset allocation and alternative investments. The firm also operates a web site for kids, teens, parents and teachers, YoungInvestor.com, which is designed to educate young people about investing, budgeting and earning money. The firm also publishes weekly market commentaries and monthly economic and market outlook presentations to inform its clients. Columbia Management Advisors, the company’s primary subsidiary, is an investment advisor that operates through six subsidiaries of its own. Columbia Funds are distributed by Columbia Management Distributors, Inc. In September 2009, Bank of America announced plans to sell most of the Columbia Management business units to Ameriprise Financial, Inc.

BRANDS/DIVISIONS/AFFILIATES: Ameriprise Financial Inc Columbia Management Advisors LLC Columbia Management Distributors, Inc. Columbia Funds YoungInvestor.com

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Michael A. Jones, Pres. Michael Pelzar, Managing Dir./Head-Prod. Mgmt. Beth Ann Brown, Head-Strategic Partnering & Planning Colin Moore, Chief Investment Officer Beth Ann Brown, Managing Dir./Head-Intermediary Dist. Charles P. McQuaid, Head-Active Equity Investments J. Kevin Connaughton, Managing Dir./Head-Mutual Funds Jeffrey F. Peters, Managing Dir./Head-Global Institutional Dist.

Phone: Fax: Toll-Free: 800-322-2847 Address: 100 Federal St., Boston, MA 02110 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company: AMERIPRISE FINANCIAL INC




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

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Northeast: Y

International:



COMMERZBANK AG

www.commerzbank.com


Y Y



Y

Profits: 10



Y



TYPES OF BUSINESS: Banking Business Finance Online Brokerage Asset Management Real Estate Banking Investment Banking IT Services Securities

Commerzbank AG is one of Germany’s largest banks providing retail banking, corporate and institutional banking, and real estate and investment banking services. The company’s primary focus is on private and business customers, with 14.5 million private and corporate customers worldwide. The company’s domestic operations serves its 3.9 million private customers through a network of approximately 800 branches in Germany, Commerzbank Telephone Banking and its commerzbank.com online brokerage unit. The company’s retail banking and asset management division offers private banking and retail banking, asset management and credit services. The corporate and investment banking division serves export driven small and medium enterprises, financial institutions and multinational corporations, offering corporate banking, global credit operations, real estate and securities services. Through its subsidiaries, Commerz Real, Deutsche Schiffsbank and Eurohypo, the firm offers professional real estate, public finance and ship financing products and services. Commerzbank provides global operations with investment banking, IT development, IT investment banking, IT production, IT support and transaction banking. Internationally, Commerzbank has a presence in more than 40 countries. In Asia, it operates through Commerz (East Asia) Ltd., Hong Kong. In May 2009, Commerzbank merged with another leading German bank, Dresdner Bank AG, which was formerly owned by Allianz SE. Allianz is now the largest shareholder in Commerzbank. All Dresdner Bank branches will operate under the Commerzbank name by mid2010. In October 2009, the sale of Commerzbank (Switzerland) was completed.

BRANDS/DIVISIONS/AFFILIATES: Commerz Real Deutsche Schiffsbank Eurohypo commerzbank.com Commerz (East Asia) Ltd Hong Kong Dresdner Bank Commerzbank Telephone Banking

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Martin Blessing, Chmn.-Managing Board Frank Annuscheit, COO Eric Strutz, CFO Ulrich Sieber, Dir.-Human Resources Frank Annuscheit, CIO Stefan Schmittman, Chief Risk Officer Jochen Kloesges, Head-Real Estate & Public Finance Klaus-Peter Muller, Chmn.-Supervisory Board Achim Kassow, Head-Central & Eastern Europe

Phone: 49-69-136-20 Fax: 49-69-28-53-89 Toll-Free: Address: Kaiserplatz, Frankfurt am Main, D-60261 Germany

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: CRZBF 2008 Sales: $34,776,000 2008 Profits: $4,287,000 Int’l Ticker: CBK Int’l Exchange: Frankfurt-Euronext 2007 Sales: $39,980,000 2007 Profits: $2,800,000 Employees: 2006 Sales: $29,400,000 2006 Profits: $2,000,000 Fiscal Year Ends: 12/31 2005 Sales: $20,721,000 2005 Profits: $1,447,600 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



COMMONWEALTH BANK OF AUSTRALIA Industry Group Code: 522110 Ranks within this company's industry group: Sales: 36 Brokers/Stocks: Broker: Investment Bank: Futures/Options:

Y Y


Y


Y Y

www.commbank.com.au

Profits: 18



Y



TYPES OF BUSINESS: Banking Trust Services Consumer Loans Business Finance Credit Cards Online Banking & Brokering Investment & Insurance Products & Services Asset Management Services

Commonwealth Bank of Australia (CBA) is one of Australia’s leading financial institutions. The firm provides banking and insurance products to corporate, business and retail customers in Asia, New Zealand and Fiji. The company’s retail banking services include home loans, credit cards, personal loans, transaction accounts, retail deposit accounts and discount stockbrokerage. CBA also offers a full range of commercial products including business loans, equipment and trade finance, and rural/agribusiness products. The business and private banking division serves corporations, small businesses, government entities and other major institutions. It provides corporate customers with financial market services; securities underwriting; trading and distribution; corporate finance; equities; payments and transaction services; investment management; and custody services. The division includes online broker CommSec. CBA’s wealth management segment brings together the firm’s funds management, master funds, superannuation and insurance businesses. These include Colonial First State, Commonwealth Investment Management, Colonial Insurance, CommInsure and third-party support services for brokers, agents and financial advisers under existing brands. The international financial services division serves the Asia Pacific region, operating retail banking branches in New Zealand, Fiji and Indonesia and expanding its presence in China and India. The company’s institutional banking and markets segment services CBA’s major institutional, corporate and government clients; it offers financial risk management, debt/equity capital raising and transactional banking capabilities. In addition, this division maintains wholesale operations in Singapore, Japan, New Zealand, Hong Kong, the U.K. and the U.S. In addition to CommSec, the company operates an online banking service called NetBank. In December 2008, CBA acquired Bank of Western Australia Limited and St. Andrews Australia Pty Ltd.; and agreed to acquire up to $4 billion of the originated home loans of Wizard. In 2009, the company launched several new services, including the Small Business Investment Package, mobile phone banking and the Indigenous Customer Assistance Line program.

BRANDS/DIVISIONS/AFFILIATES: Colonial First State St. Andrews Australia Pty Ltd Colonial Insurance CommInsure NetBank CommSec Bank of Western Australia Limited Indigenous Customer Assistance Line

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Ralph Norris, CEO David Craig, CFO Barbara Chapman, Group Exec.-Human Resources Michael Harte, CIO David Cohen, General Counsel Annabel Spring, Group Head-Strategy Bryan Fitzgerald, Head-Corp. Comm. Alden Toevs, Group Chief Risk Officer Grahame Petersen, Group Exec.-Wealth Management Ross McEwan, Group Exec.-Retail Banking Svcs. Barbara Chapman, Group Exec.-Group Svcs. John M. Schubert, Chmn. Simon Blair, Group Exec.-Int'l Financial Svcs.

Phone: 61-2-9378-2000 Fax: 61-2-9378-2344 Toll-Free: Address: 48 Martin Place, Level 7, Sydney, NSW 1155 Australia

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: CBAUF 2008 Sales: $8,689,400 2008 Profits: $2,922,500 Int’l Ticker: CBA Int’l Exchange: Sydney-ASX 2007 Sales: $8,472,300 2007 Profits: $2,726,700 Employees: 39,621 2006 Sales: $7,843,400 2006 Profits: $2,396,100 Fiscal Year Ends: 6/30 2005 Sales: $8,582,700 2005 Profits: $2,074,000 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


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International: Y



COMPASS DIVERSIFIED HOLDINGS

codi.client.shareholder.com



Y


Profits: 3






Compass Diversified Holdings, formerly Compass Diversified Trust, acquires and manages U.S.-based small and mediumsized companies. The company acquires controlling interests in businesses operating in industries with long-term macroeconomic growth opportunities, with stable cash flows, with diversified customer and supplier bases, with minimal threats of technological or product obsolescence and with strong management teams. The firm offers its investors diversified portfolio risk and ownership of companies traditionally owned by private equity firms, wealthy individuals and families. For the companies it purchases, Compass provides strategic and financial support. The firm owns controlling interests in the following companies: Staffmark (formerly CBS Personnel Holdings, Inc., Venturi Staffing and Staffmark), a staffing solutions company; Advanced Circuits/Compass AC Holdings, Inc., a rigid printed circuit boards (PCBs) manufacturer; Anodyne Medical Device, Inc., a manufacturer of medical support surfaces; Halo Branded Solutions, Inc. (also called HALO Lee Wayne LLC), a customized promotional products distributor; American Furniture Manufacturing, Inc., a manufacturer of upholstered furniture; and Fox Factory, Inc., a manufacturer of mountain bike suspension products. Fox Factory was acquired in January 2008. Also in January 2008, subsidiary CBS Personnel Holdings acquired Staffmark Investment LLC. In April 2008, HALO Lee Wayne acquired Goldman Promotions, a promotional products distributor. In June 2008, the firm sold Aeroglide Holdings, Inc. and Silvue Technologies Group, Inc. In November 2008, HALO Lee Wayne acquired the promotional products distributor business of ESKCO, Inc. In February 2009, CBS Personnel Holdings, Inc., Venturi Staffing and Staffmark were combined under the Staffmark brand. In March 2009, HALO Wane Lee acquired the Advertising Novelties Company, a promotional products distributor. In June 2009, Advanced Circuits acquired Circuit Board Express, Inc., a PCB manufacturer.

BRANDS/DIVISIONS/AFFILIATES: CBS Personnel Holdings, Inc. Advanced Circuits/Compass AC Holdings, Inc. Anodyne Medical Device, Inc Halo Holdings American Furniture Manufacturing, Inc. Fox Factory, Inc. HALO Lee Wayne LLC Staffmark

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Joseph Massoud, CEO James J. Bottiglieri, CFO C. Sean Day, Chmn.

Phone: 203-221-1703 Fax: Toll-Free: Address: 61 Wilton Rd., 2nd Fl., Westport, CT 06880 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: CODI 2008 Sales: $1,538,473 2008 Profits: $78,294 Int’l Ticker: Int’l Exchange: 2007 Sales: $841,791 2007 Profits: $40,368 Employees: 237 2006 Sales: $395,173 2006 Profits: $-19,249 Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company:




Profit Sharing:


Bonus: $225,000 Bonus: $


Southwest:

Midwest:

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Northeast: Y

International:



CONSECO INC

www.conseco.com



Y


Y

Profits: 1





TYPES OF BUSINESS: Insurance-Supplemental & Specialty Health Retirement Annuities Life Insurance Health Insurance Investment Management

Conseco, Inc. is a financial services holding company that develops, markets and administers annuity, individual health insurance and individual life insurance products. The company, which focuses on serving the senior and middleincome markets, divides its operations into three primary business segments: Bankers Life, Colonial Penn and Conseco Insurance Group. Bankers Life consists of the Bankers Life and Casualty Company, which markets and distributes Medicare supplement insurance, life insurance, long-term care insurance and fixed annuities through approximately 5,500 agents and sales managers. Colonial Penn, which consists of Colonial Penn Life Insurance Company markets graded benefit and simplified issue life insurance to consumers through television advertising, direct mail, the Internet and telemarketing. Conseco Insurance Group markets and distributes specified disease insurance, Medicare supplement insurance and life and annuity products to the senior and middle-income markets through more than 400 independent marketing organizations that represent 2,400 independent agents. This segment includes Washington National Insurance Company, providing dental, disability, major medical and long-term care insurance and Conseco Life Insurance Company, providing term and universal life insurance. Other non-insurance subsidiaries include 40/86 Advisors, Inc., an investment management services company and Conseco Services, LLC, which provides administrative services. In February 2009, Colonial Penn Life Insurance Company launched EZIssueLife.com, a web site that allows consumers to apply for life insurance online, and provides quotes for many products at once, and offers a health questionnaire in lieu of requiring a medical exam. Employees are offered medical, dental and vision insurance; flexible spending accounts; an employee assistance program; a 401(k) plan; life insurance; disability coverage; and tuition reimbursement.

BRANDS/DIVISIONS/AFFILIATES: Bankers Life & Casualty Company Colonial Penn Life Insurance Company Conseco Insurance Group 40/86 Advisors, Inc. Conseco Services, LLC Washington National Insurance Company Conseco Life Insurance Company EZIssueLife.com

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. C. James Prieur, CEO Edward J. Bonach, CFO/Exec. VP Susan L. Menzel, Exec. VP-Human Resources Russell M. Bostick, Exec. VP-Tech. Christopher J. Nickele, Exec. VP-Prod. Mgmt. Matthew J. Zimpfer, General Counsel/Exec. VP Russell M. Bostick, Exec. VP-Oper. John R. Kline, Chief Acct. Officer/Sr. VP Eric R. Johnson, Pres., 40/86 Advisors, Inc. Steven M. Stecher, Pres., Conseco Insurance Scott R. Perry, COO-Bankers Life & Casualty Christopher J. Foote, VP-Asset-Liability Mgmt. R. Glenn Hilliard, Chmn.

Phone: 317-817-6100 Fax: 317-817-2847 Toll-Free: Address: 11825 N. Pennsylvania St., Carmel, IN 46032 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: CNO 2008 Sales: $4,131,300 2008 Profits: $-1,126,700 Int’l Ticker: Int’l Exchange: 2007 Sales: $4,572,300 2007 Profits: $-179,900 Employees: 3,700 2006 Sales: $4,467,400 2006 Profits: $106,000 Fiscal Year Ends: 12/31 2005 Sales: $4,326,500 2005 Profits: $324,900 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $141,223


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International:



CORTAL CONSORS SA

www.cortalconsors.de


Y



Y

Profits:



Y



TYPES OF BUSINESS: Online Stock Brokerage Credit Cards Wealth Management Life Insurance

Cortal Consors S.A., based in Germany, is one of the largest online brokers in Europe, with more than $26 billion in assets under management, including approximately $19 billion in open-ended funds, and operating subsidiaries in Belgium, Luxembourg, Italy, France and Spain. The company was formed from the merger of French bank BNP Paribas subsidiary Cortal with Consors Discount-Broker AG, which BNP Paribas acquired. In addition to comprehensive online brokerage services, Cortal Consors and its subsidiaries offer a range of investment products and wealth management services, including more than 7,000 mutual funds. The firm also issues its own credit card, allowing customers to make purchases and cash withdrawals worldwide, as well as a selection of life insurance policies. Cortal Consors’ parent, BNP Paribas, is one of the largest banks in France and offers corporate and investment banking, retail banking and asset management.

BRANDS/DIVISIONS/AFFILIATES: BNP Paribas Cortal Consors Discount Broker AG

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Olivier Le Grand, CEO Jean-Philippe Huguet, Co-COO Franz Baur, CIO/Co-COO Jean-Philippe Huguet, Corp. Sec.

Phone: 49-911-369-0 Fax: 49-911-369-1000 Toll-Free: Address: Bahnhofstrasse 55, Nuremberg, D-90402 Germany

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company: BNP PARIBAS




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

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Northeast:

International: Y



COWEN GROUP INC

www.cowen.com


Y


Y Y


Y

Profits: 23





TYPES OF BUSINESS: Investment Banking Advisory Services Capital Raising Company Research Institutional Sales & Trading Hedge Fund Fund of Funds

Cowen Group, Inc. is an investment bank dedicated to providing research, brokerage and investment banking services to companies and institutional investor clients primarily in the healthcare, technology, media and telecommunications, consumer, aerospace and defense and alternative energy sectors. The firm comprises two business units: Cowen and Company, LLC, which controls the company’s investment banking franchise, research and brokerage capabilities, and Ramius, which operates the alternative investment management business. The company provides research and brokerage services to clients seeking to trade equity-linked securities. Its investment banking efforts, principally equity and equity-linked capital raising and strategic advisory services, are focused on small to midcapitalization public and private companies. It also offers traditional and alternative asset management services to institutional and other accredited investors. Cowen’s traditional asset management business in the U.S. is conducted by Cowen Asset Management, LLC (CAM US) and in the U.K. by Cowen Asset Management Limited (CAM UK). Its alternative asset management business consists of Cowen Healthcare Royalty Partners (CHRP), which invests mainly in commercial-stage biopharmaceutical products and companies through the purchase of royalty or synthetic royalty interests and structured debt and equity instruments, and Cowen Capital Partners, LLC, which manages a portfolio of middle market private equity investments for third party investors. Other subsidiaries include Cowen International Limited, Cowen Latitude advisors Limited and Cowen Funds plc. The company expanded its investment banking offerings in October 2009 with the launch of its Financial Institutions Group. In November 2009, Cowen Group and Ramius LLC, a privately owned global alternative investment firm, announced the completion of their merger.

BRANDS/DIVISIONS/AFFILIATES: Cowen & Company LLC Cowen International Limited Cowen Asset Management, LLC Cowen Asset Management Limited Ramius LLC Cowen Latitude Advisors Limited Cowen Funds p.l.c.

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. David M. Malcolm, CEO Thomas K. Conner, CFO William H. Dibble, Head-Human Resources Christopher A. White, Chief Admin. Officer J. Kevin McCarthy, General Counsel Mark A. Egert, Chief Compliance Officer Julie J. Levenson, Head/Managing Dir.-Private Equity Group John E. Toffolon, Jr., Chmn.

Phone: 646-562-1000 Fax: Toll-Free: 800-221-5616 Address: 1221 Ave. of the Americas, New York, NY 10020 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: COWN 2008 Sales: $217,324 2008 Profits: $-72,154 Int’l Ticker: Int’l Exchange: 2007 Sales: $261,569 2007 Profits: $-11,321 Employees: 449 2006 Sales: $344,967 2006 Profits: $37,911 Fiscal Year Ends: 12/31 2005 Sales: $294,300 2005 Profits: $12,100 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast:


Northeast: Y

International: Y



CREDIT AGRICOLE SA

www.credit-agricole-sa.fr


Y


Y Y Y


Y

Profits: 25



Y



TYPES OF BUSINESS: Banking Asset Management Property & Casualty Insurance Private Label Credit Cards Investment Banking Consumer Loans Business Financing & Leasing

Credit Agricole S.A. is the one of the largest banking networks in France and with international operations in Europe, Africa, the Middle East and Latin America. It is organized into six business lines: French retail banking; international retail banking; specialized financial services; insurance; asset management and private banking; and corporate and investment banking. The French retail banking line consists of the company’s primary banking subsidiaries Credit Agricole, S.A. and LCL Credit Lyonnais. Between the two, the company operates more than 9,000 branches serving about 22 million customers. The banks offer deposits and savings, equity, bond and mutual fund investments, life insurance, mortgage and consumer lending, payment systems and property and casualty insurance. The international retail banking segment offers retail banking services through in Italy, Greece, Serbia, Morocco, the Congo, Egypt and Chile, as well as approximately 40 other countries with over 2,400 branches. The specialized financial services segment comprises three business areas: consumer credit, lease finance and factoring. Service offerings provided by this segment include insurance options, repayment loans, private label credit cards and revolving credit services. The insurance segment operates primarily through Predica, Credit Agricole’s life insurance subsidiary. Through the asset management and private banking segment, the company provides investment products and asset allocation services through its subsidiary, Credit Agricole Asset Management. The corporate and investment banking section offers capital markets, investment banking, foreign exchange, commodities, derivatives loan syndication and cash management services. In September 2009, the Meridian Banka, located in Novi-Sad, Serbia and a member of French Credit Aricole, changed its name to Credit Agricole Serbia and agreed to support the government’s program that subsidizes housing loans.

BRANDS/DIVISIONS/AFFILIATES: Credit Agricole, S.A. LCL Credit Lyonnais Credit Agricole Asset Management Calyon Financial Predica

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Georges Pauget, CEO Bertrand Badre, CFO Laurence Lebrun-Renoult, Deputy CEO-Regional Banks & Mktg. Marie-Christine Dumonal, Head-Human Resources Gilles Grapinet, Head-Strategy Jacques Lenormand, Head-Finance Jacques Lenormand, Deputy CEO-Finance & Strategy Deputy CEO, Deputy CEO-Specialized Bus. Lines Jean-Yves Hocher, Deputy CEO-Dev. Regional Banks Bernard Mary, Deputy CEO-Retail Banking France & Int'l Rene Carron, Chmn. Mohammed Agoumi, Head-Int'l Dev.

Phone: 33-1-43-23-52-02 Fax: 33-1-43-23-34-48 Toll-Free: Address: 91-93 Blvd. Pasteur, Paris, 75015 France

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: CRARF.PK 2008 Sales: $103,582,000 2008 Profits: $1,499,000 Int’l Ticker: ACA Int’l Exchange: Paris-Euronext 2007 Sales: $138,154,600 2007 Profits: $8,171,500 Employees: 2006 Sales: $128,480,000 2006 Profits: $7,434,610 Fiscal Year Ends: 12/31 2005 Sales: $110,764,600 2005 Profits: $7,434,300 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

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Northeast: Y

International: Y



CREDIT SUISSE (USA)

www.credit-suisse.com


Y Y


Y Y


Y Y Y

Profits:



Y Y



TYPES OF BUSINESS: Investment Banking Transaction Banking Stock Brokerage Venture Capital Financial Consulting & Research Insurance Investment Products Asset Management

Credit Suisse U.S.A., (formerly Credit Suisse First Boston or CSFB) is a leading integrated investment and merchant bank serving institutional, corporate, government and individual clients. The company is a subsidiary of the Swiss-based Credit Suisse Group. The firm operates in more than 50 countries across the globe, with major hubs in New York, London, Zurich, Geneva, Paris, Hong Kong, Singapore, Tokyo, Sydney and Sao Paulo. The company is organized into three major operating divisions: Private banking; investment banking; and asset management. The private banking division provides a range of advice and investment services to clients, including equities, structured products, alternative investments, managed accounts and lending. The section also supplies insurance review and wealth planning. The investment banking division provides corporations with services relating to mergers and acquisitions; capital raising; equity and debt capital markets; foreign exchange capital markets; derivatives; and other functions of finance. The asset management division is geared towards administering portfolios, mutual funds and other investments for a variety of clients, such as individuals, governments, institutions and corporations. The investment strategies are tailored towards meeting specified goals. It helps to provide expertise for fundraising; regional and sector strategies; buyouts; and secondary investing. The company conducts part of its operations through 12 boutique businesses staffed by investment professionals.

BRANDS/DIVISIONS/AFFILIATES: Credit Suisse Group Credit Suisse First Boston CSFB

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Robert Shafir, CEO Urs Rohner, COO Paul O'Keefe, CFO David Walker, Head-Corp. Comm. Paul O'Keefe, Chief Acct. Officer Paul Simmons, Co Head-Private Banking USA Peter Skoglund, Co Head-Private Banking USA Robert Shafir, CEO-Asset Management

Phone: 212-325-2000 Fax: 212-325-6665 Toll-Free: Address: 11 Madison Ave., New York, NY 10010 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $7,025,000 2005 Profits: $127,000 Parent Company: CREDIT SUISSE GROUP




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



CREDIT SUISSE ASSET MANAGEMENT

www.credit-

suisse.com/us/asset_management/en Industry Group Code: 523920 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y Y


Y

Profits:


Y





Credit Suisse Asset Management (CSAM) is the asset management division of Credit Suisse Group. CSAM is a leading investment management company in 23 countries. The company offers products including equities; fixed income and multiple-asset class products; and alternative investment products including real estate, hedge funds, private equity and volatility management through proprietary and third-party distribution channels. The company has more than $392 billion in assets under management. The firm serves individual investors as well as institutional investors; it has investment professionals located in Zurich, New York, Los Angeles, London, Frankfurt, Hong Kong, Singapore, Mumbai, Tokyo and Sydney. CSAM manages portfolios, mutual funds and other investment vehicles for governments, institutions, corporations and private individuals. Based in New York, the firm’s other main offices are located in Sydney, Tokyo, London and Zurich. Company’s Multi Asset Class Solutions platform focuses on the development and implementation of investment allocation strategies across asset classes for both institutional and private clients. The platform offers products that combine traditional investments, such as cash, bonds, and equities with non-traditional investments such as alternative investments, commodities, and real estate. In july 2009, Credit Suisse Group sold the majority of CSAM’s Global Investors traditional asset management operations in the U.S., Europe and Asia-Pacific to Aberdeen Asset Management in exchange for 23.9% ownership of Aberdeen. Also in July 2009, CSAM formed a hedge fund related strategic alliance with Reservoir Capital Group, and it agreed to sell its Czech Republic traditional asset management operations to WOOD & Company.

BRANDS/DIVISIONS/AFFILIATES: Credit Suisse Group Multi Asset Class Solutions

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Robert S. Shafir, CEO Gerhard Fusenig, Co-COO Alastair J. Cairns, Head-Prod. Dev. Roger M. Machlis, General Counsel Alastair J. Cairns, Head-Strategy Victoria L. Harmon, Head-Corp. Comm. Nicole S. Arnaboldi, Head-Illiquid Alternatives Daniel Brupbacher, Head-Switzerland George R. Hornig, Co-COO/Head-Americas Daniel Brupbacher, Head-Multi Asset Class Solutions Gerhard Fusenig, Head-EMEA Mark A. Bourgeois, Head-Global Dist.

Phone: 212-325-2000 Fax: 212-325-6665 Toll-Free: 800-577-2321 Address: 11 Madison Ave., New York, NY 10010 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company: CREDIT SUISSE GROUP




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



CREDIT SUISSE GROUP

www.credit-suisse.com


Y Y


Y Y Y


Y Y

Profits: 45



Y



TYPES OF BUSINESS: Investment Banking Wealth Management Private Banking Financial Advisory Services Asset Management Retail Banking (Switzerland)

Credit Suisse Group is one of the world’s leading financial services companies. The firm is active in more than 50 countries worldwide, with a strong presence Europe and North America as well as such emerging markets as Brazil, China, the Middle East and Russia. Credit Suisse is organized into three segments: Private Banking, Investment Banking and Asset Management. The Private Banking segment has three divisions: private banking; wealth management; and corporate and retail banking. The private banking division provides banking and investment services for high net worth clients around the world. The wealth management division focuses on its international clients via a network of relationship managers and utilizes a range of online services. The corporate and retail banking division serves business and retail banking clients through its branches as well as contact centers and Direct Net, the firm’s online banking format. The Investment Banking segment offers investment banking and securities products and services to corporate, institutional and government clients. Its offerings include debt and equity underwriting; sales and trading; mergers and acquisitions advice; divestitures; corporate sales; and restructuring and investment research. The Asset Management segment is organized into three divisions: global investors, which monitors equity and fixed income investments; multi-asset class solutions, which focuses on active asset allocation strategies and asset solutions; and alternative investments, which offers private equity, real estate, single and multimanager hedge funds among other alternative investment strategies. Credit Suisse offers a Young Talents employee recruitment and training program for recent high school and university graduates.

BRANDS/DIVISIONS/AFFILIATES: Credit Suisse Young Talents

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Brady W. Dougan, CEO Urs Rohner, COO Renato Fassbind, CFO Pierre Schreiber, Corp. Sec. Urs Rohner, Vice Chmn. Tobias Guldimann, Chief Risk Officer Walter Berchtold, CEO-Private Banking Credit Suisse Beatrice Fischer, Corp. Sec. Hans-Ulrich Doerig, Chmn.

Phone: 41-44-212-16-16 Fax: 41-44-333-25-87 Toll-Free: Address: Paradeplatz 8, Zurich, 8070 Switzerland

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: CS 2008 Sales: $45,296,000 2008 Profits: $-7,594,000 Int’l Ticker: CSGN Int’l Exchange: Zurich-SWX 2007 Sales: $83,720,000 2007 Profits: $7,530,000 Employees: 2006 Sales: $67,532,100 2006 Profits: $9,293,800 Fiscal Year Ends: 12/31 2005 Sales: $68,392,913 2005 Profits: $4,447,170 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



DAI-ICHI MUTUAL LIFE INSURANCE COMPANYwww.dai-ichi-life.co.jp Industry Group Code: 524113 Ranks within this company's industry group: Sales: 5 Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y Y Y


Y

Profits: 4





TYPES OF BUSINESS: Life Insurance Group Life Health Insurance Pension Products Risk Management Asset Management

Dai-Ichi Mutual Life Insurance Company is one of the leading insurers in Japan and ranks among the world's largest insurance firms. It provides group and individual life insurance, pension products and asset and risk management services. Dai-Ichi offers a number of life and medical plans including its low-premium Dodo Jinsei (Dignified Life) series and Shiawase Monogatari (Happy Story), a defined benefit annuity product, as well as plans aimed at helping customers build savings for future educational costs. Other plans include Ino Ichiban (Medical First), a comprehensive medical insurance plan; Iryo no Odo (Medical Mainstream), a lifetime medical insurance plan for seniors; Shuyaku Sengen, a medical care insurance plan aimed at men aged 45 and over; and Watashi no Hanamichi, a medical insurance plan for women. The company’s investment division operates on what it terms an asset liability management (ALM) approach, a system for controlling operating assets and liabilities in terms of long-term performance. As a result, the firm’s investment portfolio has traditionally been heavily rooted in domestic bonds and loans, though efforts have also been made to increase profits by adding in certain stocks and foreign securities. Dai-Ichi also provides non-life insurance through Sompo Japan Insurance, Inc. and cancer insurance through a partnership with American Family Life Assurance Company of Columbus (AFLAC). In August 2008, the company acquired an approximately 30% stake in Tower Australia Group Limited, as well as a 25% stake in Ocean Life Insurance Co. In January 2009, the firm announced the launch of a new joint venture life insurance company in India, Star Union Dai-Ichi Life Insurance Company Limited. The company has announced its intent to demutualize and go public during the first half of 2010.

BRANDS/DIVISIONS/AFFILIATES: Sompo Japan Insurance, Inc. Dai-Ichi Frontier Life Insurance Co. Ltd. Tower Australia Group Limited Ocean Life Insurance Co. Star Union Dai-Ichi Life Insurance Company Limited

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Katsutoshi Saito, Pres. Kimio Oiso, Sr. Managing Exec. Officer Hideto Masaki, Sr. Managing Exec. Officer Shinsuke Kume, Sr. Managing Exec. Officer Koichiro Watanabe, Sr. Managing Exec. Officer Tomijiro Morita, Chmn. Toshiya Kaname, Pres., Dai-Ichi Life Int'l (USA)

Phone: 81-3-3216-1211 Fax: 81-3-5221-4360 Toll-Free: Address: 13-1, Yurakucho 1-chome, Chiyoda-ku, Tokyo, 1008411 Japan

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $57,982,600 2009 Profits: $2,243,990 U.S. Stock Ticker: Mutual Company 2008 Sales: $45,438,000 2008 Profits: $1,309,000 Int’l Ticker: Int’l Exchange: 2007 Sales: $39,776,000 2007 Profits: $1,498,000 Employees: 52,756 2006 Sales: $40,882,400 2006 Profits: $1,196,520 Fiscal Year Ends: 3/31 2005 Sales: $44,436,800 2005 Profits: $1,300,800 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



DAISHIN SECURITIES CO LTD

www.daishin.co.kr




Profits: 9



Y


Securities Trading Online Trading Software

Daishin Securities Co., Ltd., founded in 1962, is a leading Korean financial services company and securities trader, offering advanced online trading options for individual and corporate clients. Its CYBOS brand online trading software, among the first products to introduce home trading to Korea, comes in five different varieties. CYBOS Trader features a customizable framework and multiple data analyzing and display programs to aid the investor in devising an investment strategy. U-CYBOS is a user-friendly version of CYBOS that does not have as many customizable options as the Trader variation, but does provide custom-made investment information supplied through Daishin. CYBOS Oneclick Pro is a streamlined version of the CYBOS program, featuring a minimal graphical interface and fewer analytical options. CYBOS I is another mini CYBOS program, similar to the Oneclick version. CYBOS Plus is a programming framework that enables further customization of the U-CYBOS package, allowing the customer to create and utilize a program that follows their own investment style. The company is expanding its CYBOS market slowly through export contracts with other companies in Taiwan, Japan and China. Daishin provides daily reports on the stock market, as well as what it calls a morning meeting brief, company and sector overviews and a market strategy report, all available for free on its web site. The company also provides other services, such as working with insurance and credit card agencies and operating as an investment banker; however, its online activities still account for most of its trading. In May 2008, the firm opened a representative office in Shanghai, China. In February 2009, a new company subsidiary, Daishin Securities Asia (Hong Kong) Limited, launched its operations.

BRANDS/DIVISIONS/AFFILIATES: CYBOS Trader U-CYBOS CYBOS Oneclick Pro CYBOS I CYBOS Plus Daishin Securities Asia (Hong Kong) Limited

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Chung-Nam Roh, CEO Chung-Nam Roh, Pres. Hee-Jin Koo, Exec. Managing Dir.-Research Center Byung-Chuel Kim, Managing Dir.-IT Group Young-Un Kim, Exec. Managing Dir.-Admin. Support Group Yong-Hyun Cho, Exec. Managing Dir.-Planning Group Hong-Seok Yang, Deputy Pres. Jai-Chel Na, Exec. Managing Dir.-Wholesale Group Joseph S.D. Yu, Exec. Managing Dir.-Capital Market Group Hong-Jae Im, Exec. Managing Dir.-Investment Banking Group Auh-Ryung Lee, Chmn.

Phone: 82-2-769-2000 Fax: 82-2-769-2955 Toll-Free: Address: 34-8 Youido-Dong, Youngdungpo-ku, Seoul, 150-010 Korea

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $2,304,940 2009 Profits: $88,520 U.S. Stock Ticker: 2008 Sales: $2,227,660 2008 Profits: $152,460 Int’l Ticker: 003540 Int’l Exchange: Seoul-KRX 2007 Sales: $843,110 2007 Profits: $85,720 Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $4,450 2005 Profits: $ Parent Company:



Y


TYPES OF BUSINESS:

Pension Plan: Savings Plan:

Y

Profit Sharing:


Bonus: $ Bonus: $


Southwest:

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International: Y



DAIWA SECURITIES GROUP INC

www.daiwa-grp.jp


Y Y


Y Y Y


Y

Profits: 5


Y


Y Y



TYPES OF BUSINESS: Investment Banking Traditional & Online Brokerage Asset Management Mutual Funds Consulting & Research Venture Capital Investment Trusts

Daiwa Securities Group, Inc. is one of the largest investment companies in Japan. Through its subsidiaries, it is involved in investment banking, equities, fixed income trading and trust management. Subsidiaries include Daiwa Securities Co. Ltd.; Daiwa Securities SMBC Co. Ltd.; Daiwa Asset Management Company; Daiwa SB Investments Ltd.; Daiwa Institute of Research Ltd.; Daiwa Securities Business Center Co. Ltd.; Daiwa Property Co. Ltd.; and Daiwa Securities America Inc. Wholly-owned Daiwa Securities Co., Ltd., with 118 branches and an online brokerage, leads the company’s retail securities business. It mainly serves unlisted companies and individual investors, offering consulting and other financial products and services. Daiwa Securities SMBC Co., Ltd., a joint-venture 40% owned by Sumitomo Mitsui Financial Group (SMFG), is a combination commercial bank and securities firm, one of the only companies in Japan utilizing this hybrid model, offering trading, brokerage, underwriting, securities distribution and related services. It controls two subsidiaries of its own, including Daiwa Securities SMBC Principal Investments Co., Ltd., a private equity firm specializing in venture capital investments. Daiwa Asset Management Co., Ltd. creates and manages investment trusts for a wide array of targets. Daiwa SB Investments Ltd. provides asset management, investor advisory services and investment trusts for SMFG, which owns 44% of Daiwa SB; and the company, which also owns 44%. Wholly-owned Daiwa Institute of Research Ltd. produces and distributes investment research to all of Daiwa Securities Group’s companies. Daiwa Securities Business Center Co., Ltd. handles all of the accounting and back office activities for the Daiwa Securities Group. Daiwa Property Co. Ltd. manages the Group’s property, including retail branch offices, office buildings, company residence halls, and other facilities. In September 2009, the company announced plans to acquire SMFG’s stake in Daiwa Securities SMBC Co. and change its name to Daiwa Securities Capital Markets Co. Ltd.

BRANDS/DIVISIONS/AFFILIATES: Daiwa Securities Co. Ltd. Daiwa Securities SMBC Co. Ltd. Daiwa Asset Management Company Daiwa SB Investments Ltd. Daiwa Institute of Research Ltd. Daiwa Securities Business Center Co. Ltd. Daiwa Property Co. Ltd. Daiwa Securities America, Inc.

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Shigeharu Suzuki, CEO Shin Yoshidome, COO/Pres., Daiwa Securities SMBC Shigeharu Suzuki, Pres. Nobuyuki Iwamoto, CFO/Exec. VP Hiroshi Ota, Pres., Daiwa Institute of Research Ltd. Kazuo Oda, CIO/Sr. Exec. Officer Toshiro Ishibashi, Pres., Daiwa Asset Management Co. Akira Kiyota, Chmn. Masaaki Goto, Chmn./CEO-Daiwa America Corporation

Phone: 81-3-5555-1300 Fax: 81-3-5555-0661 Toll-Free: Address: GranTokyo N. Tower, 9-1, Marunouchi 1-chome, Chiyoda-ku, Tokyo, 100-6751 Japan

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $2,609,160 2009 Profits: $-957,500 U.S. Stock Ticker: DSECY.PK 2008 Sales: $5,428,340 2008 Profits: $522,560 Int’l Ticker: 8601 Int’l Exchange: Tokyo-TSE 2007 Sales: $6,336,190 2007 Profits: $1,044,020 Employees: 2006 Sales: $4,951,000 2006 Profits: $1,196,000 Fiscal Year Ends: 3/31 2005 Sales: $4,828,800 2005 Profits: $489,700 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



DANSKE BANK AKTIESELSKAB

www.danskebank.com


Y Y


Y


Y Y

Profits: 32



Y



TYPES OF BUSINESS: Banking Mortgage Financing Business Finance & Leasing Consumer Loans Equity Sales, Trading & Finance Research Online Banking Services Insurance

Danske Bank Aktieselskab (DBA) is a holding company operating primarily through subsidiary Danske Bank A/S. DBA offers insurance, mortgage finance, asset management, brokerage, real estate and leasing services, serving approximately 5 million customers primarily in Denmark, Norway, Sweden, the U.K. and Ireland. Approximately 2 million customers use the firm's online services. Danske Bank, founded in 1871, has 786 total branches, including 364 in Denmark, 122 in Finland, 56 in Sweden, 51 in Norway, 88 in Northern Ireland, 61 in Ireland and 44 in the Baltic states, comprising Estonia, Latvia and Lithuania. Other subsidiaries include the following. Realkredit Danmark is the group’s mortgage financing marketer. Danica Pension provides life insurance products and pensions, including the customizable investment products Danica Balance and Danica Link, to corporate and private customers. Danske Markets provides comprehensive research on fixed-income and foreign exchange markets. Danske Capital, operating through other members of the Danske Group, offers asset management products and services to institutional clients, businesses and others. Danske Markets Equities provides equity sales, trading and research for institutions. Danske Research produces financial and economic news reports on Scandinavian and foreign markets. Danske Private Equity operates a group of funds in Western Europe and North America. Nordania Leasing leases machinery, equipment and vehicles for the private sector in Scandinavia. Lastly, Danske Ejendomme administers DBA’s property portfolio. In June 2009, the company agreed to take over Swedish facility management firm, Addici Holding AB, from Argan Capital. Employees are offered health insurance; a share purchase program; pension plans; thirty weeks paid maternity leave and 16 weeks paid paternity leave.

BRANDS/DIVISIONS/AFFILIATES: Danske Bank Realkredit Danmark Danica Link Danske Markets Equitie Nordania Leasing Danica Pension Danske Ejendomme Addici Holding AB

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Peter Straarup, CEO Tonny Thierry Andersen, CFO Lars Stensgaard Morch, Head-Human Resources Georg Schubiger, Sr. Exec. VP/Head-Group Bus. Dev. Lars Stensgaard Morch, Head-Comm. Martin Gottlob, Head-Investor Rel. Henrik Normann, Sr. Exec. VP-Danske Bank, Denmark Mads Jacobsen, Sr. Exec. VP Steen Blaafalk, Head-Danske Markets Sven Lystbaek, Head-Shared Service Ctr. Alf Duch-Pedersen, Chmn. Ilkka Hallavo, Head-Sampo Bank, Finland

Phone: 45-33-44-00-00 Fax: 45-70-12-10-80 Toll-Free: Address: Holmens Kanal 2-12, Copenhagen, DK-1092 Denmark

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: DNSKF 2008 Sales: $34,291,000 2008 Profits: $198,000 Int’l Ticker: DANSKE Int’l Exchange: Copenhagen-CSE 2007 Sales: $33,870,000 2007 Profits: $2,900,000 Employees: 2006 Sales: $24,337,500 2006 Profits: $2,280,300 Fiscal Year Ends: 12/31 2005 Sales: $22,336,500 2005 Profits: $2,137,300 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast:

International: Y



DAVIS SELECTED ADVISORS LP

www.davisfunds.com



Y Y


Y

Profits:





TYPES OF BUSINESS: Investment Management/Mutual Funds Annuities

Davis Selected Advisors LP is a private money management firm offering a family of mutual funds to clients worldwide. Davis Selected Advisors offers seven main mutual funds: Davis New York Venture Fund, Davis Financial Fund, Davis Opportunity Fund, Davis Real Estate Fund, Davis Appreciation & Income Fund, Davis Global Fund and the Davis Government Bond Fund. The company provides a government money market fund, as well as a choice of three variable annuities: value, real estate and financial. It also offers separately managed accounts and institutional managed accounts. The New York Venture, Opportunity, Financial and Global funds follow a capital appreciation investment strategy; the Appreciation & Income and Real Estate funds follow both the capital appreciation and income generating strategies; and the Government Bond and Money Market funds follow an income generating strategy.

BRANDS/DIVISIONS/AFFILIATES: Davis New York Venture Fund Davis Financial Fund Davis Opportunity Fund Davis Real Estate Fund Davis Appreciation & Income Fund Davis Government Bond Fund Davis Government Money Market Fund

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Christopher Davis, CEO Ken Eich, COO Andrew Davis, Pres. Gary Paul Tyc, CFO/VP Russel O. Weise, Chief Mktg. Officer Thomas Tays, General Counsel/VP Douglas A. Haines, Principal Finance Officer Sharra L. Haynes, Chief Compliance Officer/VP Anthony Frazia, Co-Chief Compliance Officer Creston A. King, III, Research Analyst Christopher Davis, Chmn.

Phone: 520-806-7600 Fax: 520-434-3719 Toll-Free: 800-279-0279 Address: 2949 E. Elvira Rd., Ste. 101, Tucson, AZ 85706 US

FINANCIALS:





Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest:

Southeast:


Northeast: Y

International:



DE LA RUE PLC

www.delarue.com




Profits: 1



Y Y



TYPES OF BUSINESS: Printing-Financial Documents & Currency Production Anti-Counterfeit Consulting Currency Management Systems & Software Drivers' Licenses, Passports & National Identity Cards Holograms & Security Threads Authentication & Security Labels Revenue & Fiscal Stamps Cash & Coin Handling Equipment

De La Rue plc is one of the largest commercial security printing and papermaking companies in the world, with operations in 18 locations in Africa, Europe, Asia, CIS and North America. The company operates through two divisions: security paper and print; and cash processing solutions. The security paper and print division produces a wide range of security documents, including authentication labels, bonds and bearer securities, certificates of origin, export checks and drafts, drivers’ licenses and issuing systems, holograms, motor vehicle titles, national identity cards and issuing systems, passports and issuing systems, postage, revenue and fiscal stamps, security labels, signature panels, tax discs, travelers' checks, visas, vital records and vouchers. The cash processing solutions division produces over 150 national currencies and approximately one in five of the world’s banknotes. Its currency products and services include anti-counterfeit consulting; banknotes; banknote paper; coins; security threads; and currency management, design and origination services. Its products and services include ATM equipment, teller cash dispensers and recyclers, banknote sorters, cash and coin counters, cash management software and a worldwide customer support network. In 2008, the company sold its cash systems business, excluding banknote sorters, to The Carlyle Group for approximately $623.2 million.

BRANDS/DIVISIONS/AFFILIATES: Camelot Group Solitaire

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. James Hussey, CEO Simon Webb, Dir.-Finance David Williamson, Dir.-Sales Jane van Ammel, Dir.-Human Resources Ed Peppiatt, General Counsel/Corp. Sec. Nicola Bruce, Dir.-Bus. Dev. Mark Fearon, Head-Corp. Affairs Shatish Dasani, Group Financial Controller Tracey Graham, Managing Dir.-Cash Systems Nicholas Brookes, Chmn. Andrew Vaughan, Dir.-Procurement & Supply Chain

Phone: 44-1256-605-000 Fax: 44-1256-605-004 Toll-Free: Address: De La Rue House, Jays Close, Viables, Basingstoke, Hampshire RG22 4BS UK

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $821,270 2009 Profits: $593,400 U.S. Stock Ticker: 2008 Sales: $763,410 2008 Profits: $144,020 Int’l Ticker: DLAR Int’l Exchange: London-LSE 2007 Sales: $1,123,860 2007 Profits: $114,760 Employees: 4,000 2006 Sales: $1,197,200 2006 Profits: $99,800 Fiscal Year Ends: 3/31 2005 Sales: $1,208,400 2005 Profits: $59,900 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



DE SHAW & CO LP

www.deshaw.com



Y


Y

Profits:





TYPES OF BUSINESS: Hedge Fund Investment Management

D. E. Shaw & Co. LP is a global investment and technology development firm and hedge fund manager with approximately $28 billion in assets under management. The company’s investments are managed based on both quantitative strategies, which rely on mathematical models, and qualitative strategies, which rely on human expertise. Recent investments include Infinite Power Solutions Inc. (IPS), a developer of solid-state, rechargeable thin-film batteries; Greatwide Logistics Services, a national provider of transportation and third-party logistics services; and DLF Assets Pvt. The firm has a significant presence in many of the world's capital markets, with offices in New York, San Francisco, Silicon Valley, Bermuda, Los Angeles, Washington, D.C., Houston and Kansas City in the U.S.; and London, Hong Kong, , Gurgaon, Hong Kong, Mumbai and Hyderabad internationally. The firm also operates D. E. Shaw Research, LLC, a technology-focused research firm; and D. E. Shaw Re (Bermuda), Ltd., a Bermuda-based reinsurance company focused on the property catastrophe market. In September 2008, the company formed an assetbacked securities unit. In September 2009, D.E. Shaw & Co. opened a new office in Dubai, India.

BRANDS/DIVISIONS/AFFILIATES: DE Shaw Research LLC DE Shaw Re (Bermuda) Ltd

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Christopher Zaback, CFO/Managing Dir. David E. Shaw, Chief Science Officer Andrew Stark, Mgr.-Tech. Research & Dev. John M. Liftin, General Counsel/Managing Dir. Darren Redhead, Chief Underwriting Officer Charles Ardai, Managing Dir.-D. E. Shaw Tech. Dev., LLC Max Stone, Managing Dir.

Phone: 212-478-0000 Fax: 212-478-0100 Toll-Free: Address: 120 W. 54 St., 39 Fl., New York, NY 10036 US

FINANCIALS:





Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



DEPOSITORY TRUST & CLEARING CORPORATION (THE) www.dtcc.com Industry Group Code: 522320 Ranks within this company's industry group: Sales: 4 Brokers/Stocks: Broker: Investment Bank: Futures/Options:



Profits: 4



Y Y



TYPES OF BUSINESS: Stock Trade Clearing Payment & Transfers Processing Settlements Trade Matching Risk Management Mutual Funds Insurance Transactions Government Securities

The Depository Trust and Clearing Corporation (DTCC), through its subsidiaries, provides infrastructure for clearing, settlement and information services for equities; corporate and municipal bonds; government and mortgage-backed securities; and over-the-counter credit derivatives. In addition, the company is a leading processor of mutual funds and insurance transactions. It also provides custody and asset services for over 3.5 million securities issues from the U.S. and 110 other countries and territories. Subsidiary, National Securities Clearing Corporation (NSCC) processes most of the broker-to-broker equity, corporate and municipal bond trades in the U.S. Other firm subsidiaries include The Depository Trust Company (DTC); Fixed Income Clearing Corporation (FICC); DTCC Deriv/SERV LLC; DTCC Solutions LLC; and European Central Counterparty Ltd. (EuroCCP Ltd). DTC provides securities movements for NSCC's net settlements, and settlement for institutional trades (which typically involve money and securities transfers between custodian banks and broker/dealers), as well as money market instruments. FICC’s government securities division clears, settles and nets a broad range of U.S. government securities transactions. FICC’s mortgagebacked securities division provides real-time automated and trade matching, trade confirmation, risk management, netting and electronic pool notification to the mortgage-backed securities market. DTCC Deriv/SERV provides automated matching confirmation services for over-the-counter derivatives globally. DTCC Solutions LLC, through its Global Corporation Action Validation Service, provides a centralized source of scrubbed information about corporate actions in Europe, Asia-Pacific and the Americas. EuroCCP provides clearing and settlement services for Turquoise, SmartPool and NYSE Arca Europe; it is also the primary European subsidy of the DTCC. Omgeo is a joint venture with Thomas Financial; it provides post-trade and pre-settlement processing, serving 6,000 investment managers, broker/dealers and custodians in over 45 countries. In December 2009, the company introduced its IFT Access, which provides online access for the insurance industry and will help to simplify the selling of insurance products.

BRANDS/DIVISIONS/AFFILIATES: Depository Trust Company, (The) DTCC Solutions LLC Fixed Income Clearing Corporation European Central Counterparty Ltd. Omego LLC DTCC Deriv/SERV LLC National Securities Clearing Corporation ITF Access

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Donald F. Donahue, CEO William B. Aimetti, COO William B. Aimetti, Pres. Ellen F. Levine, CFO Michael C. Bodson, Exec. Managing Dir.-Mktg. & Strategy Vince Hilly, CTO/Managing Dir. Kevin P. Carey, Chief Admin. Officer Larry E. Thompson, General Counsel/Managing Dir. John J. Colangelo, Managing Dir.-Oper. & Quality Jacob Feuchtwanger, Chief Dev. Officer/Managing Dir. Stuart Z. Goldstein, Managing Dir.-Corp. Comm. Ellen F. Levine, Treas. Robert J. McGrail, Exec. Managing Dir.-Int'l & Domestic Core Svcs. Mihal Nahari, Chief Compliance Officer Douglas J. George, Chief Risk Officer/Managing Dir. Trevor Spanner, COO-EuroCCP Donald F. Donahue, Chmn. Diana Chan, CEO-EuroCCP

Phone: 212-855-1000 Fax: 212-855-8440 Toll-Free: 888-382-2721 Address: 55 Water St., New York, NY 10041-0099 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Private 2008 Sales: $1,027,275 2008 Profits: $127,601 Int’l Ticker: Int’l Exchange: 2007 Sales: $706,242 2007 Profits: $4,375 Employees: 2006 Sales: $783,418 2006 Profits: $72,529 Fiscal Year Ends: 12/31 2005 Sales: $1,279,182 2005 Profits: $16,918 Parent Company:




Y

Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



DEUTSCHE BANK AG

www.deutsche-bank.de


Y Y


Y Y Y


Y Y

Profits: 44



Y



TYPES OF BUSINESS: Banking Investment Services Convertible Bonds Trust Services Credit Products Risk Services Asset Securitization Mutual Funds

Deutsche Bank AG, founded in 1870, is one of the world’s leading international financial services providers. The firm serves more than 13 million customers in 72 countries and managing about $3.2 trillion in assets. Deutsche Bank operates in four divisions: corporate and investment banking; private clients and asset management (PCAM); group technology and operations; and corporate investments. The corporate and investment banking division is responsible for the company’s capital markets business; this includes the origination, sales and trading of capital markets products including debt, equity and other securities. Additionally, the division offers corporate advisory, corporate lending and transaction banking services. The PCAM division is comprised of Deutsche Bank's investment management business for private and institutional clients, in addition to its traditional banking activities for private individuals and small and medium-sized businesses. PCAM encompasses two further divisions: asset/wealth management and private/business clients. Deutsche Bank’s group technology and operations division processes transactions; and develops, implements and maintains the firm’s worldwide infrastructure. The final segment handles the company’s corporate investment activities. In July 2008, the firm launched Deutsche Bank (Peru) S.A., its first subsidiary in Peru. In October and November 2008, Deutsche Bank opened offices in Singapore, Ireland and California. In January 2009, the firm opened an office in Switzerland. Also in January 2009, Deutsche Bank and Shanxi Securities Co. Ltd. agreed to form a securities joint venture, Zhong De Securities Company Limited (33.3%-owned by Deutsche Bank). In February 2009, the firm acquired 22.9% of Deutsche Post AG. In February 2009, the company merged Swiss subsidiary Blass & Cie. AG Bankgeschaft into its PCAM operations. In May 2009, Deutsche Bank agreed to acquire the Global Agency Securities Lending operations of Dresdner Bank from Commerzbank AG. In September 2009, the company formed new subsidiary Deutsche Bank DBU in the Ukraine.

BRANDS/DIVISIONS/AFFILIATES: Deutsche Bank (Peru) S.A. Zhong De Securities Company Limited Deutsche Post AG Deutsche Bank DBU

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Josef Ackermann, Chmn.-Group Exec. Committee Hermann-Josef Lamberti, COO Stefan Krause, CFO Hermann-Josef Lamberti, Head-Human Resources Hermann-Josef Lamberti, Head-IT Hermann-Josef Lamberti, Head-Oper., Cost & Infrastructure Mgmt. Josef Ackermann, Head-Corp. Dev. Josef Ackermann, Dir.-Corp. Comm. Hugo Banziger, Chief Risk Officer Jurgen Fitschen, Head-Regional Mgmt. Anshu Jain, Head-Global Markets Rainer Neske, Head-Private & Bus. Clients Clemens Boersig, Chmn. Michael Cohrs, Head-Global Banking Hermann-Josef Lamberti, Head-Purchasing, Building & Facilities Mgmt.

Phone: 49-69-910-00 Fax: 49-69-910-34225 Toll-Free: Address: Theodor-Heuss-Allee 70, Frankfurt am Main, 60486 Germany

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: DB 2008 Sales: $81,360,000 2008 Profits: $-5,613,000 Int’l Ticker: DBK Int’l Exchange: Frankfurt-Euronext 2007 Sales: $130,846,000 2007 Profits: $9,454,000 Employees: 2006 Sales: $101,182,511 2006 Profits: $7,903,316 Fiscal Year Ends: 12/31 2005 Sales: $72,659,400 2005 Profits: $4,179,800 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



DEUTSCHE BORSE AG

www.deutsche-boerse.com




Profits: 1


Y


Y Y



TYPES OF BUSINESS: Stock Exchanges Derivatives Exchange Commodities Exchange Online Services-Stock Trading Clearing Services Financial Information Electronic Exchange Platforms

Deutsche Borse AG, with more than $35 billion in assets, is a major provider of exchange and stock trading services throughout Europe, Asia and the U.S. The company operates through offices in Germany, Luxembourg, Switzerland, Spain, Czech Republic, London, Paris, Moscow, Lisbon, Singapore, Chicago, New York, Tokyo, Beijing, Hong Kong and Dubai, from which it provides products and services that cover the entire securities trading process chain, including securities and derivatives trading, transaction settlement, the provision of market information and the development and operation of electronic trading systems. The company conducts trading primarily on the Eurex, the world’s largest derivatives exchange; operates the Frankfurt Stock Exchange (the largest of Germany’s stock exchanges); and provides market information through the DAX index and the STOXX index (of which it is a majority owner). Clearing services are provided through Deutsche Borse’s Clearstream subsidiary. The firm co-owns the Eurex futures market in conjunction with the Swiss exchange, and is the developer of the electronic cash market trading platform Xetra, which was originally launched on the Frankfurt Stock Exchange and has since been licensed to the Vienna Stock Exchange as well. In November 2009, the company, along with its Swiss partner SIX Group, bought out Dow Jones & Co.’s one-third stake in the STOXX index to become a majority owner. Also in November 2009, the firm purchased Tradegate Exchange GmbH, which is a multilateral trade facility. Deutsche Borse employees receive performance bonuses in addition to their normal salary and are provided with Internetbased training programs and skill management programs to facilitate continuous in-house training.

BRANDS/DIVISIONS/AFFILIATES: Eurex Frankfurt Stock Exchange Vienna Stock Exchange DAX STOXX Clearstream Xetra Tradegate Exchange GmbH

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Reto Francioni, CEO Gregor Pottmeyer, CFO Michael Kuhn, CIO Andreas Preuss, Deputy CEO/Dir.-Derivatives & Market Data Jeffrey Tessler, Dir.-Clearstream Frank Gerstenschlager, Head-Xetra & Eurex

Phone: 49-69-2101-0 Fax: 49-69-2101-2005 Toll-Free: Address: Neue Börsenstr 1, Frankfurt, 60485 Germany

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: 2008 Sales: $3,632,810 2008 Profits: $1,528,970 Int’l Ticker: DB1 Int’l Exchange: Frankfurt-Euronext 2007 Sales: $3,190,000 2007 Profits: $1,330,000 Employees: 2006 Sales: $2,787,500 2006 Profits: $882,200 Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company:




Y Y

Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest: Y

Southeast:


Northeast: Y

International: Y



DEXIA GROUP

www.dexia.com


Y Y


Y


Y Y Y

Profits: 42



Y


Y


TYPES OF BUSINESS: Banking Public Project Financing Credit Enhancement Retail Banking Asset Management Investment Services Insurance

Dexia Group, created by the merger of Credit Local de France and Credit Communal de Belgique, is one of the largest banking groups in Europe. The group serves public organizations, governments, financial institutions, corporations and individuals through four primary lines of business. The company’s public and project finance and credit enhancement line funds public authorities and public service organizations in the form of direct loans, signed commitments, liquidity guarantees or purchases of securities issued by customers. Dexia’s personal financial services division, which includes the operations of DenizBank, offers banking and insurance services to more than six million customers. The firm’s customers include individuals and small to medium-sized businesses, in Belgium, Luxembourg, Slovakia and Turkey. The firm’s investment management and insurance services division provides asset management services, insurance and investment fund administration services in both international and domestic markets. Subsidiary Dexia Asset Management offers financial analysis and research, fund management and financial management for institutions and private investors. RBC Dexia Investor Services offers global custody, fund and pension administration and shareholder services. Through subsidiary Dexia Insurance & Pension Services, the company supplies life insurance products and pension funds throughout Europe. Finally, Dexia’s treasury and financial markets business line provides money market products such as bonds and equity derivatives for customers of commercial businesses. In September 2008, the firm received an emergency capital injection of $9.2 billion from the governments of France, Luxemburg and Belgium in exchange for stock representing about a 50% interest in Dexia. In November 2008, Dexia sold its 49% stake in Kommunalkredit Austria AG and simultaneously acquired all outstanding shares of Dexia Kommunalkredit Bank, making it a wholly-owned subsidiary. In July 2009, the firm sold FSA Holdings Ltd., a finance guaranty business, to Assured Guaranty Ltd., a provider of financial guaranty and credit enhancement products, for $816.5 million.

BRANDS/DIVISIONS/AFFILIATES: Credit Local de France Credit Communal de Belgique DenizBank Financial Services Group Dexia Asset Management RBC Dexia Investor Services Dexia Insurance & Pension Services

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Pierre Mariani, CEO Philippe Rucheton, CFO Veronique Thirion, Dir.-Human Resources Olivier Van Herstraeten, Mgr.-Tax, Legal & Compliance Marc Huybrechts, Dir.-Oper. Alexander Joly, VP-Strategy Benoit Debroise, Dir.-Treasury & Financial Markets Stefaan Decraene, CEO-Dexia Bank Belgium Claude Piret, Chief Risk Officer Pascal Poupelle, Chmn.-Mgmt. Dexia Credit Local Pierre Mariani, Chmn.

Phone: 32-2-213-57-00 Fax: 32-2-213-57-01 Toll-Free: Address: Place Rogier 11, Brussels, 1210 Belgium

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: 2008 Sales: $161,269,000 2008 Profits: $-4,868,000 Int’l Ticker: DX Int’l Exchange: Paris-Euronext 2007 Sales: $140,780,000 2007 Profits: $3,470,000 Employees: 2006 Sales: $95,846,600 2006 Profits: $3,450,300 Fiscal Year Ends: 12/31 2005 Sales: $72,814,300 2005 Profits: $2,532,300 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



DODGE & COX

www.dodgeandcox.com



Y


Y Y Y

Profits:





TYPES OF BUSINESS: Investment Management/Mutual Funds Asset Management Mutual Funds & Mutual Fund Management Traditional & Roth IRAs

Dodge & Cox (D&C) is an asset management company that provides separately managed accounts and mutual funds for individuals, institutions and retirement plans. The company focuses on long-term value investments through its five funds: Dodge & Cox Stock Fund, Dodge & Cox International Stock Fund, Dodge & Cox Income Fund, Dodge & Cox Global Fund and Dodge & Cox Balanced Fund. The Stock Fund, with net assets of $39.9 billion, seeks long-term growth of principal and income through investments in a diversified portfolio of common stock. The International Stock Fund, with $35.3 billion in net assets, invests primarily in a diversified portfolio of equity securities issued by nonU.S. companies from at least three different foreign countries, including emerging markets, with a focus on countries whose economic and political systems appear relatively stable. The Income Fund, with net assets of $17.9 billion, seeks a high and stable rate of current income by investing primarily in a diversified portfolio of high-quality bonds and other fixed income securities. These include U.S. government obligations; mortgage and asset-backed securities; corporate bonds and collateralized mortgage obligations. The Global Stock Fund invests primarily in the equity securities issued by non-U.S. companies that appear to be undervalued; the fund has $718 million in net assets. The Balanced Fund, with net assets of $19 billion, invests no more than 75% of its total assets in stocks, primarily investing in a diversified portfolio of investment grade fixed income securities. D&C also offers traditional and Roth IRAs, which clients then use to invest in its funds.

BRANDS/DIVISIONS/AFFILIATES: Dodge & Cox Stock Fund Dodge & Cox International Stock Fund Dodge & Cox Income Fund Dodge & Cox Balanced Fund Dodge & Cox Global Stock Fund

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. John A. Gunn, CEO Thomas M. Mistele, COO Kenneth E. Olivier, Pres. Thomas M. Mistele, General Counsel/Corp. Sec. John A. Gunn, Chmn.

Phone: 415-981-1710 Fax: 415-986-2924 Toll-Free: 800-621-3979 Address: 555 California St., 40th Fl., San Francisco, CA 941044448 US

FINANCIALS:





Profit Sharing:


Bonus: $ Bonus: $


Southwest:

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Northeast: Y

International:



DOW JONES & CO INC

www.dj.com




Profits:



Y



TYPES OF BUSINESS: Newspaper Publishing-Financial News Business Publishing Community Newspapers Electronic & Online Publishing Financial Indices Financial Information Services

Dow Jones & Co., Inc., a subsidiary of Rupert Murdoch’s News Corp., is a global provider of business and financial news and information. The firm distributes its product through newspapers, newswires, magazines, the Internet, television and radio stations. In addition, the firm owns certain general-interest community newspapers throughout the U.S. Dow Jones operates through three business segments: consumer media, enterprise media and local media. Consumer media, which offers business and financial information content, is comprised primarily of The Wall Street Journal, one of the largest daily U.S. newspapers with an average print circulation of 1.7 million; Barron’s, a weekly magazine that caters to investors and financial professionals (weekly circulation of 310,000); and The Wall Street Journal Digital Network, which includes the web sites MarketWatch.com, Barron’s.com and WSJ.com, serving a combined 34 million monthly viewers. Enterprise media comprises product offerings under the Dow Jones brand and include Dow Jones Newswires, Dow Jones VentureSource and Dow Jones Factiva. Dow Jones Newswires is a provider of real-time business and financial news and is used by roughly 438,000 financial professionals worldwide. Dow Jones VentureSource is a database of over 11,000 private capital firms and more than 43,000 venture-backed firms across the U.S., Israel, China and Europe. Dow Jones Factiva provides worldwide business content to approximately 1.8 million paying subscribers. Local media includes eight general interest daily publications (and their respective web sites) located in six states. The division’s community newspapers serve relatively small, isolated communities through 14 weekly newspapers and over 30 other publications. In 2008, the company acquired Betten Financial News BV and Generate, Inc. In November 2009, Dow Jones agreed to sell its 33.3% share in joint venture STOXX Ltd. to joint venture partners Deutsche Boerse AG and SIX Group. Firm employees receive comprehensive health coverage, a retirement plan and tuition assistance.

BRANDS/DIVISIONS/AFFILIATES: Wall Street Journal (The) Dow Jones VentureSource Dow Jones Newswires News Corporation Limited (The) MarketWatch.com Dow Jones Factiva Betten Financial News BV Generate, Inc.

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Les Hinton, CEO Todd H. Larsen, COO-Consumer Media Group Stephen Daintith, CFO Paul Bascobert, Chief Mktg. Officer-Consumer Media Group Greg Giangrande, Chief Human Resources Officer/Sr. VP Dean Del Vecchio, CIO Dennis Cahill, Sr. VP-Tech., Enterprise Media Group Dennis Cahill, Chief Prod. Officer-Enterprise Media Group Dean Del Vecchio, Chief Admin. Officer Mark H. Jackson, General Counsel/Exec. VP Simon Alterman, Sr. VP-Bus. Dev. & Strategy, Enterprise Media Howard Hoffman, VP-Corp. Affairs Clare Hart, Exec. VP/Pres., Enterprise Media Group William T. Kennedy, COO-Ottawa Local Media Group Ann M. Sarnoff, Pres., Dow Jones Ventures Joseph J. Cantamessa, VP-Corp. Security M. Peter McPherson, Chmn. Kate Dobbin, Dir.-Corp. Comm., Europe

Phone: 212-416-2000 Fax: 212-416-4348 Toll-Free: 800-223-2274 Address: 200 Liberty St., 1 World Financial Ctr., New York, NY 10281 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $1,740,000 2007 Profits: $ Employees: 2006 Sales: $1,783,870 2006 Profits: $386,564 Fiscal Year Ends: 12/31 2005 Sales: $1,672,947 2005 Profits: $60,395 Parent Company: NEWS CORP




Y

Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

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Northeast: Y

International: Y



DRAPER FISHER JURVETSON

www.dfj.com



Y


Y

Profits:





TYPES OF BUSINESS: Venture Capital IT Investments

Draper Fisher Jurvetson (DFJ) is an early stage venture capital firm with more than $6 billion in capital investments. Founded in 1985 in Silicon Valley, the company primarily invests in companies utilizing anything and everything associated with the Internet, including Internet applications, wireless advances, e-commerce, bandwidth improvements, semiconductors, telephony software, networking software and other information technology. DFJ has backed over 600 companies since its founding, including Hotmail, Baidu, Skype, United Online, Overture, iShip.com, Interwoven, Four11, NetZero, Athena Health, Parametric, ViaFone and Digidesign. Other investment areas include nanotechnology, energy (especially alternative energy), hardware and life sciences. Nanotechnology is one of the firm’s newest focus areas; DFJ is currently invested in 16 nanotech companies. Eventually, most of the firm’s investments merge with another company, are acquired or issue an IPO (initial public offering). Some of the most notable buyouts include Hotmail, the free e-mail provider bought by Microsoft in 1995 for $400 million; Skype, an Internet telephony provider bought by eBay in 2006 for $2.3 billion; and Baidu, a Chinese Internet search engine (sometimes called the Google of China), which recently had an IPO that became one of the most successful foreign IPOs in the U.S. market, raising $109 million in its first day of trading. DFJ maintains an affiliate network with over 16 other venture capital firms, allowing teams from multiple companies to work together in analyzing deals and pooling resources to create more investment opportunities. In November 2009, the firm, along with New Cycle Capital and RWE Ventures, invested $12.2 million in Renewable Funding’s Property Assessed Clean Energy (PACE) program. The PACE program is aimed at making solar power less expensive and more available to the general public.


CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Timothy C. Draper, Managing Dir. Mark J. Greenstein, CFO/Managing Dir. Marta Bulaich, Network Associate John H. N. Fisher, Managing Dir. Steve Jurvetson, Managing Dir. Warren J. Packard, Managing Dir. Jennifer S. Fonstad, Managing Dir. Sachin Maheshwari, Principal-India

Phone: 650-233-9000 Fax: 650-233-9233 Toll-Free: Address: 2882 Sand Hill Rd., Ste. 150, Menlo Park, CA 94025 US

FINANCIALS:





Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast:

International: Y



DREYFUS CORPORATION (THE)

www.dreyfus.com



Y Y


Y

Profits:


Y


Y



TYPES OF BUSINESS: Investment Management/Mutual Funds Mutual Funds & Mutual Fund Management Variable & Fixed Annuities

The Dreyfus Corporation, a wholly-owned subsidiary of Bank of New York Mellon Corp. (BNY Mellon), is one of the nation’s leading asset management companies, currently managing roughly $450 billion in approximately 200 mutual funds portfolios nationwide. Its fund products are sold under the Dreyfus Premier Funds (equity and bond funds), Dreyfus Funds (equity and bond funds) and Dreyfus Money Market Funds (retail and general money market funds) brand names. The company’s investment products include load and no-load mutual funds; variable and fixed annuities; IRAs; cash management tools; and separate account management. Its products are sold through numerous distribution channels, including broker-dealers, financial advisors, fund supermarkets and banks. As part of the BNY Mellon Asset Management division, the firm offers clients access to a broad and exclusive worldwide network of asset managers. These independent investment firms include Walter Scott Global Investment Management, Alcentra, Ankura Capital, Fayez Sarofim & Co., Ivy Asset Management Corp., BNY Mellon ARX and BNY Mellon Cash Investment Strategies. In September 2009, The Dreyfus Corporation launched two new fund of funds: Dreyfus Diversified Global Fund, which allocates its assets to Dreyfus-advised mutual funds that invest primarily in equities issued by U.S. and foreign firms with the aim of achieving long-term capital appreciation; and Dreyfus Satellite Alpha Fund, which utilizes Dreyfus-advised mutual funds that invest in non-traditional asset classes such as real estate, commodities and currencies.

BRANDS/DIVISIONS/AFFILIATES: Bank of New York Mellon Corp Dreyfus Premier Funds Dreyfus Funds Dreyfus Diversified Global Fund Dreyfus Satellite Alpha Fund BNY Mellon Asset Management

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Jonathan R. Baum, CEO J. David Officer, COO J. Charles Cardona, Jr., Pres. Patrice M. Kozlowski, Sr. VP-Corp. Comm. J. Charles Cardona, Jr., CEO-BNY Mellon Cash Investment Strategies Phil Maisano, Chief Investment Officer/Vice Chmn. Jonathan R. Baum, CEO/Chmn.-MBSC Securities Corp. Jonathan R. Baum, Chmn.


FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company: BANK OF NEW YORK MELLON CORP




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International:



DST SYSTEMS INC

www.dstsystems.com




Profits: 2



Y Y


Data Processing-Financial Financial Services Software Systems Bill & Statement Processing Solutions Professional Services

DST Systems, Inc. operates through several business units that provide information processing software, services and products. The firm’s financial services segment provides information processing, as well as computer software services and products. Its proprietary software systems include mutual fund shareowner, sub-account and unit trust recordkeeping systems for U.S. and international mutual fund companies; a defined-contribution participant recordkeeping system for the U.S. retirement plan market; investment management systems offered to U.S. and international investment managers and fund accountants; a business process management and customer contact system offered to mutual funds, insurance companies, brokerage firms, banks, healthcare payers, healthcare providers, cable television operators and mortgage servicing organizations; and healthcare claims administration processing systems and services, including consumer directed healthcare administration solutions, offered to providers of healthcare plans, third party administrators and medical practice groups. DST’s output solutions segment provides single-source, integrated print and electronic statement and billing output solutions; marketing and personalization services; and postal optimization solutions. The segment operates from five production facilities located throughout the U.K. and North America. Subsidiary DST Output is a leading First-Class mailer in the U.S. and uses continuous, high-speed, full-color inkjet printing systems. DST Output Canada provides customer communications and document automation solutions to the Canadian market. DST International Output provides personalized print and electronic communications principally in the U.K. DST’s remaining segment, investments and other, is comprised of the company's real estate subsidiaries and affiliates, investments in equity securities, private equity funds and other financial interests. In November 2008, the firm acquired BlueDoor Technologies, an Australian software solutions provider, for approximately $13.4 million. In March 2009, the company acquired the remaining 50% of Argus Health Systems, Inc., making it a wholly-owned subsidiary. DST offers its employees medical, dental and vision coverage; flexible spending accounts; life and disability insurance; a 401(k) plan; and paid time off.

BRANDS/DIVISIONS/AFFILIATES: DST Output DST Output Canada DST International Output DST Health Solutions DST Realty BlueDoor Technologies Argus Health Systems, Inc.

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Thomas A. McDonnell, CEO Thomas A. McCullough, COO/Exec. VP Thomas A. McDonnell, Pres. Kenneth V. Hager, CFO/VP/Treas. Randall D. Young, General Counsel/VP/Corp. Sec. Gregg William Givens, Chief Acct. Officer/VP Jonathan J. Boehm, Group VP-Mutual Funds Full Service Steven J. Towle, CEO/Pres., DST Output LLC A. Stephan Sabino, Pres., DST Health Solutions LLC Robert L. Tritt, VP-Mutual Funds Remote Thomas R. Abraham, CEO-DST Int'l

Phone: 816-435-1000 Fax: 816-843-9245 Toll-Free: 888-378-4636 Address: 333 W. 11th St., 5th Fl., Kansas City, MO 64105-1594 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: DST 2008 Sales: $2,285,400 2008 Profits: $242,900 Int’l Ticker: Int’l Exchange: 2007 Sales: $2,302,500 2007 Profits: $874,700 Employees: 10,900 2006 Sales: $2,235,800 2006 Profits: $272,900 Fiscal Year Ends: 12/31 2005 Sales: $2,515,100 2005 Profits: $424,600 Parent Company:



Y


TYPES OF BUSINESS:


Y

Profit Sharing:


Bonus: $1,362,897 Bonus: $1,444,693


Southwest:

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



DWS INVESTMENTS

www.dws.com



Y Y


Y Y Y

Profits:



Y



TYPES OF BUSINESS: Investment Management/Mutual Funds Asset Management Alternative Investments Hedge Funds Annuities & Retirement Plans Banking Real Estate Services

DWS Investments, formerly DWS Scudder, is the U.S. retail brand name of Deutsche Asset Management, a private asset management firm with products and services in portfolio management, mutual funds, banking, real estate services, hedge funds and alternative investments. Deutsche Asset Management is itself a subsidiary of Deutsche Bank, and has approximately $783.2 billion in assets under management globally. The firm now focuses primarily on retail mutual fund management in the U.S. Products include approximately 407 retail mutual funds as well as retirement planning, closed end funds, money market funds, variable insurance portfolios, off shore and IRAs. Focusing on organizations with $3 million to $250 million in plan assets, DWS Scudder’s retirement products and services include such plan types as 401(k), profit sharing, money purchase, 403b(7), 457, Taft-Hartley, Roth 401(k)/403(b) and nonqualified deferred compensation. The company has also developed several tools for financial advisors building retirement planning businesses. The company’s money market funds include retail money funds, wholesale money funds, institutional money funds and the Deutsche Bank Insured Deposit Program, a cash management service exclusively for banks and broker dealers utilizing a patented process for automatically depositing bank and broker-dealer clients’ excess cash into various FDIC-insured money market accounts.

BRANDS/DIVISIONS/AFFILIATES: Deutsche Asset Management DWS Scudder Deutsche Bank AG

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Axel Schwarzer, CEO Michael Colon, COO Kevin Parker, CEO-Deutsche Asset Management

Phone: 312-537-7000 Fax: Toll-Free: Address: 222 S. Riverside Plz., Chicago, IL 60606-5808 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company: DEUTSCHE BANK AG




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest: Y

Southeast:


Northeast:

International:



E*TRADE FINANCIAL CORPORATION Industry Group Code: 52312E Ranks within this company's industry group: Sales: 1 Brokers/Stocks: Broker: Investment Bank: Futures/Options:



www.etrade.com Profits: 3



Y



TYPES OF BUSINESS: Stock Brokerage/Investment Management-Online Lending Portfolio Tracking & Records Management Corporate Stock Plan Solutions Venture Capital Market Making Financial Planning Services Banking

E*TRADE Financial Corporation is a financial services company that provides its services primarily to individual retail investors and corporate clients. The company’s investor focused products include, banking, sweep deposits, savings, and asset gathering with product delivery through online intensive channels. The company operates in the U.S., Europe, Asia and parts of the Middle East. The company consists of two segments: retail and institutional. The retail segment focuses primarily on customer service and offers clients a broad range of brokerage products including automated order placement and execution; access to over 7,000 mutual funds; market educational services; two second order executions; no fee and no minimum individual retirement accounts; access to international equities; and margin accounts allowing customers to borrow against their securities. The institutional segment manages the balance sheet of the company and focuses on market-making activities that match buyers and sellers to unrelated third parties. The company has four main subsidiaries: E*TRADE Bank, E*TRADE Capital Markets, E*TRADE Clearing and E*TRADE Securities. E*TRADE Bank provides banking services to retail customers nationwide. E*TRADE Capital Markets is a registered broker-dealer and market-maker. E*TRADE Clearing is a clearing firm for the company’s brokerage subsidiaries, and E*TRADE Securities is a registered broker-dealer and the primary brokerage service provider to the company’s customers. In May 2009 the company announced the release of its E*TRADE Mobile Pro for the iPhone; the application will provide costumers with many of the services available on the company’s web site. The firm offers its employees a wide range of benefits including 401(k)s; flexible spending accounts; life insurance; medical, dental and vision insurance; tuition reimbursement; employee discount program; employee assistance program; legal services; and licensing training.

BRANDS/DIVISIONS/AFFILIATES: E*TRADE Bank E*TRADE Securities, LLC E*TRADE Clearing, LLC E*TRADE Capital Markets, LLC E*TRADE Mobile Pro

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Robert Drushkin, Interim CEO Gregory A. Framke, COO/Exec. VP R. Jarrett Lilien, Pres. Bruce P. Nolop, CFO/Exec. VP Nicholas A. Utton, Chief Mktg. Officer/Exec. VP Karen Wall, Chief Human Resource Officer/Exec. VP Gregory A. Framke, CIO/Exec. VP Karl A. Roessner, General Counsel/Exec. VP Michael J. Curcio, Exec. VP/Pres., E*Trade Securities Robert V. Burton, Exec. VP/Pres., E*Trade Bank Paul Brandow, Chief Risk Officer/Exec. VP Robert Drushkin, Chmn. Mathias Helleu, Exec. VP-Int'l

Phone: 646-521-4300 Fax: 888-276-9771 Toll-Free: 800-387-2331 Address: 135 E. 57th St., New York, NY 10022 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: ETFC 2008 Sales: $3,323,013 2008 Profits: $-511,790 Int’l Ticker: Int’l Exchange: 2007 Sales: $3,569,711 2007 Profits: $-1,441,754 Employees: 3,217 2006 Sales: $2,420,321 2006 Profits: $628,900 Fiscal Year Ends: 12/31 2005 Sales: $1,703,845 2005 Profits: $430,412 Parent Company:


ESOP Stock Plan: Y Stock Purch. Plan: Y


Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



EATON VANCE CORP

www.eatonvance.com


Y


Y


Y

Profits: 13


Y




TYPES OF BUSINESS: Investment Management/Mutual Funds Fund Advising Broker/Dealer

Eaton Vance Corp. operates primarily as a manager of investment funds and as an adviser to high-net worth individuals and institutions. The company operates in one business segment, as an investment adviser to funds and separate accounts, and competes in a variety of investment areas, including tax-managed and emerging market equity; equity income; floating-rate bank loan; and municipal bond, investment grade and high-yield bond investing. The company’s products and services include companysponsored open-end and closed-end funds, private funds, retail managed accounts and separately managed accounts for high-net-worth and institutional investors. The company conducts its investment management business through four wholly-owned subsidiaries: Eaton Vance Management (EVM); Boston Management and Research (BMR); Eaton Vance Investment Counsel (EVIC); and Eaton Vance Trust Company (EVTC). The firm also offers investment management through four consolidated subsidiaries: Atlanta Capital Management Company; Fox Asset Management LLC; Parametric Portfolio Associates LLC; and Parametric Risk Advisors LLC. Eaton Vance Distributors, Inc., a whollyowned broker/dealer, markets and sells the Eaton Vance funds and retail managed accounts. Eaton Vance Management International, Ltd., a wholly-owned financial services company, markets and sells the company’s investment products in Europe and other international markets. Eaton Vance Advisers (Ireland) Limited, another wholly-owned subsidiary registered under the Irish Financial Services Regulatory Authority, provides management services to the Eaton Vance Emerald Funds. The company is headquartered in Boston, Massachusetts, with subsidiary offices in Georgia; New Jersey; Washington; and London. The firm’s sales representatives operate all over the U.S., and in Europe and Latin America. In November 2008, the company agreed to acquire the tax-advantaged bond strategies business of M.D. Sass Investors Services, a privately held investment manager based in New York. Employees are offered 401(k) and profit sharing plans; medical, dental, life and long-term disability insurance.

BRANDS/DIVISIONS/AFFILIATES: Atlanta Capital Fox Asset Management Eaton Vance Management International, Ltd. Boston Management & Research Eaton Vance Investment Counsel Parametric Portfolio Associates Eaton Vance Management Eaton Vance Distributors, Inc.

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Thomas E. Faust, Jr., CEO Thomas E. Faust, Jr., Pres. Robert J. Whelan, CFO Jeffrey Beale, Chief Admin. Officer/VP Frederick S. Marius, Chief Legal Officer Laurie G. Hylton, Chief Acct. Officer/VP Payson F. Swaffield, Chief Income Investment Officer Duncan Richardson, Chief Equity Investment Officer Thomas E. Faust, Jr., Chmn.

Phone: 617-482-8260 Fax: Toll-Free: 800-225-6265 Address: 2 International Place, Boston, MA 02110 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: EV 2008 Sales: $1,095,800 2008 Profits: $195,663 Int’l Ticker: Int’l Exchange: 2007 Sales: $1,084,100 2007 Profits: $142,811 Employees: 1,061 2006 Sales: $862,194 2006 Profits: $159,377 Fiscal Year Ends: 10/31 2005 Sales: $753,175 2005 Profits: $138,706 Parent Company:




Profit Sharing:


Bonus: $3,750,000 Bonus: $3,250,000


Southwest:

Midwest:

Southeast: Y


Northeast: Y

International: Y



EUREX

www.eurexchange.com




Profits:


Y




TYPES OF BUSINESS: Derivatives Exchange

Eurex is a major futures and options exchange for European benchmark derivatives. The company, based in Frankfurt and jointly owned by SIX Swiss Exchange AG and Deutsche Borse AG, operates through two primary businesses: Eurex Zurich AG and Eurex Frankfurt AG. Eurex Zurich holds 100% of Eurex Frankfurt as well as 34.7% of European Energy Exchange AG. Eurex Frankfurt operates Eurex Deutschland and comprises three wholly-owned subsidiaries and two partially-owned subsidiaries. Wholly-owned subsidiaries include Eurex Clearing AG, a central counterparty service for stocks traded on the Eurex exchanges; Eurex Bonds; Eurex Repo; the Frankfurt Stock Exchange and the Irish Stock Exchange; U.S. Exchange Holdings, Inc, which operates through International Securities Exchange Holdings, Inc. and owns a stake in U.S. Futures Exchange LLC and The Clearing Corporation; and Eurex Repo GmbH, an electronic trading solution for repos (sale and repurchase agreements). Eurex Frankfurt owns a 79.4% stake in Eurex Bonds GmbH, a an ECN (electronic communication network) for off-exchange, wholesale trading in fixed income securities and treasury discount papers, and a 49% stake in BSP Regionalna Energetska Borza d.o.o. Eurex offers products such as interest rate derivatives, equity derivatives, equity index derivatives, volatility index derivatives, exchange traded funds derivatives, credit derivatives, inflation derivatives and CO2 derivatives. The firm’s trading volume exceeds 1.5 billion contracts a year. The company has locations in Frankfurt, Zurich, London, Paris, Chicago and New York. In July 2009, the firm began offering agricultural derivatives contracts on piglet, hog, U.K. potatoes and European processing potatoes futures. In August 2009, the company opened a new representative office in Singapore.


CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Andreas Preuss, CEO Jurg Spillmann, CIO Jurg Spillmann, Deputy CEO

Phone: 49-69-2110 Fax: 49-69-2111-2005 Toll-Free: Address: Neue Borsenstrasse 1, Frankfurt, 60487 Germany

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Joint Venture 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 2005 Sales: $ 2005 Profits: $ Parent Company: DEUTSCHE BORSE AG




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest: Y

Southeast:


Northeast: Y

International: Y



EVERCORE PARTNERS INC

www.evercore.com


Y



Y

Profits: 17


Y


Y Y



TYPES OF BUSINESS: Investment Banking Merger, Acquisition & Divestiture Advisory Services Financing & Restructuring Advisory Asset Management

Evercore Partners, Inc. is an investment banking firm providing advisory services to multinational corporations on significant mergers, acquisitions, divestitures, restructurings and other strategic corporate transactions. The company’s operations consist of two business segments: advisory and investment management. The advisory segment provides confidential, strategic and tactical advice to both public and private companies, with a particular focus on large, multinational corporations. Advisory generates revenue from fees for providing advice on matters of strategic importance to its clients, including mergers, acquisitions, restructurings, divestitures, leveraged buy-outs, recapitalizations and other corporate transactions. In 2008 this segment generated 95% of the firm’s net revenue and earned advisory fees from 149 clients. The investment management business principally invests capital on behalf of third parties. It encompasses three sectors: private equity, institutional asset management and wealth management. The company’s private equity business is composed of five private equity funds in the U.S. and Mexico: Evercore Capital Partners L.P., Evercore Capital Partners II L.P., Evercore Venture Partners L.P, Discovery Americas I and Evercore Mexico Capital Partners II. The firm’s institutional asset management activities are conducted through Evercore Asset Management L.L.C. (EAM) in the U.S. and Protego Casa de Bolsa (PCB) in Mexico. Evercore’s wealth management operations are conducted through Evercore Wealth Management (EWM) in the U.S. and Evercore Pan-Asset Capital Management (Pan) in the U.K. Investment management generates revenue from fees earned for managing private equity funds and the portfolio companies of the Private Equity Funds; incentive fees, referred to as carried interest, earned when certain financial returns are achieved over the life of a fund; through net gains and losses on investments of its own capital in the funds; from managing funds invested in public securities; and from other sources. In June 2009, the firm opened an office in San Francisco. The firm offers its employees a 401(k) plan.

BRANDS/DIVISIONS/AFFILIATES: Protego Casa de Bolsa (PCB) Evercore Asset Management L.L.C. (EAM) Evercore Wealth Management (EWM) Evercore Pan-Asset Capital Management (Pan) Evercore Capital Partners L.P Evercore Venture Partners L.P. Discovery Americas I, L.P. Evercore Mexico Capital Partners II

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Ralph Schlosstein, CEO Ralph Schlosstein, Pres. Robert B. Walsh, CFO Nicol Grosso, Dir.-Human Resources Adam B. Frankel, General Counsel Pedro Aspe, Co-Chmn./CEO-Protego Roger C. Altman, Co-Chmn.

Phone: 212-857-3100 Fax: 212-857-3101 Toll-Free: Address: 55 E. 52nd St., 43rd Fl., New York, NY 10055 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: EVR 2008 Sales: $340,000 2008 Profits: $-9,384 Int’l Ticker: Int’l Exchange: 2007 Sales: $321,599 2007 Profits: $-34,495 Employees: 2006 Sales: $96,089 2006 Profits: $3,786 Fiscal Year Ends: 12/31 2005 Sales: $125,600 2005 Profits: $63,152 Parent Company:




Profit Sharing:


Bonus: $4,350,000 Bonus: $1,500,000


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



EVERGREEN INVESTMENT MANAGEMENT CO LLC www.evergreeninvestments.com Industry Group Code: 523920 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y Y


Y

Profits:


Y




TYPES OF BUSINESS: Investment Management/Mutual Funds Retirement Plans & Annuities Alternative Investments College Savings Plans

Evergreen Investment Management Co., LLC is an asset management company. As part of the Wells Fargo Asset Management Group, Evergreen offers individual and institutional investors an array of investment products and asset management solutions. The firm’s products include institutional portfolios, mutual funds, variable annuities, retirement plans, college savings plans, alternative investments, private accounts and many other independent investment products. The company also offers a broad range of solutions for Taft-Hartley plans, corporations, endowments, foundations, and public funds. In addition, Evergreen Investments offers fundamental and quantitative investment processes for both domestic and international portfolios. Its fixed income strategies include municipal, investment grade, short-term, high yield, money market and structured solutions. The firm has 75 years of experience and oversees approximately 50 mutual funds with 3 million shareholders. In March 2009, the Evergreen Global Opportunities Fund was re-opened to new accounts.

BRANDS/DIVISIONS/AFFILIATES: Wells Fargo & Co Evergreen Global Opportunities Fund Wells Fargo Asset Management Group

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Dennis H. Ferro, CEO Douglas Munn, COO Dennis H. Ferro, Pres. Gail Eisenkraft, Dir.-Mktg. Scott E. Couto, Global Head-Product Lauren Sawyers, Manager-Comm. John Lynch, Chief Market Analyst Joseph DeSantis, Chief Investment Officer-Fundamental Equity Robert J. Guerin, Chief Compliance Officer

Phone: 617-338-3200 Fax: 617-210-2786 Toll-Free: 800-343-2898 Address: 30 Dan Rd., Canton, MA 02021-2809 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company: WELLS FARGO & CO




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



FACTSET RESEARCH SYSTEMS INC Industry Group Code: 519130 Ranks within this company's industry group: Sales: 4 Brokers/Stocks: Broker: Investment Bank: Futures/Options:



www.factset.com Profits: 3



Y Y



TYPES OF BUSINESS: Online Financial & Economic Data Financial Software Consulting Services

FactSet Research Systems, Inc. supplies financial intelligence to the global investment community. It combines content about tens of thousands of companies from multiple stock markets, research firms, governments and other sources, into a single online platform of information and analytics. Clients have simultaneous access to content from all these sources, which can be combined and downloaded into spreadsheets. The firm’s Portfolio Analytics suite includes applications for portfolio attribution, risk management and quantitative analysis. The firm offers three core data sets: FactSet Fundamentals, a global financial database with coverage of over 50,000 companies from over 70 countries and up to 1,600 data elements on each company record; FactSet Estimates and Research Connect, the firm’s global broker estimates database which provides its users with consensus-level estimates/statistics and makes hundreds of full text research reports from approximately 600 contributors, including large investment banks and regional/independent research providers; and FactSet Global Prices, which provides the historic and current number of active issues of worldwide equities, short interest, mutual funds, bonds and derivatives. The FactSet program also includes: FactSet People, a database of over 500,000 people including worldwide executives; FactSet Market Aggregates, which derives key ratios and per share values for global equity market indexes and commercial benchmark vendors; Global Private Equity & Venture Capital – a complete survey of any substantial private equity and venture capital firm; and Debt Capital Structure, which provides a breakdown of a company’s bank loan and/or corporate bond financing activity for a specific financial reporting period. FactSet employee benefits include: medical, dental and vision care, short/long-term disability insurance; flexible appending accounts; a 401 (k); and an employee stock purchase program.

BRANDS/DIVISIONS/AFFILIATES: FactSet Fundamentals FactSet Estimates & Research Connect Portfolio Analytics FactSet People FactSet Global Prices FactSet Market Aggregates

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Philip A. Hadley, CEO Michael F. DiChristina, COO Peter Walsh, CFO/Exec. VP Michael D. Frankenfield, Exec. VP/Dir.-Global Sales Goran Shoko, Dir.- Research & Market Data Jeff Young, Sr. VP-Tech. Goran Skoko, Sr. VP/Dir.-Prod. Dev. Daniel Weinstein, Sr. VP/Dir.-Software Eng. Rachel R. Stern, General Counsel/Sec./VP Laura C. Ruhe, Sr. VP/Dir.-Leadership Dev. Peter Walsh, Treas. Townsend Thomas, Chief Content Officer/Sr. VP Laura C. Ruhe, Sr. VP/Dir.-Leadership Dev. Kieran M. Kennedy, Sr. VP/Dir.-Investment Banking & Brokerage Svcs. Maurizio Nicolelli, Principal Financial Officer/Sr. VP Philip A. Hadley, Chmn. Scott L. Beyer, Sr. VP/Dir.-Int'l Oper.

Phone: 203-810-1000 Fax: 203-810-1001 Toll-Free: Address: 601 Merritt 7, 3rd Fl., Norwalk, CT 06851 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $622,023 2009 Profits: $144,950 U.S. Stock Ticker: FDS 2008 Sales: $575,519 2008 Profits: $125,017 Int’l Ticker: Int’l Exchange: 2007 Sales: $475,801 2007 Profits: $109,567 Employees: 2,962 2006 Sales: $387,350 2006 Profits: $82,916 Fiscal Year Ends: 8/31 2005 Sales: $312,644 2005 Profits: $71,765 Parent Company:




Y Y Y

Profit Sharing:


Bonus: $640,000 Bonus: $640,000


Southwest:

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



FARALLON CAPITAL MANAGEMENT LLC Industry Group Code: 523920 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y


Y

www.faralloncapital.com

Profits:





TYPES OF BUSINESS: Hedge Fund Investment Management

Farallon Capital Management LLC manages equity capital for institutions and high net worth individuals. The firm’s principal investors include college endowments and foundations. The company primarily invests in firms in which a known or expected event, such as a merger, restructuring, recapitalization or other major change, will cause a major change in the value of the particular investment. Farallon’s investments include public and private debt and equity securities, direct investments in private companies and real estate. The company divides its investments into five categories: credit investments, which includes companies in financial distress and/or poor credit; real estate, which investments in fee simple real estate, leaseholds, and mortgages where entitlement, development, leasing, and management expertise can add value; restructurings and value, which includes companies significant corporate events such as spin-offs, recapitalizations, litigation events, strategic realignment, and other major changes; special situations, which comprises the firms’ activities in direct investments, private debt and equity; and merger arbitrage, which focuses on corporate takeovers. The company invests in both developed and emerging markets around the world. At the beginning of 2009, it managed about $20 billion in assets, making it one of the world's largest hedge funds.


CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Andrew J.M. Spokes, Co-Managing Partner Greg Swart, CFO Thomas F. Steyer, Co-Managing Partner Michael B. Fisch, Managing Dir. Richard Bollini, Managing Dir. Eric S. Gorham, Managing Dir.

Phone: 415-421-2132 Fax: Toll-Free: Address: 1 Maritime Plz., Ste. 2100, San Francisco, CA 94111 US

FINANCIALS:





Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast:

International:



FAYEZ SAROFIM & CO

www.sarofim.com



Y


Y

Profits:


Y




TYPES OF BUSINESS: Investment Management Mutual Fund Management Fund Advisors

Fayez Sarofim & Co. manages investment portfolios for employee benefit funds, endowments, foundations, high networth individuals and corporate accounts. The firm invests in large, stable companies with predictable earnings growth that are dominant in their particular industry. The company likes to buy and hold, with less than 5% of its portfolio turned over each year, thus increasing value while avoiding heavy taxes. Fayez Sarofim has approximately $19 billion in assets under management, with some of its major accounts including the pension funds of Mobil, General Electric and Ford, as well as half the endowment for Rice University and the endowment for the Houston Fine Arts Museum. The company serves as the investment advisor for five mutual funds of The Dreyfus Corporation, enabling the company to offer its investment strategy to a broader selection of investors. Typical minimum investment requirements for the Dreyfus mutual finds are $1,000 to $5,000, instead of the $5 million minimum required for Fayez Sarofim’s individual and corporate accounts. If the customer wishes to invest in Fayez Sarofim through a broker, the firm also offers separate accounts through broker Wrap programs, with a minimum $100,000 investment.

BRANDS/DIVISIONS/AFFILIATES: Dreyfus Corporation (The)

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Fayez Sarofim, Pres. Charles E. Sheedy, Sr. VP/Chmn.-Strategy Group Raye G. White, Exec. VP Ralph B. Thomas, Sr. VP Reynaldo Reza, VP Christopher B. Sarofim, VP Fayez Sarofim, Chmn.

Phone: 713-654-4484 Fax: 713-654-8184 Toll-Free: Address: 2 Houston Ctr., Ste. 2907, Houston, TX 77010 US

FINANCIALS:





Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest:

Southeast:


Northeast:

International:



FEDERATED INVESTORS INC

www.federatedinvestors.com




Y

Profits: 12


Y


Y



TYPES OF BUSINESS: Investment Management Fund Advisory Services Administrative Services

Federated Investors, Inc. is a leading provider of investment management and related financial services, with approximately $392 billion under management. The firm sponsors and markets mutual funds and separate accounts, including separately managed accounts, institutional accounts and sub-advised funds, in both domestic and international markets, and provides other mutual fund-related services, including distribution, shareholder servicing and retirement plan recordkeeping services. Its products are primarily distributed to the wealth management and trust, broker and dealer and global institutional markets. The company provides advisory services to funds offered through banks, broker/dealers and other financial intermediaries who use them to meet the needs of their customers, including retail investors, corporations and retirement plans. Its principal source of revenue is the investment advisory fee income earned by its subsidiaries. The firm offers a range of products, including equity, fixed-income and money market investments, designed to meet the needs of investors with varying investment objectives. Federated also manages retail money market products that are typically distributed through broker/dealers. Headquartered in Pittsburgh, Pennsylvania, Federated maintains additional offices in Boston, Massachusetts; Houston, Texas; New York and Rochester, New York; Warrendale, Pennsylvania; and Wilmington, Delaware, as well as internationally in Ireland and Germany. The company sponsors 158 funds, of which 50 are money market funds; 51 are fixed-income funds; and 57 are equity funds. In December 2008, Federated acquired Clover Capital Management, Inc., a focused value investment firm managing approximately $2.1 billion in assets; and certain assets of David W. Tice & Associates LLC related to the management of the Prudent Bear Fund and the Prudent Global Income Fund. In August 2009, the company acquired two Touchstone Advisors, Inc. mutual funds. Federated offers employees medical, vision, dental, life and dependent life insurance; transportation benefits; flexible spending accounts; a 401(k) plan; an employee stock purchase plan; and education assistance.

BRANDS/DIVISIONS/AFFILIATES: Clover Capital Management, Inc. Prudent Bear Fund Prudent Global Income Fund

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. J. Christopher Donahue, CEO J. Christopher Donahue, Pres. Thomas R. Donahue, CFO John W. McGonigle, Chief Legal Officer/Corp. Sec./Exec. VP Thomas R. Donahue, Treas. Thomas R. Donahue, Pres., FII Holdings, Inc. John B. Fisher, Pres./CEO-Federated Advisory Companies Thomas E. Territ, Pres., Federated Securities Corp. Richard B. Fisher, Chmn.-Federated Securities Corp. John F. Donahue, Chmn.

Phone: 412-288-1900 Fax: 412-288-6823 Toll-Free: 800-341-7400 Address: 1001 Liberty Ave., Pittsburgh, PA 15222-3779 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: FII 2008 Sales: $1,223,680 2008 Profits: $224,317 Int’l Ticker: Int’l Exchange: 2007 Sales: $1,127,644 2007 Profits: $217,471 Employees: 2006 Sales: $978,858 2006 Profits: $197,729 Fiscal Year Ends: 12/31 2005 Sales: $909,216 2005 Profits: $160,283 Parent Company:




Profit Sharing:


Bonus: $1,800,000 Bonus: $2,240,000


Southwest: Y

Midwest:

Southeast:


Northeast: Y

International: Y



FIFTH THIRD BANCORP

www.53.com



Y


Y

Profits: 40



Y



TYPES OF BUSINESS: Banking Mortgages Trust Services Insurance Investment Services Leasing Payment Processing Services Asset Management

Fifth Third Bancorp is a financial services company headquartered in Cincinnati, Ohio. The company holds roughly $180 billion in assets, including $24 million for individuals. The bank operates 18 affiliates with 1,307 fullservice banking centers including 99 Bank Mart locations inside select grocery stores and 2,355 ATMs in the Midwestern and Southeastern regions of the U.S. The company has five business segments: branch banking, commercial banking, consumer lending, Fifth Third Processing Solutions (FTPS) and Investment Advisors. Branch banking provides checking and savings accounts, credit and debit cards, Internet banking, mobile banking and other financial services. Commercial banking serves large and middle-market businesses, offering banking services as well as other services including foreign exchange and commercial leasing. Consumer lending covers mortgages, home equity, automobile and other direct and indirect lending activities. FTPS offers electronic funds transfer, debit, credit and merchant transaction processing; and ATM services. Investment Advisors offers alternative investment services, including mutual funds, asset management services, retirement plans and retail brokerage services. In October 2008, the company acquired approximately $257 million of deposits from Freedom Bank in Bradenton, Florida. In June 2009, the company created a joint venture with private equity firm Advent International to hold Fifth Third's merchant acquiring and financial institutions businesses. Fifth Third will hold roughly 49% of the new company, Fifth Third Processing Solutions LLC. The transaction is valued at approximately $2.35 billion. Employees receive flexible spending accounts; 401(k) plan; medical, dental, and life insurance; transportation reimbursement; Alternative Work Arrangements; and educational assistance.

BRANDS/DIVISIONS/AFFILIATES: R-G Financial Corp First Charter Corporation (FCTR) Vista Settlement Services, LLC Fifth Third Mauritius Holdings Limited Old Kent Mortgage Services, Inc. FTPS Partners, LLC Fifth Third Company (The) Fifth Third Processing Solutions LLC

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Kevin T. Kabat, CEO Greg D. Carmichael, COO/Exec. VP Kevin T. Kabat, Pres. Ross J. Kari, CFO/Exec. VP Nancy R. Phillips, Chief Human Resources Officer/Exec. VP Paul L. Reynolds, General Counsel/Sec./Exec. VP Mahesh Sankaran, Sr. VP/Treas. Mary Tuuk, Chief Risk Officer/Exec. VP Terry E. Zink, Exec. VP Bruce K. Lee, Exec. VP Robert A. Sullivan, Exec. VP Kevin T. Kabat, Chmn.

Phone: 513-579-5300 Fax: 513-579-6246 Toll-Free: 800-972-3030 Address: 38 Fountain Square Plz., Cincinnati, OH 45263 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: FITB 2008 Sales: $8,640,000 2008 Profits: $-2,113,000 Int’l Ticker: Int’l Exchange: 2007 Sales: $8,494,000 2007 Profits: $1,076,000 Employees: 20,702 2006 Sales: $8,472,000 2006 Profits: $1,188,000 Fiscal Year Ends: 12/31 2005 Sales: $7,495,000 2005 Profits: $1,549,000 Parent Company:




Profit Sharing: Y


Bonus: $208,134 Bonus: $128,989


Southwest:

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



FINANCIAL GUARANTY INSURANCE COMPANY Industry Group Code: 524126 Ranks within this company's industry group: Sales: 17 Brokers/Stocks: Broker: Investment Bank: Futures/Options:



www.fgic.com

Profits: 11



Y



TYPES OF BUSINESS: Financial Guaranty Fund Insurance Structured Finance

Financial Guaranty Insurance Company (FGIC) guarantees municipal bonds used for transportation, state and local leases, municipal electric utility and tax allocation. The company provides financial guaranty insurance in three categories: public finance, structured finance and international finance. The public finance division insures municipal bonds and provides credit enhancement that allow state and local issuers to reduce their borrowing costs and ease their access to capital markets. This division’s strategy hinges on being a full-service provider for its customers while optimizing the allocation of its capital base on a risk-adjusted basis. Its services include reserve fund insurance policy, a surety in lieu of cash for the reserve fund requirement; swap surety, a guarantee for debt restructuring swap payments including timely payment from the issuer to the counterparty; and secondary market credit enhancement. FGIC has initiated public finance bonds for the Long Island Power Authority; The Trust for Cultural Resources of the City of New York; the Chicago O’Hare International Airport; the Children’s Hospital in Columbus, Ohio; the Michigan State Housing Authority; the New Jersey Housing and Mortgage Finance Agency; The Aerospace Corporation; and the Rental Car Facility Project at Ted Stevens Anchorage International Airport. The structured finance division provides services for a broad range of global issuers in the structured finance market, including asset managers and financial institutions. Its services help investment bankers to structure and execute transactions more efficiently and effectively, and provide added liquidity for investors. FGIC’s international finance division offers corporate bond security for international companies and utilities. The company is 42%owned by The PMI Group, a mortgage guaranty insurer; The Blackstone Group L.P., The Cypress Group L.L.C. and CIVC Partners L.P. own roughly 53% of FGIC.

BRANDS/DIVISIONS/AFFILIATES: PMI Group Inc Blackstone Group LP (The) Cypress Group LLC (The) CIVC Partners LP

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. John S. Dubel, CEO Nick Santoro, CFO/Sr. VP Brian S. Moore, Sr. VP-Mktg. A. Edward Turi, III, General Counsel/Exec. VP Brian S. Moore, Sr. VP-Investor Rel. Donna J. Blank, Treas. Kenneth L. Degen, Sr. Managing Dir.-Risk & Remediation Timothy S. Travers, Chief Underwriting Officer/Sr. Managing Dir.


FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Private 2008 Sales: $431,212 2008 Profits: $-560,618 Int’l Ticker: Int’l Exchange: 2007 Sales: $451,268 2007 Profits: $-1,502,511 Employees: 2006 Sales: $441,231 2006 Profits: $247,844 Fiscal Year Ends: 12/31 2005 Sales: $410,202 2005 Profits: $190,466 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



FINANCIAL SECURITY ASSURANCE HOLDINGS LTD www.fsa.com Industry Group Code: 524126 Ranks within this company's industry group: Sales: 14 Brokers/Stocks: Broker: Investment Bank: Futures/Options:



Profits: 17



Y



TYPES OF BUSINESS: Financial Guaranty Municipal Bonds Insurance Reinsurance Asset Backed Securities Insurance

Financial Security Assurance Holdings, Ltd., through its principal subsidiary Financial Security Assurance, Inc. (FSA), provides financial guaranty insurance and asset based municipal obligations in the domestic and global markets. FSA operates in two segments: financial guaranty and financial products. The financial guaranty segment operates three divisions: U.S. municipal finance, international infrastructure finance and an asset-backed division, which is in run-off. The U.S. municipal finance division provides bond insurance and is licensed in all 50 states, Washington, D.C., Guam, Puerto Rico and the U.S. Virgin Islands. The international infrastructure finance division focuses on the international public infrastructure market in areas such as transportation, utilities, education and health care. Europe, Mexico and Japan are the firm’s primary international markets. In 2008, FSA announced that it will exit the assetbacked business in order to focus exclusively on the U.S. and international public finance sector. The financial products segment offers a reverse inquiry European medium term note program (EMTN), FSA Global Funding Limited (FSA Global). FSA Global is a special purpose company that funds itself through the EMTN market. In November 2008, the company ceased its FSA insured guaranteed investment contract issuance operations (which previously represented the majority of its financial products segment’s business). In July 2009, the firm, which was a subsidiary of Dexia SA, was acquired by Assured Guaranty Ltd., a holding company involved in international public finance, structured finance and mortgages. Financial Security Assurance now operates, along with Assured Guaranty Corp., under holding company Assured Guaranty US Holdings, Inc.

BRANDS/DIVISIONS/AFFILIATES: Financial Security Assurance Inc FSA Global Funding Limited Financial Security Assurance International Ltd Financial Security Assurance (U.K.) Ltd Assured Guaranty Ltd Assured Guaranty US Holdings Inc

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Robert P. Cochran, CEO Sean W. McCarthy, COO Sean W. McCarthy, Pres. Joseph W. Simon, CFO Bruce E. Stern, General Counsel/Sec. Dennis H. Kim, Treas./Managing Dir. James L. Andrews, Jr., Managing Dir.-Health Care Finance Olivier Garnier, Head-Infrastructure Finance Group, Americas Richard Hopkin, Managing Dir.-Securitization-Europe & Australia Robert P. Cochran, Chmn. Philippe Z. Tromp, Managing Dir.-Europe & Australia

Phone: 212-826-0100 Fax: 212-688-3101 Toll-Free: Address: 31 W. 52nd St., New York, NY 10019 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $658,400 2008 Profits: $-8,443,200 Int’l Ticker: Int’l Exchange: 2007 Sales: $447,100 2007 Profits: $-65,654 Employees: 2006 Sales: $1,691,024 2006 Profits: $424,154 Fiscal Year Ends: 12/31 2005 Sales: $981,200 2005 Profits: $326,100 Parent Company: ASSURED GUARANTY LTD




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest:

Southeast:


Northeast: Y

International: Y



FINRA (FINANCIAL INDUSTRY REGULATORY AUTHORITY) www.finra.org Industry Group Code: 523210 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:



Profits:



Y



TYPES OF BUSINESS: Financial Regulatory Services Regulatory Investigation Analytic Systems

FINRA (Financial Industry Regulatory Advisory) is one of the largest non-governmental providers of regulatory services for securities firms in the U.S. It was formed from the combination of NASD (National Association of Securities Dealers) and the NYSE’s member regulation, enforcement and arbitration arm, NYSE Regulation, Inc. FINRA provides oversight for 643,000 securities representatives, 170,400 branch offices and almost 4,800 brokerage firms. The firm’s activities include registering, educating and examining industry participants; educating investors; creating and enforcing its own rules as well as enforcing federal securities laws; providing industry utilities such as trade reporting; and administering a dispute resolution forum. Under contract for the NASDAQ Stock Market, AMEX, International Securities Exchange and Chicago Climate Exchange, the firm also provides market regulation. FINRA International provides advisory services to overseas regulatory bodies and has shaped the regulatory environment in countries across the Middle East, Southeast Asia and Europe. These services include programs providing instruction in compliance, regulation and enforcement, consisting of a week-long certificate; a 120-hour diploma program; or a 10-month Master of Science degree program. The firm’s regulatory systems include the Trade Reporting and Compliance Engine (TRACE), a reporting vehicle for fixed income securities transactions in the OTC secondary market; Web Central Registration Depository (CRD), where its registration records are kept; and its Alternative Display Facility (ADF) for regulated firms to use when reporting quotes and trades. Investment professionals must register with FINRA, meet qualifications and pass an exam before practicing. In 2008, FINRA ordered or secured agreements to return over $1 billion to investors; collected over $28 million in fines from firms and individual brokers; expelled 363 individuals and suspended 321 from the industry; and expelled or suspended 19 firms. Employees receive benefits including life, business travel, disability, medical, dental and vision insurance; flexible spending accounts; educational assistance; and adoption benefits.

BRANDS/DIVISIONS/AFFILIATES: NASD (National Association of Securities Dealers) NYSE Regulation Inc FINRA International Trade Reporting and Compliance Engine Web CRD Alternative Display Facility

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Richard G. Ketchum, CEO Todd Diganci, CFO/Exec. VP Steven A. Jarrett, Sr. VP-Human Resources Martin Colburn, CTO/Exec. VP Grant Callery, General Counsel/Exec. VP James P. Donovan, Sr. Exec. VP-Strategy & Tech. Howard Schloss, Exec. VP-Corp. Comm. & Gov't Rel. Linda D. Fienberg, Exec. VP/Pres., Dispute Resolution Robert C. Errico, Exec. VP-Member Regulation Grace B. Vogel, Exec. VP-Member Regulation Susan L. Merrill, Chief of Enforcement/Exec. VP Richard G. Ketchum, Chmn.

Phone: 301-590-6500 Fax: 202-293-6260 Toll-Free: Address: 1735 K St., Washington, DC 20006 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Private 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $1,874,364 2005 Profits: $293,397 Parent Company:




Y Y

Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International:



FIRST ALLIED SECURITIES INC

www.firstallied.com


Y Y


Y Y


Profits:



Y


Y


TYPES OF BUSINESS: Stock Brokerage Investment Bank Private Equity Placements Mutual Funds Loans Financial Advising Alternative Investments Retirement Accounts

First Allied Securities, Inc., a wholly-owned subsidiary of Advanced Equities Financial Corp., is an investment bank specializing in private equity placements. First Allied is a full service broker/dealer that introduces its accounts to clearing firms; mutual fund transfer agents; and insurance carriers for the receipt and execution of securities transactions. It provides investment services including investment advice, mutual funds and loans in 50 states through its network of approximately 500 independent broker-dealers. The company has 190 branches across the U.S. and is a member of the National Association of Securities Dealers and the Securities Investor Protection Corporation. Products and services provided by the firm include stocks and bonds; alternative investments; government securities; mutual funds; cash management; insurance; retirement accounts; unit investment trusts; and options. In October 2009, the company announced the launch of its Guided Portfolio Solutions (GPS) wealth management platform. The GPS software will allow the company to create customize asset management models based on the needs of individual clients.

BRANDS/DIVISIONS/AFFILIATES: Advanced Equities Financial Corp. Guided Portfolio Solutions

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Frank Campanale, CEO Tiy O'Neal, COO Adam Antoniades, Pres. Robert Milburn, CFO Rosemarie Lewis, Mgr.-Human Resources Steve Krameisen, CTO Rob Moses, General Counsel/Sr. VP Matthew Bassuk, Sr. VP-Bus. Dev. Maureen Kilkenny, Dir.-Corp. Comm. Vere Reynolds-Hale, Sr. VP-Financial Svcs. Group Donna Bartlett Lawson, Chief Compliance Officer/VP Frank Campanale, Chmn.

Phone: 619-702-9600 Fax: 619-702-9670 Toll-Free: 800-499-5489 Address: 655 W. Broadway, San Diego, CA 92101 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company: ADVANCED EQUITIES FINANCIAL CORP




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International:



FIRST AMERICAN FUNDS

www.firstamericanfunds.com



Y


Profits:





TYPES OF BUSINESS: Mutual Funds

First American Funds is the mutual fund arm of U.S. Bancorp Asset Management, a subsidiary of U.S. Bancorp, with more than $103 billion assets under management. The firm provides a full range of open and closed end mutual funds with a diverse selection of investment strategies, including mixed asset funds; quantitative funds; small, mid and large cap funds; income and tax-free income funds; index funds; money market; international markets; real estate; and asset allocation funds, totaling over 40 funds altogether. First American Funds also offers The Stable Asset Advisor Fund, a collective investment fund whereby assets of multiple clients, such as those from employer sponsored defined contribution retirement plans, are commingled and invested in a diversified portfolio. Additionally, the firm offers retirement plans (both employee-sponsored and for individual investors), as well as the Coverdell Education Savings Account (a specialized IRA designed to help investors save for their children’s college educations).

BRANDS/DIVISIONS/AFFILIATES: U.S. Bancorp U.S. Bancorp Asset Management Stable Asset Advisor Fund (The) Coverdell Education Savings Account First American Money Market Funds

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Thomas S. Schreier, Jr., CEO Thomas S. Schreier, Jr., Pres. Joseph M. Ulrey, III, CFO Charles Manzoni, General Counsel Keith Hembre, Chief Economist/Chief Investment Strategist Tony Rodriguez, Head-Fixed Income John Wenker, Head-Real Estate

Phone: 612-303-3381 Fax: Toll-Free: 800-754-7221 Address: 800 Nicollet Mall, Minneapolis, MN 55402 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company: US BANCORP




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest: Y

Southeast:


Northeast:

International:



FIRST EAGLE INVESTMENT MANAGEMENT Industry Group Code: 523920 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y


Y Y Y

firsteagleinstitutional.com

Profits:





TYPES OF BUSINESS: Investment Management Mutual Funds & Pension Funds Foundations & Endowments

First Eagle Investment Management, formerly Arnhold and S. Bleichroeder Advisers, LLC, provides asset management and related services to retail investors, high net worth individuals and institutional clients. The firm provides a range of mutual funds to its clients, with diverse investment strategies including U.S. equity, merger arbitrage and diversified and concentrated international equity. Other investment products include foreign and domestic hedge funds and institutional accounts. The firm has approximately $40 billion in assets under management, with much of the company’s investment strategy being focused on its First Eagle mutual funds. These funds include: First Eagle Global Fund, which is a long term capital growth fund; First Eagle Overseas Fund, which focuses investments in non-U.S. corporations; First Eagle U.S. Value Fund, invests in securities issued by U.S. companies; First Eagle Gold Fund, focuses on investments in the precious metals market; and First Eagle Fund of America, which is a non-diversified U.S. equity fund. All funds and fund managers maintain a conservative investment strategy focused on long-term gains, thorough research techniques and relatively low portfolio turnover. In December 2009, the company officially changed its name to First Eagle Investment Management.

BRANDS/DIVISIONS/AFFILIATES: Arnhold and S. Bleichroeder Advisers, LLC First Eagle Global Fund First Eagle Overseas Fund First Eagle U.S. Value Fund First Eagle Gold Fund First Eagle Fund of America

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. John P. Arnhold, CEO Andrea Murphy, Sr. VP-Prod. Dev. Tim Tabor, Chief Investment Officer/Co-Portfolio Mgr. Bridget Gagen, Sr. VP/Sr. Trader Francis X. Woglom, Sr. VP/Sr. Trader Jonathan R. Spitzer, Sr. VP/Co-Portfolio Mgr. John P. Arnhold, Chmn.

Phone: 212-698-3000 Fax: 212-299-4325 Toll-Free: 800-800-9006 Address: 1345 Ave. of the Americas, 44th Fl., New York, NY 10105-4300 US

FINANCIALS:





Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast: Y


Northeast: Y

International:



FIRST RESERVE CORPORATION

www.firstreserve.com




Profits:




Y



First Reserve Corporation is a private equity firm investing primarily in the energy industry. First Reserve has invested in over 70 separate companies. First Reserve generally targets investments in global energy companies with enterprise values of up to $10 billion. First Reserve’s investor base consists primarily of institutional investors, such as corporate and public retirement funds, sovereign wealth funds, endowments and foundations. The company is invested in firms such as Acteon Group Ltd.; Osage Bio Energy; PBF Energy Partners LP; Kenersys; Genpower Holdings L.P., Saxon Energy Services; Industrial Power Generating Corporation, LLC; Cobalt International Energy; China Coal Energy Company Limited; Dresser, Inc.; and Remora Energy International, L.P., among many others. In recent years, the firm acquired Spanish solar company Gamesa Solar, Italian photovoltaic plant builder Ener3 and helicopter services provider CHC Helicopter Corporation. In June 2008, the company created Torus Insurance Holdings Limited (Bermuda), a specialist insurance company for the energy industry.

BRANDS/DIVISIONS/AFFILIATES: Abbot Group Limited CHC Helicoptor Corp Osage Bio Energy PBF Energy Partners LP Kenersys Gamesa Energia, S.A. Cobalt International Energy

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. William E. Macaulay, CEO Ben A. Guill, Pres. Jennifer C. Zarrilli, CFO Caitlyn A. MacDonald, Dir.-Mktg. Maria Bliss, Head-Human Resources Gregg R. Westgate, CTO Anne E. Gold, Chief Admin. Officer Anne E. Gold, General Counsel Caitlyn A. MacDonald, Dir.-Comm. Alex R. Rogers, VP-Investor Rel. Daren R. Schneider, Controller William E. Macaulay, Chmn.

Phone: 203-661-6601 Fax: 203-661-6729 Toll-Free: Address: 1 Lafayette Place, Greenwich, CT 06830 US

FINANCIALS:





Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International:



FISERV INC

www.fiserv.com




Profits: 1



Y Y


Financial Services Investment Services Online Banking Electronic Billing & Payment Software Applications & Investment Management Solutions

Fiserv, Inc. provides integrated data processing and information management systems to approximately 16,000 financial services providers, including banks, credit unions, financial planners, investment advisers and insurance companies. It operates in two primary segments: Financial Institution Services (Financial) and Payments and Industry Products (Payments). The Financial segment provides banks, thrifts and credit unions with account processing services, item processing services, loan origination and servicing products, cash management and consulting services, as well as other products and services that support a variety of financial transactions. The Payments segment provides products and services that address a range of technology needs for the financial services industry, including: Internet banking, electronic bill payment, electronic funds transfer and debit processing, fraud and risk management capabilities, card and print personalization services, check imaging and investment account processing services for separately managed accounts. The company operates centers nationwide for full-service data processing, software development, item processing and check imaging, technology support and related product businesses, and additionally has support centers in Argentina, Australia, Canada, Colombia, China, Costa Rica, France, India, Indonesia, Luxembourg, Malaysia, Mexico, the Netherlands, the Philippines, Puerto Rico, Oland, Poland, Singapore and the U.K. In January 2008, the company sold Fiserv Health, Inc. to UnitedHealthcare Services, Inc. for approximately $480 million. In February 2008, the firm sold the majority of its Fiserv Investment Support Services business to Ameritrade Online Holdings, Inc. for approximately $200 million; In July 2008, Fiserv completed the sale of a 51% share in substantially all of the businesses in its former Fiserv Insurance segment to Trident IV, a private equity fund managed by Stone Point Capital LLC, for approximately $500 million. The company offers its employees medical and dental insurance; life and AD&D insurance; short- and long-term disability plans; an employee stock purchase plan; a 401(k) plan; education assistance; and an employee assistance plan.

BRANDS/DIVISIONS/AFFILIATES: Corillian Corp CheckFree Corp

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Jeffery W. Yabuki, CEO Jeffery W. Yabuki, Pres. Thomas J. Hirsch, CFO/Exec. VP Donald J. MacDonald, Exec. VP/Chief Mktg. Officer Bridie A. Fanning, Exec. VP-Human Resources Richard K. Jones, CIO/Exec. VP Charles W. Sprague, Chief Admin. Officer/Exec. VP Charles W. Sprague, General Counsel/Exec. VP/Corp. Sec. James W. Cox, Exec. VP-Corp. Dev. Thomas J. Hirsch, Treas. Rahul Gupta, Pres., Card Svcs. Stephen E. Olsen, Pres., Depository Institution Svcs. Douglas J. Craft, Exec. VP-Depository Institution Svcs. Thomas E. Warsop, III, Pres., Financial Institution Svcs. Donald F. Dillon, Chmn.

Phone: 262-879-5000 Fax: 262-879-5013 Toll-Free: 800-872-7882 Address: 255 Fiserv Dr., Brookfield, WI 53045 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: FISV 2008 Sales: $4,739,000 2008 Profits: $569,000 Int’l Ticker: Int’l Exchange: 2007 Sales: $3,922,000 2007 Profits: $439,000 Employees: 20,000 2006 Sales: $3,566,000 2006 Profits: $450,000 Fiscal Year Ends: 12/31 2005 Sales: $4,059,478 2005 Profits: $516,438 Parent Company:

SALARIES/BENEFITS: ESOP Stock Plan: Stock Purch. Plan: Y


Y Y


TYPES OF BUSINESS:


Y

Profit Sharing:


Bonus: $1,092,000 Bonus: $640,600


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



FMR CORP (FIDELITY INVESTMENTS) Industry Group Code: 523920 Ranks within this company's industry group: Sales: 2 Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y


Y

www.fidelity.com Profits:


Y




TYPES OF BUSINESS: Mutual Funds Human Resources Administration Services Employee Benefits Services Online Brokerage Outsourced Staffing and Recruiting Services Clearing and Execution Products and Services Real Estate Investments Institutional Account Management and Services

FMR Corp., operating as Fidelity Investments, is one of the nation’s largest mutual fund companies and one of the world’s largest providers of financial services. The company offers more than 300 mutual funds. FMR is also one of the largest providers of 401(k) retirement savings plans in the U.S. and a leading provider of 403(b), 457 and 401(a) retirement plans for colleges, universities, health care institutions, state agencies and local governments. Fidelity Management & Research Company, with more than 500 analysts and traders, is the investment advisor to Fidelity's funds. The company’s fastest-growing unit, Fidelity Employer Services Co., administers benefit plans for over 14,000 employers and offers human resources administration and employee benefits services through the Human Resources Services unit. FMR also provides investment management products and services such as the Fidelity Advisor family of mutual funds. Through Fidelity Brokerage Services, individual investors can buy and sell stocks, bonds, options, and more than 4,400 mutual funds. The company serves retail customers by phone and through nearly 100 investor centers located throughout the country in more than 65 cities. The firm has additional operations in South America, Europe, Asia, the Middle East, Africa and Australia. Outside of the U.S., Fidelity’s operations are conducted through its subsidiaries, including Fidelity International, Ltd.; Fidelity Investments Canada, Ltd.; Fidelity Investments Management (H.K.), Ltd.; Fidelity Investments Japan; and Fidelity Brokerage Services Japan LLC. FMR’s newest unit is Pyramis, a spin-off designed to enhance services and investment products for institutional investors such as corporate and public retirement funds, endowments and foundations. FMR offers its employees medical and dental insurance, a 401(k) plan, adoption assistance and tuition reimbursement, as well as a number of health programs such as a fitness reimbursement program and tobacco cessation program.

BRANDS/DIVISIONS/AFFILIATES: Fidelity Investments Fidelity Management & Research Company (FMR Co.) Pyramis Global Advisors Fidelity Employer Services Co. Fidelity International, Ltd. Fidelity Brokerage Services Fidelity Investments Canada, Ltd. Bostoncoach

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Edward C. Johnson, III, CEO Rodger Lawson, Pres. Ellyn A. McColgan, Pres., Oper. Patrick Goepel, Pres., Human Resources Svcs. Marvin Adams, Pres., Shared Svcs. Michael Clark, Pres., Institutional Svcs. Ted Rudich, Exec. VP-Global Integrated Svcs. Edward C. Johnson, III, Chmn.

Phone: Fax: Toll-Free: 800-343-3548 Address: 82 Devonshire St., Boston, MA 02109 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Private 2008 Sales: $12,900,000 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $14,900,000 2007 Profits: $ Employees: 42,000 2006 Sales: $12,870,000 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



FORTRESS INVESTMENT GROUP LLC Industry Group Code: 523910 Ranks within this company's industry group: Sales: 6 Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y


www.fortressinv.com

Profits: 5




Y


TYPES OF BUSINESS: Investments, Private Equity Funds Investments, Hedge Funds Publicly Traded Alternative Investment Vehicles

Fortress Investment Group, LLC is a global alternative asset manager with roughly $32 billion in assets under management. The company raises, invests and manages private equity funds, hedge funds and publicly traded alternative investment vehicles. The private equity business is made up of a series of funds named the Fortress Investment Funds and organized to make control-oriented investments in cash flow generating, asset-based businesses in North America and Europe. In addition, the firm manages the Long Dated Value family of funds, which focuses on making investments with long dated cash flows that may be undervalued. The hedge fund business focuses on absolute returns and is comprised of two business segments: hybrid hedge funds and liquid hedge funds. The hybrid hedge funds are designed to exploit pricing anomalies that exist between the public and private finance markets. The funds are able to invest a wide array of financial instruments, ranging from assets, opportunistic lending situations and securities throughout the capital structure with a value orientation. The liquid hedge funds, which invest daily in markets around the globe, seek to exploit opportunities in global currency, interest rate, equity and commodity markets and their related derivatives. The funds invest with a focus on preservation of capital. The company also manages two publicly traded companies: Newcastle Investment Corp. and Eurocastle Investment, Ltd., which make investments in a wide variety of real estate related assets, including securities, loans and real estate properties. Fortress Investment earns and manages fees based on the size of its funds, incentive income based on the performance of its funds and investment income from its principal investments in those funds. In June 2009, the company received approval to manage the funds and accounts of D.B. Zwirn & Co., L.P. The funds will be renamed the Fortress Value Recovery Funds I.

BRANDS/DIVISIONS/AFFILIATES: Florida East Coast Industries Inc Intrawest Corporation Fortress Value Recovery Funds I

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Daniel H. Mudd, CEO Randal Nardone, COO Michael Novogratz, Pres. Daniel N. Bass, CFO David Brooks, General Counsel/VP/Sec. Lilly Donohue, Managing Dir.-Investor Rel. Peter L. Briger, Jr., Co-Chmn. Wesley R. Edens, Co-Chmn. Robert Kauffman, Pres., Europe

Phone: 212-798-6100 Fax: Toll-Free: Address: 1345 Ave. of the Americas, New York, NY 10105 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: FIG 2008 Sales: $731,800 2008 Profits: $-322,288 Int’l Ticker: Int’l Exchange: 2007 Sales: $1,236,015 2007 Profits: $-59,803 Employees: 850 2006 Sales: $1,521,304 2006 Profits: $442,884 Fiscal Year Ends: 12/31 2005 Sales: $1,043,399 2005 Profits: $192,676 Parent Company:




Profit Sharing:


Bonus: $1,750,000 Bonus: $1,750,000


Southwest: Y

Midwest:

Southeast:


Northeast: Y

International: Y



FRANK RUSSELL COMPANY

www.russell.com



Y


Y

Profits:


Y


Y Y



TYPES OF BUSINESS: Investment Management Pension Fund Management Mutual Funds Market Research Consulting

Frank Russell Company, a subsidiary of Northwestern Mutual Life Insurance Co., is a global leader in investment management and consulting for institutional and individual investors, with $174.4 billion in assets under management. Russell’s primary business is consulting with large institutions and companies and providing investment solutions such as mutual funds, retirement investments, institutional asset management and implementation services. The company maintains an extensive research department devoted to researching, interviewing and assessing professional mutual fund managers. Based on this research, the firm creates a diversified mutual fund whereby its institutional clients can invest in a balanced selection of mutual fund managers. Russell currently advises more than 2,900 institutional clients in more than 46 countries. The company operates major offices in Amsterdam, Auckland, Johannesburg, London, Melbourne, New York, Paris, San Francisco, Seoul, Singapore, Sydney, Tokyo and Toronto. Some of the firm’s major U.S. clients include AT&T, Caterpillar, the Bill & Melinda Gates Foundation, Boeing and Coca-Cola. The Russell Investment Company is also well known for its domestic and international equity indices, including the Russell 2000, which measures small-cap U.S. equities; and the Russell Global Index, which measures global equities in 65 countries. The Russell 20-20 is an independent non-profit association founded by the company’s former chairman George F. Russell, Jr. The invitation only association assesses opportunities for investment in major emerging financial markets worldwide. The Russell 20-20 relies heavily on Russell EMPulse, a market research initiative designed to promote dialogue and understanding between emerging economies. The company offers its employees medical, dental and vision; short and long term disability; a 401(k) plan; a profit sharing plan; transportation benefits; tuition assistance; flexible spending account; AD&D insurance; an employee assistance program; and adoption assistance.

BRANDS/DIVISIONS/AFFILIATES: Russell Investment Group Northwest Mutual Life Insurance Company Russell 2000 Russell 20-20 Russell EMPulse Russell Global Indexes

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. John Schlifske, CEO John Schlifske, Pres. Ron Bundy, Managing Dir.-Russell Indexes Ernie Ankrim, Chief Investment Strategist Heather Myers, Dir.-Foundation & Endowment Strategy Karl Smith, Dir.-Real Estate

Phone: 253-572-9500 Fax: 253-439-3495 Toll-Free: 800-787-7354 Address: 909 A St., Tacoma, WA 98402 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company: NORTHWESTERN MUTUAL LIFE INSURANCE CO




Profit Sharing: Y


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



FRANKLIN RESOURCES INC (FRANKLIN TEMPLETON) www.franklintempleton.com Industry Group Code: 523920 Ranks within this company's industry group: Sales: 6 Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y


Y

Profits: 3


Y




TYPES OF BUSINESS: Investment Management Mutual Funds Administrative Services

Franklin Resources, Inc. is a holding company that, together with its various subsidiaries is referred to as Franklin Templeton Investments. Franklin Templeton Investments is a global investment management organization offering services under the Franklin, Templeton, Mutual Series, Bissett, Fiduciary and Darby brand names. The company primarily offers investment management and related services to investment funds, high net-worth and separately-managed accounts in the U.S. and internationally. Its investment management and related services include fund administration, shareholder services, transfer agency, underwriting, distribution, custodial, trustee, and other fiduciary services. Its sponsored investment products include equity, hybrid, fixed-income and cash management funds and accounts. Most of the investment funds managed by Franklin Templeton investments are mutual funds. In 2009, the company counted $523.4 billion in assets under management with approximately 21.4 billion shareholder accounts worldwide. It also provides clients with select retail banking and consumer lending services through its subsidiaries. The California- based company has 30 international offices and offers services in over 150 countries. In February 2009, the firm announced the opening of a new office in Kuala Lumpur, Malaysia, and in that same month, launched a local asset company in Mexico, Franklin Templeton Asset Management Mexico S.A. de C.V. Employees are offered a 401(k); a profit sharing plan; medical, dental and vision plans for full and part time employees; long –and short-term disability insurance; life and AD insurance; access to on-site fitness centers, dry cleaning facilities, game rooms, and massage services; a $50 mutual fund for each newborn or newly adopted child; and group rate discounts on expenses such as automobile, homeowners, renters and pet insurance.

BRANDS/DIVISIONS/AFFILIATES: Franklin Templeton Investments Franklin Mutual Series Bissett Darby Fiduciary Templeton Franklin Templeton Asset Management Mexico S.A.

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Gregory E. Johnson, CEO Gregory E. Johnson, Pres. Kenneth A. Lewis, CFO/Exec. VP Penelope S. Alexander, VP-Human Resources, U.S. Jennifer J. Bolt, Exec. VP-Tech. Rick Frisbie, Jr., Chief Admin. Officer/Sr. VP Craig S. Tyle, General Counsel Jennifer J. Bolt, Exec. VP-Oper. William Y. Yun, Exec. VP-Alternative Strategies Holly E. Gibson, VP-Corp. Comm. Leslie M. Kratter, Exec. VP Rupert H. Johnson, Jr., Vice. Chmn. Charles B. Johnson, Chmn. Donna S. Ikeda, VP-Human Resources, Int'l Vijay C. Advani, Exec. VP-Global Dist.

Phone: Fax: Toll-Free: 800-632-2301 Address: 1 Franklin Pkwy., Bldg. 970, 1st Fl., San Mateo, CA 94403 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: BEN 2008 Sales: $6,032,400 2008 Profits: $1,588,200 Int’l Ticker: Int’l Exchange: 2007 Sales: $6,205,769 2007 Profits: $1,772,938 Employees: 8,800 2006 Sales: $5,050,726 2006 Profits: $1,267,568 Fiscal Year Ends: 9/30 2005 Sales: $4,310,100 2005 Profits: $1,057,600 Parent Company:




Profit Sharing: Y


Bonus: $2,400,000 Bonus: $1,162,500


Southwest:

Midwest:

Southeast: Y


Northeast: Y

International: Y



GAMCO INVESTORS INC

www.gabelli.com


Y


Y


Y

Profits: 19


Y




TYPES OF BUSINESS: Investment Management Brokerage Services Alternative Investments Mutual Funds

GAMCO Investors, Inc., formerly Gabelli Asset Management, Inc., is a leading provider of investment advisory and brokerage services to mutual funds, institutional and private wealth management investors and investment partnerships. The firm manages assets on a discretionary basis and invests in a variety of U.S. and international securities through various investment styles. GAMCO has approximately $24.5 billion in assets under management, 93% of which are invested in equity securities. The firm’s assets under management are organized into three operating groups: investment partnerships, providing advisory services to limited partnerships and offshore funds; institutional and private wealth management, providing advisory services to investors including private wealth management, corporate pension and profit-sharing plans, foundations, endowments, jointly-trusteed plans and municipalities; and open and closed-end funds, providing advisory services to 30 funds within the GAMCO family of funds and seven mutual funds within the Westwood family of funds. The firm offers a broad array of investment strategies that include global, growth, international and convertible products. The company conducts its investment advisory business primarily through three subsidiaries: GAMCO Asset Management, Inc. (separate accounts); Gabelli Funds LLC (mutual funds); and Gabelli Securities, Inc. (investment partnerships). The company also acts as underwriter and distributor of its open-end mutual funds and provides institutional research through Gabelli & Company, Inc., its broker-dealer subsidiary. The firm maintains offices in Rye, New York; Palm Beach, Florida; Chicago, Illinois; Reno, Nevada; Greenwich, Connecticut; Minneapolis, Minnesota; Saint Louis, Missouri; London, England; and Hong Kong and Shanghai, China. In November 2008, GAMCO announced plans to open an office in Hong Kong. In February 2009, GAMCO spun off its majority-controlled investment adviser, Teton Advisors, Inc.

BRANDS/DIVISIONS/AFFILIATES: GAMCO Asset Management, Inc. Gabelli Securities, Inc. Gabelli Funds LLC Westwood Teton Advisors, Inc.

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Mario J. Gabelli, CEO Douglas R. Jamieson, COO Douglas R. Jamieson, Pres. Jeffrey M. Farber, CFO/Exec. VP Bruce N. Alpert, Exec. VP/COO-Gabelli Funds, LLC Henry G. Van der Eb, Sr. VP Agnes Mullady, Sr. VP Mario J. Gabelli, Chmn.

Phone: 914-921-5100 Fax: 914-921-5392 Toll-Free: 800-422-3554 Address: 1 Corporate Ctr., Rye, NY 10580-1422 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: GBL 2008 Sales: $245,012 2008 Profits: $24,866 Int’l Ticker: Int’l Exchange: 2007 Sales: $292,369 2007 Profits: $79,569 Employees: 2006 Sales: $261,463 2006 Profits: $71,927 Fiscal Year Ends: 12/31 2005 Sales: $253,332 2005 Profits: $63,516 Parent Company:




Profit Sharing:


Bonus: $100,000 Bonus: $50,000


Southwest:

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



GENWORTH FINANCIAL INC

www.genworth.com



Y


Profits: 16



Y



TYPES OF BUSINESS: Life Insurance Annuities Group Health, Life, Dental & Disability Insurance Payment Protection Insurance Mortgage Insurance Retirement Income & Investment Products & Services Long-Term Care Insurance

Genworth Financial, Inc. is a financial security and insurance company focused on developing solutions that help the investment, protection, homeownership, retirement and independent lifestyle needs of more than 15 million customers with a presence in more than 25 countries. The company operates in three segments: retirement and protection; international; and U.S. mortgage insurance. The retirement and protection segment provides protection, wealth accumulation, retirement income and institutional products, such as: life insurance; long-term care insurance; a linked-benefits product that combines long-term care insurance with universal life insurance; Medicare supplement insurance; wellness and care coordination services for its long-term care policyholders; fixed and variable deferred and immediate individual annuities; group variable annuities offered through retirement plans; a variety of managed account programs, financial planning services and mutual funds; funding agreements; funding agreements backing notes; and guaranteed investment contracts. The international division provides structured, or bulk, mortgage insurance products as well as analytical tools and technology in Canada, Australia, New Zealand, Mexico and various European countries. This division also provides payment protection in North America and Europe. The U.S. mortgage insurance segment offers flow, or prime-based, individually underwritten residential mortgage loans. Genworth Financial also has corporate and other activities, which consist primarily of unallocated corporate income and expenses, results of a small, non-core business and most interest and other financing expenses. In January 2009, the company agreed to sell Genworth Seguros Mexico, S.A de C.V., which consists of automobile, property, casualty, life and personal accident insurance in order to focus on mortgage and lifestyle protection insurance in Mexico. Employees are offered medical, dental and vision insurance; life insurance; disability coverage; flexible spending accounts; child care subsidies; pension; 401(k) plans; an employee discount program; and tuition reimbursement.

BRANDS/DIVISIONS/AFFILIATES: Genworth Seguros Mexico, S.A de C.V.

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Michael D. Fraizer, CEO Michael D. Fraizer, Pres. Patrick B. Kelleher, CFO/Sr. VP Michael S. Laming, Sr. VP-Human Resources Scott J. McKay, CIO Leon E. Roday, General Counsel/Sr. VP/Sec. Joseph J. Pehota, Sr. VP-Corp. Dev. Michel Perreault, Chief Risk Officer/Sr. VP Kevin Schneider, Pres., US Mortgage Insurance Ronald Joelson, Chief Investment Officer/Sr. VP Pamela Schutz, Exec. VP-Retirement & Protection Michael D. Fraizer, Chmn. Thomas Mann, Exec. VP-Int'l

Phone: 804-281-6000 Fax: 804-662-2414 Toll-Free: 888-436-9678 Address: 6620 W. Broad St., Richmond, VA 23230 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: GNW 2008 Sales: $9,948,000 2008 Profits: $-572,000 Int’l Ticker: Int’l Exchange: 2007 Sales: $11,125,000 2007 Profits: $1,154,000 Employees: 6,000 2006 Sales: $10,285,000 2006 Profits: $1,283,000 Fiscal Year Ends: 12/31 2005 Sales: $10,504,000 2005 Profits: $1,221,000 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



GFI GROUP INC

www.gfigroup.com


Y



Profits: 6



Y Y



TYPES OF BUSINESS: Specialty Stock Broker, Derivatives Securities Trading Stock Data & Analytics Products Electronic Trading Systems Energy Derivatives

GFI Group, Inc. is an inter-dealer broker specializing in overthe-counter derivatives products and related securities. The firm provides brokerage services and data and analytics products to institutional clients, functioning as an intermediary on behalf of its clients by matching their trading needs with counterparties having reciprocal interests. GFI has offices in North America, Europe, the U.K., Asia, Africa, the Middle East and Australia. The company focuses on the more complex and often less liquid markets for sophisticated financial instruments, primarily over-the-counter derivatives, that offer an opportunity for strong growth and higher commissions per transaction than the markets for more standardized financial instruments. GFI has 860 brokers serving over 2,100 brokerage and data and analytics clients, including leading commercial and investment banks. The firm’s primary offering is credit derivatives. The company also offers investment grade, crossover, high-yield and distressed bonds; asset-backed securities; mortgages; bank capital, floating rate notes, loans and preferred shares; emerging market bond options; FX options; interest rate derivatives; repurchase agreements; various equity products; energy and commodity trading; and property derivatives. GFI owns Trayport Ltd., a supplier of multi-asset class electronic trading systems such as the GlobalVision platform; and Amerex Brokers LLC, an over-the-counter energy derivatives broker. The company has electronic trading systems to support its voice brokerage operations in a number of energy markets, including: EnergyMatch, enabling efficient price discovery and trade input, displaying firm and tradable prices; CreditMatch, a platform for credit derivatives and bonds; and ForexMatch, for use with FX option trading. The firm provides data and analysis services to most of these markets using its FENICS technology. In February 2009, GFI Group launched Octagon, an Asian equity segment; and new electronic trading program GFI FreightView. In September 2009, the company and CB Richard Ellis introduced Property Match, a trading portal that promotes unlisted real estate funds.

BRANDS/DIVISIONS/AFFILIATES: FENICS FENICS Credit Century Chartering CreditMatch ForexMatch EnergyMatch Amerex Brokers LLC Trayport Ltd

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Michael A. Gooch, CEO Ron Levi, COO Colin Heffron, Pres. James A. Peers, CFO Richard Brunt, Head-Global Sales, FENICS Analytics & Data Sheena Griffiths, Dir.-Global Human Resources Scott Pintoff, General Counsel/Corp. Sec. Prash Naik, Managing Dir.-European Finance & Oper. J. Christopher Giancarlo, Exec. VP-Corp. Dev. Chris Ann Casaburri, Mgr.-Investor Rel. Tom Cancro, Controller Nick Brown, Managing Dir.-Financial Prod. Brokerage, N America Jim Higgins, Managing Dir.-N. America Credit Brokerage Mark Souffir, Managing Dir.-Paris Julian Swain, Managing Dir.-London Michael A. Gooch, Chmn. Scott Tatham, Managing Dir.-Asia


FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: GFIG 2008 Sales: $1,015,503 2008 Profits: $53,106 Int’l Ticker: Int’l Exchange: 2007 Sales: $970,541 2007 Profits: $94,858 Employees: 1,740 2006 Sales: $747,183 2006 Profits: $61,078 Fiscal Year Ends: 12/31 2005 Sales: $533,592 2005 Profits: $48,103 Parent Company:




Y Y Y

Profit Sharing:


Bonus: $700,000 Bonus: $900,000


Southwest: Y

Midwest:

Southeast:


Northeast: Y

International: Y



GLG PARTNERS INC

www.glgpartners.com



Y


Y

Profits: 6


Y




TYPES OF BUSINESS: Hedge Funds Alternative Investments

GLG Partners, Inc. is one of the largest independent alternative asset managers in the world. The firm offers a diverse range of traditional and alternative investment products and account management services. The company operates in one business segment: the management of global funds and accounts. GLG Partners’ portfolio includes over 40 funds and more than 20 managed accounts, comprising both alternative and long-only strategies. The company derives revenue primarily from management fees and administration fees charged to the GLG Funds and accounts it manages based on the value of assets in these funds and accounts; and performance fees charged to the GLG Funds and accounts it manages based on the performance of these funds and accounts. GLG Partners derives approximately 87% of its revenues from alternative strategy funds; long-only funds account for roughly 10%; and the remaining 3% of revenues are derived from managed accounts. The company receives dedicated research, administrative and certain discretionary portfolio management services from GLG, Inc., an affiliate located in New York, which was acquired in early 2008. The firm has roughly $24 billion in assets under management. In April 2009, GLG Partners acquired Societe Generale Asset Management UK, the long-only asset management division of Societe Generale UK.

BRANDS/DIVISIONS/AFFILIATES: GLG Inc Societe Generale Asset Management UK

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Noam Gottesman, Co-CEO Simon White, COO Jeffrey M. Rojek, CFO Alejandro San Miguel, General Counsel/Corp. Sec. David Waller, Dir.-Comm. Emmanuel Roman, Co-CEO Michael Hodes, Dir.-Public Markets Carl Esprey, Co-Head-European Basic Resources Investments Tim Medland, Co-Head-European Basic Resources Investments Noam Gottesman, Chmn. Javier Velazquez, Head-European Industrial Investments

Phone: 44-020-7016-7000 Fax: Toll-Free: Address: 1 Curzon St., London, W1J 5HB UK

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: GLG 2008 Sales: $494,991 2008 Profits: $-629,697 Int’l Ticker: Int’l Exchange: 2007 Sales: $1,040,118 2007 Profits: $-310,508 Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



GOLDMAN SACHS GROUP INC

www2.goldmansachs.com


Y Y


Y Y Y Y


Y Y Y Y

Profits: 1



Y Y



TYPES OF BUSINESS: Investment Banking Securities & Investment Management Financial Services Asset Management Bank Holding Company

Goldman Sachs Group, Inc. is an investment banking, securities and investment management firm operating in over 30 countries. The firm has three main business divisions: investment banking; trading and principal investments; and asset management and securities services. The investment banking division, which accounted for 23% of net revenues in 2008, handles financial advisory and underwriting. Trading and principal investments segment, which accounted for 41%, is divided into three segments: fixed income, currency and commodities; equities; and principal investments. The asset management and securities services division, responsible for 36%, offers asset management, which includes advisory services and investments products across all major asset classes such as money markets, fixed income, equities and alternative investments; and securities services, which include prime brokerage, financing services and securities lending. The Goldman Sachs PrimeAccess program in Europe and the U.S. delivers investment research, products and execution services to brokerage firms. Goldman Sachs’ Institutional Portal gives clients access to a range of market insights and intelligence including research reports, company information, business opportunities and trading data. Clients include corporations, financial institutions, governments and high-net-worth individuals. In recent news, the firm has opened offices in Mumbai, Moscow, Sao Paulo, Dubai, Qatar and Tel Aviv; opened banks in Brazil and Ireland; and entered into the asset management business in South Korea. In September 2008, the firm elected to become a bank holding company. It will transition to a business model that it more regulated, uses less leverage and may attract more retail deposits. Employees are offered medical, dental and vision insurance; tuition reimbursement; an employee discounts and services program; discounted banking, loans and mortgages; an employee investing services.

BRANDS/DIVISIONS/AFFILIATES: PrimeAccess Institutional Portal USI Holdings Corporation

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Lloyd C. Blankfein, CEO Gary Cohn, COO Gary Cohn, Pres. David A. Viniar, CFO/Exec. VP Gregory K. Palm, Co-General Counsel/Exec. VP/Sec. Esta E. Stecher, Co-General Counsel/Exec. VP/Sec. Alan M. Cohen, Exec. VP/Global Head-Compliance Lloyd C. Blankfein, Chmn.

Phone: 212-902-1000 Fax: 212-902-3000 Toll-Free: Address: 85 Broad St., New York, NY 10004 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: GS 2008 Sales: $53,579,000 2008 Profits: $2,322,000 Int’l Ticker: Int’l Exchange: 2007 Sales: $87,968,000 2007 Profits: $11,599,000 Employees: 30,067 2006 Sales: $69,353,000 2006 Profits: $9,537,000 Fiscal Year Ends: 11/30 2005 Sales: $43,391,000 2005 Profits: $5,626,000 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



GREENHILL & COMPANY INC

www.greenhill-co.com


Y



Y

Profits: 11


Y


Y Y



TYPES OF BUSINESS: Investment Banking Mergers & Acquisitions Advisory Services Merchant Banking Fund Management Fund Placement Services

Greenhill & Company, Inc. is an independent investment banking company. The firm has two basic divisions: financial advisory and merchant banking fund management. The financial advisory section provides a wide range of advice to global clients in regards to mergers, acquisitions, restructurings and similar corporate finance matters, and is generally involved at each stage of these transactions, from initial structuring to final execution. Acquisition advisory services include valuation, tactics, industry dynamic, structuring alternative, timing and pricing of transaction and financing alternative advisory services and the rendering of fairness opinions. Through its restructuring practice, the firm advises debtors, creditors and companies experiencing financial distress, as well as potential acquirers of distressed companies and assets. The firm also offers advice on valuation, restructuring alternatives, capital structures and sales or recapitalizations; and fund placement services for private equity and other financial sponsors. Financial advisory activities account for 98% of company revenues. The firm’s merchant banking fund management activities consist primarily of an investment in Greenhill Capital Partners, Greenhill SAV Partners and Greenhill Capital Partners Europe, which are families of merchant banking funds that invest in portfolio companies. These are generally non-public companies intending to divest within 3-5 years. Merchant banking activities account for 2% of company revenues. Greenhill has locations in New York, London, Frankfurt, Toronto, San Francisco and Dallas, and in late 2008 opened offices in Tokyo and Chicago. In September 2009, the company acquired Iridium Holdings LLC, a provider of voice and data mobile satellite services, which was renamed Iridium Communications, Inc. In October 2009, announced its intention to sell its right-to-launch successor funds to its merchant banking funds as part of a plan to transition out of the merchant banking market over time.

BRANDS/DIVISIONS/AFFILIATES: Greenhill Capital Partners Greenhill SAV Partners Greenhill Capital Partners Europe Iridium Holdings LLC Iridium Communications, Inc.

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Scott L. Bok, Co-CEO Richard Lieb, CFO Tom Dunn, Dir.-IT Harold J. Rodriguez, Jr., Chief Admin. Officer Ulrika Elman, General Counsel/Sec. Simon Borrows, Co-CEO Robert H. Niehaus, Chmn.-Greenhill Capital Partners Michael Jordre, VP/Controller-Greenhill Capital Partners Robert Knox, VP/Dir.-Tax Robert F. Greenhill, Chmn.

Phone: 212-389-1500 Fax: Toll-Free: Address: 300 Park Ave., 23rd Fl., New York, NY 10022 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: GHL 2008 Sales: $221,873 2008 Profits: $48,978 Int’l Ticker: Int’l Exchange: 2007 Sales: $400,422 2007 Profits: $115,276 Employees: 234 2006 Sales: $290,646 2006 Profits: $75,666 Fiscal Year Ends: 12/31 2005 Sales: $221,152 2005 Profits: $55,532 Parent Company:




Profit Sharing:


Bonus: $74,681 Bonus: $92,366


Southwest: Y

Midwest: Y

Southeast:


Northeast: Y

International: Y



GUARDIAN LIFE INSURANCE COMPANY OF AMERICA www.guardianlife.com Industry Group Code: 524113 Ranks within this company's industry group: Sales: 16 Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y Y


Y

Profits: 11





TYPES OF BUSINESS: Life Insurance Online Services Employee Benefit Plans Annuities & Mutual Funds Investment Management

Guardian Life Insurance Company of America, which has approximately $39.1 billion in assets, is one of the largest mutual life insurance companies in the U.S. The company offers a diversified portfolio of financial services, including life, disability income, health and dental insurance; pension, retirement and estate planning; and investment products such as mutual funds and variable annuities. Guardian and its subsidiaries provide financial services to nearly 3 million people through operations in all 50 states, Washington, D.C. and Puerto Rico. The firm also provides employee benefits programs, including health, dental and life insurance; and 401(k) plans, which cover more than 120,000 employers with 6 million employees and their dependents. Guardian’s broad array of investment products includes variable annuities, mutual funds, stocks, bonds and variable life insurance. The company provides financial services to its customers through several web sites. Guardian’s Anytime on the web lets employees find out how much optional life, disability and dental insurance will cost them per paycheck. They can price various coverage levels to choose benefits that meet their needs. The application also features a directory of health care professionals. In July 2008, the firm launched DI@Work, a supplemental disability income (DI) insurance program through its wholly-owned stock subsidiary, Berkshire Life Insurance Company of America. DI@Work allows benefits managers and business owners to differentiate their benefits portfolios. In August 2008, Guardian initiated new critical illness coverage, providing cash benefits for cancer, heart attack, stroke, major organ transplant, end stage renal failure (kidney failure) and coronary artery bypass graft. In April 2009, Guardian added will preparation services to its life insurance offerings. Guardian offers its employees medical, dental and vision plans; flexible spending accounts; a 401(k) plan; a pension plan; employee assistance; child and elder care assistance; counseling; disability and life insurance; adoption assistance; and group long term care.

BRANDS/DIVISIONS/AFFILIATES: DI@Work

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Dennis J. Manning, CEO K. Rone Baldwin, COO/Exec. VP Dennis J. Manning, Pres. Robert E. Broatch, CFO/Exec. VP-Risk & Oper. Excellence John P. McCarthy, Exec. VP-Human Resources Tracy L. Rich, General Counsel/Exec. VP/Corp. Sec. D. Scott Dolfi, Exec. VP-Retirement Prod. & Svcs. Deanna M. Mulligan, Exec. VP-Individual Life & Disability Insurance Gary B. Lenderink, Exec. VP/Chief Transformation Officer Thomas G. Sorell, Exec. VP/Chief Investment Officer Margaret W. Skinner, Exec. VP-Individual Prod. Dist.

Phone: 212-598-8000 Fax: 212-919-2170 Toll-Free: 866-425-4542 Address: 7 Hanover Sq., H-26-E, New York, NY 10004-2616 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Mutual Company 2008 Sales: $7,472,000 2008 Profits: $437,000 Int’l Ticker: Int’l Exchange: 2007 Sales: $7,648,000 2007 Profits: $292,000 Employees: 2006 Sales: $7,491,000 2006 Profits: $376,000 Fiscal Year Ends: 12/31 2005 Sales: $7,396,000 2005 Profits: $375,000 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International:



H&R BLOCK INC

www.hrblock.com



Y Y


Profits: 1



Y



TYPES OF BUSINESS: Tax Return Preparation Services Electronic Tax Return Filing Stock Brokerage Middle Market Business Services Investment Services & Funds Accounting Services Consulting Services

H&R Block, Inc. (HRB), through its subsidiaries, provides tax, retail banking, accounting and business consulting services and products. Its three primary operating divisions are tax services, business services and consumer financial services. The tax services segment is primarily engaged in providing tax return preparation and related services and products in the U.S., Canada and Australia. Revenues include fees earned for services performed at company-owned retail tax offices, royalties from franchise retail tax offices, sales of tax preparation and other software, fees from online tax preparation, participation in refund anticipation loans and Emerald Advance lines of credit. The tax services segment accounts for 74% of the firms consolidated revenues from continuing operations for 2009. The business services segment offers accounting, tax and business consulting services, wealth management and capital markets services to middle-market companies under the RSM McGladrey, Inc. brand. This segment accounts for 22% of consolidated revenues from continuing operations in 2009. The consumer financial services segment is engaged in providing retail banking offerings through H&R Block Bank, primarily to clients in the U.S. H&R Block Bank offers limited traditional banking services, including prepaid debit card accounts, checking and savings accounts IRAs and CDs, to H&R Block tax clients. Revenues from H&R Block’s consumer financial services business comprise 4% of consolidated revenues from continuing operations in 2009. In August 2008, the company agreed to sell H&R Block Financial Advisors to Ameriprise Financial, Inc. In September 2008, HRB agreed to acquire H&R Block Houston LLC and a group of related companies, the operator of its franchise units in Texas, Oklahoma and Arkansas, for approximately $278 million. Employees are offered a 401(k) plan; medical, dental, vision, life, disability, AD&D insurance; a stock purchase plan; employee assistance program; a legal services plan; and tuition and adoption assistance.

BRANDS/DIVISIONS/AFFILIATES: Tax Services Consumer Financial Services Business Services H&R Block Bank RSM McGladrey, Inc.

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Russell P. Smyth, CEO Russel P. Smyth, Pres. Becky S. Shulman, CFO Robert Turtledove, Chief Mktg. Officer/Sr. VP Tammy S. Serati, Sr. VP-Human Resources Richard Agar, CIO/Sr. VP Brian Woram, General Counsel/Sr. VP Becky S. Shulman, Sr. VP/Treas. Kathryn Fulton, Sr. VP-Gov't Rel. & Public Policy Jeffrey Brown, VP/Corp. Controller Charles Andrews, Pres., RSM McGladrey, Inc. Richard C. Breeden, Chmn.

Phone: 816-854-3000 Fax: 816-753-5346 Toll-Free: 800-472-5625 Address: 1 H&R Block Way, Kansas City, MO 64105 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $4,083,577 2009 Profits: $485,673 U.S. Stock Ticker: HRB 2008 Sales: $4,086,630 2008 Profits: $-308,647 Int’l Ticker: Int’l Exchange: 2007 Sales: $3,710,362 2007 Profits: $-433,653 Employees: 133,700 2006 Sales: $3,574,753 2006 Profits: $490,408 Fiscal Year Ends: 4/30 2005 Sales: $3,146,369 2005 Profits: $623,910 Parent Company:




Profit Sharing:


Bonus: $900,000 Bonus: $783,750


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



HANWHA SECURITIES CO LTD

www.koreastock.co.kr


Y



Y

Profits:





TYPES OF BUSINESS: Financial Services

Hanwha Securities Co., Ltd., established in 1962, provides financial services in Korea through 57 branch locations. The firm is involved in stock brokerage; asset management; bond trading and dealing; and investment banking. Its Smart CMA (cash management account) offering is an asset management account providing banking services and brokerage services for stock, bond and fund trading. The company serves 390,000 customers through its Smart CMA offering. Hanwha Securities, together with Korea Life Insurance and Hanwha Non-Life Insurance, provides insurance, stock brokerage, trust funds, loans, deposits and financial advice from one location at the Hanwha Financial Plaza complex. An additional 70 Hanwha Financial Plazas are planned to open in Korea. Through a strategic alliance with Haitong Securities and Fortis-Haitong Investment Trust Management, Hanwha Securities also provides its services in the Chinese and Central Asian markets. Together, the companies have launched the Hanwha Dream & Green Fund, one of the first to invest in Chinese A-shares. Hanwha Securities additionally has strategic partnerships with Russian asset management firm Renaissance Capital and Vietnam-based security firm Sacombank Securities. The firm has a 50% stake in securities and asset management company Seven River Capital (SRC), based in Kazakhstan. In February 2008, the company established Hanwha Investment & Consulting, an investment and consulting advisory firm in Shanghai.

BRANDS/DIVISIONS/AFFILIATES: Smart CMA Korea Life Insurance Hanwha Non-Life Insurance Hanwha Financial Plaza Hanwha Dream & Green Fund Seven River Capital (SRC) Hanwha Investment & Consulting

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Yong-Ho Lee, CEO Yong-Ho Lee, Pres.

Phone: 82-2-3772-7000 Fax: 82-2-3772-7099 Toll-Free: Address: 23-5 Yoido-dong, Youngdeungpo-ku, Seoul, 150-876 Korea

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: 2008 Sales: $ 2008 Profits: $ Int’l Ticker: 003530 Int’l Exchange: Seoul-KRX 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 2005 Sales: $ 2005 Profits: $ Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast:

International: Y



HARRIS BANKCORP INC

www.harrisbank.com


Y


Y Y


Y Y Y

Profits:



Y Y



TYPES OF BUSINESS: Banking Asset Management Private Banking Services Investment Banking Financial Planning

Harris Bankcorp, Inc., a subsidiary of BMO Financial Group, is one of the largest consumer banking companies in the Chicago area, largely through its numerous subsidiaries. The firm provides banking, lending, investing and wealth management solutions to 1.2 million clients through 280 branch offices and 636 ATMs across Illinois, Indiana and Wisconsin, as well as affiliated locations in Arizona, Florida, New York, Texas, Washington, California, Georgia, New Jersey and Virginia. Harris’s services include investment and retirement planning, mortgage, international, private banking, treasury, financial planning, investment management, trust and estate and business financial management services, as well as employee benefits, card services and investment and corporate banking. Harris’s subsidiaries include Harris Private Bank, which handles the firm’s wealth management functions; Harris myCFO, Inc., which provides investment advisory services; Harris Investor Services, Inc.; Harris Investment Management, Inc.; and BMO Capital Markets Corp., a middle market investment bank. The company offers its employees a 401(k) plan; a pension plan; and an employee share purchase program.

BRANDS/DIVISIONS/AFFILIATES: BMO Financial Group Bank of Montreal (BMO) Harris Private Bank Harris Investor Services, Inc. BMO Capital Markets Corp. Harris myCFO Inc. Harris Investment Management, Inc.

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Ellen Costello, CEO Ellen Costello, Pres. Pamela C. Piarowski, CFO Justine Fedak, Sr. VP/Head-Mktg. & Customer Strategies Deirdre Drake, Sr. VP-Human Resources Andy Plews, Sr. VP-Corp. Comm. Cecily Mistarz, Exec. VP-Prod. Dev., Harris Private Bank Peter McNitt, Head-Bus. Banking Div./Vice Chmn. Yasmin T. Bates, Exec. VP-Comm. Affairs & Economic Dev. Terry Jenkins, Pres., Harris Private Bank David A. Galloway, Chmn.

Phone: 312-461-2121 Fax: 312-461-7869 Toll-Free: Address: 111 W. Monroe St., Chicago, IL 60603 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 10/31 2005 Sales: $ 2005 Profits: $ Parent Company: BANK OF MONTREAL (BMO)




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International:



HARTFORD FINANCIAL SERVICES GROUP INC (THE) www.thehartford.com Industry Group Code: 524113 Ranks within this company's industry group: Sales: 15 Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y Y


Y

Profits: 24





TYPES OF BUSINESS: Life Insurance Mutual Funds Property & Casualty Insurance Group Life & Accident Insurance Reinsurance Employee Benefits Administration Asset Management Bank Holding Company

The Hartford Financial Services Group, Inc. is a diversified insurance and financial services company that offers insurance and investment products. Through its many subsidiaries, it is among the largest providers of investment products, individual life, group life and group disability insurance products and property and casualty insurance products in the U.S. and Canada. The company also operates in Brazil, Japan, England and Ireland serving millions worldwide through independent agents and brokers, financial institutions and online. Products and services for individuals and families include annuities; mutual funds; college savings plans; and auto, flood, home and life insurance. Business offerings include property and casualty, group benefits, retirement, reinsurance and investment management products and services. Subsidiary Hartford Investment Management Co., offers a range of investment products including multi-sector fixed income, specialty fixed income, cash and enhanced cash and passive investing. Hartford is organized into two major divisions: life and property/casualty. The life division is involved with segments of investment products, individual life, group benefits and corporate-owned life insurance. The property and casualty operations include North American underwriting segments of business insurance, affinity personal lines, personal insurance, specialty commercial and reinsurance. Hartford recently announced its launching of a new target retirement fund, The Hartford Target Retirement Funds, to help baby boomers plan for retirement needs. In October 2008, German insurance company Allianz SE invested $2.5 billion in the firm. In November 2008, the firm purchased a small savings and loan firm, and then received approval to become a bank holding company. This maneuver qualified Hartford for federal bank bailout funds. In July 2009, the company acquired Federal Trust Corporation for $10 million Hartford employees receive a benefits package including adoption and tuition assistance; degree development, on-site fitness center; employee discounts; and health coverage. Qualified employees enjoy the opportunity for additional rewards when Hartford meets or exceeds business objectives.

BRANDS/DIVISIONS/AFFILIATES: Allianz SE Princeton Retirement Group Hartford Life and Accident Hartford Life Group Insurance Company Hartford Life and Annuity Hartford Investment Financial Services, LLC Hartford International Management Services Company Hartford Mutual Funds, Inc. (The)

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Liam McGee, CEO Lizabeth H. Zlatkus, CFO/Exec. VP Connie Weaver, Sr. VP-Mktg. Eileen Whelley, Exec. VP-Human Resources Alan J. Kreczko, General Counsel/Exec. VP Connie Weaver, Sr. VP-Comm. Beth A. Bombara, Controller/Sr. VP Greg McGreevey, Chief Investment Officer/Exec. VP Juan Andrade, Pres./COO-Property & Casualty Oper. John C. Walters, Pres./COO-Hartford Life, Inc. Marc Lieberman, Pres./CEO-Hartford Life, Ltd., Europe

Phone: 860-547-5000 Fax: 860-547-2680 Toll-Free: Address: 690 Asylum Ave., 1 Hartford Plaza, Hartford, CT 061151900 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: HIG 2008 Sales: $9,219,000 2008 Profits: $-2,749,000 Int’l Ticker: Int’l Exchange: 2007 Sales: $25,916,000 2007 Profits: $2,949,000 Employees: 31,000 2006 Sales: $26,500,000 2006 Profits: $2,745,000 Fiscal Year Ends: 12/31 2005 Sales: $27,083,000 2005 Profits: $2,274,000 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



HDFC BANK LTD

www.hdfcbank.com


Y



Profits: 31





TYPES OF BUSINESS: Banking

HDFC Bank Ltd. is a leading India-based private sector bank and financial services company. Principal divisions of the company include retail banking, wholesale banking and treasury operations. The retail banking division offers individuals a range of deposit products, loans, credit and debit cards, third-party mutual funds and insurance products, investment advice and bill payment, among other services. The wholesale banking division provides loans, deposit products, documentary credits, guarantees, bullion trading and foreign exchange and derivative products. This division also provides cash management services, clearing and settlement services for stock exchanges, tax and other collections for the government, custody services for mutual funds and correspondent banking services. The treasury operations division manages the bank’s balance sheet as well as its foreign exchange, derivatives, money market, debt securities and equity products. The bank serves over 11.6 million customers through a network of approximately 1,412 branch offices and 2,890 ATMs in 528 locations throughout India. Through HDFC’s NetBanking service, customers can access their accounts, transfer funds, arrange deposits, pay bills and order checks over the Internet. The firm’s MobileBanking service allows customers to access a variety of account features via a mobile phone, utilizing the short message service (SMS) protocol. With InstaAlerts, customers can register to receive real-time account updates via e-mail or mobile phone. The bank has two subsidiaries: HDFC Securities Limited, primarily engaged in providing brokerage services, and HDB Financial Services Limited, a non-deposit taking non-bank finance company (NBFC). In May 2008, the company completed its merger with Centurion Bank of Punjab Ltd. HDFC was among the first private sector banks established following the Reserve Bank of India’s 1994 liberalization of the country’s banking industry. It is part of the HDFC group of companies, founded by Housing Development Finance Corp. Ltd., which holds a 19.4% share in HDFC Bank.

BRANDS/DIVISIONS/AFFILIATES: Housing Development Finance Corp Ltd NetBanking MobileBanking HDFC Securities Limited HDB Financial Services Limited Centurion Bank of Punjab Ltd

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Aditya Puri, Managing Dir. Rahul N. Bhagat, Dir.-Mktg. Mandeep Maitra, Dir.-Human Resources Mandeep Maitra, Dir.-Admin. Vinod Yennemadi, Dir.-Legal & Secretarial Rajan Ananthanarayan, Dir.-Oper. Paresh D. Sukthankar, Dir.-Investor Rel. Sabjay Dongre, Company Sec./Compliance Officer Harish Engineer, Dir.-Wholesale Banking Paresh D. Sukthankar, Dir.-Credit & Market Risk Bharat Shah, Dir.-Merchant Svcs. Jagdish Capoor, Chmn.

Phone: 91-22-6652-1000 Fax: 91-22-2496-0739 Toll-Free: Address: HDFC Bank House, Senapati Bapat Marg, Lower Parel, Mumbai, 400 013 India

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $3,125,500 2009 Profits: $296,900 U.S. Stock Ticker: HDB 2008 Sales: $2,605,000 2008 Profits: $328,700 Int’l Ticker: 500180 Int’l Exchange: Bombay-BSE 2007 Sales: $1,625,300 2007 Profits: $257,400 Employees: 52,687 2006 Sales: $1,261,700 2006 Profits: $206,500 Fiscal Year Ends: 3/31 2005 Sales: $ 2005 Profits: $ Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast:

International: Y



HELLMAN & FRIEDMAN LLC

www.hf.com




Profits:




Y



Hellman & Friedman LLC is a private equity firm with approximately $16 billion in capital. The firm focuses on investments in industries such as financial services, professional services, information services, health care, software and media. The company’s investors include corporate pension funds, U.S. state pension funds, university endowments and foundations. The company’s target investment size ranges from $200 million to $750 million per transaction in buyouts, restructurings, and majority and minority investments. Most of these occur in the developed economies such as the U.S. and Europe. It holds stakes in about 44 companies. Hellman & Friedman is invested in companies such as Arch Capital Group Ltd.; Emdeon Business Services; Eller Media Company, Inc.; Artisan Partners L.P.; Goodman Global, Inc.; and Texas Genco LLC. Recent acquisitions include Web Reservations International; and a 30% ownership stake in Gaztransport & Technigaz S.A.S. The firm has offices in New York, San Francisco and London.


CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Georgia Lee, CFO Andrew Ballard, Managing Dir. Stephen Duckett, Managing Dir. Stefan Goetz, Managing Dir. Allen R. Thorpe, Managing Dir. Brian M. Powers, Chmn.

Phone: 415-788-5111 Fax: 415-788-0176 Toll-Free: Address: 1 Maritime Plaza, 12th Fl., San Francisco, CA 94111 US

FINANCIALS:





Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



HM CAPITAL PARTNERS LLC

www.hmcapital.com




Y

Profits:




Y



HM Capital Partners LLC, formerly Hicks, Muse, Tate & Furst, Inc., is a private equity firm that focuses on acquiring, changing and building strategically relevant businesses. The company has a transactional value of over $26 billion. The firm’s investments include acquisitions of divisions or assets from large corporations; acquisitions or recapitalizations of privately owned or publicly traded businesses; and acquisitions of distressed businesses, either through a restructuring or bankruptcy process. HM Capital targets acquisitions in the Southwest in specific industries, including media, consumer products, energy, financial services, information services and niche manufacturing. The company’s typical transactions range in value from $100 million to over $1 billion. The firm takes an active role in its portfolio companies in the development and implementation of strategic priorities and value-creating initiatives, including extending product lines; expanding into new geographies; and streamlining production and administrative costs. HM Capital seeks to enhance the value of its portfolio companies by investing additional capital in both organic growth opportunities and accretive acquisitions. The company’s current portfolio includes Advanced H2O; BlackBrush Oil & Gas; Canpages; Choice Cable TV; LIN TV Corp.; PDC; Sturm Foods, Inc.; Swett & Crawford; TriDemension Energy; Unitek; and Viasystems.

BRANDS/DIVISIONS/AFFILIATES: BlackBrush Oil & Gas Canpages Choice Cable TV Sturm Foods, Inc. Swett & Crawford Unitek Viasystems Advanced H2O

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. David Knickel, CFO Charles Bauer, VP-Investor Rel. Peter Brodsky, Partner Joe Colonetta, Partner Daniel Hopkin, VP William Jaudes, VP John R. Muse, Chmn.

Phone: 214-740-7300 Fax: 214-720-7888 Toll-Free: Address: 200 Crescent Ct., Ste. 1600, Dallas, TX 75201 US

FINANCIALS:





Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest:

Southeast:


Northeast:

International:



HONG KONG EXCHANGES & CLEARING LIMITED www.hkex.com.hk Industry Group Code: 523210 Ranks within this company's industry group: Sales: 5 Brokers/Stocks: Broker: Investment Bank: Futures/Options:



Profits: 2


Y




TYPES OF BUSINESS: Stock Exchange

Hong Kong Exchanges and Clearing Limited (HKEx) is a holding company that controls the stock exchange and futures exchange in Hong Kong. The company owns and operates The Stock Exchange of Hong Kong Limited, Hong Kong Futures Exchange Limited and Hong Kong Securities Clearing Company Limited. The firm is the operator and regulator of the central securities and derivatives marketplace in Hong Kong. Its activities include the regulation of listed issuers; the administration of listing, trading and clearing rules; and the provision of trading, clearing and settlement, depository and nominee services, and information services to customers of the exchange and clearing houses, including investment banks or sponsors, securities and derivatives brokers, custodian banks and information vendors. Other services provided by the company include market consultation and a research center that offers data products and statistics. The Hang Seng capitalization-weighted stock market index comprises the stocks of the 45 largest companies listed on the exchange, and is used as the main indicator of the exchange’s overall performance.

BRANDS/DIVISIONS/AFFILIATES: Stock Exchange of Hong Kong Limited (The) Hong Kong Futures Exchange Limited Hong Kong Securities Clearing Company Limited

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Man Yiu Chow, CEO Gerald Greiner, COO Tak Chee Tsim, CFO Kwok Kuen Wong, CTO Kam Shing Mau, Corp. Sec.

Phone: 852-2522-1122 Fax: 852-2295-3106 Toll-Free: Address: 1 International Finance Centre, 12 Fl., Hong Kong, China

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: 2008 Sales: $973,540 2008 Profits: $661,480 Int’l Ticker: 0388 Int’l Exchange: Hong Kong-HKE 2007 Sales: $1,172,900 2007 Profits: $795,660 Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 2005 Sales: $ 2005 Profits: $ Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast:

International: Y



HOULIHAN LOKEY HOWARD & ZUKIN INC (HOULIHAN LOKEY) www.hlhz.com Industry Group Code: 523110 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:



Profits:



Y



TYPES OF BUSINESS: Investment Banking Mergers & Acquisitions Financing Financial Advisory Services Financial Restructuring

Houlihan, Lokey, Howard & Zukin, Inc. (Houlihan Lokey) is an investment banking firm, and constitutes the investment banking arm of Orix USA Corp., which is itself a subsidiary of Orix Corporation. The company’s services fall into four broad, overlapping categories: mergers and acquisitions (M&A); financing; financial opinions and advisory services; and financial restructuring. For M&A transactions, Houlihan Lokey assists clients in everything from setting up a purchase or divestiture to coordinating financial-related closure issues and most everything in between, including handling transaction negotiations and helping buyers acquire financing. It also works with firms seeking to set up equity or joint venture partnerships. For financing, the company offers financial products and services targeting mid-sized corporations, including creating employee stock ownership plans (ESOPs). It also raises public and private equity for corporate clients. For financial opinions and advisory services, Houlihan Lokey analyzes everything from transactions and financial reporting to corporate benefits such as equity incentive plans and ESOPs. Lastly, the firm’s financial restructuring services focus on helping companies facing bankruptcy or other special situations. For example, the firm was involved with the bankruptcy restructuring for Enron, WorldCom and Conseco. In the past 10 years, the firm has handled over 500 restructuring transactions, valued in excess of $1.25 trillion. It has also worked extensively with M&A transactions for distressed companies, completing over 150 such transactions. Besides the above-mentioned services, the firm also hosts Business Forum, available at BusinessForum.hlhz.com, an online community for business professionals that allows members, who must meet strict requirements (including minimum salary requirements), to meet and form networks with other members, promote their businesses and discover the services offered by other members. Employees of Orix USA receive benefits including dental, major medical and life insurance; short and long term disability benefits; flexible spending accounts; paid time off; and educational assistance.

BRANDS/DIVISIONS/AFFILIATES: Orix Corporation Orix USA Corp. Business Forum BusinessForum.hlhz.com

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Scott Beiser, Co-CEO Cynthia Bush, Global Head-Recruiting Jeff Werbalowsky, Co-CEO

Phone: 310-553-8871 Fax: 310-553-2173 Toll-Free: 800-788-5300 Address: 1930 Century Park W., Los Angeles, CA 90067 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 800 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 2005 Sales: $ 2005 Profits: $ Parent Company: ORIX CORPORATION




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



HSBC HOLDINGS PLC

www.hsbc.com


Y Y


Y Y


Y Y Y

Profits: 5



Y


Y


TYPES OF BUSINESS: Banking Investment Banking & Management Asset Management Commodity & Brokerage Services Securities Insurance, Mortgages, Financing & Credit Consumer Finance Retirement Products

HSBC Holdings, plc provides consumer and business banking and insurance services, with over 9,500 offices in 86 countries worldwide. HSBC has four operating divisions: personal financial services; commercial banking; global banking and markets; and private banking. The personal financial services division manages banking, related financial services and the insurance products. Services include checking and savings accounts; mortgages and personal loans; credit cards; and payment services. In the commercial banking segment, approximately 2.9 million commercial customers, ranging from sole proprietors to public companies, receive HSBC’s payments and cash management; investment banking; insurance; trade; leasing; and wealth management services. The global banking and markets segment handles financial services such as global investment banking, global transaction banking and asset management services on a long-term basis for major government, corporate and institutional clients worldwide. HSBC’s private banking division provides investment and advisory services as well as general banking offerings to high net worth private individuals. Operational management is divided geographically into four regions: North and South America; Europe; Asia Pacific; and the Middle East and Africa. In 2008, HSBC opened Chongqing Dazu HSBC Rural Bank Company Limited, the first foreign-owned rural bank in China; increased its stake in Vietnam’s Techcombank to 20%; opened operations in Georgia and Algeria; acquired about 93.86% of IL&FS Investsmart Limited, an Indian retail brokerage house. In June 2009, HSBC Holdings received permission to launch HSBC Life Insurance Company Limited, a joint venture with National Trust Limited, in China. HSBC's strategy for the long term is to focus on growing its business in Asia. The firm plans to list its shares on the Shanghai exchange in 2010 or 2011. It will move its CEO to Hong Kong and maintain dual headquarters in Hong Kong and London. It had approximately 100 branches in China in 2009 and hoped to add 15 more in 2010.

BRANDS/DIVISIONS/AFFILIATES: HSBC Life Insurance Company Limited PT Bank Ekonomi Raharja Tbk Chongqing Dazu HSBC Rural Bank Company Limited IL&FS Investsmart Limited

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Michael F. Geoghegan, CEO Alex Hungate, Managing Dir.-Mktg. & Personal Financial Svcs. Ken Harvey, Chief Tech. & Svcs. Officer Ralph G. Barber, Corp. Sec. Douglas J. Flint, Group Dir.-Finance Stuart Gulliver, CEO-Global Banking & Markets Clive Bannister, Managing Dir.-Insurance Brendan McDonagh, CEO-HSBC North America Holdings Inc. Dyfrig John, CEO-HSBC Bank plc Stephen K. Green, Chmn. Alexander Flockhart, CEO-Hong Kong & Shanghai Banking Corp. Ltd.

Phone: 44-20-7991-8888 Fax: 44-20-7992-4880 Toll-Free: Address: 8 Canada Sq., 36th Fl., London, E14 5HQ UK

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: HBC 2008 Sales: $142,049,000 2008 Profits: $5,728,000 Int’l Ticker: HSBA Int’l Exchange: London-LSE 2007 Sales: $73,450,000 2007 Profits: $19,133,000 Employees: 2006 Sales: $63,231,000 2006 Profits: $15,789,000 Fiscal Year Ends: 12/31 2005 Sales: $93,494,000 2005 Profits: $15,495,000 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



HSBC NORTH AMERICA HOLDINGS INC Industry Group Code: 522110 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:

Y



www.hsbcusa.com

Profits:



Y



TYPES OF BUSINESS: Banking Credit Cards Private Banking Investment Banking Commercial Banking

HSBC North America Holdings, Inc. (HSBCNA), a subsidiary of HSBC Holdings, Inc., is a holding company for the all of HSBC’s U.S. and Canadian businesses, with assets over $547 billion. The company’s businesses serve more than 60 million customers in five primary areas: personal financial services, credit cards, specialty insurance products, commercial banking, private banking and global markets. HSBCNA’s largest operating subsidiary is HSBC Bank USA, which offers commercial banking products and services to individuals, corporations, institutions and governments. The bank has approximately 460 branches in New York, California, Florida, Delaware, Pennsylvania, Washington, Oregon and Washington, D.C. The bank also serves as an international dealer in derivative instruments by writing contracts for options and futures with prices that are derived from the underlying financial assists, and it has mortgage banking and brokerage operations. The bank is split into the following segments: Personal Financial Services; Private Banking; Commercial Banking; and Corporate, Investment Bank and Global Banking and Markets. Some of the bank’s affiliate subsidiaries include HSBC Asset Management (Americas), Inc.; HSBC Republic International Bank (Miami); HSBC Business Credit (USA), Inc.; HSBC Mortgage Corporation (USA); HSBC Insurance Agency (USA), Inc.; and HSBC Securities (USA), Inc. In addition to HSBC Bank USA, HSBCNA operates HSBC Bank Canada, which has more than 290 offices, including 140 bank branches. In 2009, the firm announced that it will discontinue most operations of HSBC Finance Corporation, which provided consumers with real estate secured loans, auto finance loans, credit cards, personal non-credit card loans, taxpayer financial services and specialty insurance products through its subsidiaries. In March 2009, HSBC Finance Corporation discontinued its Consumer Lending business. Employees are offered medical, dental and vision insurance; flexible spending accounts; disability coverage; adoption assistance; a discount stock purchase plan; a pension plan; a 401(k) plan; and merchant discounts.

BRANDS/DIVISIONS/AFFILIATES: HSBC Holdings plc HSBC Bank USA HSBC Bank Canada HSBC Insurance Agency (USA), Inc. HSBC Asset Management (Americas), Inc. HSBC Finance Corporation HSBC Mortgage Corporation (USA) HSBC Securities (USA), Inc.

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Brendan P. McDonagh, CEO Edgar D. Ancona, CFO/Exec. VP Jon N. Couture, Sr. Exec. VP-Human Resources Andrew C. Armishaw, CTO/Sr. Exec. VP Steven Gonabe, Exec. VP-Admin. Janet L. Burak, General Counsel/Head-Legal/Sr. Exec. VP Matthew P. Smith, Exec. VP/Head-Strategy & Planning Lisa M. Sodeika, Exec. VP-Corp. Affairs John T. McGinnis, Chief Acct. Officer/Exec. VP Patrick J. Burke, Sr. Exec. VP/CEO-Card & Retail Svcs. Patrick D. Schwartz, Exec. VP/Corp. Sec. Mark C. Gunton, Chief Market Risk Officer/Sr. Exec. VP John L. Thornton, Chmn.

Phone: 224-544-2000 Fax: 224-552-4400 Toll-Free: Address: 26525 N. Riverwoods Blvd., Mettawa, IL 60045 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $91,000 Employees: 2006 Sales: $21,886,000 2006 Profits: $4,668,000 Fiscal Year Ends: 12/31 2005 Sales: $19,773,000 2005 Profits: $5,915,000 Parent Company: HSBC HOLDINGS PLC




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



HSBC USA

www.us.hsbc.com


Y


Y Y


Y

Profits:



Y


Y


TYPES OF BUSINESS: Banking Mortgages Securities Brokerage Commercial Finance & Factoring Mutual Funds Global Wholesale Trading Investment Banking Consumer Loans

HSBC USA, a subsidiary of HSBC North America Holdings, Inc., provides diversified financial services primarily through subsidiary HSBC Bank USA, NA. The company offers a full range of traditional commercial banking products and services to individuals, corporations, institutions and governments. Bank services are divided into four segments: personal financial services (PFS); private banking; commercial banking; and corporate, investment bank and markets. PFS offers services to individuals such as term loans, deposits, mutual funds, branch services, investments and insurance. Included in this segment is the company’s residential mortgage lending services. Private banking offers these same services in addition to investment management; trust and estate administration; and retirement services to high net worth individuals. Commercial banking services are offered to small and middle-market corporations and include deposits; loan products; and real estate financing. This segment also offers various credit and trade related products, including standby facilities; performance guarantees; and acceptance. The corporate, investment bank and markets segment offers major government, institutional and corporate clients customized financial products. This segment includes corporate and institutional banking; investment banking; markets; and transaction banking. HSBC Bank USA has over 460 branches in New York, Florida, California, Oregon, Washington, Pennsylvania, Washington, D.C. and Delaware. The firm has 4 million customers. Financial products and services are also offered through various affiliates such as HSBC Asset Management (Americas), Inc.; HSBC Business Credit (USA), Inc.; Republic International Bank (Miami); HSBC Mortgage Corporation (USA); HSBC Insurance Agency (USA), Inc.; and HSBC Securities (USA), Inc. In 2009, the company opened several new branches in cities including Seattle, Washington; Washington D.C.; and Los Angeles, California. The firm offers employee benefits that include medical, dental and vision insurance; spending accounts; adoption assistance; childcare centers; health screening programs; and volunteer incentive plans.

BRANDS/DIVISIONS/AFFILIATES: HSBC Bank USA, NA HSBC Asset Management (Americas), Inc. HSBC Business Credit (USA), Inc. HSBC Mortgage Corporation (USA) HSBC Insurance Agency (USA), Inc. HSBC Securities (USA), Inc. Republic International Bank (Miami) HSBC Holdings PLC

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Paul J. Lawrence, CEO David Dew, COO/Sr. Exec. VP Paul Lawrence, Pres. Gerard Mattia, CFO/Sr. Exec. VP Suzanne Brienza, Exec. VP-Human Resources Andrew C. Armishaw, CTO/Sr. Exec. VP Janet L. Burak, General Counsel/Exec. VP Matthew Smith, Sr. Exec. VP-Strategy & Planning John T. McGinnis, Chief Acct. Officer/Exec. VP Mark C. Gunton, Sr. Exec. VP/Chief Risk Officer Kevin Martin, Exec. VP-Personal Financial Svcs. Mark A. Hershey, Sr. Exec. VP/Chief Credit Officer Christopher Davies, Sr. Exec. VP-Commercial Banking Brendan P. McDonagh, Chmn.

Phone: 212-525-5000 Fax: Toll-Free: 800-975-4722 Address: 452 5th Ave., New York, NY 10018 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $11,175,000 2007 Profits: $ Employees: 2006 Sales: $3,081,000 2006 Profits: $1,036,000 Fiscal Year Ends: 12/31 2005 Sales: $3,063,000 2005 Profits: $976,000 Parent Company: HSBC NORTH AMERICA




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast: Y


Northeast: Y

International:



HYPO VEREINSBANK AG (HVB GROUP) Industry Group Code: 522110 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:



Y Y Y

www.hvbgroup.com

Profits:





TYPES OF BUSINESS: Banking Investment Banking Retail Banking Corporate Banking International Banking Wealth Management Real Estate Consulting

Hypo Vereinsbank AG (HVB Group), a subsidiary of the UniCredit Group, is a leading bank conglomerate in Germany and one of the largest banking groups doing business in Eastern Europe, with over $679.4 billion in total assets, 852 branches and more than 4 million customers. The company provides mortgage loans, consumer loans, wealth management and banking services to private customers; business loans, foreign trade finance and investment banking products to corporate customers; advisory and brokerage services; securities transactions; and liquidity and financial risk management services. The firm operates in four segments: retail, which generates approximately 41% of revenue; wealth management, 11%; corporate and commercial real estate financing, 41%; and markets and investment banking (MIB), 7%. Retail offers insurance, consulting and lending services to private customers, businesses and mass market customers. The wealth management segment specializes in securities and investment services for wealthy families and professionals, operating through four subdivisions: HVB Wealth Management; DAB Bank Group; Wealth Management Capital Holding; and HVB Luxembourg Private Banking. The corporate segment offers advisory and lending services to larger businesses; and the commercial real estate division, which was integrated into the corporate segment, includes portfolio risk and return services. Finally, the MIB segment provides various lending services to the other three business segments, as well as to multinational, institutional and public sector customers. This segment is divided into two business lines: markets, which covers trading, structuring and sales activities; and global investment banking, which covers transactions such as financing operations, syndicated bonds, project loans, mergers and acquisitions and other corporate finance activities. In 2008, the company sold its securities and custodial services business to French bank CACEIS, which renamed the entity CACEIS Bank Deutschland GmbH.

BRANDS/DIVISIONS/AFFILIATES: UniCredit SPA (UniCredit Group) HVB Bank HVB Wealth Management DAB Bank Group Wealth Management Capital Holding HVB Luxembourg Private Banking

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Theodor Weimer, CEO Rolf Friedhofen, CFO Heinz Laber, Chief Human Resources Officer Andrea Umberto Varese, Chief Risk Officer Peter Buschbeck, Head-Retail Div. Luts Diederichs, Head-Markets & Investment Banking Div. Andreas Wolfer, Head-Wealth Mgmt. Div. Sergio Ermotti, Chmn.

Phone: 49-89-378-0 Fax: 49-89-378-27784 Toll-Free: Address: Kardinal-Faulhaber-Strasse 1, Munich, 80333 Germany

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $8,767,900 2007 Profits: $7,817,300 Employees: 23,000 2006 Sales: $7,515,400 2006 Profits: $6,011,200 Fiscal Year Ends: 12/31 2005 Sales: $5,733,800 2005 Profits: $873,100 Parent Company: UNICREDIT SPA (UNICREDIT GROUP)




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



ICAP PLC

www.icap.com


Y



Profits: 2



Y Y



TYPES OF BUSINESS: Interdealer Brokerage Broker Execution Electronic Broker Fixed-Income Securities Brokerage Specialist Broker Consulting & Research

ICAP plc is one of the world’s largest interdealer broker companies and a leading electronic broker of fixed income securities worldwide, with an average daily transaction volume over $2.3 trillion, of which more than 40% is electronic. The firm has a presence in over 50 locations across 32 countries. It actively participates in the global wholesale markets for OTC derivatives, fixed income securities, money market products, foreign exchange, energy, credit and equity derivatives; and is a leading interdealer broker in U.S. Treasury notes. Direct trade execution and processing is available to investment houses and major banks through ICAP’s Electronic Trading Community, with clients including international banks, public utilities, building societies and corporations. Europe generates 48% of its revenue; the Americas, 38%; and Asia/Pacific, 14%. ICAP Energy offers full service over-thecounter energy brokerage with information and technology to bring buyers and sellers together. The company provides many services through its associate companies. Butlers, a specialist broker and treasury consultant, concentrates on researching and selling high yield illiquid bonds, equities and distressed bank debt. CIMD S.A. is a leading broker in the money and foreign exchange markets. TriOptima serves customers seeking an early termination for interest rate swaps. Wrightson ICAP offers comprehensive research and analysis for the fixed income markets, with a special focus on Federal Reserve and Treasury actions. Exotix Limited is a specialist boutique in distressed and illiquid bonds and loans with special emphasis on emerging markets. First Brokers Securities is a leading New York interdealer broker in U.S. dollar-denominated corporate debt. Ried Thunberg ICAP is a research firm involved with analyzing fiscal and monetary shifts to track the positions of capital markets. In July 2009, the form acquired Arkhe DTVM, a Brazilian broker based in Rio de Janeiro.

BRANDS/DIVISIONS/AFFILIATES: Electronic Trading Community ICAP Energy Butlers Wrightson ICAP CIMD S.A. TriOptima Exotix Limited Arkhe DTVM

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Michael Spencer, Group CEO Mark Yallop, Group COO Deborah Abrehart, Group Company Sec. John Nixon, CEO-ICAP Electronic Broking Matthew Lester, Group Dir.-Finance Douglas Rhoten, CEO-ICAP Americas David Casterson, CEO-ICAP London & EMEA Ron Purpora, Pres., North American Securities Bus. Kim Rosenkilde, CEO-ICAP Asia Pacific George MacDonald, CEO-ICAP Asia Pacific

Phone: 44-20-7000-5000 Fax: 44-20-7000-5975 Toll-Free: Address: 2 Broadgate, London, EC2M 7UR UK

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: IAPLY.PK 2008 Sales: $2,376,520 2008 Profits: $535,870 Int’l Ticker: IAP Int’l Exchange: London-LSE 2007 Sales: $2,170,800 2007 Profits: $246,600 Employees: 2006 Sales: $1,598,900 2006 Profits: $210,100 Fiscal Year Ends: 3/31 2005 Sales: $1,491,700 2005 Profits: $155,000 Parent Company:




Y Y

Profit Sharing:


Bonus: $3,838,839 Bonus: $4,559,490


Southwest: Y

Midwest: Y

Southeast:


Northeast: Y

International: Y



IGM FINANCIAL INC

www.igmfinancial.com



Y Y


Y Y Y

Profits: 6



Y



TYPES OF BUSINESS: Financial Planning Mutual Funds Securities Brokerage Portfolio Development & Management Group Benefit Products & Services Mortgages, Mortgage Planning Services & Mortgage Insurance Banking Products & Services

IGM Financial, Inc., is a provider of personal financial planning services in Canada through approximately 110 offices across the country. It is also one of Canada’s leading mutual fund firms with over $116 billion in assets under management. The firm is a 56.4%-owned subsidiary of Power Financial Corporation. In addition to financial planning services, IGM offers investment products; mortgages; and a comprehensive range of group benefits, including Registered Retirement Savings Plans, Registered Retirement Income Funds, Deferred Profit Sharing Plans and group insurance (medical, dental, life and disability). IGM brands many of its products through the Investors Group, Inc., Mackenzie Financial Corporation and Investment Planning Counsel, Inc., subsidiaries. The firm’s investment products and services include mutual funds, iProfile, money market funds and Guaranteed Investment Certificates (GICs). IGM’s mutual funds include three single-step solutions: Alto Portfolios, Allegro Portfolios and Investors Masterseries Funds, as well as Investors Group Corporate Class, Inc. Funds (a tax-advantaged mutual fund) and Segregated Funds (an insurance product that combines mutual fund-like investments with the protection of an insurance policy). The firm’s proprietary iProfile is a managed asset program that designs and manages a customized investment portfolio for its clients based on their criteria. IGM’s money market funds include Investors Canadian Money Market Fund, Investors U.S. Money Market Fund and Investors Premium Money Market Fund. The firm’s GICs offer a fixed rate of interest for a specific term. IGM also offers competitive GICs from the Royal Bank of Canada, Montreal Trust Company and Bank of Montreal. The company is a residential mortgage lender that also offers mortgage planning services and mortgage insurance. In September 2008, Mackenzie Financial Corporation acquired Saxon Financial, Inc.

BRANDS/DIVISIONS/AFFILIATES: Investors Group, Inc. MacKenzie Financial Corporation Saxon Financial Inc Allegro Portfolios Investors Masterseries Funds Investors Group Corporate Class Inc Funds Investors Canadian Money Market Fund Investment Planning Counsel Inc

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Charles R. Sims, Co-CEO/Co-Pres. Murray J. Taylor, Co-Pres./Co-CEO Gregory Tretiak, CFO/Exec. VP Geoffrey D. Creighton, General Counsel/Sr. VP/Corp. Sec. Geoffrey D. Creighton, Chief Compliance Officer Charles R. Sims, Pres./CEO-Mackenzie Financial Corp. Murray J. Taylor, Pres./CEO-Investors Group, Inc. R. Jeffrey Orr, Chmn.

Phone: 204-956-8432 Fax: 204-949-9594 Toll-Free: Address: 1 Canada Centre, 447 Portage Ave., Winnipeg, MB R3C 3B6 Canada

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $2,563,700 2008 Profits: $692,700 Int’l Ticker: Int’l Exchange: 2007 Sales: $2,721,400 2007 Profits: $826,400 Employees: 2006 Sales: $2,248,300 2006 Profits: $730,100 Fiscal Year Ends: 12/31 2005 Sales: $2,013,300 2005 Profits: $595,830 Parent Company: POWER FINANCIAL CORPORATION




Profit Sharing:


Bonus: $427,828 Bonus: $396,664


Southwest:

Midwest:

Southeast:


Northeast:

International: Y



ING GROUP (ING GROEP NV)

www.ing.com



Y Y Y


Y

Profits: 36


Y




TYPES OF BUSINESS: Banking Mutual Funds Securities Asset Management Mutual Funds

ING Group, an Amsterdam-based global financial services institution, offers banking, investments, life insurance and retirement services to more than 85 million private, corporate, government and institutional clients in over 40 countries. ING operates through six business lines: Insurance Americas, Insurance Europe, Insurance Asia/Pacific, wholesale banking, retail banking and ING Direct. Insurance Americas is responsible for insurance, investment, retirement and asset management activities in the Americas. Insurance Europe provides insurance and asset management activities throughout Europe. Insurance Asia/Pacific holds life insurance operations and asset and wealth management activities in Asia and the Pacific. The wholesale banking unit offers wholesale banking operations to corporations and institutions throughout the world, with its primary focus on the Netherlands and Belgium. Retail banking operates retail and private banking throughout the Netherlands, Belgium, Switzerland, Luxembourg, Poland, Romania, Turkey, India and Asia. ING Direct conducts retail banking activities, including savings account and mortgage solutions, to individual clients throughout Australia, Canada, France, Germany, Austria, Italy, Spain, the U.K. and the U.S. During the global financial crisis, ING received a capital injection of $10 billion Euros from the Dutch government, plus $28 billion Euros in government guarantees on illiquid securities held by the firm. ING has been steadily selling assets ever since. In October 2009, it announced plans to make major divestitures and sell $7.5 billion Euros in stockrelated rights in order to pay back government loans. By 2013, ING expects to have completed selling or spinning off ING Direct USA, part of its Dutch retail banking operations and its insurance businesses.

BRANDS/DIVISIONS/AFFILIATES: ING Direct ING Americas ShareBuilder Corp. Oyak Bank of Turkey Banco Santander Central Hispano SA Oyak Emeklilik CitiStreet LLC Seguros ING SA de CV

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Patrick G. Flynn, CFO Eric B. de la Giroday, CEO-Commercial Banking Tom McInerney, Chmn./CEO-Insurance Americas Eli Leenaars, CEO-Retail Banking Koos Timmermans, Chief Risk Officer Jan Hommen, Chmn.

Phone: 31-20-541-5411 Fax: 31-20-541-5497 Toll-Free: Address: ING House, Amstelveenseweg 500, Amsterdam, 1081 KL The Netherlands

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: ING 2008 Sales: $226,577,000 2008 Profits: $-1,067,000 Int’l Ticker: INGA Int’l Exchange: Amsterdam-Euronext 2007 Sales: $230,838,400 2007 Profits: $14,785,600 Employees: 2006 Sales: $197,705,600 2006 Profits: $12,307,200 Fiscal Year Ends: 12/31 2005 Sales: $130,580,100 2005 Profits: $8,262,400 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



ING NORTH AMERICA INSURANCE CORP Industry Group Code: 524113 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y Y


Y

www.ing-usa.com

Profits:


Y




TYPES OF BUSINESS: Insurance-Life Annuities Mutual Funds Retirement & Financial Planning Services Reinsurance Real Estate Investment Management Online Banking Trust Management & Services

ING North America Insurance Corp., a subsidiary of ING Group, provides a broad array of personal and group financial products and services in insurance, asset management and direct banking to over 29 million customers in the U.S. The company operates through ING U.S. Financial Services (USFS) and ING Investment Management Americas (IIM), which also encompass businesses in Canada and Latin America. USFS provides retail and institutional clients with products and services related to retirement, annuities, life insurance, employee benefits, mutual funds, financial planning, reinsurance and institutional markets, distributing its products through more than 200,000 financial professionals in the U.S. IIM provides asset and relationship management services for institutional clients, as well as for many of ING’s mutual funds and insurance companies. Its services are offered through a wide variety of products, including traditional equity, fixed income, alternative assets, private equity, single strategy hedge funds and funds of hedge funds. Other ING North America Insurance Corporation businesses in the U.S. include ING Clarion, which provides real estate investment management services; PrimeVest Financial Services, Inc., which provides correspondent clearing services to broker-dealers; and ING Direct. ING Direct, which provides personal banking products, has grown into a major force in online banking in the U.S. and Canada. During the global financial crisis, parent company ING Group received a capital injection of $10 billion Euros from the Dutch government, plus $28 billion Euros in government guarantees on illiquid securities held by the firm. ING has been steadily selling assets ever since. In October 2009, it announced plans to make major divestitures and sell $7.5 billion Euros in stock-related rights in order to pay back government loans. By 2013, ING expects to have completed selling or spinning off ING Direct USA, part of its Dutch retail banking operations and its insurance businesses. ING Americas offers its employees transportation, medical and dependent care flexible spending accounts; physical, mental and family wellness programs; a national EPO, regional HMOs, PPOs, an Out-Of-Area Indemnity plan and a high deductible health plan; dental and vision insurance; an employee assistance program; and career development resources.

BRANDS/DIVISIONS/AFFILIATES: ING Group ING U.S. Financial Services ING Investment Management Americas ING Clarion ING Direct PrimeVest Financial Services, Inc.

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Thomas J. McInerney, CEO David A. Wheat, CFO Thomas P. Waldron, Exec. VP-Human Resources & Brand Ed Steinike, CIO Bridget M. Healy, Chief Legal Officer/Exec. VP Arkadi Kuhlmann, Chmn./CEO/Pres., ING DIRECT USA Butch Britton, CEO-U.S. Insurance Catherine H. Smith, CEO-U.S. Retirement Svcs. Robert G. Leary, Chmn./CEO-ING Investment Mgmt. Americas Thomas J. McInerney, Chmn.

Phone: 770-980-5100 Fax: 770-980-3301 Toll-Free: Address: 5780 Powers Ferry Rd. NW, Atlanta, GA 30327-4390 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company: ING GROUP




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



INSTINET INC

www.instinet.com




Profits:


Y


Y Y Y



TYPES OF BUSINESS: Electronic Trading Electronic Communications Networks Broker Services Research & Analytics Online Exchange Commission Management

Instinet, Inc., a subsidiary of Nomura Holdings, Inc., is one of the world’s largest electronic trading services companies, offering agency brokerage technology solutions in the U.S., Canada, the U.K., France, Switzerland, Hong Kong, Singapore, Australia and Japan. The company, through its subsidiaries, operates through two business lines: Instinet and Chi-X. Instinet operates through a network of agency brokerages to assist institutions active in more than 40 securities markets worldwide with lowering trading costs and improving investment performance through electronic trading solutions, such as smart-routing, algorithms, DMA, dark pools and EMS platforms. Other Instinet services include sales trading, transaction analysis, commission management and third-party research. Instinet launched the first electronic block-trading capability in 1969, the same year it was founded. Subsidiary Instinet LLC, formerly Instinet Group, Inc., is the firm’s U.S. agency-brokerage subsidiary. The Chi-X business line includes the company’s Chi-X trading systems, high-performance, low-cost trading infrastructure and services designed to improve capitalmarket efficiency. These systems include a comprehensive trading technology platform; MarketPrizm, a fully-managed network technology suite; a reference data engine; and professional services, including data model configuration, validation rules creation and maintenance and workflow customization. These systems are used in Europe and Canada. Subsidiary Chi-X Global Technology LLC is a global technology services provider. In 2008, Instinet announced the formation of Chi-X Global Inc., which was structured as the holding company for all the Chi-X platforms in Europe, Canada and Asia. Also in 2008, the firm launched Instinet Execution Experts, an enhanced algorithmic trading suite. In August 2009, Instinet agreed to acquire TORC Financial LLC, a provider of derivatives trading technologies. In December 2009, Instinet LLC expanded its Instinet Access program, a sales, marketing and account coverage solution for research firms, with the addition of three new third-party research providers: Alternative Energy Investing, Public Insight and Trusted Sources.

BRANDS/DIVISIONS/AFFILIATES: Nomura Holdings Inc. Instinet LLC Instinet Group, Inc. Instinet Access Chi-X Chi-X Global, Inc. Chi-X Global Technology LLC TORC Financial LLC

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Fumiki Kondo, Co-CEO Tom Vogel, CFO Christopher Rogers, CTO Kevin Farrell, Chief Admin. Officer Faron Webb, General Counsel Mark Dowd, VP-Global Corp. Comm. & Public Rel. Anthony L. Abenante, Co-CEO Jonathan Kellner, Pres., Instinet LLC Richard Balarkas, Pres./CEO-Instinet Europe, Ltd. John Lowrey, CEO-Chi-X Global Glenn Lesko, CEO-Instinet Asia

Phone: 212-310-9500 Fax: Toll-Free: 877-467-8463 Address: 3 Times Square, New York, NY 10036 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company: NOMURA HOLDINGS INC




Y

Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast:


Northeast: Y

International: Y



INTERACTIVE BROKERS GROUP INC Industry Group Code: 523120 Ranks within this company's industry group: Sales: 4 Brokers/Stocks: Broker: Investment Bank: Futures/Options:

Y



www.interactivebrokers.com Profits: 5



Y


Electronic Brokerage & Trading Electronic Trade Execution Brokerage Software & Online Service Market Maker Options Exchange

Interactive Brokers Group, Inc. (IBG Inc.) is an automated global electronic market maker and broker specializing in routing orders and executing and processing trades in securities, futures and foreign exchange instruments on more than 80 electronic exchanges and trading venues around the world. The company is focused on developing proprietary software to automate broker-dealer functions, and its activities are divided into two principal business segments: market making and electronic brokerage. As a market maker, IBG provides continuous bid and offer quotations on approximately 577,000 securities and futures products listed on electronic exchanges around the world. Its quotes are derived by proprietary mathematical models that assimilate market data and reevaluate outstanding quotes each second. The company conducts its market making business through its Timber Hill subsidiaries; this business segment represented 73% of net revenues in 2008. As a direct market access broker, the company serves the customers of both traditional brokers and prime brokers. It provides customers with an advanced order management, trade execution and portfolio management platform that allows customers to simultaneously access different financial markets worldwide and trade from a single account, based in any major currency. IBG serves approximately 111,000 institutional and individual brokerage customers. The company conducts it electronic brokerage business through its Interactive Brokers subsidiaries; this business segment represented 27% of revenues in 2008. The firm and its affiliates control roughly $4.8 billion in equity capital. In March 2009, IBG announced the launch of its Indian online brokerage platform, Trader Work Station. The firm offers its employees a 401(k) plan and health, dental, life and disability insurance.

BRANDS/DIVISIONS/AFFILIATES: Timber Hill Interactive Brokers Group Inc Trader Work Station

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Thomas Peterffy, CEO Thomas Peterffy, Pres. Paul J. Brody, CFO Thomas A. Frank, CIO/Exec. VP Paul J. Brody, Sec. Paul J. Brody, Treas. Milan Galik, Sr. VP-Software Dev. Thomas Peterffy, Chmn.

Phone: 203-618-5800 Fax: 312-984-1019 Toll-Free: 877-442-2757 Address: 1 Pickwick Plz., Greenwich, CT 06830 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: IBKR 2008 Sales: $2,182,102 2008 Profits: $93,047 Int’l Ticker: Int’l Exchange: 2007 Sales: $2,023,400 2007 Profits: $300,500 Employees: 750 2006 Sales: $1,736,800 2006 Profits: $734,200 Fiscal Year Ends: 12/31 2005 Sales: $1,217,000 2005 Profits: $ Parent Company:



Y


TYPES OF BUSINESS:


Y

Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest: Y

Southeast:


Northeast: Y

International: Y



INTERACTIVE DATA CORPORATION Industry Group Code: 519130 Ranks within this company's industry group: Sales: 3 Brokers/Stocks: Broker: Investment Bank: Futures/Options:



www.interactivedata.com Profits: 2



Y



TYPES OF BUSINESS: Financial Information Stock Market & Equities Information Portfolio Management Software Consulting & Valuation Services Online Information Service

Interactive Data Corporation (IDC) provides financial market data, analytics and related services to financial institutions, active traders and individual investors. Interactive Data distributes real-time, end-of-day and archived data to customers through a variety of products featuring Internet, dedicated line, satellite and dialup delivery protocols. It also provides links to financial service and software companies offering trading, analysis, portfolio management and valuation services. IDC has four businesses, comprising two segments: Institutional Services and Active Trader Services. The company’s Institutional Services segment targets financial institutions such as banks, brokerage firms, mutual fund companies, insurance companies and money management firms through three subsidiaries. Subsidiary Interactive Data Pricing and Reference Data provides historical, intraday and end-of-day pricing, evaluations and reference data for a range of securities, commodities and derivative instruments. Subsidiary Interactive Data RealTime Services provides global real-time and delayed financial market information covering equities, derivative instruments, futures, fixed income securities and foreign exchange. Subsidiary Interactive Data Fixed Income Analytics provides fixed income analytics. In addition, the Institutional Services segment markets it offerings to financial information providers, information media companies, thirdparty redistributors and outsourcing organizations. IDC’s Active Trader Services segment targets active traders, individual investors and investment community professionals with eSignal, which provides real-time financial market information and access to decision-support tools, assisting in the analysis of securities traded on all major world markets. In April 2009, IDC released the PlusBook consolidated order book service in Europe; and Options Volatility Service, which provides a relational database of end-of-day implied volatilities, volatility surfaces and options risk parameters across the U.S. options market. In November 2009, the firm launched BondEdge Asset Manager, which helps manage relative risk and reward against fixed income indices and liability benchmarks. In December 2009, IDC acquired the data and tools assets of Dow Jones & Company’s Online Financial Solutions division.

BRANDS/DIVISIONS/AFFILIATES: Interactive Data Pricing and Reference Data FT Interactive Data Interactive Data Real-Time Services ComStock Interactive Data Fixed Income Analytics PlusBook eSignal BondEdge Asset Manager

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Raymond D'Arcy, CEO John L. King, COO Raymond D'Arcy, Pres. Christine Sampson, Interim CFO Mary Ivaliotis, Chief Mktg. Officer Lori Hannay, Chief Human Resources Officer/VP Stephan Wolf, CTO Andrea H. Loew, General Counsel/VP Chuck Thompson, Pres., eSignal Roger Sargeant, Managing Dir.-Interactive Data Mark Hepsworth, Pres., Institutional Bus. Rona Fairhead, Chmn. James Farrer, Managing Dir.-Interactive Data Asia Pacific

Phone: 781-687-8500 Fax: 781-687-8005 Toll-Free: Address: 32 Crosby Dr., Bedford, MA 01730 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: IDC 2008 Sales: $750,541 2008 Profits: $142,648 Int’l Ticker: Int’l Exchange: 2007 Sales: $689,610 2007 Profits: $125,983 Employees: 2,400 2006 Sales: $612,403 2006 Profits: $93,362 Fiscal Year Ends: 12/31 2005 Sales: $542,867 2005 Profits: $93,864 Parent Company:




Y Y Y

Profit Sharing:


Bonus: $697,414 Bonus: $254,925


Southwest:

Midwest: Y

Southeast:


Northeast: Y

International: Y



INTERCONTINENTALEXCHANGE INC (ICE) Industry Group Code: 523210 Ranks within this company's industry group: Sales: 7 Brokers/Stocks: Broker: Investment Bank: Futures/Options:



www.theice.com

Profits: 5


Y


Y Y



TYPES OF BUSINESS: Commodity Futures Exchange Energy Futures Real-Time Market Data OTC Clearing Options Trading Electronic Trade Confirmations

IntercontinentalExchange, Inc. (ICE) is an operator of OverThe-Counter (OTC) and global futures exchange markets. Direct access to ICE is available on thousands of active trading screens in over 55 countries. The company operates through three business segments: ICE Markets, ICE Services and ICE Data. Through ICE Markets, the company offers bilateral and cleared OTC contracts and futures trading for such commodities as crude and refined oil products, natural gas, electricity and emissions. This segment also includes subsidiary ICE Futures, which offers online trading for futures and options in the global energy markets. Clearing house ICE Clear clears and settles contracts traded on, or subject to the rules of, ICE Futures. Segment ICE Services offers a broad range of tradingrelated services including electronic trade confirmation through its ICE eConfirm and access to clearing services. It also offers several web-based trading tools: WebICE, a browser-based access to ICE’s trading platform; and ICEMaker, allowing customers to link front-end trading strategies in Microsoft Excel directly to the ICE platform without having to write complex API code. ICE Data provides market information including historical prices, realtime prices, indices, tick-data, end of day settlements and market price valuations, covering markets including oil and petrochemical products; power; natural gas and coal; freight; tankers; and precious metals. In late 2008, the company acquired Creditex Group, Inc., a provider of trade execution and processing of credit default swaps in U.S., European and Asian markets. In May 2009, ICE introduced the Singapore Brent and Singapore Gasoil markers, one minute tradable marker facilities for ICE Brent Crude futures and the ICE Gasoil futures contracts on the Asian trading markets. In November 2009, the firm introduced The ICE Platts Iron Ore Swap 62% Fe (metallic iron) contract, a cleared iron ore contract based on the Platts Iron Ore Index.

BRANDS/DIVISIONS/AFFILIATES: ICE Markets ICE Futures ICE Services ICE eConfirm WebICE ICEMaker ICE Data ICE Clear

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Jeffrey C. Sprecher, CEO Charles A. Vice, COO Charles A. Vice, Pres. Scott A. Hill, CFO/Sr. VP David S. Goone, Sr. VP-Sales Edwin Marcial, CTO/Sr. VP Johnathan H. Short, General Counsel/Sr. VP/Corp. Sec. Sunil Hirani, Corp. Dev. Officer/Sr. VP Thomas W. Farley, Pres./COO-ICE Futures U.S. David S. Goone, Chief Strategic Officer/Sr. VP Dirk Pruis, Pres., ICE Trust Thomas J. Hammond, Pres./COO-ICE Clear U.S. Jeffrey C. Sprecher, Chmn. David J. Peniket, Pres./COO-ICE Futures Europe

Phone: 770-857-4700 Fax: 770-951-1307 Toll-Free: Address: 2100 RiverEdge Pkwy., Ste. 500, Atlanta, GA 30328 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: ICE 2008 Sales: $813,078 2008 Profits: $300,972 Int’l Ticker: Int’l Exchange: 2007 Sales: $574,293 2007 Profits: $240,612 Employees: 795 2006 Sales: $313,799 2006 Profits: $143,268 Fiscal Year Ends: 12/31 2005 Sales: $155,865 2005 Profits: $40,410 Parent Company:




Y Y

Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



INTERNATIONAL SECURITIES EXCHANGE (ISE) Industry Group Code: 523210 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:



www.ise.com

Profits:


Y




TYPES OF BUSINESS: Electronic Options Exchange Online Trading Systems & Software Financial Information Electronic Stock Exchange Indexes

International Securities Exchange (ISE), a subsidiary of Eurex, is one of the world’s largest equity options exchanges. ISE launched the first fully electronic options exchange in the U.S. in 2000, and today lists equity options representing roughly 99% of the average daily trading volume of the U.S. options industry. The firm conducts approximately 24.7% of the industry’s daily trades, reporting an average daily volume of 3.1 million contracts in November 2009. ISE also offers options trading on over 2,000 underlying equity, index,, FX and ETF products. The firm’s unique exchange provides a trading platform in listed equity options and related services designed to improve the market for equity options and the speed and quality of trade execution for its members. Trades are conducted through the exchange’s Application Programming Interface, providing customers direct access to ISE’s system and allowing immediate submission, amendment or cancellation of orders in the online order book. The system’s peak message traffic capacity exceeds 100,000 quotes per second. ISE also offers index trading, consisting of licensing new products, creating proprietary indices and seeking to end the exclusive licensing of index products for options trading. The firm’s operations generate raw market data that it distributes, for a trade-based fee, to OPRA, which consolidates it with data from other options exchanges and redistributes it to vendors and customers. In December 2008, ISA sold subsidiary ISE Stock Exchange, LLC to Direct Edge Holdings and in exchange acquired 31.5% ownership of Direct Edge. In December 2009, the firm introduced the ISE Open/Close Intraday File, which updates every 10 minutes and can be accessed using an FTP server. The company offers employees medical, dental, life and long-term disability insurance; a 401(k) plan; flexible spending accounts; parking expense accounts; transit debit cards; corporate gym membership; an employee assistance program; and an educational assistance plan.

BRANDS/DIVISIONS/AFFILIATES: Eurex F Application Programming Interface OPRA Direct Edge Holdings

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Gary Katz, CEO Gary Katz, Pres. Bruce Cooperman, CFO Bruce Goldberg, Chief Mktg. Officer Robert J. Cornish, Tech. Infrastructure & Dev. Officer Daniel P. Friel, CIO Lawrence P. Campbell, CTO Kimberly Hicks, Admin. Officer Michael J. Simon, General Counsel/Chief Regulatory Officer/Sec. Jerome Mangano, Tech. Oper. & Support Officer Thomas Ascher, Chief Strategy Officer James O. Sampson, III, Trading & Market Oper. Officer Molly McGregor, Dir.-Corp. Affairs Bruce Cooperman, Treas. Boris Ilyevsky, Managing Dir.-ISE Stock Exchange Thomas Bendixen, Corp. Initiatives Officer Gregory J. Maynard, System & Prod. Strategy Officer Thomas Reina, Tech. Dev. Officer David Krell, Chmn.

Phone: 212-943-2400 Fax: 212-425-4926 Toll-Free: Address: 60 Broad St., New York, NY 10004 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $155,899 2005 Profits: $35,347 Parent Company: EUREX




Y Y Y

Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International:



INTESA SANPAOLO SPA

www.intesasanpaolo.com



Y


Y

Profits: 13





TYPES OF BUSINESS: Banking Insurance Consumer & Business Loans Transaction Services Asset Management Financial Advisors

Intesa Sanpaolo S.p.A. is the result of the merger between Banca Intesa S.p.A. and Sanpaolo IMI S.p.A. The group is one of the largest banks in Europe, with 6,175 branches and 11.1 million clients. The firm operates through six business groups: Banca dei Territori; corporate and investment banking; international subsidiary banks; Eurizon Financial Group; corporate center; and public finance. Banca dei Territori encompasses 5,387 branches serving 10.9 million retail customers; 184 branches serving 72,000 private customers; 348 branches serving 112,000 serving small and medium enterprises (SME) customers; and 52 branches of Banca Prossima, which serves 50,000 non-profit organizations. The division also offers bancassurance with EurizonVita, an Italian life insurance company; EurizonTutela, a property-casualty business that focuses on personal and personal assets protection; and Intesa Vita, a joint venture with the Generali Group that provides life insurance. The corporate and investment banking segment offers commercial banking; capital markets, investment banking and structured finance origination; and transaction services such as payments and sub-custody. The international subsidiary banks offer banking services to foreign countries. Eurizon Capital offers financial management services with $189 billion of assets under management. Banca Fideuram, also offers asset management and financial advisement services and has 4,310 bankers and 97 domestic branches. The public finance sector, with a network comprised of 18 branches with over $62 billion in customer loans, offers project finance for infrastructures, long-term financing, debt restructuring, bond issues and banking services. In 2009, the company agreed to acquire IMMIT Immobili Italiani S.p.A.

BRANDS/DIVISIONS/AFFILIATES: Banca Intesa S.p.A. Sanpaolo IMI S.p.A. Eurizon Capital Banca Fideraum Intesa Vita Banca dei Territori Banca Prossima IMMIT Immobili Italiani S.p.A.

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Corrado Passera, CEO/Managing Dir. P.L. Curcuruto, COO C. Messina, CFO M. Vernieri, Dir.-Human Resources Ernesto Riva, Chief Admin. Officer E. Lunati, Dir.-Legal Affairs M. Manzotti, Dir.-Oper. E. Rossetti, Chief Lending Officer B. Picca, Chief Risk Officer S. Marchetti, Dir.-Loan Recovery L. Tedesi, Dir.-Real Estate & Procurement Enrico Salza, Chmn.

Phone: 39-011-5551 Fax: Toll-Free: Address: Piazza San Carlo, 156, Torino, 10121 Italy

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: 2008 Sales: $52,947,000 2008 Profits: $3,737,000 Int’l Ticker: BIN Int’l Exchange: Milan-BI 2007 Sales: $22,250,000 2007 Profits: $3,380,000 Employees: 2006 Sales: $17,800,000 2006 Profits: $3,580,000 Fiscal Year Ends: 12/31 2005 Sales: $18,645,900 2005 Profits: $3,758,800 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



INVESCO AIM MANAGEMENT GROUP INC Industry Group Code: 523920 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y Y Y


Y

www.invescoaim.com

Profits:


Y


Y



TYPES OF BUSINESS: Asset Management Mutual Fund Management Annuities Retirement Products Private Asset Management

Invesco Aim Management Group, Inc., formerly AIM Management Group, is a subsidiary of independent investor manager Invesco, Ltd., that provides a broad range of investment portfolios, including mutual funds, exchangetraded funds, retirement products, separately managed accounts for high-net-worth and institutional investors, annuities, cash management, college savings plans and offshore products. The company has more than $388.7 billion in assets under management. The investment advisors for the company’s products are subsidiaries Invesco Aim Advisors, Inc.; Invesco Aim Capital Management, Inc.; Invesco Aim Private Asset Management, Inc.; and Invesco PowerShares Capital Management LLC. AIM Distributors, Inc. distributes the company’s retail mutual funds, the exchange-traded funds and U.S. institutional money market funds. AIM Capital Funds plc offers a family of U.S. dollar denominated funds listed on the Irish exchange. In addition to mutual funds, the company offers a range of retirement and education products such as defined contribution plans, IRAs, the AIM College Savings Plan and AIM Solo 401(k). In June 2009, the firm launched AIM Core Plus Bond Fund, which seeks total return by mainly investing in investmentgrade securities. In October 2009, the firm agreed to acquire Morgan Stanley’s retail asset management business.

BRANDS/DIVISIONS/AFFILIATES: Invesco AIM Advisors, Inc. Invesco AIM Capital Management, Inc. Invesco AIM Private Asset Management, Inc. Invesco Powershares Capital Management LLC Invesco Aim Advisors, Inc. Invesco Ltd.

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Philip A. Taylor, CEO Ivy McLemore, Dir.-Public Rel. Philip A. Taylor, Sr. Managing Dir.-Invesco Ltd.

Phone: 713-626-1919 Fax: 713-993-9890 Toll-Free: 800-959-4246 Address: 11 Greenway Plaza, Ste. 100, Houston, TX 77046 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company: INVESCO LTD




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest:

Southeast:


Northeast:

International:



INVESCO LTD

www.invesco.com



Y Y


Y Y Y

Profits: 10





TYPES OF BUSINESS: Investment Management/Mutual Funds Pension Funds Financial Advising Estate Planning & Trust Services Private Equity Services

Invesco, Ltd. is an independent global investment manager. The firm has offices in 20 countries and approximately $418.8 billion in assets under management. Invesco offers products, services and investment solutions for retail, institutional and private wealth management clients around the world through Invesco and six other brand names: Invesco AIM, Atlantic Trust, Perpetual, PowerShares, Trimark and WL Ross. AIM provides support to advisors through a suite of investment solutions including mutual funds; exchange-traded funds; retirement products; separately managed accounts for high-net-worth and institutional investors; annuities; cash management; college savings plans; and offshore products. Atlantic Trust Private Wealth Management offers private wealth management to high net worth individuals and wealthy families around the world, providing investment management and wealth advisory services. Atlantic Trust currently manages over $16 billion in assets. Invesco Perpetual is a leading investment management company in the U.K., providing asset management services for consumers, institutional clients and investment professionals through ICVCs, investment trusts, ISAs, pension products, offshore funds and institutional funds. PowerShares provides investment tools and portfolios for advisors and investors, and is the advisor and sponsor of PowerShares XTF, a family of Exchange-Traded Funds. Trimark is a leading Canadian investment management company. WL Ross & Co. LLC is an assets manager for institutional investors in the U.S., Asia and Europe. In September 2008, Invesco WL Ross and Huaneng Capital Services formed a joint venture, Huaneng Invesco WLR Investment Consulting Company, Ltd., to assess private equity investment opportunities in power generation and provide a platform for a private equity business in China.

BRANDS/DIVISIONS/AFFILIATES: WL Ross & Co LLC AIM Invesco Trimark Atlantic Trust Invesco Perpetual Invesco PowerShares Huaneng Invesco WLR Investment Consulting Co Ltd

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Martin L. Flanagan, CEO Martin L. Flanagan, Pres. Loren M. Starr, CFO/Sr. Managing Dir. Washington Dender, Head-Human Resources Colin D. Meadows, Chief Admin. Officer/Sr. Managing Dir. Kevin M. Carome, General Counsel/Sec. Bill Hensel, Dir.-Media Rel. Jordan Krugman, Head-Investor Rel. David Hartley, Chief Acct. Officer G. Mark Armour, Sr. Managing Dir./Head-Worldwide Institutional Philip A. Taylor, Sr. Managing Dir./Head-North American Retail Robert J. Yerbury, Chief Investment Officer-Invesco Perpetual Andrew T.S. Lo, Sr. Managing Dir./Head-Invesco APAC Rex D. Adams, Chmn. James I. Robertson, Head-Invesco Perpetual & Continental Europe

Phone: 404-479-1095 Fax: 404-439-4911 Toll-Free: 800-241-5477 Address: 1555 Peachtree St. N.E., Ste. 1800, Atlanta, GA 30309 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: IVZ 2008 Sales: $3,307,600 2008 Profits: $481,700 Int’l Ticker: Int’l Exchange: 2007 Sales: $3,878,900 2007 Profits: $673,600 Employees: 5,325 2006 Sales: $3,246,700 2006 Profits: $482,700 Fiscal Year Ends: 12/31 2005 Sales: $2,173,200 2005 Profits: $223,600 Parent Company:




Profit Sharing:


Bonus: $3,655,000 Bonus: $2,200,000


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



INVESTEC LIMITED

www.investec.com


Y Y


Y


Y

Profits: 4



Y Y


Y


TYPES OF BUSINESS: Investment Banking Private Banking Private Portfolio Management & Stockbroker Services Treasury & Specialized Finance Private Equity Research Asset Management Property Management

Investec Limited, along with sister company Investec plc, is an international specialist banking group that provides a diverse range of financial products and services to a select client base primarily in the U.K. and South Africa, with select activities in Australia. The firm, which is dual-listed on stock exchanges in London and Johannesburg as Investec plc and Investec Limited, respectively, is organized as a network divided into five business segments: Private Client Activities, Treasury and Specialized Finance, Investment Banking, Asset Management and Property Activities. The Private Client Activities segment provides private banking, portfolio management and stockbroking services to high net worth individuals, high income professionals and active, wealthy entrepreneurs in the U.K. and South Africa. The Treasury and Specialized Finance division focuses on specialist funds, specialized lending, structured derivatives and capital markets and securitization, earning income through trading and hedging, product structuring and distribution, asset creation and financial advisory services in the U.K. and Europe, South Africa and Australia. The firm’s Investment Banking segment engages in corporate finance, direct investments, private equity and research, sales and trading in the U.K. and Europe, South Africa, Hong Kong and Australia. In Asset Management the company has interests in retail, institutional and offshore funds assets in the U.K. and Europe, Hong Kong and South Africa. Finally, in Property Activities Investec has property fund management, listed property management, property administration and property trading and development operations in the U.K. and Europe and South Africa. In September 2009, the company introduced its Private Equity Partner and Fund Finance Service. The service will offer private equity loans between $3.5 million and $105 million to firms and individuals in the U.K., continental Europe and Australia.

BRANDS/DIVISIONS/AFFILIATES: Investec plc Private Equity Partner and Fund Finance Service Investec Bank (UK) Limited Investec Bank Limited

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Stephen Koseff, CEO Bernard Kantor, Managing Dir. Glynn Burger, Group Dir.-Finance & Risk Raymond van Niekerk, Dir.-Mktg. Sandeep Malhotra, Dir.-Human Resources Ingrid David, Co-Dir.-IT Benita Coetsee, Corp. Sec. Rayanne Jacobson, Dir.-Oper. Allen Zimbler, Chief Integrating Officer Ursula Nobrega, Dir.-Investor Rel. Rayanne Jacobson, Dir.-Finance Alan Tapnack, Exec. Dir. David Lawrence, Dir.-Banking & Institutions Ciaran Whelan, Dir.-Risk Management Simon Shapiro, Co-Dir.-IT Hugh Herman, Chmn. Richard Forlee, Dir.-Southeast Asia

Phone: 27-11-286-7070 Fax: 27-11-286-7014 Toll-Free: Address: 100 Grayston Dr., 2nd Fl., Sandown, Sandton, 2196 South Africa

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $2,022,350 2009 Profits: $477,890 U.S. Stock Ticker: Private 2008 Sales: $2,360,630 2008 Profits: $640,890 Int’l Ticker: Int’l Exchange: 2007 Sales: $2,174,060 2007 Profits: $556,940 Employees: 5,623 2006 Sales: $1,661,900 2006 Profits: $572,900 Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast:

International: Y



INVESTMENT TECHNOLOGY GROUP INC (ITG) Industry Group Code: 518210 Ranks within this company's industry group: Sales: 2 Brokers/Stocks: Broker: Investment Bank: Futures/Options:



www.itg.com

Profits: 2



Y Y


Online Trading Systems Transaction Research Data Processing Services

Investment Technology Group, Inc. (ITG) is a global specialized agency brokerage and financial technology firm, combining pre-trade analysis, portfolio management, trade execution and post-trade evaluation to provide investment solutions. The firm operates in three segments: U.S. Operations, Canada Operations and International Operations. The company’s primary services include pretrade solutions, such as portfolio management, optimization and compliance and pre-trade analytics products; trade offerings, including execution, management and connectivity, POSIT equity securities crossing and algorithmic trading products; and post-trade solutions, such as measurement and analytics and post-trade processing products. Some of these products include Triton, a global execution management system (EMS); Radical, a active single-stock and options EMS; Macgregor XIP, a multi-asset order management system (OMS); POSIT Now, a continuous equity securities matching system; and ITG TCA and Alpha Capture, consulting, analytics and tools for cost assessment and peer comparison. ITG’s principal subsidiaries include ITG, Inc.; AlterNet Securities, Inc.; ITG Derivatives LLC; POSIT Alert LLC; Investment Technology Group Limited (ITG Europe), an institutional broker-dealer in Europe; ITG Australia Limited; ITG Canada Corp.; ITG Hong Kong Limited; ITG Japan, Ltd.; ITG Software Solutions, Inc., an intangible property, software development and maintenance company; ITG Solutions Network, Inc., a holding company for ITG Analytics, Inc., a provider of pre- and post- trade analysis, fair value and trade optimization services; The Macgregor Group, Inc., a provider of trade order management technology and network connectivity services; and Plexus Plan Sponsor Group, Inc., a provider of trading process analysis and transition consulting services. In December 2008, ITG and MarketAxess Holdings, Inc. formed an agreement to integrate access to MarketAxess’ fixed income compliance suite and ITG's equities transaction cost analysis product.

BRANDS/DIVISIONS/AFFILIATES: Hoenig POSIT Alert LLC ITG Software Solutions, Inc. Radical Triton ITG Solutions Network, Inc. ITG Analytics, Inc. Plexus Plan Sponsor Group, Inc.

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Robert Gasser, CEO Robert Gasser, Pres. Howard C. Naphtali, CFO/Managing Dir. Chris Heckman, Managing Dir./Head-U.S. Sales & Trading Peter Goldstein, Head-Human Resources/Managing Dir. David L. Meitz, Managing. Dir.-Software Dev. & Tech. Mark Wright, Managing Dir.-Global Prod. Mgmt. P. Mats Goebels, General Counsel/Corp. Sec./Managing Dir. Maureen Murphy, Dir.-Corp. Comm. Maureen Murphy, Dir.-Investor Rel. & Mktg. Angelo Bulone, Controller/Managing Dir. Stephen Alepa, Managing Dir.-ITG Financial Network Ian Domowitz, Managing Dir.-Networking, Analytical & Research Nick Thadeney, CEO-ITG Canada Corp. David Stevens, CEO-ITG Europe Maureen O'Hara, Chmn. Leon Christianakis, CEO-Asia Pacific


FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: ITG 2008 Sales: $762,983 2008 Profits: $114,642 Int’l Ticker: Int’l Exchange: 2007 Sales: $730,999 2007 Profits: $111,107 Employees: 1,323 2006 Sales: $599,484 2006 Profits: $97,923 Fiscal Year Ends: 12/31 2005 Sales: $408,161 2005 Profits: $67,686 Parent Company:



Y Y


TYPES OF BUSINESS:


Y

Profit Sharing:


Bonus: $1,772,500 Bonus: $1,202,502


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



J C FLOWERS & CO LLC

www.jcfco.com




Profits:




Y


TYPES OF BUSINESS: Private Equity Investments Fund Advisory Services

J.C. Flowers & Co., LLC is a New York City-based private equity investment firm specializing in buyouts. The company invests in financial services companies, with a focus on banks, insurance and re-insurance companies, asset management and brokerage houses, consumer finance businesses, mortgage companies, credit card companies and stock exchanges. In addition to its New York office, the company has locations in England, Germany and China. The company’s primary investments include Shinsei Bank, which is based in Japan and in which JC Flowers holds a one-third stake; Enstar Group; NIBC Bank N.V.; and HSH Nordbank AG, a German wholesale bank of which JC Flowers owns approximately 27%. JC Flowers advises for two private equity funds: J.C. Flowers I L.P. and J.C. Flowers II L.P., both of which are focused on the financial services sector. The company’s Mallabraca consortium was formed in partnership with the Carlyle Group, and pursues long term investment opportunities. In August 2009, the company purchased a stake in OneWest Bank, formerly know as IndyMac Bancorp.

BRANDS/DIVISIONS/AFFILIATES: Shinsei Bank Ltd. Enstar Group NIBC Bank N.V. HSH Nordbank AG J.C. Flowers I L.P. J.C. Flowers II L.P. Carlyle Group (The) OneWest Bank

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. J. Christopher Flowers, Pres. Ravi S. Sinha, Partner/Managing Dir. John J. Oros, Managing Dir. David I. Schamis, Managing Dir. J. Christopher Flowers, Chmn. David Morgan, Chmn.-Australia Oper.

Phone: 212-404-6800 Fax: 212-404-6899 Toll-Free: Address: 717 5th Ave., 26th Fl., New York, NY 10022 US

FINANCIALS:





Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



JANNEY MONTGOMERY SCOTT LLC Industry Group Code: 523110 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:

Y Y


Y


Y

www.janneys.com Profits:


Y


Y



TYPES OF BUSINESS: Personal Planning Stock Brokerage Equity Research Investment Banking Retirement Planning Services Fixed Income Products

Janney Montgomery Scott LLC (JMS), a subsidiary of Penn Mutual Life Insurance Company, is an investment banking firm with over $13 billion in assets under management. The company is a stock broker making a two-sided market on more than 150 stocks. JMS also offers fixed income products, including taxable fixed income, municipals and portfolio services; financial services including money management; central asset accounts, mutual funds, unit investment trusts, personal financial planning, insurance, deferred compensation programs for corporations and other resources; equity research; investment banking; and retirement planning services including IRA, 401(k) and money purchase plans. The firm offers mortgages to its clients through a partnership with Countrywide Financial Corp. The firm provides its financial consulting services to more than 350,000 customers through 100 full-service investment offices in California, Florida, Georgia, South Carolina, North Carolina, Virginia, West Virginia, Ohio, Pennsylvania, New York, Massachusetts, Rhode Island, Connecticut, New Jersey, Delaware, Maryland and Washington, D.C. In recent years, the company formed a joint-venture with S-Network LLC, called J-Net Global Indexes LLC. The joint venture develops and manages indexes that track the performance of firms involved in the water industry. The Janney Global Water Index (JGW) includes the JGW Composite Index, which offers information on 30 global water utilities (Janney Water Works) and 30 companies that provide water utility infrastructure and/or technology (Janney Water Tech).

BRANDS/DIVISIONS/AFFILIATES: Penn Mutual Life Insurance Company J-Net Global Indexes

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Timothy C. Scheve, CEO Scott Aschoff, COO Timothy C. Scheve, Pres. Mark Knowt, CFO Karen Shakoske, VP/Dir.-Mktg. Comm. Barbara Murphy-Warrington, Sr. VP/Dir.-Human Resources John M. Ivan, General Counsel/Sr. VP David S. Penn, Exec. VP/Dir.-Wealth Mgmt. Svcs. John Maine, Exec. VP/Head-Capital Markets Anthony Miller, Treas./Sr. VP Jerome F. Lombard Jr., Pres., Private Client Group Robert William Kampmeinert, Chmn.

Phone: 215-665-6000 Fax: 215-564-9597 Toll-Free: 800-526-6397 Address: 1801 Market St., Philadelphia, PA 19103-1675 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 3/31 2005 Sales: $ 2005 Profits: $ Parent Company: PENN MUTUAL LIFE INSURANCE COMPANY




Profit Sharing: Y


Bonus: $ Bonus: $


Southwest:

Midwest: Y

Southeast: Y


Northeast: Y

International:



JANUS CAPITAL GROUP INC

ww4.janus.com



Y


Y Y Y

Profits: 14



Y Y



TYPES OF BUSINESS: Investment Management/Mutual Funds Printing & Graphic Design Services

Janus Capital Group, Inc. (JCG) and its subsidiaries provide investment management, administration, distribution and related services to individual investors through mutual funds, separate accounts and sub-advised relationships in both domestic and international markets. Janus provides investment advisory services through three primary subsidiaries: Janus Capital Management LLC, which takes a research-driven approach to investing; INTECH Investment Management LLC, which uses an investment process based on a mathematical theorem; and Perkins Investment Management LLC, a manager of value discipline investment products. JGC’s investment products are distributed through three channels, each focusing on specific investor groups: retail intermediary, institutional and international. The company and its subsidiaries collectively manage approximately $110.9 billion in assets, consisting primarily of domestic and international equity and debt securities. Janus’ line of products in various investment disciplines includes growth equity, core and international equity funds, as well as balanced, fixed-income, alternative and money market investment products. In September 2009, INTECH launched a new European Equity product. The firm offers its employees medical, dental, vision, life and disability insurance; participation in a 401(k) plan; charitable gift matching of up to $10,000; employer contributions to a profit sharing plan; an employee stock ownership plan; tuition assistance; an employee assistance program; child care; use of on-site fitness centers; and additional discounts on monthly expenses, including cell phones and health clubs.

BRANDS/DIVISIONS/AFFILIATES: Janus Capital Management, LLC Enhanced Investment Technologies, LLC INTECH Investment Management LLC Perkins, Wolf, McDonnell and Company, LLC Perkins Investment Management LLC

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Timothy K. Armour, Interim CEO Gregory A. Frost, CFO/Exec. VP Robin C. Beery, Chief Mktg. Officer/Exec. VP James P. Goff, Dir.-Research Kelley A. Howes, General Counsel/Exec. VP Jonathan D. Coleman, Exec. VP/Co-Chief Investment Officer R. Gibson Smith, Exec. VP/Co-Chief Investment Officer Dan P. Charles, Exec. VP-JCM Steve L. Scheid, Chmn.

Phone: 303-333-3863 Fax: Toll-Free: 800-525-3713 Address: 151 Detroit St., Denver, CO 80206 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: JNS 2008 Sales: $1,037,900 2008 Profits: $136,900 Int’l Ticker: Int’l Exchange: 2007 Sales: $1,117,000 2007 Profits: $116,300 Employees: 1,164 2006 Sales: $935,800 2006 Profits: $133,600 Fiscal Year Ends: 12/31 2005 Sales: $953,100 2005 Profits: $87,800 Parent Company:




Profit Sharing: Y


Bonus: $4,836,516 Bonus: $4,534,545


Southwest:

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



JEFFERIES BROADVIEW

www.broadview.com


Y


Y


Profits:



Y



TYPES OF BUSINESS: Investment Banking Venture Capital Mergers & Acquisitions Capital Raising Advisory Services

Jefferies Broadview, the technology division of Jefferies Group, Inc., is one of the largest banking teams dedicated to IT, communications, healthcare technology and digital media businesses. The company maintains offices in New York, Boston, Silicon Valley, London, Dubai and Shanghai. Investment banking services provided by Jefferies Broadview include debt and equity underwriting, mergers and acquisitions restructuring; and private placements. The company addresses six major technology segments: communications technology; semiconductors and electronics manufacturing; enterprise software; digital media; and IT technology services. Recent transactions for which Jefferies Broadview has advised include: the acquisition of Navteo by T-Systems Traffic GmbH in January 2009; the acquisition of Imageon by AMICAS, Inc. for $39 million, April 2009; the acquisition of TriNet Total HR Services by Gevity for $114 million, June 2009; and the acquisition of ARC International by Virage Logic $ 36.8 million, September 2009; and the acquisition of Metris by Nikon Corp. for $241.8 million, also in September 2009.

BRANDS/DIVISIONS/AFFILIATES: Jefferies Group Inc

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Alec L. Ellison, Pres. Robert Jackman, Co-Head-Tech., Media & Telecommunications Jason Auerbach, Co-Head-Media, Telecomm. & Tech. Richard B. Handler, Chmn. Bruce Huber, Head-European Tech. Investment Banking

Phone: 212-284-8100 Fax: 212-284-8101 Toll-Free: Address: 520 Madison Ave., 10th Fl., New York, NY 10022 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company: JEFFERIES GROUP INC




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International:



JEFFERIES GROUP INC

www.jefferies.com


Y Y



Y

Profits: 27



Y Y



TYPES OF BUSINESS: Stock Brokerage/Investment Banking Corporate Finance Asset Management Mergers & Acquisitions Advising Execution Services

Jefferies Group, Inc. is an international full-service investment bank and institutional securities firm. The company offers services involving capital markets, mergers and acquisitions, restructuring and other areas of financial advisory to small and mid-sized companies. The firm provides institutional investors with trade execution in equity, high yield, investment grade fixed income, convertible and international securities, as well as fundamental research and asset management capabilities. It also offers correspondent clearing, prime brokerage, private client and securities lending services. Jefferies Group’s principal operating subsidiary, Jefferies & Company, Inc., is an investment bank that provides trade execution in equity, high yield, investment grade fixed income, convertible and international securities for institutional investors and high net worth individuals. Jefferies International Ltd. is an investment bank focusing on mid-sized and growing companies and their investors, primarily in Europe. Jefferson Group operates in two primary segments: Jefferies Capital Markets, which provides the research, sales, trading and origination effort for the firm’s various equity, fixed income and advisory products and services; and Jefferies Asset Management, which acts as an investment manager to various private investment funds. Another division, Jefferson Execution Services, provides agency-only services for stocks and options listed on many major exchanges as well as OTC stocks. In March 2009, Jefferies Group acquired municipal securities provider Depfa First Albany Securities LLC from DEPFA Bank plc.

BRANDS/DIVISIONS/AFFILIATES: Jefferies & Company Inc Jefferies International Ltd Jefferies Execution Services Jefferies Asset Management Jefferies Capital Markets Depfa First Albany Securities LLC

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Richard B. Handler, CEO Peregrine Broadbent, CFO/Exec. VP Lloyd H. Feller, General Counsel/Exec. VP/Corp. Sec. Adam DeChiara, Co-Pres., Jeffries Financial Prod. David Weaver, Co-Head-Investment Banking Chris M. Kanoff, Co-Head-Investment Banking Kenton Jernigan, Head-European Credit Sales Richard B. Handler, Chmn. Jon Pliner, Managing Dir.-European Credit Sales & Trading


FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: JEF 2008 Sales: $1,682,739 2008 Profits: $-536,128 Int’l Ticker: Int’l Exchange: 2007 Sales: $2,718,895 2007 Profits: $144,665 Employees: 2,270 2006 Sales: $1,963,208 2006 Profits: $205,750 Fiscal Year Ends: 12/31 2005 Sales: $1,497,873 2005 Profits: $157,443 Parent Company:




Profit Sharing: Y


Bonus: $1,300,000 Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



JOHN HANCOCK FINANCIAL SERVICES INC Industry Group Code: 524113 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y Y


Y

www.johnhancock.com

Profits:





TYPES OF BUSINESS: Life Insurance Mortgages Annuities Retirement Products Mutual Funds

John Hancock Financial Services, Inc., a subsidiary of Canada-based Manulife Financial Corp., is one of the largest life insurers in the U.S. The company offers a wide range of insurance products including annuities; individual and group long-term care insurance; multiple life insurance policies; mortgage lending; securitized investments; benefit payment services; retiree health care solutions; and fixed income and equity services. The company’s core retail products include life insurance, long-term care insurance, annuities, and mutual funds. John Hancock also specializes in institutional investment, providing opportunities for pension funds and endowments to invest. Corporate employers are among the firm’s largest customers. The company’s four operating business segments, serving its retail and institutional customers, are protection, which offers life and long-term care insurance; guaranteed and structural financial products, which provides a range of defined benefit and defined contribution retirement plan products; wealth management, which offers retirement services, annuities and institutional account management; and corporate and other, which provides investment advisory services for corporations. Products introduced in 2009 include JH Signature, an annuity product that provides rate for term choices and eldercare support services; JH Essential Income, a fixed immediate annuity product that also offers free health information services; Annuity Note, a retirement income product that offers a lifetime income and liquidity; Protection UL-G, a single life product that provides lifetime guaranteed premiums for people ages 30-90; Protection SUL-G, which provides lifetime protection for spouses; Protection VUL, a universal life insurance product that is targeted towards both individual and business clients; and Accumulation UL, a universal life insurance product that includes outstanding cash accumulation. Employees are offered a 401(k) savings plan; a pension plan; flexible spending accounts; auto and home insurance; life insurance; medical, dental, vision and disability coverage; tuition reimbursement; an employee assistance program; legal services; mutual funds; on-site child care; a college savings plan; and eldercare benefits.

BRANDS/DIVISIONS/AFFILIATES: Manulife Financial Corporation JH Signature JH Essential Income Annuity Note Protection UL-G Protection SUL-G Protection VUL Accumulation UL

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. John D. DesPrez, III, CEO John G. Vrysen John G. Vrysen, COO/Exec. VP James R. Boyle, Pres. Lynne Patterson, CFO/Sr. VP Brian Heapps, Exec. VP-Sales Diana Scott, Sr. VP/Gen. Mgr.-Human Resources Allan T. Hackney, CIO/Sr. VP Jonathan Chiel, General Counsel Hugh McHaffie, Pres., John Hancock Wealth Management Marc Costantini, Pres., John Hancock Annuities Steve Finch, Pres., John Hancock Life Insurance Craig Raymond, Chief Risk Officer/Chief Actuary John D. DesPrez, III, Chmn.

Phone: 617-663-3000 Fax: 617-572-6015 Toll-Free: 800-225-5291 Address: 601 Congress St., Boston, MA 02110 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company: MANULIFE FINANCIAL CORPORATION




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



JONES FINANCIAL COMPANIES LLP (EDWARD JONES) www.edwardjones.com Industry Group Code: 523120 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:

Y


Y Y Y


Y

Profits:



Y



TYPES OF BUSINESS: Stock Brokerage Financial Planning Retirement & Estate Planning Life Insurance Banking Services Annuities

Jones Financial Companies L.L.P., is the parent company of Edward D. Jones & Co., L.P. which trades under the name Edward Jones. Edward Jones is an investment brokerage network specifically focused on individual investors, most of whom are retired people and small-business owners in rural communities and suburbs. The firm serves over 7 million clients and has a network of approximately 10,000 offices in the U.S., 500 in Canada and 300 the U.K. Edward Jones keeps its offices continuously connected through satellite uplinks. Besides its branch offices, the firm has headquarters buildings located in St. Louis, Missouri; Tempe, Arizona; Mississauga, Ontario; and London. Edward Jones brokers focus on conservative long-term investors with the intention of buying and holding stocks in relatively low-risk investment portfolios in government bonds, blue-chip stocks and highquality mutual funds. Other products from the company include annuities, college saving programs, estate planning, life insurance, retirement plans and traditional banking services such as savings and checking accounts. The firm also maintains a research department to provide specific investment recommendations and market information for retail customers. Edward Jones’ web site offers financial planning for life events including buying a home, expecting a child, changing jobs and the loss of a loved one. The firm recently began offering its web site in Spanish. All employees are offered medical and dental benefits; 401(k) plans; life and disability insurance; and a profit sharing plan and tuition reimbursement for headquarters employees.

BRANDS/DIVISIONS/AFFILIATES: Edward D. Jones & Co., L.P. Edward Jones

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. James D. Weddle, CEO Kevin Bastien, CFO Brett Campbell, Principal-Products, Svcs. & Mktg. Norman Eaker, Principal-Human Resources Kate Warne, Principal-Research Vinny Farrari, CIO James A. Tricarico, Principal-Legal & Compliance Norman Eaker, Principal-Oper. John Boul, Mgr.-Global Media Rel. Steven Novik, Principal-Finance Alan F. Skrainka, Chief Market Strategist Mario D. De Rose, Fixed Income Strategist Tim Kirley, Principal-U.K. Oper.

Phone: 314-515-2000 Fax: 314-515-2820 Toll-Free: Address: 12555 Manchester Rd., Des Peres, MO 63131 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Private 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $4,146,900 2007 Profits: $ Employees: 37,024 2006 Sales: $3,517,800 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $3,190,400 2005 Profits: $ Parent Company:




Profit Sharing: Y


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



JP MORGAN CHASE & CO INC

www.jpmorganchase.com


Y Y


Y Y Y Y


Y Y Y

Profits: 6



Y Y Y



TYPES OF BUSINESS: Banking Mortgages Investment Banking Stock Brokerage Credit Cards Business Finance Mutual Funds Annuities

J.P. Morgan Chase & Co., Inc. (JPM) is one of the largest banking institutions in the world, operating in more than 60 nations and controlling more than $2.1 trillion in assets. As one of the strongest financial organizations in America, JPM was able to grow significantly in 2008 by acquiring the assets of two major companies during the global financial crisis. In March 2008, JPM purchased the assets of Bear Stearns & Co., one of America's largest investment banking firms. In September 2008, the firm acquired the assets of Washington Mutual (WAMU), one of the nation's largest savings associations, after federal regulators took control of WAMU due to massive losses in its mortgage portfolio. These acquisitions boosted JPM to $2.03 trillion in assets and 5,410 branches in 23 states. In addition, it grew to 14,272 ATMs and 238,792 employees. JPM provides investment banking; financial services; financial transaction processing; asset and wealth management; and private equity services for consumers and businesses. Among JPM’s principal subsidiaries are JPMorgan Chase Bank, a national banking association; Chase Bank USA, the firm’s leading provider of credit cards; and J.P. Morgan Securities, an investment banking firm. The company is organized into six segments: investment banking; retail finance; card services; commercial banking; treasury and securities; and asset management. JPM also operates private equity and treasury businesses through its subsidiary, One Equity Partners. In the investment banking sector, JPM provides strategic advice, capital raising and risk management expertise in areas such as healthcare, technology, energy, real estate and transportation. JPM also offers global research in areas such as fixed income/rates, credit, foreign exchange, emerging markets, derivatives, structured finance and bond indices. The firm operates a research data portal, MorganMarkets. In February 2009, JPM purchased UBS Commodities Canada Ltd., renaming the company J.P. Morgan Commodities Canada Corp., and the global agriculture business of UBS AG.

BRANDS/DIVISIONS/AFFILIATES: JPMorgan Chase Vastera Inc Bear Stearns Cos Inc (The) J.P. Morgan Securities MorganMarkets JPMorgan Partners Washington Mutual (WAMU) Bank of New York JP Morgan Commodities Canada Corp.

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. James Dimon, CEO Michael J. Cavanagh, Dir.-Finance John L. Donnelly, Dir.-Human Resources Guy Chiarello, CIO Frank J. Bisignano, Chief Admin. Officer Stephen M. Cutler, General Counsel/Dir.-Legal & Compliance Jay Mandelbaum, Dir.-Strategy Joseph M. Evangelisti, Dir.-Corp. Comm. Heidi Miller, Treas./Dir.-Securities Svcs. Barry Zubrow, Chief Risk Officer Paul T. Bateman, Dir.-Investment Mgmt. Anthony J. Best, Dir.-Investment Bank Jes Staley, CEO-Investment Bank James Dimon, Chmn. Andrew D. Crockett, Dir.-JPMorgan Chase Int'l

Phone: 212-270-6000 Fax: 212-270-2613 Toll-Free: 877-242-7372 Address: 270 Park Ave., New York, NY 10017-2070 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: JPM 2008 Sales: $101,491,000 2008 Profits: $5,605,000 Int’l Ticker: Int’l Exchange: 2007 Sales: $71,372,000 2007 Profits: $15,365,000 Employees: 224,961 2006 Sales: $61,999,000 2006 Profits: $14,444,000 Fiscal Year Ends: 12/31 2005 Sales: $54,248,000 2005 Profits: $8,483,000 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $2,000,000


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



KBC GROUP NV

www.kbc.com



Y


Y

Profits: 41


Y




TYPES OF BUSINESS: Banking Insurance Corporate Banking Asset Management Leasing Factoring Trade Finance

KBC Group NV, formed from the merger of KBC Bank & Insurance Holding Co. NV and Almanij, is a financial services group managing over $300 billion in assets and serving approximately 12.5 million customers in the fields of banking, insurance and asset management, primarily in Belgium and Central and Eastern Europe. The firm operates approximately 880 branches in Belgium and roughly 1,400 branches in Central Europe, Eastern Europe and Russia combined. KBC offers multi-channel distribution via bank branches, insurance agents, brokers and the Internet, emphasizing cross-selling between banking and insurance clients. The firm also serves small and mid-sized companies in the fields of corporate banking, leasing, factoring, reinsurance, insurance brokerage and project and trade finance. The company has three main subsidiaries: KBC Bank NV, KBC Insurance NV and KBL European Private Bankers, which are in turn responsible for the rest of the group’s subsidiaries and interests. In recent years, KBC has worked to expand into new markets, focusing on developing a second home market in countries such as the Czech Republic, Hungary, Poland, Slovakia and Slovenia. In early 2008, the firm acquired private Parisian asset management firm Richelieu Finance. In July 2008, the company completed its acquisition of Istrobanka and Istro Asset Management in Slovakia, in a transaction valued at roughly $510 million. In July 2008, subsidiary KBC Asset Management announced a joint venture with Union Bank of India to offer asset management services in India.

BRANDS/DIVISIONS/AFFILIATES: KBC Bank NV KBC Insurance NV KBL European Private Bankers Istrobanka Istro Asset Management Richelieu Finance

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Jan Vanhevel, CEO Danny De Raymaeker, COO Luc Philips, CFO Christian Defrancq, Chief Risk Officer Luc Popelier, CEO-Merchant Banking Bus. Unit Johan Thijs, CEO-Belgium Bus. Unit Etienne Verwilghen, CEO-European Private Banking Bus. Unit Jan Huyghebaert, Chmn. John Hollows, CEO-Central & Eastern Europe & Russia

Phone: 32-78-152-154 Fax: 32-2-429-4416 Toll-Free: Address: Havenlaan 2, Brussels, 1080 Belgium

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: KBCSF 2008 Sales: $32,606,000 2008 Profits: $-3,636,000 Int’l Ticker: KBC Int’l Exchange: Brussels-Euronext 2007 Sales: $35,220,000 2007 Profits: $4,660,000 Employees: 2006 Sales: $26,896,000 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $22,879,300 2005 Profits: $2,794,500 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



KBW INC

www.kbw.com


Y



Y

Profits: 22



Y



TYPES OF BUSINESS: Investment Banking Equity & Fixed Income Sales & Trading Equity & Fixed Income Research

KBW, Inc. is a holding company that conducts its primary business through wholly-owned subsidiary, Keefe Bruyette & Woods, Inc., a full-service investment bank specializing in the financial services industry. The firm’s business is organized into four principal offerings: investment banking; equity and fixed income; research; and asset management. KBW’s investment banking offerings include mergers and acquisitions services, strategic advisory services, equity and fixed income securities offerings, structured finance and mutual thrift conversions. The equity and fixed income offerings include sales and trading. The firm’s research products offer analysis to identify investment opportunities and help customers make investment decisions. KBW’s asset management services include investment management and other advisory services to institutional clients and other high net worth clients and investment vehicles. The firm’s focus includes bank and thrift holding companies, banking companies, thrift institutions, insurance companies, broker-dealers, mortgage banks, asset management companies, mortgage and equity real estate investment trusts, consumer and specialty finance firms, financial processing companies and securities exchanges. Subsidiaries include Keefe, Bruyette & Woods, Inc.; KBW Asset Management, Inc.; and Keefe, Bruyette & Woods Limited. The firm is headquartered in New York and has regional offices in Boston, Massachusetts; San Francisco, California; Chicago, Illinois; Columbus, Ohio; Hartford, Connecticut; Houston, Texas; Richmond, Virginia; Atlanta, Georgia; and London, England. Employees are offered medical and dental coverage; shortand long-term disability and life insurance; travel and special accident insurance; and participation in a profit sharing and 401(k) plan.

BRANDS/DIVISIONS/AFFILIATES: Keefe, Bruyette & Woods, Inc. KBW Asset Management, Inc. Keefe Bruyette & Woods Limited

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. John G. Duffy, CEO Thomas B. Michaud, COO Andrew M. Senchak, Pres./Vice Chmn. Robert Giambrone, CFO/Exec. VP Robert Giambrone, Chief Admin. Officer Mitchell B. Kleinman, General Counsel/Exec. VP Alan Oshiki, Investor Rel. Thomas B. Michaud, Vice Chmn./Pres., Keefe, Bruyette & Woods, Inc. John G. Duffy, Chmn.

Phone: 212-887-7777 Fax: Toll-Free: Address: The Equitable Bldg., 787 Seventh Ave., 4th Fl., New York, NY 10019 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: KBW 2008 Sales: $242,217 2008 Profits: $-62,349 Int’l Ticker: Int’l Exchange: 2007 Sales: $427,528 2007 Profits: $27,292 Employees: 529 2006 Sales: $406,586 2006 Profits: $53,284 Fiscal Year Ends: 12/31 2005 Sales: $307,900 2005 Profits: $17,400 Parent Company:




Profit Sharing: Y


Bonus: $133,500 Bonus: $133,500


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



KEEFE BRUYETTE & WOODS INC

www.kbw.com


Y Y



Y

Profits:



Y Y



TYPES OF BUSINESS: Stock Brokerage Investment Banking Financial Research

Keefe, Bruyette & Woods, Inc. (Keefe), a subsidiary of KBW, Inc., is principally involved in investment banking; financial research; and sales and trading. Keefe has investment banking offices in New York, London, Boston, Chicago, Atlanta, Columbus (Ohio), Hartford, Richmond (Virginia) and San Francisco. Its two primary activities are advising companies on mergers, acquisitions and other related maters, including divestitures and hostile takeover defenses; and capital raising services. The investment banking business is structured to serve three financial services segments: Banks and thrifts; insurance; and diversified finance. The firm’s research branch covers over 500 U.S. and European financial institutions. The company’s sales and trading activities include both the equity and fixed income markets. It has equity sales offices in New York, London, Boston, Hartford, Atlanta and San Francisco; and is a member of the New York Stock Exchange and the London Stock Exchange. Its U.S. equity trading team makes markets in over 500 Nasdaq and NYSE financial services stocks. The fixed income sales team has sales offices in New York, Atlanta, Boston, Chicago, Hartford, Red Bank (New Jersey) and San Francisco. Its New York office also conducts trading operations. The division trades mortgagebacked securities; U.S. Treasury and Federal Agency securities; and a wide array of corporate bonds, including those issued by banks, insurance companies, mortgage REITs, and finance companies.

BRANDS/DIVISIONS/AFFILIATES: KBW Inc Keefe, Bruyette & Woods Limited

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. John G. Duffy, CEO Thomas B. Michaud, Pres./Vice Chmn. Andrew M. Senchak, Vice Chmn./Pres., KBW, Inc. John G. Duffy, Chmn.

Phone: 212-887-7777 Fax: 212-541-6668 Toll-Free: Address: 787 7th Ave., 4th Fl., New York, NY 10019 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company: KBW INC




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



KEYCORP

www.key.com


Y


Y Y Y Y


Y Y Y

Profits: 37



Y



TYPES OF BUSINESS: Banking Equipment Leasing Insurance Investment Banking Cash Management Trust Services Personal Financial Services Mutual Funds

KeyCorp is a bank and financial holding company. The firm’s subsidiaries provide investment management; commercial leasing; retail and commercial banking; consumer finance; and investment banking products/services to individual, corporate and institutional clients. KeyBank National Association, the firm’s primary banking subsidiary, operates approximately 986 branch locations in 14 states, 1,478 ATMs in 16 states and one telephone banking call center. The company operates in two segments: community banking and national banking. In addition to the customary banking services of accepting deposits and making loans, the firm’s bank and trust company subsidiaries offer personal financial services; access to mutual funds; personal and corporate trust services; capital markets products; cash management services; investment banking; and international banking services. KeyCorp provides investment management services to clients that include large corporations and public retirement plans; foundations and endowments; high net worth individual; and Taft-Hartley plans. The company provides other financial service both inside and outside of its primary banking markets through its non-bank subsidiaries. These services include principal investing; community development financing; accident, health and credit-life insurance on loans made by KeyBank National Association; securities underwriting and brokerage; merchant services; and other financial services. In recent years, KeyCorp acquired Tuition Management Systems, Inc. and U.S.B. Holding Company. The company offers its employees medical, dental, life, longterm disability, AD&D and travel accident insurance; a 401(k) plan; a pension plan; a discounted stock purchase plan; education assistance; and an employee assistance program.

BRANDS/DIVISIONS/AFFILIATES: KeyBank National Association Tuition Management Systems Inc USB Holding Company Inc

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Henry L. Meyer, III, CEO Jeffrey B. Weeden, CFO/Sr. Exec. VP Karen R. Haefling, Chief Mktg. Officer Thomas E. Helfrich, Chief Human Resources Officer/Exec. VP Stephen E. Yates, CIO/Exec. VP Alvin B. Coppolo, Exec. VP-Enterprise Tech. Dev. Thomas C. Stevens, Chief Admin. Officer Paul N. Harris, General Counsel/Exec. VP/Sec. Michael P. Barnum, Exec. VP-Key Enterprise Oper. Karen R. Haefling, Chief Comm. Officer Vernon L. Patterson, Exec. VP-Investor Rel. Joseph M. Vayda, Treas./Exec. VP Margot J. Copeland, Exec. VP-Corp. Diversity & Philanthropy Charles S. Hyle, Chief Risk Officer/Exec. VP E.J. Burke, Exec. VP/Head-Real Estate & Corp. Banking Svcs. Maria C. Coyne, Exec. VP-Client Experience Henry L. Meyer, III, Chmn.

Phone: 216-689-6300 Fax: 216-689-0519 Toll-Free: 800-539-6070 Address: 127 Public Square, Cleveland, OH 44114 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: KEY 2008 Sales: $6,658,000 2008 Profits: $-1,468,000 Int’l Ticker: Int’l Exchange: 2007 Sales: $7,925,000 2007 Profits: $919,000 Employees: 17,201 2006 Sales: $7,507,000 2006 Profits: $1,055,000 Fiscal Year Ends: 12/31 2005 Sales: $6,695,000 2005 Profits: $1,129,000 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International:



KKR & CO LP (KOHLBERG KRAVIS ROBERTS & CO) www.kkr.com Industry Group Code: 523910 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:



Y

Profits:




Y


TYPES OF BUSINESS: Private Equity Investments Asset Management Fixed Income Investments

KKR & Co. L.P. (Kohlberg Kravis Roberts & Co.) is an alternative asset management firm that specializes in large, complex buyouts. KKR organizes its business into three segments: private markets; public markets; and capital market and principal activities. The private markets segment is comprised of private equity funds with finite life and investment periods. KKR’s private equity business includes acquisitions of companies it believes it can help to make more profitable. It specializes in large, complex industries and has recently extended its private equity activities to include investments in infrastructure globally. The public markets business includes fixed income and other investments managed by KKR Asset Management (KAM) and KKR Financial Holdings LLC. KAM is the company’s asset management platform that provides return profiles and products that satisfy a range of fixed-income investment mandates. KKR Financial Holdings is a specialty finance company that focuses on investing in corporate debt and other public and private equity securities. Its capital market activities are chiefly conducted through KKR Capital Markets, a broker-dealer. The firm's investment managers help identify which companies to investment in and form strategies to improve those companies. They are divided into 11 different industry groups, each focusing on rolling 100 day plans. An internal consulting group, Capstone, supports the investment managers. The company currently has interests in industries including financial services, health care, communications, hospitality, energy, chemicals, retail, consumer products, and technology. In June 2008, the firm acquired all outstanding shares of KKR Financial LLC, the external manager of KKR Financial Holdings LLC and the KKR Strategic Capital Funds. In 2009, the firm completed a merger with its European affiliate, KKR Private Equity Investors, which makes KKR a publicly-held company. It plans to list on the NYSE. In November 2009, the company, along with General Atlantic LLC, agreed to acquire the TASC consulting division of Northrop Grumman Corp.

BRANDS/DIVISIONS/AFFILIATES: Kohlberg Kravis Roberts & Co. Seven Network Limited KKR Private Equity Investors Royal Philips Electronics Royal Ahold Dollar General Corp. Biomet, Inc. First Data Corp.

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Henry R. Kravis, Co-CEO/Co-Chmn. William J. Janetschek, CFO Robert D. Gottlieb, Chief Human Resources Officer Edward Brandman, CIO Todd Fisher, Chief Admin. Officer David J. Sorkin, General Counsel Peter McKillop, Dir.-Global Comm. Jonathan R. Levin, Head-Investor Rel./Treas. George R. Roberts, Co-Chmn./Co-CEO

Phone: 212-750-8300 Fax: 212-750-0003 Toll-Free: Address: 9 W. 57th St., Ste. 4200, New York, NY 10019 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: 2008 Sales: $ 2008 Profits: $ Int’l Ticker: KKR Int’l Exchange: Paris-Euronext 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $4,411,251 2006 Profits: $1,116,872 Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



KLEINER PERKINS CAUFIELD & BYERS Industry Group Code: 523910 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y


www.kpcb.com

Profits:





TYPES OF BUSINESS: Venture Capital

Kleiner Perkins Caufield & Byers (KPCB), a venture capital business, has invested in over 475 companies that have the promise of creating new market opportunities or developing new technologies. KPCB’s investments have included AOL, Amazon.com, Netscape, Google, Intuit, Travelocity.com, Sun Microsystems, Symantec, Electronic Arts, Compaq Computer and Lotus. Initial public offerings (IPOs) of its portfolio often allow its original investors to realize substantial profits. Of the portfolio’s 150 IPOs, some of the most recent were Google and Blue Nile, Inc., an online diamond seller. KPCB has four investment initiatives. Greentech seeks solutions to global climate change, including biology and materials technology breakthroughs. Information Technologies invests in communications, consumer, enterprise, security, semiconductor and wireless companies. Life Sciences invests in the medical devices, personalized medicine, drug, diagnostics, vaccine and healthcare IT fields. Lastly, the Pandemic Preparedness and BioDefense initiative invests in companies developing solutions to infectious diseases, including rapid diagnostics, antiviral drugs, new vaccine technology, disease surveillance and portable, inexpensive vaccines. Additionally, the company has server funds that focus on specific investment sectors. The KPCB XIII fund focuses on information technology and life science ventures; and the Green Growth Fund invests in growth stage companies that focus on mass market green innovations. The company’s newest fund, the iFund, is a joint venture with Apple that seeks to invest in innovative products. Some of the iFund’s current investments include Booyah, which acts as a web-based life coach; iControl, which allows users real-time internet monitoring of their property or small children; and ng:moco, which produces games exclusively for the iPhone. In December 2009, the company invested in One Kings Land, and online shopping service. Also in December 2009, the company invested $1 billion in Bloom Energy, which produces refrigerator sized fuel cells for consumer use.

BRANDS/DIVISIONS/AFFILIATES: iFund KPCB XIII One Kings Land Bloom Energy Green Growth Fund

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Eric Keller, COO Susan Biglieri, CFO Ray Lane, Managing Partner Al Gore, Partner John Doerr, Partner Ted Schlein, Partner

Phone: 650-233-2750 Fax: 650-233-0300 Toll-Free: Address: 2750 Sand Hill Rd., Menlo Park, CA 94025 US

FINANCIALS:





Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast:

International:



KNIGHT CAPITAL GROUP INC

www.knight.com


Y



Y

Profits: 4


Y


Y



TYPES OF BUSINESS: Equities Trade Execution

Knight Capital Group, Inc. is a financial services firm that provides market access and trade execution services. The firm’s clients include global, national and regional brokerdealers; online brokers; mutual funds; pension plans; plan sponsors; hedge funds; trusts; and endowments. The company has two operating business segments: global markets and corporate. In global markets, the firm provides market access, trade execution and related capital markets services to buy- and sell-side customers and corporate issuers across thousands of U.S. equities, fixed income, foreign exchange, futures, options and derivatives. It also offers capital facilitation to complete trades. Subsidiaries operating in the firm’s global markets segment include Knight Equity Markets L.P.; Knight Capital Markets LLC; Knight Capital Europe Limited; Knight Direct LLC; Hotspot FX Holdings, Inc. and its subsidiaries; Knight Bondpoint, Inc; and Knight Libertas Holdings LLC and its subsidiaries. The corporate segment invests in financial service-oriented opportunities, allocates, deploys and monitors all capital and maintains all corporate overhead expenses. In January 2008, the firm acquired EdgeTrade, Inc., an execution and algorithmic software company. In July 2008, Knight acquired Libertas Holdings LLC. In February 2009, Knight discontinued its asset management business, previously managed by majority-owned subsidiary, Deephaven Capital Management, by completing the sale of substantially all of Deephaven’s assets. The firm offers its employees health benefits and a 401(k) plan.

BRANDS/DIVISIONS/AFFILIATES: Knight Capital Markets LLC Knight Equity Markets L.P. Knight Capital Europe Limited Knight Direct LLC Hotspot FX holdings Knight Bondpoint, Inc. Knight Libertas Holdings, LLC EdgeTrade, Inc.

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Thomas M. Joyce, CEO Steven Bisgay, CFO/Sr. Managing Dir. Margaret E. Wyrwas, Sr. Managing Dir.-Mktg. Bronwen Bastone, Managing Dir.-Human Resources Steven J. Sadoff, CIO/Exec. VP Leonard J. Amoruso, General Counsel/Sr. Managing Dir. Margaret Wyrwas, Sr. Managing Dir.-Comm. Margaret Wyrwas, Sr. Managing Dir.-Investor Rel. Gregory C. Voetsch, Exec. VP/Head-Institutional Client Group James P. Smyth, Exec. VP/Head-Broker/Dealer Client Group Gary Katcher, Exec. VP Thomas M. Joyce, Chmn.

Phone: 201-222-9400 Fax: 201-557-6853 Toll-Free: 800-544-7508 Address: 545 Washington Blvd., Jersey City, NJ 07310 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: NITE 2008 Sales: $1,042,616 2008 Profits: $177,911 Int’l Ticker: Int’l Exchange: 2007 Sales: $896,749 2007 Profits: $122,240 Employees: 2006 Sales: $956,289 2006 Profits: $158,346 Fiscal Year Ends: 12/31 2005 Sales: $634,623 2005 Profits: $66,361 Parent Company:




Profit Sharing:


Bonus: $7,067,312 Bonus: $2,850,000


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



KYOBO SECURITIES CO LTD

www.iprovest.com




Profits:



Y Y



TYPES OF BUSINESS: Securities Trading Investment Banking

Kyobo Securities Co., Ltd. was one of the first securities trading companies in Korea. Established in 1949, the firm specializes in small and medium businesses. Its services include mergers and acquisitions advising and arbitrage; real estate financing, direct investment, investment consulting and joint venture investment; corporate restructuring advising; and related services. The Korean government is dedicated to developing the smallest 1% of the country’s 300,000 small and medium businesses (about 30,000 companies). To promote this effort, the firm launched the INNO-BIZ IB Center, dedicated to offering IB services to 1% or 300 of those 30,000 smallest businesses. In its other IB business, the firm has invested in and promoted the IPO of several Korean companies. Kyobo Securities retail securities services generally consist of one-on-one consulting, helping clients choose their investment strategy. It also develops new products for its clients generally, such as mutual funds, and helps businesses plan and implement employee pension plans. The company’s affiliates include Kyobo Life Insurance Co., Ltd.; Kyobo Investment Trust Management; Kyobo Book Center, an online and offline retailer of books, DVDs, tickets and gifts; Kyobo Information and Communication, one of the top Korean developers of computer systems, including Internet design; and Kyobo Realco, a real estate development and property management firm.

BRANDS/DIVISIONS/AFFILIATES: INNO-BIZ IB Center Kyobo Best Club Kyobo Life Insurance Co., Ltd. Kyobo Investment Trust Management Kyobo Book Center Kyobo Information and Communication Kyobo Realco

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Hae Jun Kim, CEO Eui Sun Hwang, CFO Wan Seok Lee, Chief Risk Officer Yin Su Park, Managing Dir. Ui Su Na, Chmn.

Phone: 82-2-3771-9000 Fax: 82-2-3771-9135 Toll-Free: Address: 26-4 Yeouido-dong, Youngdeungpo-gu, Seoul, 150737 Korea

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: 2008 Sales: $ 2008 Profits: $ Int’l Ticker: 030610 Int’l Exchange: Seoul-KRX 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 2005 Sales: $ 2005 Profits: $ Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast:

International: Y



LABRANCHE & CO INC

www.labranche.com

Industry Group Code: 523120A Ranks within this company's industry group: Sales: 1 Brokers/Stocks: Broker: Investment Bank: Futures/Options:

Y



Profits: 1


Y


Y Y



TYPES OF BUSINESS: Stock Trading Specialist Clearing & Execution Services Broker-Dealer

LaBranche & Co., Inc. is the parent company of LaBranche & Co., LLC, one of the oldest and largest designated market makers (previously known as specialists) in equity securities listed on the New York Stock Exchange (NYSE). Founded in 1924, the company acts as a market maker for over 500 NYSE-listed common stocks and 650 options and maintains a number of seats on the NYSE. LaBranche’s work as a designated market maker involves ensuring that the market for each of the stocks it represents functions in an organized manner through finding the best available bids and offers as well as joining sellers with bidders. LaBranche Structured Holdings, Inc. is LaBranche’s holding company for a group of entities based in New York, London and Hong Kong that are specialists and market makers in options, futures and exchange traded funds (ETFs). Through subsidiary LaBranche Financial Services, LLC (LFS), LaBranche offers clearing and execution services to customers, who range from traders and professional investors to institutions and broker-dealers. LFS is a registered broker-dealer and a member of the NYSE and other exchanges, providing securities clearing and securities execution, as well as directaccess floor brokerage services to its institutional customers. The company operates principally in two separate segments: the Market-Making segment and the Institutional Brokerage segment. The focus of its Market-Making operations has shifted somewhat over the past several years from its traditional auction based specialist model in cash equity securities on the NYSE, to a more electronic and diversified approach involving a variety of cash equity and derivative securities, such as ETFs, ETF options, index options and futures across many different exchanges. LFS, which is the sole operating entity constituting the Institutional Brokerage segment, provides a range of customized execution services, including direct access brokerage, to a range of institutional and individual clients.

BRANDS/DIVISIONS/AFFILIATES: LaBranche & Co. LLC Labranche Structured Holdings, Inc. LaBranche Structured Products Europe Limited LaBranche Structured Products Hong Kong Limited LaBranche Structured Products Direct, Inc. LaBranche Structured Products, LLC LaBranche Financial Services, LLC

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Michael LaBranche, CEO William J. Burke, III, COO Michael LaBranche, Pres. Jeffrey A. McCutcheon, CFO/Sr. VP Stephen H. Gray, General Counsel/Corp. Sec. L. Thomas Patterson, CEO-LaBranche Financial Svcs., LLC Alfred O. Hayward, Jr., CEO-LaBranche & Co. LLC Michael LaBranche, Chmn.

Phone: 212-425-1144 Fax: Toll-Free: Address: 33 Whitehall St., New York, NY 10004 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: LAB 2008 Sales: $224,149 2008 Profits: $-65,963 Int’l Ticker: Int’l Exchange: 2007 Sales: $448,723 2007 Profits: $-350,474 Employees: 213 2006 Sales: $673,994 2006 Profits: $136,804 Fiscal Year Ends: 12/31 2005 Sales: $340,190 2005 Profits: $37,521 Parent Company:




Profit Sharing:


Bonus: $4,200,000 Bonus: $1,400,000


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



LADENBURG THALMANN FINANCIAL SERVICESwww.ladenburg.com Industry Group Code: 523110 Ranks within this company's industry group: Sales: 27 Brokers/Stocks: Broker: Investment Bank: Futures/Options:

Y Y


Y


Y

Profits: 19



Y Y



TYPES OF BUSINESS: Investment Banking Stock Brokerage Asset Management Consulting & Research

Ladenburg Thalmann Financial Services offers retail and institutional securities brokerage, investment banking services, asset management services and investment activities. The firm operates through three primary subsidiaries: Ladenburg Thalmann & Co.; Triad Advisors, Inc.; and Investacorp, Inc. Ladenburg Thalmann & Co. is licensed to conduct activities as a full-service broker-dealer in all 50 states, Washington, D.C. and Puerto Rico; it is one of the oldest investment banks in the world. The bank provides its services for middle-market and emerging growth companies and high-net-worth individuals through a coordinated effort among corporate finance, capital markets, investment management, brokerage and trading professionals. Ladenburg Thalmann & Co.’s private client services and institutional sales divisions serve roughly 14,000 accounts nationwide; the asset management division provides investment management and financial planning services to numerous individuals and institutions. Private services include alternative investment guidance, financial planning, retirement services, fee-based solutions and asset management including mutual funds, ETFs, professional money management and separate account management. Investment banking services include capital raising, SPAC offerings, merger and acquisition advice, fairness and solvency opinions, restructuring and financial advisory services, placement of private debt and general consulting services. Investment banking professionals maintain relationships with businesses, private equity firms, other financial institutions as well as high net worth individuals. Triad Advisors is an independent broker-dealer and registered investment advisor that offers an array of services, products and total wealth management solutions to independent contractor registered representatives (primarily retail clients) across the U.S. Triad Advisors serves roughly 123,000 accounts and has approximately $9 billion in assets under management. Investacorp is a independent brokerdealer and registered investment advisor that serves mainly retail clients; this subsidiary serves approximately 172,000 accounts and has roughly $7 billion in assets under management. In December 2008, Triad formed a brokerage partnership with Tegra Financial Partners.

BRANDS/DIVISIONS/AFFILIATES: Ladenburg Thalmann & Co. Investacorp Inc Triad Advisors Inc

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Richard J. Lampen, CEO Richard J. Lampen, Pres. Brett H. Kaufman, CFO/VP Mark Zeitchick, Exec. VP Howard M. Lorber, Vice Chmn. Phillip Frost, Chmn.

Phone: 305-572-4100 Fax: 305-572-4199 Toll-Free: 800-523-8425 Address: 4400 Biscayne Blvd, Fl. 12, Miami, FL 33137 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: LTS 2008 Sales: $120,970 2008 Profits: $-20,263 Int’l Ticker: Int’l Exchange: 2007 Sales: $95,826 2007 Profits: $9,391 Employees: 176 2006 Sales: $46,858 2006 Profits: $4,659 Fiscal Year Ends: 12/31 2005 Sales: $30,690 2005 Profits: $-25,971 Parent Company:




Profit Sharing:


Bonus: $150,000 Bonus: $60,000


Southwest:

Midwest: Y

Southeast: Y


Northeast: Y

International:



LAZARD LTD

www.lazard.com




Y

Profits: 14



Y Y



TYPES OF BUSINESS: Financial Advising Asset Management

Lazard, Ltd. is an international financial advisory and asset management firm. The firm serves corporations, partnerships, institutions, governments and high-net-worth individuals through offices in 39 cities in key business and financial centers across 24 countries in Europe, the Americas, Asia and Australia. Its business runs in two segments: financial advisory and asset management. Its financial advisory segment serves corporate, partnership, institutional, government and individual clients, offering services regarding mergers and acquisitions, restructurings, and various other corporate finance matters. Its asset management segment serves institutional clients, financial intermediaries, private clients and investment vehicles around the world. In late 2008, Lazard Asset Management launched Lazard Developing Markets Equity Portfolio in the U.S. The mutual fund is accessible to institutional and individual investors and uses a relative growth strategy and bottom up stock selection process. In the same month, Lazard opened a new financial advisory office in Lima, Peru.


CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Kenneth M. Jacobs, CEO Alexander F. Stern, COO Charles G. Ward, III, Pres. Michael J. Castellano, CFO Scott D. Hoffman, General Counsel/Sec. Judi F. Mackey, Dir.-Media Rel. Steven J. Golub, Vice Chmn.-Lazard/Chmn.-Financial Advisory Charles G. Ward, III, Chmn.-Asset Mgmt. Ashish Bhutani, Head-Asset Mgmt. Sharon L. Klein, Managing Dir./Head-Wealth Advisory Kenneth M. Jacobs, Chmn. Antonio Weiss, Head-Global Investment Banking

Phone: 441-295-1422 Fax: Toll-Free: Address: Clarendon House, 2 Church St., Hamilton, HM11 Bermuda

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: LAZ 2008 Sales: $1,557,207 2008 Profits: $3,138 Int’l Ticker: Int’l Exchange: 2007 Sales: $1,917,689 2007 Profits: $155,042 Employees: 2006 Sales: $1,493,555 2006 Profits: $92,985 Fiscal Year Ends: 12/31 2005 Sales: $1,301,442 2005 Profits: $143,486 Parent Company:




Profit Sharing:




Southwest:

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



LCH CLEARNET GROUP LTD

www.lchclearnet.com




Profits:



Y



TYPES OF BUSINESS: Financial Clearing House Cash Equity Clearing Commodity Clearing Freight Clearing Energy Clearing Bond and Repurchase Agreement Clearing Risk Management Services

LCH.Clearnet Group, Ltd. is a leading independent clearing house, based in the U.K., that services major international exchanges and platforms as well as over-the-counter (OTC) markets. The company clears a range of asset classes, including cash equities, commodities, exchange-traded derivatives, energy, freight, bonds and repurchase agreements (repos) and interbank interest rate swaps. The firm’s cash equities business provides clearing solutions concerning equities and equity equivalents, such as exchange traded funds (ETFs), exchange traded commodities (ETCs), real estate investment trusts (REITs) and exchange traded bonds. Its EquityClear service clears equity-based trades for LCH.Clearnet, Ltd., a subsidiary, that are executed on certain European exchanges. Commodities cleared by LCH.Clearnet include agricultural commodities, soft commodities, metals and plastics. Clients of the firm’s energy asset clearing business include OTC UK Power; OTC Emissions; and Bluenext Futures EUA. RepoClear, the company’s cash bond and repo trade clearing product, is used in the clearing of Austrian, Belgian, Dutch, German, Irish, Finnish, Portuguese and U.K. government bonds. LCH.Clearnet’s freight clearing product, FreightClear, provides independent clearing services to chartering companies, ship owners and trading companies. The firm’s swaps clearing business is focused on SwapClear, a product that clears swap transactions for a full range of major currencies and exchanges. The company also provides risk management services through LCH.Clearnet SA and LCH.Clearnet, Ltd. Its risk management services include margining, protected payment systems (PPS), banking reports, risk notices, clearing funds and collateral management services. In March 2009, the company established an office in New York to support its clearing business in North America. In July 2009, LCH.Clearnet launched an Overnight Index Swaps (OIS) clearing service through SwapClear. LCH.Clearnet offers its employees medical coverage, gym membership subsidies, childcare vouchers and a pension plan.

BRANDS/DIVISIONS/AFFILIATES: LCH.Clearnet, Ltd. LCH.Clearnet SA EquityClear RepoClear FreightClear SwapClear Depository Trust & Clearing Corporation (The)

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Roger Liddell, CEO Alberto Pravettoni, Managing Dir.-Commercial Svcs. Andrea Schlaepfer, Dir.-Corp. Comm. Joe Reilly, Dir.-SwapClear Isabella Kurek-Smith, Dir.-Energy & Freight Wayne Eagle, Dir.-Equity Svcs. Christophe Hemon, CEO-LCH.Clearnet SA A. Chris Tupker, Chmn.

Phone: 44-20-7426-7000 Fax: Toll-Free: Address: Aldgate House, 33 Aldgate High St., London, EC3N 1EA UK

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Private 2008 Sales: $2,312,100 2008 Profits: $319,720 Int’l Ticker: Int’l Exchange: 2007 Sales: $1,982,200 2007 Profits: $260,230 Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 2005 Sales: $ 2005 Profits: $ Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



LEGG MASON INC

www.leggmason.com


Y Y


Y Y


Y

Profits: 6


Y


Y


Y


TYPES OF BUSINESS: Stock Brokerage/Investment Banking Commercial Mortgage Banking Investment Management Real Estate Asset Management Insurance & Annuity Products Mutual Funds

Legg Mason, Inc. is a global asset management company. Acting through its subsidiaries, the firm provides investment management and related services to institutional and individual clients, company-sponsored mutual funds and other pooled investment vehicles. The company offers these products and services directly and through various financial intermediaries. The firm conducts its business primarily through 16 asset managers, housed in subsidiaries owned by Legg Mason, each of which is an individual business that generally markets its products and services under its own brand name. It operates its business as two divisions: Americas and international. The Americas division of Legg Mason includes the separate account management operations of its U.S.-based asset managers and its mutual, closed-end and other proprietary fund and distribution operations that are located in the U.S. In this division, the asset managers provide a range of separate account investment management services to institutional clients, including pension and other retirement plans, corporations, insurance companies, endowments, foundations and governments to high net worth individuals and families. The division also sponsors groups of U.S. mutual funds and provides investment advisory services to retail separately managed account programs. The company’s international division includes the separate account management operations of asset managers based outside of the U.S. that provide separate account investment management services primarily to institutional clients and provide asset management services to Legg Mason-sponsored funds. Legg Mason operates in 190 countries on six continents and manages $694 billion worth of assets. Subsidiary asset managers include Western Asset Management Company; Batterymarch Financial Management, Inc.; Brandywine Global; ClearBridge Advisors; and Royce & Associates. The firm offers its employees a 401(k), profit sharing and employee stock purchase plan; medical, dental and vision coverage to full- and part-time employees; life insurance; short and long term disability coverage; an employee assistance plan; tuition assistance; and a Weight Watchers at Work program.

BRANDS/DIVISIONS/AFFILIATES: Batterymarch Financial Management, Inc. Brandywine Global ClearBridge Advisors Royce & Associates Western Asset Management Company

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Mark R. Fetting, CEO Mark Fetting, Pres. Charles J. Daley, CFO/Exec. VP Joseph A. Sullivan, Chief Admin. Officer/Sr. VP Charles J. Daley, Treas. David R. Odenath, Sr. VP/Head-Americas Jeffrey A. Nattans, Exec. VP/Head-Specialized Managers Mark R. Fetting, Chmn. Ronald R. Dewhurst, Sr. Exec. VP/Head-Int'l Asset Mgmt.

Phone: 410-539-0000 Fax: Toll-Free: 800-822-5544 Address: 100 Light St., Baltimore, MD 21202-1476 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: LM 2008 Sales: $4,634,086 2008 Profits: $267,610 Int’l Ticker: Int’l Exchange: 2007 Sales: $4,343,675 2007 Profits: $646,818 Employees: 4,220 2006 Sales: $2,645,212 2006 Profits: $1,144,168 Fiscal Year Ends: 3/31 2005 Sales: $1,570,700 2005 Profits: $408,431 Parent Company:




Profit Sharing: Y


Bonus: $ Bonus: $


Southwest:

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



LEUCADIA NATIONAL CORP

www.leucadia.com




Y

Profits: 8




Y


TYPES OF BUSINESS: Investment Management Equity Investments Manufacturing-Wood & Plastic Products Health Care Services Real Estate Wineries Copper Mining Reinsurance

Leucadia National Corporation is a holding company engaged in a variety of businesses, including manufacturing, telecommunications, property management and services, gaming entertainment, real estate activities, medical product development and winery operations. The company also owns equity interests in investment partnerships and in operating businesses including broker-dealer engaged in making markets and trading of high yield and special situation securities, land based contract oil and gas drilling, real estate activities and development of a copper mine in Spain. The firm’s manufacturing operations are conducted through Idaho Timber Corporation and Conwed Plastics. Idaho Timber primarily remanufactures dimension lumber and remanufactures, packages and produces other specialized wood products. Conwed Plastics manufactures and markets lightweight plastic netting used for a variety of purposes, including building and construction; erosion control; packaging; agricultural applications; carpet padding; filtration; and consumer products. Leucadia’s gaming entertainment operations are conducted through its controlling interest in Premier Entertainment Biloxi, which is the owner of the Hard Rock Hotel & Casino Biloxi, located in Biloxi, Mississippi. Leucadia’s domestic real estate operations include a mixture of commercial properties, residential land development projects and other unimproved land. The company’s medical product development operation is conducted through Sangart, which is developing Hemospan, a form of cell-free hemoglobin designed for intravenous administration. Leucadia’s winery operations consist of Pine Ridge Winery in Napa Valley, California; Archery Summit in the Willamette Valley of Oregon; Chamisal Vineyards in the Edna Valley of California; and a vineyard development project in the Columbia Valley of Washington. The company’s contract oil and gas drilling investment is conducted by Goober Drilling, of which the company owns 50%. Leucadia also owns 30% of Cobre Las Cruces, a former subsidiary of the company that holds the exploration and mineral rights to the Las Cruces copper deposit in the Pyrite Belt of Spain.

BRANDS/DIVISIONS/AFFILIATES: Idaho Timber Corporation Conwed Plastics Premier Entertainment Biloxi Sangart Hemospan Pine Ridge Winery Archery Summit Goober Drilling

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Joseph S. Steinberg, Pres. Joseph A. Orlando, CFO/VP Rocco J. Nittoli, Treas./VP Justin R. Wheeler, VP Thomas E. Mara, Exec. VP Barbara L. Lowenthal, Comptroller/VP Joseph M. O'Connor, VP Ian M. Cumming, Chmn.

Phone: 212-460-1900 Fax: 212-598-4869 Toll-Free: Address: 315 Park Ave. S., New York, NY 10010 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: LUK 2008 Sales: $1,080,653 2008 Profits: $-2,535,425 Int’l Ticker: Int’l Exchange: 2007 Sales: $1,154,895 2007 Profits: $484,294 Employees: 3,584 2006 Sales: $862,672 2006 Profits: $189,399 Fiscal Year Ends: 12/31 2005 Sales: $689,883 2005 Profits: $1,636,041 Parent Company:




Profit Sharing:


Bonus: $22,030 Bonus: $22,030


Southwest:

Midwest:

Southeast: Y


Northeast: Y

International: Y



LIBERTY MUTUAL GROUP INC

www.libertymutualgroup.com



Y Y


Y

Profits: 3





TYPES OF BUSINESS: Insurance, Direct Property & Casualty Rehabilitation Services Disability Care Management Homeowners' Insurance Auto Insurance Group Life Insurance Asset Management & Investment Products Workers' Compensation

Liberty Mutual Group, Inc. is a group of insurance companies with over 900 offices worldwide and $104.3 billion in assets. Liberty Mutual has four strategic business units: Personal Markets, Commercial Markets, Agency Markets and Liberty International, none of which accounts for more than 30% of annual business. The company’s Personal Markets business unit provides private passenger automobile, homeowners, valuable possessions, identity theft and personal liability coverage through more than 400 U.S. offices. This unit also offers traditional and variable life insurance and annuity products through subsidiary Liberty Life Assurance Company of Boston. The company’s Commercial Markets business unit provides risk and disability management and risk transfer products and services through six smaller units: National Market, Middle Market, Liberty Mutual Property, Specialty Lines, Group Market and Liberty Mutual Reinsurance. Liberty Mutual’s Agency Markets business unit consists of specialty, property and casualty insurance carriers that sell products primarily through independent agents and brokers. The company’s Liberty International business unit provides personal and commercial insurance through operations in such locations as China and Hong Kong, Singapore, Portugal, Spain, Turkey, Argentina, Brazil, Colombia and Venezuela. Liberty International Underwriters provides casualty, specialty casualty, marine, energy, engineering and aviation insurance through 36 offices in Asia, Europe, the Middle East, and the Americas. Liberty Mutual also operates the Research Institute for Safety, which conducts original investigations of job-related accidents and publishes its findings in a range of peer-reviewed journals. In June 2008, Liberty Mutual and its partner Dabur GI Invest Corp. announced plans for a new non-life insurance company in India. In September 2008, Liberty Mutual acquired Safeco Corporation for roughly $6.2 billion. In February 2009, the firm opened a branch office in Beijing, China. Liberty Mutual offers its employees tuition reimbursement; health care and dependent care reimbursement accounts; and medical, dental and vision insurance, among other benefits.

BRANDS/DIVISIONS/AFFILIATES: Liberty International Liberty Mutual Property Liberty Mutual Reinsurance Liberty International Underwriters Research Institute for Safety Liberty Insurance Company, Ltd. Ohio Casualty Insurance Company Safeco Insurance Company of America

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Edmund F. Kelly, CEO Edmund F. Kelly, Pres. Dennis J. Langwell, CFO/Sr. VP Helen E.R. Sayles, Sr. VP-Human Resources James M. McGlennon, CIO/Sr. VP Helen E.R. Sayles, Sr. VP-Admin. Christopher C. Mansfield, General Counsel/Sr. VP Matthew T. Coyle, VP-Investor Rel. J. Paul Condrin, III, Exec. VP-Commercial Markets Gary R. Gregg, Exec. VP-Agency Markets A. Alexander Fontanes, Chief Investment Officer/Exec. VP Timothy M. Sweeney, Exec. VP-Personal Markets Edmund F. Kelly, Chmn. Thomas C. Ramey, Exec. VP-Liberty Int'l

Phone: 617-357-9500 Fax: 617-350-7648 Toll-Free: 800-837-5254 Address: 175 Berkeley St., Boston, MA 02116 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Mutual Company 2008 Sales: $28,855,000 2008 Profits: $1,140,000 Int’l Ticker: Int’l Exchange: 2007 Sales: $25,961,000 2007 Profits: $1,518,000 Employees: 45,000 2006 Sales: $23,520,000 2006 Profits: $1,626,000 Fiscal Year Ends: 12/31 2005 Sales: $21,161,000 2005 Profits: $1,027,000 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



LINCOLN NATIONAL CORPORATION Industry Group Code: 524113 Ranks within this company's industry group: Sales: 14 Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y Y


Y

www.lfg.com Profits: 12


Y




TYPES OF BUSINESS: Life Insurance Investment Management Retirement Plans Mutual Funds Financial Planning Annuities

Lincoln National Corporation is a holding company operating multiple insurance and investment businesses. The operations of the firm’s subsidiaries, collectively known as Lincoln Financial Group, are divided into five business segments: Retirement Solutions, Insurance Solutions, Investment Management, Enterprise Services and Lincoln U.K. The Retirement Solutions business operates in two segments: the annuities segment, which provides taxdeferred growth and lifetime income opportunities for its clients by offering individual fixed annuities; and the defined contribution segment, which provides employer-sponsored fixed/variable annuities and 401(k), 403(b) and 457 mutual fund-based programs. Lincoln’s Insurance Solutions division is also divided into two segments: the life insurance segment, which provides wealth protection, transfer opportunities, term insurance and a linked-benefit product called MoneyGuard; and the group protection segment, which offers group term life, disability income and dental insurance primarily to small and mid-sized employers. The Investment Management division provides mutual funds, investment advisory services and retirement plans to both individual and institutional investors through its subsidiary, Delaware Management Holdings, Inc. The company’s Enterprise Services group, launched in March 2009, offers customer service centers that specialize in law, compliance, shared services and information technology. Wholly-owned subsidiary Lincoln U.K. primarily offers unit-linked life and pension products throughout the U.K. In December 2008, the firm launched two new accumulation-aimed products for its Insurance Solutions division: Lincoln LifeReserve UL (universal life) and Lincoln LifeReserve IUL (indexed universal life). In June 2009, the company agreed to sell Lincoln U.K. to SLF of Canada UK Limited for approximately $318.3 million. In August 2009, Lincoln National agreed to sell Delaware Management Holdings, Inc., and its subsidiaries to Macquarie Group for approximately $428 million. Lincoln offers employee benefits including disability, life, AD&D, medical, dental and vision insurance; domestic partner benefits; training programs; tuition reimbursement; educational and adoption assistance; counseling services; and a 401(k).

BRANDS/DIVISIONS/AFFILIATES: Delaware Management Holdings, Inc. Lincoln UK Lincoln LifeReserve IUL Lincoln LifeReserve UL MoneyGuard

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Dennis R. Glass, CEO Dennis R. Glass, Pres. Frederick J. Crawford, CFO/Exec. VP Heather Dzielak, Chief Mktg. Officer/Sr. VP Lisa M. Buckingham, Chief Human Resources Officer/Sr. VP Charles C. Cornelio, Chief Admin. Officer/Exec. VP Dennis L. Schoff, General Counsel/Sr. VP Lauren Sammerson, Comm. & Programs Officer Jim Sjoreen, VP-Investor Rel. Robert W. Dineen, Chmn./CEO-Lincoln Financial Network Patrick P. Coyne, Pres., Delaware Mgmt. Holdings, Inc. Mark E. Konen, Pres., Insurance Solutions C. Suzanne Womack, Sec. Michael Tallett-Williams, Pres./Managing Dir.-Lincoln U.K.

Phone: 484-583-1400 Fax: 484-583-3962 Toll-Free: 877-275-5462 Address: 150 N. Radnor Chester Rd., Ste. A305, Radnor, PA 19087 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: LNC 2008 Sales: $9,883,000 2008 Profits: $57,000 Int’l Ticker: Int’l Exchange: 2007 Sales: $10,594,000 2007 Profits: $1,215,000 Employees: 9,696 2006 Sales: $8,962,000 2006 Profits: $1,316,000 Fiscal Year Ends: 12/31 2005 Sales: $5,475,000 2005 Profits: $831,055 Parent Company:




Profit Sharing: Y


Bonus: $800,000 Bonus: $244,400


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



LINSCO/PRIVATE LEDGER CORP

www.lpl.com


Y



Profits:



Y Y



TYPES OF BUSINESS: Stock Brokerage Economic Research

Linsco/Private Ledger Corp. (LPL), the result of a merger between Linsco, Inc. and Private Ledger Corporation, is one of the leading independent brokerage firms in the U.S., with $289.9 billion in assets under management. The company has approximately 11,677 financial advisors and approximately 7,000 branch offices, 774 financial institutions and more than 4,000 institutional clearing and technology subscribers nationwide. The firm is headquartered simultaneously in Boston, Massachusetts; San Diego, California; and Charlotte, North Carolina. As an independent brokerage, LPL provides access to other investment products nationwide, instead of selling its own products. The company conducts its own research on finances, investment and the economy, and all financial advisers have access to BranchLink, a comprehensive extranet. LPL uses this information to advise its customers on the purchase of stocks and bonds, mutual funds, commodities, options, annuities, insurance, real estate investment trusts and other investment products. The company operates in four business segments. The Individual Investors segment offers advisors that provide individuals with investment advice, research, solutions and management services. Independent Advisor Services serves a range of independent financial advisors in various practices and career stages; this segment also includes the advisors of LPL’s affiliated broker/dealer companies, which include Mutual Service Corporation, Associated Securities Corporation, and Waterstone Financial Group. The Institution Services segment provides sales support and program management to banks and credit unions. Custom Clearing Services caters to the needs of large financial institutions with its technology platform designed for front, middle and back office operations. Employee benefits include medical, dental and vision coverage; life and AD&D insurance; dependant daycare reimbursements; health care spending accounts; tuition assistance; fitness center privileges; and employee discounts.

BRANDS/DIVISIONS/AFFILIATES: Linsco, Inc. Private Ledger Corporation Mutual Service Corporation Associated Securities Corporation Waterstone Financial Group

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Mark S. Casady, CEO Esther Stearns, COO Esther Stearns, Pres. Robert Moore, CFO Denis Abood, Managing Dir.-Human Capital Burt White, Managing Dir.-Research Christopher F. Feeney, CIO/Managing Dir. Stephanie L. Brown, General Counsel/Managing Dir. Dan Arnold, Divisional Pres., Institution Svcs./ Managing Dir. Jonathan Eaton, Managing Dir.-Custom Clearing Svcs. Joseph P. Tuorto, Managing Dir.-Compliance Mark Helliker, Managing Dir.-Broker/Dealer Support Svcs. Mark S. Casady, Chmn.

Phone: 858-450-9606 Fax: 858-546-8324 Toll-Free: 800-877-7210 Address: 9785 Towne Centre Dr., San Diego, CA 92121 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Private 2008 Sales: $3,100,000 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $2,717,605 2007 Profits: $61,069 Employees: 2006 Sales: $1,739,936 2006 Profits: $33,642 Fiscal Year Ends: 12/31 2005 Sales: $1,407,296 2005 Profits: $69,289 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International:



LLOYDS BANKING GROUP PLC

www.lloydstsb.com



Y


Y Y Y

Profits: 24





TYPES OF BUSINESS: Banking Funding, Payroll & Credit Control Services Mortgages Insurance-Life, Health, Auto & Home Pension & Investment Products Asset Management Foreign Exchange & Money Market Services Business Finance

Lloyds Banking Group plc, formerly Lloyds TSB Group plc, is a leading U.K. banking company, with approximately 2,000 locations in England, Scotland and Wales. Its activities are organized into several divisions, including U.K. Retail Banking; Insurance and Investments; and Wholesale and International Banking. Lloyds Retail Banking provides banking, financial services, mortgages and private banking to some 16 million personal customers; it also offers Internet and telephone banking to some 5.2 million and 5.7 million customers, respectively. Business in this segment is done largely through Lloyds TSB Bank and Lloyds TSB Scotland plc. The group’s Insurance and Investments division offers life assurance, pensions and investment products, general insurance and fund management services. Subsidiary Scottish Widows provides the firm’s life assurance, pensions and investment products, which are distributed through a combination of the company’s branch networks, independent financial advisers and directly via the telephone and the Internet. Lloyds TSB General Insurance, one of the U.K.’s leading household insurance distributors, offers its products through retail branches of Lloyds TSB Bank. The Wholesale and International Banking division provides banking and related services for major U.K. and multinational corporate and financial institutions as well as for small and mediumsized U.K. businesses. In January 2009, the firm completed its acquisition of mortgage lender HBOS plc. The HBOS acquisition included massive amounts of bad mortgage investments that, combined with the global financial crisis, threatened to put Lloyds into a tailspin. The U.K. government, in order to allow the deal to go through, provided guarantees for $367 billion in risky assets at Lloyds, with the government controlling 40% of Lloyds’ stock as a result. In September 2008, the firm agreed to acquire HBOS PLC, one of the world's largest mortgage lenders. The government of the U.K. made a substantial investment in the merged bank, resulting in the government owning 40% of the firm. For 2010, the company plans to raise as much as $21 billion in new capital while winding down the government's guarantee program.

BRANDS/DIVISIONS/AFFILIATES: Lloyds TSB Bank Lloyds TSB Scotland plc Scottish Widows Scottish Widows Investment Partnership HBOS plc

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. J. Eric Daniels, Group CEO Harry F. Baines, General Counsel/Sec. Tim J.W. Tookey, Dir.-Finance Archie G. Kane, Group Exec. Dir.-Insurance Helen A. Weir, Group Exec. Dir.-Retail G. Truett Tate, Group Exec. Dir.-Wholesale Winfried Franz Wilhelm Bischoff, Chmn.

Phone: 44-20-7626-1500 Fax: 44-20-7356-2494 Toll-Free: Address: 25 Gresham St., London, EC2V 7HN UK

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: LYG 2008 Sales: $32,196,000 2008 Profits: $1,502,000 Int’l Ticker: LLOY Int’l Exchange: London-LSE 2007 Sales: $58,740,000 2007 Profits: $6,530,000 Employees: 2006 Sales: $57,397,700 2006 Profits: $5,695,100 Fiscal Year Ends: 12/31 2005 Sales: $46,625,100 2005 Profits: $2,324,800 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast:

International: Y



LONDON STOCK EXCHANGE PLC (LSE)www.londonstockexchange.com Industry Group Code: 523210 Ranks within this company's industry group: Sales: 4 Brokers/Stocks: Broker: Investment Bank: Futures/Options:



Profits: 4


Y


Y



TYPES OF BUSINESS: Stock Exchange Electronic Trading Platforms Financial Information Derivatives Exchange

London Stock Exchange plc (LSE) is one of the world’s oldest stock exchanges, tracing its history back more than 300 years. The company’s business has four core areas: capital markets, trading services, market data information and derivatives. The capital markets segment enables companies worldwide to raise capital, through listing on one of the exchange’s four primary markets: the main market, which represents approximately 1,600 established companies from 60 countries; the alternative investment market (AIM), a leading small-cap growth market representing approximately 3,000 companies; the professional securities market, which allows companies to raise capital through the issue of debt and depositary receipts; and the specialist fund market, dedicated to highly specialized investment products that are targeted primarily at institutional and professional investors. The trading services segment encompasses a variety of trading platforms, such as SETS, SET Sqx and SEAQ, designed to facilitate the roughly 1 million trades executed each day on the exchange. The market data information segment supplies real-time and historical prices, news and other information to investors and market participants, both directly and through third-party market data distributors. This segment’s Infolect system provides tick-by-tick information to more than 139,000 installed terminals in over 100 countries worldwide. The firm’s derivatives business represents a diversification beyond the exchange’s core equity markets. Through its international equity derivatives exchange, EDX London, members can trade standardized and flexible futures and options on both indices and single stocks across a range of international markets. Qatar Investment Authority holds roughly 15% of LSE, while Borse Dubai Limited maintains a 20.6% share. In May 2009, TMX Group, Inc. acquired a 19.9% share in the EDX London derivatives exchange for approximately $7 million. In September 2009, the exchange announced an approximate 12% staff reduction. In October 2009, LSE acquired MilleniumIT, a Sri Lankan software development and IT enterprise services firm, for approximately $30 million.

BRANDS/DIVISIONS/AFFILIATES: SETS SET Sqx EDX London Borse Dubai Limited Qatar Investment Authority

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Xavier Rolet, CEO Doug Webb, CFO David Lester, CIO Lisa M. Condron, Sec. John Wallace, Dir.-Corp. Comm. Martin Graham, Dir.-Equity Markets Raffaele Jerusalmi, Dir.-Capital Markets Massimo Capuano, Head-Post Trade Chris Gibson-Smith, Chmn.

Phone: 44-20-7797-1000 Fax: Toll-Free: Address: 10 Paternoster Square, London, EC4M 7LS UK

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: LDNXF.PK 2008 Sales: $819,600 2008 Profits: $260,700 Int’l Ticker: LSE Int’l Exchange: London-LSE 2007 Sales: $686,000 2007 Profits: $217,000 Employees: 1,210 2006 Sales: $517,500 2006 Profits: $116,200 Fiscal Year Ends: 3/31 2005 Sales: $459,200 2005 Profits: $116,900 Parent Company:




Y Y Y

Profit Sharing:


Bonus: $912,407 Bonus: $1,052,028


Southwest:

Midwest:

Southeast:


Northeast:

International: Y



LONGLEAF PARTNERS

www.longleafpartners.com



Y


Y

Profits:


Y





Longleaf Partners, operated by Southeastern Asset Management, Inc., manages three mutual funds with a value-oriented approach that requires unanimous decisions for investments. The firm has a total of $32.2 billion in assets under management, which it invests only in companies it believes to be valued at approximately 60% or less of conservative appraisals of the company’s true worth. All investments are made to capitalize on long-term performance. The firm’s Longleaf Partners Fund, which is closed to new investors, invests primarily in mid- to large-cap companies and has $8.0 billion in managed assets. The Longleaf Partners International Fund invests primarily in a limited number of foreign companies of varied sizes and has $2.2 billion in managed assets. The international fund typically invests at least 65% of assets in foreign equity securities in at least three countries outside of the U.S. Longleaf Partners Small Cap Fund, which is closed to new investors, invests primarily in a limited number of small cap companies and has $2.4 billion in managed assets. The remaining $19.6 billion is in separately managed accounts. The employees and affiliates of Southeastern Asset Management, Longleaf’s investment adviser, collectively own the largest amount of all three Longleaf Funds

BRANDS/DIVISIONS/AFFILIATES: Southeastern Asset Management, Inc Longleaf Partners International Fund Longleaf Partners Fund Longleaf Partners Small Cap Fund

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. O. Mason Hawkins, CEO G. Staley Cates, Pres. Jason E. Dunn, VP Ken Ichikawa Siazon, VP Ross Glotzbach, Chief Financial Advisor/VP Scott Cobb, VP O. Mason Hawkins, Chmn.

Phone: 508-871-8800 Fax: Toll-Free: 800-445-9469 Address: 101 Sabin St., Pawtucket, RI 02860 US

FINANCIALS:





Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International:



LORD ABBETT & CO LLC

www.lordabbett.com



Y Y


Y Y

Profits:





TYPES OF BUSINESS: Investment Management/Mutual Funds Retirement & Pension Funds

Lord Abbett & Co., LLC, founded in 1929, is a private investment management company that currently manages approximately $84 billion in assets. Lord Abbett provides clients with a family of over 40 mutual funds, as well as managed equity, fixed-income and balanced accounts for corporations, institutions and individual investors. Mutual funds offered by the company include value, growth, blend, international, strategic allocation, taxable income, municipal income and money market funds. The company also offers retirement planning services for individuals and businesses. Individual retirement services offered by the company include traditional IRAs, Roth IRAs and Coverdell education savings accounts. Lord Abbett’s business retirement services include owner-only 401(k)s, safe harbor 401(k)s, traditional 401(k)s, SIMPLE IRAs, 457(b) plans, 403(b) plans, Simplified Employee Pensions (SEPs) and SelfTrusted Account Recordkeepers (STARs). In the Separately Managed Accounts market, Lord Abbett manages more than $13.8 billion in assets for over 35,000 individual accounts. In November 2009, the firm introduced LordAbbett.com/Advisor, a new web site that offers investment solutions, market insights and practice management for financial advisors.

BRANDS/DIVISIONS/AFFILIATES: LordAbbett.com/Advisor

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Roberts S. Dow, Sr. Partner Joan A. Binstock, COO Daria L. Foster, Pres. Lynn M. Gargano, CFO R. Michael Weldon, Dir.-Mktg. Diane R. Tornejal, Dir.-Human Resources Walter H. Prahl, Dir.-Quantitative Research Michael L. Radziemski, CIO Arun Ramchandra, Dir.-Tech. Allison Barton Haupt, Dir.-Prod. Mgmt. Lawrence H. Kaplan, General Counsel Michael Lesesne, Jr., Dir.-High Yield Research Michael A. Grant, Dir.-Institutional Svcs. Bernard J. Grzelak, Dir.-Fund Admin. Robert I. Gerber, Chief Investment Officer Robert S. Dow, Chmn. Harold E. Sharon, Dir.-Int'l Equity

Phone: 201-827-2000 Fax: Toll-Free: 888-522-2388 Address: 90 Hudson St., Jersey City, NJ 07302 US

FINANCIALS:





Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International:



MACKENZIE FINANCIAL CORPORATION Industry Group Code: 523920 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y


Y

www.mackenziefinancial.com

Profits:


Y


Y Y



TYPES OF BUSINESS: Investment Management/Mutual Funds Deposit & Lending Products Trust & Administrative Services Trade Execution & Settlement Services Loans & Mortgages

Mackenzie Financial Corporation is a Canadian based integrated financial services company operating in North America and internationally. A subsidiary of IGM Financial, Inc. (formerly Investors Group), it offers more than 100 investment funds, including over 100 mutual funds and 22 segregated funds, in Canada and the U.S., managing $62.6 billion for more than 1 million investors and their financial advisors. The company and its subsidiaries also offer loan, deposit and additional services. Mackenzie provides trade execution and settlement, trust, and administrative services through the MRS Group of Companies, including Multiple Retirement Services, Inc.; MRS Securities Services, Inc.; and MRS Trust Company. The MRS Group also distributes the KEYSTONE family of mutual funds. Other fund names include Cundill, Ivy, Star, Maxxum and Universal. The company changed the name of its Keystone Elliott & Page High Income Fund to Keystone Manulife High Income Fund, to reflect Mulife Investment’s retirement of the Elliott & Page name brand. In February 2009, Mackenzie Financial launched nine new Saxon Mutual Funds, including Saxon High Income Fund, Saxon Small Cap and Saxon World Growth. In November 2009, the firm released three new mutual funds: Mackenzie All-Sector Canadian Equity Fund, Mackenzie Sentinel Strategic Income Class and Mackenzie Maxxum All-Canadian Dividend Class. Mackenzie offers its employees a group retirement savings plan, an employee share purchase plan, a continuous learning program, a referral bonus program and dental, life, extended health and drug insurance.

BRANDS/DIVISIONS/AFFILIATES: IGM Financial Inc MRS Group of Companies Multiple Retirement Services, Inc. MRS Securities Services, Inc. MRS Trust Company KEYSTONE Cundill Ivy

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Charles R. Sims, CEO Charles R. Sims, Pres. Edward L. Merchand, CFO/Sr. VP Norman Raschkowan, CIO Huynh-Mai Dao, Chief Admin. Officer Geoff Creighton, General Counsel/Sr. VP David Feather, Exec. VP/Pres., Mackenzie Financial Services, Inc. Andrew Dalglish, Exec. VP Norman Raschkowan, Chief Investment Officer

Phone: 416-922-3217 Fax: 416-922-5660 Toll-Free: 800-387-0614 Address: 150 Bloor St. W., Ste. M111, Toronto, ON M5S 3B5 Canada

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company: IGM FINANCIAL INC




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast:

International: Y



MACQUARIE GROUP LIMITED

www.macquarie.com.au


Y


Y Y Y


Y Y Y

Profits: 3





TYPES OF BUSINESS: Investment Banking Real Estate Investments Financial Services Stock Brokerage Private Equity Investments

Macquarie Group Limited is an international provider of financial and investment banking services, with more than 70 offices in 28 countries worldwide. Macquarie organizes its operations into seven operating groups: Macquarie Capital; Macquarie Securities; the Fixed Income, Currencies and Commodities Group; the Real Estate Banking Group; the Banking and Financial Services Group; the Corporate and Asset Finance Group; and the Funds Management Group. Macquarie Capital comprises Macquarie Group's corporate advisory, equity underwriting and specialized funds management, including infrastructure, private equity and real estate funds. Macquarie Securities was formed in June 2008 when the Macquarie Group combined the operating activities of Macquarie Capital Securities and the Equity Markets Group. Macquarie Securities comprises the equity underwriting and funds management division and the derivatives business. The Fixed Income, Currencies and Commodities Group provides commodity, energy and environmental financial products. The Real Estate Banking Group provides real estate related services including managing and developing global real estate assets; participating in development project joint ventures; and providing investment and development financing, development management, wholesale real estate investment management, wholesale equity raising, debt/transaction structuring, major project financing, property securitization, asset management and research. The Banking and Securitization Group consists of the company’s retail lending and banking businesses, providing mortgages, investment lending, relationship banking, consumer lending and credit cards. The Corporate and Asset Finance Group provides capital, finance and related services to clients around the world. The Funds Management Group provides securities asset management on behalf of corporations, superannuation funds and individuals. In October 2009, Macquarie announced that it would acquire Canada-based Blackmont Capital, Inc. for approximately $87.8 million. In November 2009, the company acquired Fox-Pitt Kelton Cochran Caronia Waller LLC (FPK) and subsequently merged the firm into its own global securities, advisory and capital markets unit.

BRANDS/DIVISIONS/AFFILIATES: Blackmont Capital Inc Fox-Pitt Kelton Cochran Caronia Waller LLC (FPK)

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Nicholas W. Moore, CEO W. Richard Sheppard, Managing Dir. Greg Ward, CFO Nigel Smyth, Head-IT Dennis Leong, Company Sec. Stephen Yan, Corp. Comm. Contact Roy Laidlaw, Head-Macquarie Securities Group Andrew J. Downe, Head-Treasury & Commodities Group Michael Carapiet, Head-Macquarie Capital Peter J. Maher, Head-Banking & Financial Svcs. Group David S. Clarke, Chmn. Tim Bishop, Pres./CEO-Macquarie Capital (USA), Inc.

Phone: 612-8232-3333 Fax: 612-8232-7780 Toll-Free: Address: No. 1 Martin Place, Sydney, NSW 2000 Australia

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $4,336,740 2009 Profits: $789,410 U.S. Stock Ticker: 2008 Sales: $6,573,540 2008 Profits: $1,634,090 Int’l Ticker: MQG Int’l Exchange: Sydney-ASX 2007 Sales: $5,800,800 2007 Profits: $1,181,800 Employees: 12,716 2006 Sales: $4,311,600 2006 Profits: $655,900 Fiscal Year Ends: 3/31 2005 Sales: $2,595,500 2005 Profits: $392,400 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



MADISON DEARBORN PARTNERS LLC Industry Group Code: 523910 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y Y Y


www.mdcp.com

Profits:





TYPES OF BUSINESS: Private Equity Investments Fund Management Managed Buyouts

Madison Dearborn Partners, LLC (MDP) is a privately owned, private equity investment firm. With over $14 billion under management, the firm primarily focuses on fund management, managed buyouts and other private equity transactions. The company invests in six industry sectors: basic industries, which consist of natural resources, energy and building products; communications, consisting of media, wireless communications and wireline telecommunications; consumer, consisting of consumer products and services, direct marketing and specialty retailing; financial services, consisting of asset management, specialty financing and financial outsourcing; health care, consisting of medical equipment and care providers; and energy and power, which includes the exploration, production and distribution of oil/gas, coal, electricity and renewable energy. MDP currently manages five funds with assets ranging from $550 million to $6.5 billion. In the management buyout division, the firm generally aims to invest $100 million to $600 million of equity capital in a single transaction and involves buyouts of private and publicly held companies; buyouts of divisions of larger companies; and recapitalizations of closely held and family-owned companies. Recent leveraged buyouts involved CDW Corporation; Nuveen Investments, Inc.; and The Yankee Candle Company, Inc. In the structured transactions and growth equity investments segment, MDP seeks to invest $100 million to $400 million of equity in investments such as older, cash flow positive companies; capital for recapitalizations; companies desiring capital to fund fast internal growth; and acquisition-oriented financing. The company’s limited partners consist of pension funds, endowments, and financial institutions in the U.S., Europe, Asia and Australia. MDP’s major investments include XM Satellite Radio Holdings, Inc., Univision, EPICOR, Inc., General Nutrition Companies, Inc., The Sports Authority, Inc., and PayPal, Inc. In September 2009, the firm acquired 61% ownership of NextG Networks, a California-based provider of antenna systems, for roughly $360 million.

BRANDS/DIVISIONS/AFFILIATES: CDW Corporation Nuveen Investments Inc Yankee Candle Company Inc (The) Univision EPICOR Inc XM Satellite Radio Holdings Inc General Nutrition Companies Inc Sports Authority Inc (The)

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. John A. Canning, Jr., CEO Paul J. Finnegan, Co-Pres. Thomas M. Goldstein, CFO James P. Kouris, CIO Mark B. Tresnowski, General Counsel/Managing Dir. Samuel M. Mencoff, Co-Pres. Ryan M. Roberts, VP Brittany A. Smith, VP Elizabeth Q. Betton, VP John A. Canning, Jr., Chmn.

Phone: 312-895-1000 Fax: 312-895-1001 Toll-Free: Address: 3 1st National Plz., Ste. 4600, Chicago, IL 60602 US

FINANCIALS:





Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest: Y

Southeast:


Northeast:

International:



MAN GROUP PLC

www.mangroupplc.com



Y


Y

Profits: 1


Y


Y



TYPES OF BUSINESS: Hedge Funds Alternative Investment Products & Services Hedge Fund Management

Man Group plc is a global provider of alternative investment products and solutions. It has operations in 13 countries, with key offices in London and Pfaffikon, Switzerland. The company has $44 billion funds under management. Man Group’s primary segment, Man Investments, is a global leader in the alternative investment industry and one of the largest hedge fund managers in the world. The division’s core investment managers include Man AHL; Glenwood; Man Global Strategies; Pemba Credit Advisors; Ore Hill; Man ECO and RMF. AHL Implements managed futures investment programs. Man AHL is one of the world's largest hedge funds. Glenwood is a provider of hedge fund portfolios. The firm’s multi-manager hedge fund portfolios target low risk and seek to minimize manager, strategy and market risk. Man Global Strategies creates and manages hedge style and multi-strategy portfolios. Pemba Credit Advisers is a European manager of credit portfolios, investing in European senior secured loans, mezzanine and second lien loans and high yield bonds. Ore Hill invests in a range of highly leveraged companies using a multi-strategy approach. Man ECO is a private equity manager specializes in environment related financing. RMF focuses on hedge funds, leveraged finance and convertible bonds. In November 2009, Man Investments, along with Credit Suisse, introduced a new managed accounts initiative, in which Man Investments will focus on the sourcing and quality monitoring of managers.

BRANDS/DIVISIONS/AFFILIATES: Man Investments AHL Glenwood Man Global Strategies RMF Pembra Credit Advisors Man ECO Ore Hill

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Peter Clarke, CEO Simon Anderson, Global Head-Comm. Miriam McKay, Head-Investor Rel. Kevin Hayes, Dir.-Finance David Browne, Head-Group Funding & External Rel. Jon Aisbitt, Chmn.

Phone: 44-20-7144-1000 Fax: 44-20-7144-1923 Toll-Free: Address: Sugar Quay, Lower Thames St., London, EC3R 6DU UK

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: MNGPF 2008 Sales: $3,171,000 2008 Profits: $3,471,000 Int’l Ticker: EMG.L Int’l Exchange: London-LSE 2007 Sales: $2,214,000 2007 Profits: $1,285,000 Employees: 1,583 2006 Sales: $1,902,000 2006 Profits: $1,014,000 Fiscal Year Ends: 3/31 2005 Sales: $2,469,000 2005 Profits: $885,000 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest: Y

Southeast:


Northeast: Y

International: Y



MARSH & MCLENNAN COMPANIES INC Industry Group Code: 524210 Ranks within this company's industry group: Sales: 1 Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y


Y

www.marshmac.com

Profits: 1


Y




TYPES OF BUSINESS: Insurance Brokerage Consulting Services Risk Management Benefits Administration Human Resources Services

Marsh & McLennan Companies, Inc. (MMC), is a global professional services firm providing advice and solutions in the areas of risk, strategy and human capital. It is the parent company of a number of leading risk experts and specialty consultants, including: Marsh, the insurance broker, intermediary and risk advisor; Guy Carpenter, the risk and reinsurance specialist; Mercer, the provider of HR and related financial advice and services; Oliver Wyman Group, the management consultancy; and Kroll, the risk consulting firm. The company operates three segments: Risk and Insurance Services; Risk Consulting and Technology; and Consulting. The Risk and Insurance segment, which generated 47% of MMC’s operating segments revenue, is primarily composed of two companies and their subsidiaries. Marsh, Inc., which operates through approximately 400 offices in 100 countries; and Guy Carpenter & Company. This segment also owns investments in private equity funds and other firms through Marsh & McLennan Risk Capital Holdings. Risk Consulting and Technology, which generated 9% of revenues, consists of Kroll, Inc. and its subsidiaries. Besides technology and consulting services, it provides security as well as corporate advisory and restructuring. Knoll also offers financial consulting services. The Consulting segment, which generated 43% of revenue, operates through Mercer and Oliver Wyman Group. This division offers investment services, and specialized management and economic consulting services, as well as human resources consulting and related outsourcing. In February 2009, MMC acquired the remaining 49% of Companias DeLima S.A., located in Cali, Colombia, thereby making the company wholly-owned by MMC. The company provides an employee gifts matching program; and health and welfare benefit programs. The firm was named one of the 2009 Best Places to Work by the Human Rights Campaign Foundation.

BRANDS/DIVISIONS/AFFILIATES: Marsh, Inc. Guy Carpenter & Company, LLC Companias DeLima S.A. Kroll Inc Mercer Inc Oliver Wyman Group Mercer Specialty Consulting Putnam LLC

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Brian Duperreault, CEO Brian Duperreault, Pres. Vanessa A. Wittman, CFO/Exec. VP Peter J. Beshar, General Counsel/Exec. VP Christine Walton, VP-Public Rel. M. Michele Burns, Chmn./CEO-Mercer, Inc. Ben Allen, CEO/Pres., Kroll, Inc. John Drzik, CEO/Pres., Oliver Wyman Group Daniel S. Glaser, Chmn./CEO-Marsh, Inc. Stephen R. Hardis, Chmn. Mathis Cabiallavetta, Chmn.-MCC Int'l

Phone: 212-345-5000 Fax: 212-345-4838 Toll-Free: Address: 1166 Ave. of the Americas, New York, NY 10036-2774 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: MMC 2008 Sales: $11,587,000 2008 Profits: $-73,000 Int’l Ticker: Int’l Exchange: 2007 Sales: $11,350,000 2007 Profits: $2,475,000 Employees: 54,000 2006 Sales: $10,547,000 2006 Profits: $990,000 Fiscal Year Ends: 12/31 2005 Sales: $11,578,000 2005 Profits: $404,000 Parent Company:




Profit Sharing:


Bonus: $3,000,000 Bonus: $3,000,000


Southwest: Y

Midwest: Y

Southeast:


Northeast: Y

International: Y



MARSHALL & ILSLEY CORP

www.mibank.com



Y Y


Y Y Y

Profits: 39



Y


Banking Equipment Leasing Mortgage Banking Financial Planning Data Processing Insurance Services Investment Management Trust Services

Marshall & Ilsley Corp. (M&I), with $62.3 billion in assets, is a financial services company primarily operating through Marshall & Ilsley Bank and M&I’s subsidiary banks. It operates 193 branches located throughout Wisconsin, Arizona, Florida and Indiana, as well as the metropolitan areas of Minneapolis, Minnesota; Kansas City, Missouri; St. Louis, Missouri; Duluth, Minnesota; Belleville, Illinois; and Las Vegas, Nevada. The firm also operates an asset-based lending subsidiary in Minneapolis, Minnesota. M&I is divided into five business segments. The community banking segment provides consumer and business banking products and services, including mortgages; home equity loans; credit cards; student loans; personal lines of credit and term loans; demand deposit accounts; interest bearing transaction accounts and time deposits. Commercial banking products include secured and unsecured lines and term loans for working capital; inventory and general corporate use; commercial real estate construction loans; and agricultural loans. The wealth management segment consists of M&I’s trust, brokerage and private banking businesses. The segment provides integrated asset management, trust and banking services through three business lines: Investment Management, Personal Services and Institutional Services. The treasury division, which provides management of interest rate risk, capital, liquidity, funding and investments to the corporation and all of its subsidiary banks. Lastly, the other segment includes the capital markets division, which provides a variety of products and services designed to address its customers’ risk management and investment needs, and the national consumer banking division, which offers wholesale home equity consumer lending, indirect automobile financing, and affinity banking services. In December 2009, M&I acquired a majority interest in Taplin, Canida & Habach, Inc., which became a part of M&I’s wealth management business. Employees of the firm are offered medical, dental, vision and life insurance; tuition reimbursement; wellness reimbursement; adoption assistance; short- and long-term disability; and pre-tax transportation.

BRANDS/DIVISIONS/AFFILIATES: M&I Marshall & Ilsley Bank Metavante Corporation M&I Institutional Real Estate Group M&I Mortgage Corp. M&I Brokerage Services, Inc. M&I Investment Management Corp. Cedar Street Advisors North Star Deferred Exchange Corp

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Mark F. Furlong, CEO Mark F. Furlong, Pres. Gregory A. Smith, CFO/Sr. VP Brent J. Kelly, Sr. VP/Dir.-Corp. Mktg. Paul J. Renard, Sr. VP/Dir.-Human Resources Randall J. Erickson, Chief Admin. Officer/Sr. VP Randall J. Erickson, General Counsel/Sr. VP Patricia M. Cadorin, VP/Dir.-Corp. Comm./Sr. VP-M&I Bank Patricia R. Justiliano, Corp. Controller/Sr. VP Beth D. Knickerbocker, Chief Risk Officer/Sr. VP Thomas J. O'Neill, Sr. VP/Pres., M&I Bank FSB Kenneth C. Krie, Pres./CEO-M&I Trust Company Ryan R. Deneen, Sr. VP/Dir.-Corp. Tax Dennis J. Kuester, Chmn.

Phone: 414-765-7801 Fax: 414-298-2921 Toll-Free: 888-464-5463 Address: 770 N. Water St., Milwaukee, WI 53202 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: MI 2008 Sales: $4,025,809 2008 Profits: $-2,043,462 Int’l Ticker: Int’l Exchange: 2007 Sales: $4,398,200 2007 Profits: $ Employees: 10,191 2006 Sales: $5,146,370 2006 Profits: $807,838 Fiscal Year Ends: 12/31 2005 Sales: $3,962,890 2005 Profits: $727,469 Parent Company:



Y


TYPES OF BUSINESS:


Y

Profit Sharing: Y


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast:

International:



MASSACHUSETTS FINANCIAL SERVICES COMPANY (MFS) www.mfs.com Industry Group Code: 523920 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y Y


Y Y

Profits:





TYPES OF BUSINESS: Investment Management/Mutual Funds Mutual Funds Annuities Retirement Plans Asset Management

Massachusetts Financial Services Company (MFS) administers a family of over 60 mutual funds, including one of the nation’s first mutual funds, Massachusetts Investors Trust. In addition to mutual funds, the company offers annuities, separately managed accounts and retirement plans. The company manages $181.3 billion in assets on behalf of approximately 5 million institutional and individual investors worldwide. Subsidiary MFS Institutional Advisors, Inc. provides separate account portfolio management, institutional trusts and mutual funds to institutional investors. MFS International Ltd. distributes mutual funds from offices in Boston, London, Mexico City, Singapore, and Tokyo and invests in securities in more than 60 countries across the globe. The MFS Investment Services Group provides investment services to insurance company separate accounts and multi-manager platforms. It manages variable annuity, variable life, group pension products and subadvised mutual fund platforms. Canada-based Sun Life Financial owns over 95% of MFS. The firm expanded into alternative investments with its subsidiary, Four Pillars Capital, Inc. The holding provides seed and expansion capital to hedge fund managers. In November 2008, the firm added a new Registered Investment Advisor (RIA) web portal to its MFS.com web site, which will allow RIAs to gather product information and interact with asset management firms.

BRANDS/DIVISIONS/AFFILIATES: Massachusetts Investors Trust MFS Institutional Advisors, Inc. MFS International Ltd. MFS Investment Services Group Sun Life Financial MFS Lifetime Funds

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Robert J. Manning, CEO Robin A. Stelmach, COO Robert J. Manning, Pres. Amrit Kanwal, CFO Mark N. Polebaum, General Counsel John Reilly, Media Rel. Robert Manning, Chief Investment Officer Maria F. Dwyer, Chief Regulatory Officer Robert C. Pozen, Chmn.

Phone: 617-954-5000 Fax: 617-954-6620 Toll-Free: 800-637-2929 Address: 500 Boylston St., Boston, MA 02116 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company: SUN LIFE FINANCIAL INC




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



MASSACHUSETTS MUTUAL LIFE INSURANCE CO www.massmutual.com Industry Group Code: 524113 Ranks within this company's industry group: Sales: 10 Brokers/Stocks: Broker: Investment Bank: Futures/Options:

Y


Y Y


Y

Profits: 20


Y




TYPES OF BUSINESS: Life Insurance Pension Products Real Estate Equity Management Disability Insurance Investment Management Products Mutual Fund Management Investor Services

Massachusetts Mutual Life Insurance Co. (MassMutual) is a global, growth oriented, diversified financial services organization. With its affiliates, it boasts more than 13 million clients and over $500 billion in managed assets. The mutually owned company offers financial protection, accumulation and income management by providing life insurance, annuities, disability income insurance, long term care insurance, retirement planning products, income management and other products and services for individuals, business owners, corporations and institutions. It operates through several subsidiaries. Its investment group provides investment management products, such as securities and real estate, as well as mutual fund management and real estate equities management services primarily through subsidiary Oppenheimer Funds and Cornerstone Real Estate Advisers. Subsidiary Babson Capital Management LLC offers individual and institutional investor services. MassMutual is expanding globally by marketing products that emphasize the company’s individual coverage and institutional money management businesses. Established subsidiaries exist in Argentina, Bermuda, Chile, Hong Kong and Luxembourg. In December 2008, MassMutual opened a new call center in Memphis, Tennessee using resources acquired in its purchase of First Mercantile Trust Company. In June 2009, the company implemented a joint venture with State Grid Corporation of China called Yingda Taihe Life Insurance Company with the aim of expanding the life insurance business in the Chinese market. Also in June 2009, the firm opened True North Financial Solutions, a financial planning company. MassMutual offers employee benefits such as health, dental, vision, disability and life coverage; flexible spending accounts; 401(k) and pension plans; educational assistance; flexible scheduling and flextime; child care and adoption assistance; an on-site credit union; a matching gift program; and discounted auto and homeowner’s insurance.

BRANDS/DIVISIONS/AFFILIATES: MassMutual Holding Company, Inc. First Mercantile Trust Company Yingda Taihe Life Insurance Company Cornerstone Real Estate Babson Capital Management LLC MassMutual Global Funding, LLC Oppenheimer Funds, Inc.

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Stuart H. Reese, CEO Roger W. Crandall, COO Roger W. Crandall, Pres. Michael T. Rollings, CFO/Exec. VP Debra Palermino, Sr. VP-Human Resources Robert Casale, CIO/Sr. VP Mark Roellig, General Counsel/Exec. VP/Corp. Sec. William F. Glavin, Jr., Exec. VP William F. Glavin, Jr., Exec. VP Debra A. Palermino, Sr. VP Elaine A. Sarsynski, Exec. VP Stuart H. Reese, Chmn. Elaine A. Sarsynski, Chmn./CEO-MassMutual International LLC

Phone: 413-744-1000 Fax: 413-744-6005 Toll-Free: 800-272-2216 Address: 1295 State St., Springfield, MA 01111-0001 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Mutual Company 2008 Sales: $18,745,000 2008 Profits: $-924,000 Int’l Ticker: Int’l Exchange: 2007 Sales: $18,744,000 2007 Profits: $201,000 Employees: 12,326 2006 Sales: $18,020,000 2006 Profits: $810,000 Fiscal Year Ends: 12/31 2005 Sales: $17,425,000 2005 Profits: $753,000 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



MAYFIELD FUND

www.mayfield.com



Y


Y

Profits:





TYPES OF BUSINESS: Venture Capital

Mayfield Fund is a partner-owned Silicon Valley venture capital firm. Since its inception, the company has raised 13 funds, invested in over 470 companies, taken more than 100 companies public and facilitated mergers and acquisitions for over 100 more. Past successful investments include 3Com, SGI, Compaq, Legato and Avanex. The firm’s investment sectors include communications/wireless; consumer/media; enterprise software; and semiconductors. Initial investments range from $1 million to $3 million. Mayfield’s current portfolio includes such firms as Acclaim Games, PayMate, Zenprise, Gigya, Kickfire, LatticePower, Mimosa Systems and Narus. The firm is active in China, having raised three funds resulting in $2.8 billion under management and invested in several early-stage companies in the semiconductor, Internet and wireless sectors with partner GSR Ventures. The company is also active in India, with a focus on companies in the technology; technology enabled services; consumer services; infrastructure; healthcare services; and manufacturing markets. The firm is currently investing Mayfield Fund XIII which is capitalized at $395 million.


CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. James Beck, COO/Managing Dir. Kamini Ramani, Dir.-Mktg. Robin Vasan, Managing Dir. Janice Roberts, Managing Dir. Navin Chaddha, Managing Dir. Raj Kapoor, Managing Dir.


FINANCIALS:





Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast:

International: Y



MBIA INC

www.mbia.com


d



Profits: 14



Y



TYPES OF BUSINESS: Financial Guaranty Investment Management Services Credit Protection

MBIA, Inc. provides financial guarantee insurance and investment management services to public finance and structured finance issuers, investors and capital market participants on a global basis. The company has offices in New York, San Francisco, Paris, London, Madrid, Sydney and Tokyo. The firm insures financial obligations which are sold in the new issue and secondary markets. It also provides financial guarantees for debt service reserve funds. The company provides investment management products and financial services through its wholly-owned subsidiary MBIA Asset Management, LLC. The company guarantees municipal bonds; structured finance and asset-backed obligations; payments due under credit and other derivates; privately issued bonds used for the financing of public purpose projects; and obligations of sovereign and subsovereign issuers. MBIA Asset provides an array of products and services to the public, not-for-profit and corporate sectors. These products and services include cash management; discretionary asset management and fund administration services and investment agreement; mediumterm note; and commercial paper programs related to funding assets for third-party clients and for investment purposes. In 2009, the firm split its operating unit MBIA Insurance Corp. into two companies. MBIA Insurance will insure non-U.S. securities and structured finance products such as pools of mortgages. National Public Finance Guarantee will insure U.S. municipal bonds. Employees are offered health coverage; supplemental disability insurance; a retirement plan; and a 401(k) plan.

BRANDS/DIVISIONS/AFFILIATES: MBIA Insurance Corp MBIA Asset Management LLC MBIA Corp National Public Finance Guarantee

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Jay Brown, CEO William C. Fallon, COO William C. Fallon, Co-Pres. C. Edward Chaplin, CFO/Co-Pres. C. Edward Chaplin, Chief Admin. Officer Ram D. Wertheim, Chief Legal Officer Greg Diamond, Investor Rel. Clifford D. Corso, Chief Investment Officer Mitchell I. Sonkin, Chief Portfolio Officer Daniel P. Kearney, Chmn.

Phone: 914-273-4545 Fax: 914-765-3163 Toll-Free: Address: 113 King St., Armonk, NY 10504 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: MBI 2008 Sales: $ 2008 Profits: $-2,672,693 Int’l Ticker: Int’l Exchange: 2007 Sales: $3,122,422 2007 Profits: $-1,921,948 Employees: 420 2006 Sales: $2,688,843 2006 Profits: $819,000 Fiscal Year Ends: 12/31 2005 Sales: $2,300,507 2005 Profits: $710,986 Parent Company:




Profit Sharing:


Bonus: $3,006,250 Bonus: $1,993,750


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



MCGRAW HILL COS INC

www.mcgraw-hill.com




Profits: 1



Y



TYPES OF BUSINESS: Book Publishing Financial Information Magazine Publishing Online Data Research Services Television Broadcasting

McGraw-Hill Cos., Inc. is a global information services provider serving the financial services, education and business information markets with a wide range of information products and services. Additional markets include energy, construction, aerospace and defense, and marketing information services. The Company serves its customers through a broad range of distribution channels, including printed books, magazines and newsletters, online via Internet web sites and digital platforms, through wireless and traditional on-air broadcasting, and through a variety of conferences and trade shows. The firm three reportable segments: McGraw-Hill Education; Financial Services; and Information and Media. The McGraw-Hill Education segment is one of the premier global educational publishers serving the elementary and high school, college and university, professional, international and adult education markets offering traditional textbooks as well as online multimedia tools and courses for students and educators. The company is also a provider of reference and trade publishing for the medical, business and engineering professions. Within the Financial Services segment, the company operates Standard & Poor’s. Standard & Poor’s plays an integral role in the global financial infrastructure, providing credit ratings, independent investment information, analytical services and corporate valuations to investors, corporations, governments, financial institutions, investment managers and advisors around the world. The Information and Media segment includes business, professional and broadcast media, offering information, insight and analysis. Under this segment, the firm operates Aviation Week; Platts, a provider of energy information; and McGraw-Hill construction. Additionally, the company operates McGraw-Hill Broadcasting, which encompasses all ABC affiliates in Denver, Colorado; Indianapolis, Indiana; and San Diego and Bakersfield, California. In December 2009, the company sold its business magazine, BusinessWeek, to Bloomberg L.P. Employees are offered medical, dental and vision insurance; an employee assistance program; flexible spending accounts; disability coverage; life insurance; auto and home insurance; a 401(k) plan; tuition reimbursement; legal services; and discounts on various goods and services.

BRANDS/DIVISIONS/AFFILIATES: Standard & Poor's McGraw-Hill Education McGraw-Hill Construction Aviation Week McGraw-Hill Broadcasting

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Harold W. McGraw, III, CEO Harold W. McGraw, III, Pres. Robert J. Bahash, CFO/Exec. VP David L. Murphy, Exec. VP-Human Resources Bruce D. Marcus, CIO/Exec. VP Kenneth M. Vittor, General Counsel/Exec. VP Charles L. Teschner, Jr., Exec. VP-Global Strategy Steven H. Weiss, VP-Corp. Comm. Donald S. Rubin, Sr. VP-Investor Rel. D. Edward Smyth, Sr. VP-Corp. Affairs Glenn S. Goldberg, Pres., Info. & Media Deven Sharma, Pres., Standard & Poor's Peter C. Davis, Pres., McGraw-Hill Education Harold W. McGraw, III, Chmn.

Phone: 212-512-2000 Fax: 212-512-3840 Toll-Free: Address: 1221 Ave. of the Americas, New York, NY 10020 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: MHP 2008 Sales: $6,355,100 2008 Profits: $799,500 Int’l Ticker: Int’l Exchange: 2007 Sales: $6,772,281 2007 Profits: $1,013,559 Employees: 21,649 2006 Sales: $6,255,138 2006 Profits: $882,231 Fiscal Year Ends: 12/31 2005 Sales: $6,003,642 2005 Profits: $844,306 Parent Company:




Y Y

Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast:


Northeast: Y

International: Y



MEIJI YASUDA LIFE INSURANCE COMPANY Industry Group Code: 524113 Ranks within this company's industry group: Sales: 6 Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y Y


Y

www.meijiyasuda.co.jp

Profits: 6





TYPES OF BUSINESS: Life Insurance Investment Products Reinsurance Asset Management Risk Management Services Building Maintenance Medical & Wellness Research Services

Meiji Yasuda Life Insurance Company, formed through the merger of Meiji Life Insurance Company and Yasuda Mutual Life Insurance Company in 2004, is one of Japan's largest life insurers, operating 92 regional offices, 25 group marketing offices and 1,253 agency offices in Japan, as well as maintaining subsidiaries and affiliates in Asia, Europe and North America. The company offers individual insurance marketing, group marketing, general agent marketing, insurance policy underwriting and reinsurance on an international basis, as well as providing risk and asset management services. The firm’s international business operates in three main areas: international insurance; international insurance networks; and reinsurance with overseas insurance companies. In the U.S., subsidiary Meiji Yasuda America, Inc. provides insurance services to associated insurers of Japanese companies, operating principally in New York and California. Meiji Yasuda Life also operates a life insurance subsidiary in Hawaii, Pacific Guardian Life Insurance Company, Ltd. European operations are conducted through Meiji Yasuda Europe, Ltd., which provides information on local insurance markets to Japanese companies through its offices in London and Frankfurt. In Asia, the company operates through subsidiary Meiji Yasuda Asia Limited, which markets the insurance products of associated insurers in China, Thailand, Malaysia, Taiwan and Singapore, as well as through cooperative ventures with insurance companies in Hong Kong. The firm is a member of two international life insurance company networks: All Net, managed by the Allianz Group; and Swiss Life Network, administered by Swiss Life. The company’s reinsurance operations include the provision of life, accident and health reinsurance. Meiji Yasuda also has a number of domestic subsidiaries operating in the delivery and printing, building maintenance, system technology, pension management, policy administration and staffing market sectors, as well as offering research, development, medical and wellness services. In February 2008, the company announced its intention to go public by 2011.

BRANDS/DIVISIONS/AFFILIATES: Meiji Life Insurance Company Yasuda Mutual Life Insurance Company Meiji Yasuda America, Inc. Pacific Guardian Life Insurance Company, Limited Meiji Yasuda Europe Ltd. Meiji Yasuda Asia Limited

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Kenji Matsuo, Pres. Tamio Kurosaki, CEO-Group Mktg. Hiromasa Suzuki, Gen. Mgr.-Human Resources Nobuya Suzuki, Gen. Mgr.-Prod. Dev. Kyoichi Fukuda, Deputy Pres. Yasuharu Takamatsu, Deputy Pres./CEO-Investment Michio Kondo, CEO-Individual Insurance Mktg. Yutaka Shigemori, CEO-Gen. Agent Mktg. Ken-Ichi Sekiguchi, Chmn.

Phone: 81-3-3283-8293 Fax: 81-3-3215-8123 Toll-Free: Address: 1-1 Marunouchi 2-chrome, Chiyoda-ku, Tokyo, 1000005 Japan

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Mutual Company 2008 Sales: $38,082,000 2008 Profits: $1,239,000 Int’l Ticker: Int’l Exchange: 2007 Sales: $21,758,100 2007 Profits: $2,607,900 Employees: 2006 Sales: $26,900,000 2006 Profits: $3,300,000 Fiscal Year Ends: 3/31 2005 Sales: $33,632,400 2005 Profits: $2,036,600 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



MERRILL LYNCH & CO INC

www.ml.com


Y Y


Y Y Y Y


Y Y Y

Profits: 29



Y Y



TYPES OF BUSINESS: Stock Brokerage & Investment Banking Research Services Financial Planning Services

Merrill Lynch & Co., Inc., a holding company, is a wealth management, capital markets and advisory firm. The firm is one of the largest brokerages in the world, managing over $2.5 trillion in client assets. The company’s services include corporate and investment banking services such as commercial lending, high-yield debt, equity and mergers and acquisitions review; personal wealth management; private banking; and retail brokerage. Merrill Lynch operates in two segments: global markets and investment banking (GMI); and global wealth management (GWM). The GMI segment, provides trading, capital markets services, investment banking and advisory services to corporations, financial institutions, institutional investors and governments around the world. GMI also provides clients with financing, securities clearing, settlement and custody services and engages in principal and private equity investing. The segment’s investment banking division provides securities origination and strategic advisory services for issuer clients, including underwriting and placement of public and private equity, debt and related securities, as well as lending and other financing activities for clients globally. The GWM segment provides brokerage, investment advisory and financial planning services, offering both proprietary and third-party wealth management products and services globally to individuals, small- to mid-size businesses and employee benefit plans. Merrill Lynch provides research services on a global basis through its Global Securities & Economics Group. The company also owns a 50% stake in private equity firm BlackRock, Inc. In September 2008, following massive losses, the firm agreed to be acquired by Bank of America. The deal closed in January 2009.

BRANDS/DIVISIONS/AFFILIATES: Global Securities & Economics Group BlackRock Inc First Republic Bank Merrill Lynch Bank & Trust Co

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Brian Moynihan, Pres., Global Banking & Wealth Mgmt. James Forbes, Head-Global Principal Investments Bryan Weadock, Head-Americas Fixed Income Sales Steven Niemczyk, Head-Asset Mgmt. Investment Banking Tom Montag, Pres., Global Markets

Phone: 212-449-1000 Fax: 212-449-9418 Toll-Free: 800-637-7455 Address: 4 World Financial Center, 250 Vesey St., New York, NY 10080 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $16,784,000 2008 Profits: $-27,612,000 Int’l Ticker: Int’l Exchange: 2007 Sales: $62,675,000 2007 Profits: $-7,777,000 Employees: 2006 Sales: $69,352,000 2006 Profits: $7,499,000 Fiscal Year Ends: 12/31 2005 Sales: $46,848,000 2005 Profits: $5,116,000 Parent Company: BANK OF AMERICA CORP




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



MESIROW FINANCIAL HOLDINGS INC Industry Group Code: 523110 Ranks within this company's industry group: Sales: 17 Brokers/Stocks: Broker: Investment Bank: Futures/Options:

Y Y


Y


Y Y Y

www.mesirowfinancial.com Profits:



Y


Y


TYPES OF BUSINESS: Investment Banking Financial Consulting Real Estate Development Financial Advisory Insurance Services Investment Management

Mesirow Financial Holdings, Inc. is a Chicago based financial services company with approximately $30 billion in assets under management. The company concentrates its plethora of services into six divisions: investment management, investment services, insurance services, investment banking, consulting and real estate. Investment management includes currency management for institutional clients; private equity, which offers direct and fund of funds programs; commodity services for institutions attempting to garner real assets; U.S. and international equity, which covers emerging markets; fixed income management; direct and multi-management real estate; and investment advisory. Investment services division comprises institutional sales and trading; investment brokerage services; and broker/dealer and investment advisor services. The company’s insurance services division includes property and casualty; employee benefits, private client insurance; life and disability; and all phases of structured settlements. The investment banking division covers public finance, which focuses on debt and fixed income management; corporate investment banking, including mergers and acquisitions advisory; and saleleaseback capital advisory. Mesirow Financial Consulting, LLC, the company’s consulting division, provides compensation and executive benefits strategies, as well as advisory services to organizations and corporate stakeholders. Mesirow Real Estate, Inc., the company’s real estate division, constructs commercial and institutional structures, such as university facilities, convention centers and hotels. The company has 24 locations in the U.S. and an international office in London. Mesirow Advanced Strategies, a subsidiary, is an alternative assets manager that focuses on portfolio construction and risk management. In 2009, the company provided advisement about acquisitions to BWAY Corporation; Michigan Wheel Corporation; Quincy Resource Group; Sencorp; and The Specialized Packing Group. In October 2009, the company also advised in the acquisition of the Sun-Times Media Group. Also in October 2009, the company formed a joint-venture with Begbies Traynor that will focus investments on corporate restructuring and recovery.

BRANDS/DIVISIONS/AFFILIATES: Mesirow Financial Consulting, LLC Mesirow Real Estate, Inc Mesirow Advanced Strategies Begbies Traynor

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. James C. Tyree, CEO Richard S. Price, COO Richard S. Price, Pres. Kristie P. Paskvan, CFO Michael J Levickas, VP-Regulations James C. Tyree, Chmn.

Phone: 312-595-6000 Fax: 321-595-4246 Toll-Free: 800-453-0600 Address: 353 N. Clark St., Chicago, IL 60654 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $467,000 2009 Profits: $ U.S. Stock Ticker: Private 2008 Sales: $492,000 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 1,100 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 2005 Sales: $ 2005 Profits: $ Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



METAVANTE CORPORATION

www.metavante.com




Profits: 3



Y Y Y



TYPES OF BUSINESS: Financial Software & Technology Payment & Transaction Processing Solutions Online Banking Services Customer Relationship Management Systems Consulting Services

Metavante Corporation is a financial services technology provider. Metavante Corporation serves over 8,000 clients, including 97 of the largest U.S. banks. Its technology drives services covering customer relationship management (CRM), electronic funds transfer (EFT), check processing, electronic presentment and payment transactions, Metavante’s NYCE Payment Network (an ATM/PIN debit network) and account processing for deposit, loan and trust systems. The company operates in two segments: Financial Solutions Group (FSG), accounting for 40% of 2007 revenues; and Payment Solutions Group (PSG), 60%. FSG contains seven divisions: Banking, focusing on customer information systems and account management, especially for deposit and loan accounts; commercial treasury, offering cash and investment management technology and outsourcing services; eBanking, focusing on self-service systems and sales and service channels; risk and compliance; sales and service, a CRM service provider; and wealth management. PSG contains six divisions: Acquiring, offering various card services including ATM driving, billerdirect payments and government payments; issuing, focusing of EFT and card processing; image, mainly covering paper document digitalization; payment network, largely comprising services for the NYCE Payment Network; ePayment, handling millions of transactions monthly; and healthcare payment. In November 2007, its parent company Marshall & Ilsley Corp. (M&I), divided M&I and Metavante Corporation into two independent public companies. As a result of the division, Metavante Technologies, Inc. was created as the holding company for Metavante Corporation. An affiliate of Warburg Pincus, a global private equity investor, acquired 25% of Metavante Technologies for $625 million, while M&I retained control of the remaining 75%. In April 2009, Fidelity National Information Services, Inc, a leading provider of processing and outsourcing services to financial institutions and retailers, announced that it would acquire Metavante, merging it with and into its own operations.

BRANDS/DIVISIONS/AFFILIATES: Fidelity National Information Services, Inc. Marshall & Ilsley Corp

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Frank R. Martire, CEO Michael D. Hayford, COO Michael D. Hayford, Pres. Timothy C. Oliver, CFO/Sr. Exec. VP Brian C. Hurdis, CIO/Sr. Exec. VP Donald W. Layden, Jr., General Counsel/Sr. Exec. VP/Sec. Brian C. Hurdis, Sr. Exec. VP-Oper. & Service Delivery Kirk Larsen, VP-Investor Rel. Kenneth F. Best, Principal Acct. Officer/VP Frank G. D'Angelo, Sr. Exec. VP/Pres., Payment Solutions Group Jim Bolton, Sr. Exec. VP/Pres., Enterprise Solutions Group Frank R. Martire, Chmn. Donald W. Layden, Jr., Group Pres., Metavante Int'l Group

Phone: 414-357-2290 Fax: 414-357-9896 Toll-Free: 800-822-6758 Address: 4900 W. Brown Deer Rd., Milwaukee, WI 53223 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: MV 2008 Sales: $1,707,300 2008 Profits: $147,350 Int’l Ticker: Int’l Exchange: 2007 Sales: $1,598,100 2007 Profits: $49,451 Employees: 5,900 2006 Sales: $1,504,200 2006 Profits: $160,124 Fiscal Year Ends: 12/31 2005 Sales: $1,246,600 2005 Profits: $124,400 Parent Company:




Y

Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



METLIFE INC

www.metlife.com



Y Y


Y Y

Profits: 1





TYPES OF BUSINESS: Insurance Banking Investment Products Mutual Funds Life Insurance Property & Casualty Insurance Auto Insurance

MetLife, Inc. is a provider of insurance and other financial services with operations throughout the U.S. and regions of Latin America, Europe and Asia Pacific. Through its domestic and international subsidiaries and affiliates, the company offers life insurance; annuities; automobile and homeowners insurance; retail banking; and other financial services to individuals, as well as group insurance; and retirement and savings products and services to corporations and other institutions. The firm operates in five segments. The institutional segment offers group insurance, retirement and savings products and services to corporations and other institutions. The individual segment offers asset protection and accumulation products, primarily life and disability insurance. The auto and home group operates through the Metropolitan Property and Casualty Insurance Company subsidiary and offers personal lines property and casualty insurance including renters', homeowners', car and recreational vehicle insurance. The international segment provides accident and health insurance; credit insurance; annuities; and savings and retirement products to customers within the Latin America, Europe and Asia Pacific regions. The corporate and other segment contains the excess capital not allocated to the business segments; various start-up entities, including MetLife Bank; National Association, and run-off entities and interest expense related to the majority of the company’s outstanding debt and expenses associated with certain legal proceedings and income tax audit issues. In 2008, the company split off its majority ownership stake in Reinsurance Group of America. In July 2009, the firm launched Simple Employees are offered medical and dental insurance; disability coverage; life insurance; flexible spending accounts; prepaid legal services; wellness and fitness programs; adoption assistance; a pension plan; and a 401(k) plan.

BRANDS/DIVISIONS/AFFILIATES: MetLife Bank Simple Solutions Variable Annuity

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. C. Robert Henrikson, CEO C. Robert Henrikson, Pres. William J. Wheeler, CFO/Exec. VP Maria R. Morris, Exec. VP-Tech. Exec. VP-Tech. & Oper. James L. Lipscomb, General Counsel/Exec. VP Maria R. Morris, Exec. VP-Oper. Steven A. Kandarian, Chief Investment Officer/Exec. VP William J. Mullaney, Pres., U.S. Gwenn L. Carr, Sr. VP C. Robert Henrikson, Chmn. William J. Toppeta, Pres., Int'l


FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: MET 2008 Sales: $55,085,000 2008 Profits: $3,209,000 Int’l Ticker: Int’l Exchange: 2007 Sales: $53,070,000 2007 Profits: $4,317,000 Employees: 57,000 2006 Sales: $48,254,000 2006 Profits: $6,293,000 Fiscal Year Ends: 12/31 2005 Sales: $44,683,000 2005 Profits: $4,714,000 Parent Company:




Profit Sharing:


Bonus: $3,250,000 Bonus: $800,000


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



MIDLAND NATIONAL LIFE INSURANCE COMPANY www.mnlife.com Industry Group Code: 524113 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y


Profits:





TYPES OF BUSINESS: Life Insurance Annuities Financial Planning

Midland National Life Insurance Company, founded in 1906, is a provider of life and annuity policies. It is a subsidiary of Sammons Financial Group, which is itself a division of Sammons Enterprises, Inc., a collection of independently managed insurance companies. Through over 10,000 licensed sales professionals, Midland offers life insurance in 49 states and also serves Washington, D.C., the Virgin Islands, Guam, Puerto Rico and various overseas military installations. Life insurance policy types offered by Midland include the following. Its term life policies provide affordable temporary coverage for protection against outstanding loans and debts; for protection against financial hardship in the event of the loss of a parent; to guard against potential future un-insurability; to cover other family members; and to protect key people during the formative years of a business. Its whole life policies, the traditional form of permanent life insurance, provide level premiums, a guaranteed interest rate and a guaranteed death benefit. The firm’s universal life insurance policies offer a flexible premium and adjustable policy feature options; these options allow the client to raise or lower their death benefit as needed, or even withdraw or borrow money from the cash value of the policy to help pay for educational expenses. Midland’s indexed universal polices offer interest linked to a stock market index; these policies also offer adjustable features, and the death benefits offered by them are often free of federal income taxes. Variable universal policies offer standard universal life insurance combined with an investment portfolio, with the investment strategy dictated by the client. Lastly, the firm offers annuities that grow and compound earnings without accruing current income taxes. Beyond these services, Midland also offers financial planning and business insurance. Midland offers its employees flexible spending accounts; tuition assistance; an employee assistance program; and health, dental and vision insurance.

BRANDS/DIVISIONS/AFFILIATES: Sammons Financial Group Sammons Enterprises Inc

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Steven C. Palmitier, COO Steven C. Palmitier, Pres. Michael M. Masterson, CEO-Sammons Financial Group Robert W. Buchanan, VP-Underwriting & New Business

Phone: 605-335-5700 Fax: 605-335-3621 Toll-Free: Address: 1 Midland Plz., Sioux Falls, SD 57193-0001 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company: SAMMONS ENTERPRISES INC




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



MITSUI SUMITOMO INSURANCE GROUP HOLDINGS INC www.msig.com Industry Group Code: 524126 Ranks within this company's industry group: Sales: 9 Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y Y


Y

Profits: 6





TYPES OF BUSINESS: Insurance, Direct Property & Casualty Auto Insurance Commercial Lines Investment Services Life & Health Insurance Consulting Financial Guaranty Risk Management

Mitsui Sumitomo Insurance Group Holdings, Inc. (MSIGH) is a holding company for the Mitsui Sumitomo Insurance Group, one of Japan’s largest writers of property and casualty insurance and providers of financial services, with nearly 650 offices in Japan and over 300 overseas branches. MSIGH has five fields of business: Non-Life Insurance; Life Insurance; Overseas Business; Financial Services; and RiskRelated Business. The Non-Life Insurance group, which operates through Mitsui Sumitomo Insurance Co., Ltd. (MSI), and Mitsui Direct General Insurance, provides property and casualty, shipping, accident and auto insurance. The Life Insurance segment, comprised of Mitsui Sumitomo Kirameki Life Insurance and Mitsui Sumitomo MetLife Insurance, the latter of which is a joint venture 51% owned by MSIGH, provides traditional life and group life insurance, as well as annuities, individual pension insurance and medical insurance. The Overseas Business operates through a network spanning 41 countries and organized into three principal regions: Asia, Europe and the Americas. The Financial Services segment, operating through Sumitomo Mitsui Asset Management Co., Ltd. and Mitsui Sumitomo Insurance Venture Capital Co., provides asset management and investment services. The Risk-Related Business segment offers risk management consulting; support for long-term care, including nursing home operation; and asset appraisal services. Subsidiaries involved in the Risk-Related sector include InterRisk Research Institute & Consulting, Inc.; Mitsui Sumitomo Insurance Care Network Co., Ltd.; and American Appraisal Japan Co., Ltd. In March 2008, MSI established MSIGH as a holding company. MSI is now a wholly-owned subsidiary of MSIGH. In April 2008, MSI established Mitsui Sumitomo Kaijo Group Holdings Kabushiki Kaisha for the management of life and non-life insurance companies. In September 2009, MSIGH announced a merger agreement between the company, Aioi Insurance Co., Ltd. and Nissay Dowa General Insurance Co., Ltd., with MSIGH standing as the surviving company.

BRANDS/DIVISIONS/AFFILIATES: Mitsui Sumitomo Kirameki Life Insurance Co., Ltd. Mitsui Sumitomo Insurance Asset Management Co. Mitsui Sumitomo Insurance Venture Capital Co. Mitsui Sumitomo Insurance Co., Ltd. Mitsui Sumitomo MetLife Insurance Mitsui Direct General Insurance InterRisk Research Institute & Consulting, Inc. American Appraisal Japan Co., Ltd.

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Toshiaki Egashira, CEO Toshiaki Egashira, Pres. Shizuka Sasaki, Pres./CEO-Kirameki Life Insurance Co. Yukio Higuchi, Pres., Mitsui Sumitomo MetLife Insurance Co. Ltd. Shigeru Kondo, Pres./CEO-Mitsui Direct General Insurance Co. Ltd. Hirmoi Asano, Dir./VP/Exec. Officer Yoshiaki Shin, Chmn.

Phone: 81-03-3297-6486 Fax: Toll-Free: Address: 27-2, Shinkawa 2-Chome, Chuo-ku, Tokyo, 104-8252 Japan

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $19,318,900 2009 Profits: $169,960 U.S. Stock Ticker: MSIGY 2008 Sales: $16,165,500 2008 Profits: $90,240 Int’l Ticker: 8725 Int’l Exchange: Tokyo-TSE 2007 Sales: $17,920,000 2007 Profits: $520,000 Employees: 21,336 2006 Sales: $17,941,288 2006 Profits: $515,220 Fiscal Year Ends: 3/31 2005 Sales: $15,838,100 2005 Profits: $388,800 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



MIZUHO FINANCIAL GROUP INC

www.mizuho-fg.co.jp


Y Y



Y

Profits: 21



Y



TYPES OF BUSINESS: Banking Banking-Global Trust & Asset Management Services Investment Banking Financial Research Information & Technology Research Venture Capital

Mizuho Financial Group, Inc. (MFG) is one of Japan’s largest financial institutions and the holding company for Mizuho Holdings, Inc., an intermediate holding company for the firm’s banking and securities subsidiaries, trust and asset management subsidiaries and other strategic subsidiaries. The company is aligned into three operating segments: global corporate; global retail; and global asset and wealth management. The global corporate group contains Mizuho Corporate Bank, Ltd., and its subsidiary, Mizuho Securities Co., Ltd. Mizuho Corporate Bank focuses on serving large corporations, financial institutions, public sector entities and foreign corporations with corporate finance and commercial banking services. These offerings include customer relationship management, loan syndication, leveraged finance, real estate finance and project finance services, cash management, custody, foreign exchange, trade finance and pension-related services and security services. The global retail group includes Mizuho Bank, Ltd., and its various subsidiaries. Mizuho Bank serves individuals, small to medium-sized businesses, middle market corporations and local governments in Japan, offering a range of traditional retail banking services such as deposit products, bank debentures and lending services. Its subsidiaries provide wholesale and retail securities, consulting and business promotion services. The global asset and wealth management group includes a number of subsidiaries that provide asset management services to corporate and individual markets, as well as some that specialize in the custody business and wealth management plans. The largest subsidiary in this group is Mizuho Trust & Banking Co., Ltd., which provides private banking and trust products, deposits and loans, securitization services and pension trust and asset management services. During 2008, the company opened new branch offices in the Netherlands, Spain and China. In March 2009, the firm opened a new branch office in Wuhan, China. In May 2009, Shinko Securities Co., Ltd. merged with MFG subsidiary Mizuho Securities Co., Ltd.

BRANDS/DIVISIONS/AFFILIATES: Mizuho Holdings, Inc. Mizuho Corporate Bank, Ltd. Mizuho Capital Co., Ltd. Mizuho Trust & Banking Co., Ltd. Mizuho Securities Co., Ltd. Mizuho Bank, Ltd. Shinko Securities Co., Ltd.

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Takashi Tsukamoto, CEO Takashi Tsukamoto, Pres. Tetsuji Kosaki, CFO/Head-Control & Acct. Group Shin Kuranaka, Gen. Mgr.-Human Resources Daisaku Abe, CIO Daisaku Abe, Chief Strategy Officer Masakane Koike, Gen. Mgr.-Financial Planning Tetsuji Kosaki, Deputy Pres. Hajime Saito, Chief Auditor/Head-Internal Audit Group Takeo Nakano, Chief Risk & Compliance Officer Yasuhiro Sato, Pres./CEO-Mizuho Corp. Bank Terunobu Maeda, Chmn. Hidetake Nakamura, Head-Int'l Banking Unit

Phone: 81-3-5224-1111 Fax: 81-3-5224-1059 Toll-Free: Address: 2-5-1, Marunouchi, Chiyoda-ku, Tokyo, 100-8333 Japan

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $30,842,200 2009 Profits: $-11,509,200 U.S. Stock Ticker: MFG 2008 Sales: $45,725,900 2008 Profits: $2,485,910 Int’l Ticker: 8411 Int’l Exchange: Tokyo-TSE 2007 Sales: $41,703,200 2007 Profits: $6,783,870 Employees: 50,191 2006 Sales: $27,445,200 2006 Profits: $6,499,000 Fiscal Year Ends: 3/31 2005 Sales: $26,461,200 2005 Profits: $6,273,800 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



MOELIS & COMPANY

www.moelis.com



Y Y Y


Y

Profits:



Y



TYPES OF BUSINESS: Investment Banking Private Equity Investment Advisory Services

Moelis & Company is an investment bank that offers advisory and investment fund management services. With offices in New York, Boston, Chicago, Los Angeles, Sydney and London, the firm operates in two business divisions: advisory and merchant banking. The advisory segment focuses on providing strategic and financial alternatives involving buyside and sell-side mergers and acquisitions; accessing potential buyers; negotiating transactions relating to exclusive sales; and offering advice on capital raising and restructuring (particularly on transactions, structuring, pricing, timing, and financing). Select transactions within this division include Yahoo!, Anheuser Busch, WCI Steel and Hilton. The merchant banking division creates investments and strategic transactions for a variety of industries and asset-classes. This division’s portfolio of companies includes MidCap Financial LLC, RecoverCare, LLC and Wyle Laboratories. The company has nearly 250 professionals, including over 100 investment bankers and utilizes a team approach to its services. Moelis plans to add companies in the healthcare and energy business sectors to its portfolio in the near future. In August 2009, Moelis & Company opened a new office in Sydney, its first in Australia.


CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Kenneth D. Moelis, CEO Elizabeth Crain, COO Peter Vogelsang, General Counsel/Chief Compliance Officer Kate Pilcher, Head-Media Rel. Kate Pilcher, Head-Investor Rel. Christopher Stehling, Head-Finance & Acct. Sara Buckley, Sr. VP Steve Bloom, Sr. VP Zul Jamal, Sr. VP Robert Koch, VP/Controller Mark Aedy, Head-Investment Banking, EMEA

Phone: 212-883-3800 Fax: 212-880-4260 Toll-Free: Address: 399 Park Ave., 5th Fl., New York, NY 10022 US

FINANCIALS:





Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest: Y

Southeast:


Northeast: Y

International: Y



MOODY'S CORPORATION

www.moodys.com




Profits: 1



Y



TYPES OF BUSINESS: Credit Bureau Credit Risk Assessment Products & Services Credit Processing Software Credit Training Services

Moody’s Corporation is a provider of credit ratings, research and analysis covering fixed income securities, other debt instruments and the entities that issue such instruments in the global capital markets. It also offers credit training services and quantitative credit risk assessment products and services; and credit processing software for banks, corporations and investors in credit-sensitive assets. The company maintains offices in 27 countries. Moody’s operates in two segments: Moody’s Investors Service and Moody’s Analytics. Moody’s Investors Service publishes rating opinions on a broad range of credit obligors and credit obligations issued in domestic and international markets, including various corporate and governmental obligations; structured finance securities; and commercial paper programs. It also publishes investor-oriented credit information, research and economic commentary, including in-depth research on major debt issuers, industry studies, special comments and credit opinion handbooks. Moody’s Investors Service provides ratings and credit research on governmental and commercial entities in more than 100 countries. Moody’s Investor Service’s partnerships and alliances include BRC, CCXI, Equilibrium, ICRA Ltd., KIS, MERIS, MERIS, Midroog, MIRA and NCRA. Moody’s KMV offers credit risk assessment products and services and credit processing software for banks, corporations and investors in credit-sensitive assets. Moody’s KMV tracks ratings in 110 nations. The Moody’s Analytics encompasses Moody’s KMV, Enb Consulting, Fermat International, Moody’s Evaluations, Wall Street Analytics and Moody’s Economy.com.

BRANDS/DIVISIONS/AFFILIATES: Moody’s Investors Service Moody’s KMV Moody's Economy.com Wall Street Analytics Enb Consulting Economy.com Fermat International Equilibrium

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Raymond W. McDaniel, Jr., CEO Michel Madelain, COO-Moody's Investors Svcs. Raymond W. McDaniel, Jr., Pres. Linda S. Huber, CFO/Exec. VP Lisa Simone Westlake, Chief Human Resources Officer/Sr. VP Perry Rotella, CIO/Sr. VP John J. Goggins, General Counsel/Sr. VP Robert Fauber, Sr. VP-Corp. Dev. Frances G. Laserson, VP-Corp. Comm. Jay McCabe, Corp. Controller/Sr. VP Richard Cantor, Chief Risk Officer/Chief Credit Officer Raymond W. McDaniel, Jr., Chmn.

Phone: 212-553-0300 Fax: 212-553-4820 Toll-Free: Address: 7 World Trade Center, 250 Greenwich St., New York, NY 10007 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: MCO 2008 Sales: $1,755,400 2008 Profits: $457,600 Int’l Ticker: Int’l Exchange: 2007 Sales: $2,300,000 2007 Profits: $701,500 Employees: 3,900 2006 Sales: $2,037,100 2006 Profits: $753,900 Fiscal Year Ends: 12/31 2005 Sales: $1,731,600 2005 Profits: $560,800 Parent Company:




Y

Profit Sharing:


Bonus: $305,000 Bonus: $200,000


Southwest: Y

Midwest: Y

Southeast:


Northeast: Y

International: Y



MORGAN KEEGAN & CO INC

www.morgankeegan.com


Y Y


Y Y Y


Y Y Y

Profits:



Y Y



TYPES OF BUSINESS: Investment Banking Banking Brokerage Financial Planning Estate & Trust Services Funds & Funds Management Insurance Equity Research

Morgan Keegan & Co., Inc., a subsidiary of Regions Financial Corporation, is one of the largest full-service brokerage and investment banking firms in the southeastern U.S. It is also the securities brokerage arm of its parent company. The company serves individual investors in the southeast, as well as corporate and institutional clients across the U.S. and abroad. Morgan Keegan has more than 350 offices in 19 states. Its banking services are provided through approximately 1,900 Regions Banks and AmSouth Banks locations across 16 states in the South, Midwest and Texas. Morgan Keegan Financial Advisors also provides comprehensive financial services in many of these locations. The company’s services include financial planning, investment planning, estate planning, retirement planning, trust services, underwriting, private placements, fixed income trading and equity research. The firm’s investment products include hedge funds; private equity funds; managed futures funds; exchange funds; fixed and variable annuities; life, long-term care and disability income insurance; individual securities; and individually managed accounts through its Investment Management Consulting Group. Through its Retirement Marketing Group, the firm offers money purchase pension; 403(b)(7) deferred compensation; tradition/safe harbor/simple 401(k); 457 deferred compensation; and simple/SEP IRA. The company’s Mutual Fund Group offers load and no-load mutual funds. Subsidiary Shattuck Hammond Partners LLC is an independent investment banking and financial advisory firm specializing in the healthcare services industry. In 2008, the firm opened new offices in San Antonio, Texas and Nashville, Tennessee. Morgan Keegan offers its employees a full insurance plan, flexible spending accounts, transportation reimbursement, tuition reimbursement, 401(k) and an employee assistance program.

BRANDS/DIVISIONS/AFFILIATES: Regions Financial Corporation Regions Bank AmSouth Bank Morgan Keegan Financial Advisors Revolution Partners LLC Burke Capital Group LLC Shattuck Hammond Partners LLC

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. John Carson, Jr., CEO R. Patrick Kruczek, COO R. Patrick Kruczek, Pres. Charles D. Maxwell, CFO R. Patrick Kruczek, Chief Admin. Officer Charles D. Maxwell, Sec. Eric Bran, VP-Media Rel. Charles D. Maxwell, Treas. James A. Parrish, Jr., Pres., Private Client Group Robert A. Baird, Pres., Fixed Income Capital Markets E. Carl Krausnick, Jr., Pres., Equity Capital Markets Chip Grayson, Dir.-Investment Banking Allen B. Morgan, Jr., Chmn.

Phone: 901-524-4100 Fax: 901-524-4197 Toll-Free: 800-366-7426 Address: 50 N. Front St., Morgan Keegan Tower, Memphis, TN 38103 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $1,300,202 2007 Profits: $165,872 Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $810,300 2005 Profits: $101,700 Parent Company: REGIONS FINANCIAL CORP




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International:



MORGAN STANLEY

www.morganstanley.com


Y Y


Y Y Y Y


Y

Profits: 2


Y Y


Y Y



TYPES OF BUSINESS: Stock Brokerage/Investment Banking Institutional Securities Wealth Management Asset Management Bank Holding Company

Morgan Stanley is a global financial services firm with approximately $361 billion in assets under management and over 600 offices in 36 countries. Morgan Stanley provides a wide variety of products and services to a large and diversified group of clients and customers, including corporations, governments, financial institutions and individuals. The firm operates in two business segments: Institutional Securities and Asset Management. The Institutional Securities division incorporates activities such as capital raising; financial advisory services, including advice on mergers and acquisitions, restructurings, real estate and project finance; corporate lending; sales, trading, financing and market-making activities in equity and fixed income securities, including foreign exchange and commodities; risk management analytics; research; and investment activities. The Asset Management division provides global asset management products and services in fixed income; alternative investments, including hedge funds and funds of funds; equity; and merchant banking, which includes real estate, private equity and infrastructure, to retail and institutional and clients through proprietary and third-party distribution channels. The division also engages in investment activities. In September 2008, the firm elected to become a bank holding company. It will transition to a business model that is more regulated, uses less leverage and may attract more retail deposits. In October 2008, Mitsubishi UFJ Financial Group, Inc. acquired roughly 21% of Morgan Stanley in a deal worth $9 billion. In June 2009, Citi merged its Smith Barney unit with Morgan Stanley's Global Wealth Management Group, a provider of brokerage and investment advisory services, into a new company called Morgan Stanley Smith Barney. Morgan Stanley paid Citi $2.7 billion in cash and gave Citi a 49% stake in the new company. Also in June 2009, Morgan Stanley acquired a majority interest in Triana Energy Investments, LLC; and Morgan Stanley Smith Barney formed new company Graystone Consulting to cater to institutional investors and privately wealthy individuals.

BRANDS/DIVISIONS/AFFILIATES: Morgan Stanley Private Equity Morgan Stanley Smith Barney Mitsubishi UFJ Financial Group Inc Triana Energy Investments LLC Graystone Consulting

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. James P. Gorman, CEO Walid Chammah, Co-Pres. Colm Kelleher, CFO/Exec. VP Karen Jamesley, Global Head-Human Resources Linda Riefler, Global Head-Research Jim Rosenthal, Head-Firmwide Tech. Thomas Nides, Chief Admin. Officer/Sec. Gary G. Lynch, Chief Legal Officer Jim Rosenthal, Head-Firmwide Oper. Colm Kelleher, Head-Strategic Planning Jeanmarie McFadde, Contact-Media Rel. Suzanne Charnas, Managing Dir.-Investor Rel. Christopher M. Harland, Regional Head-Latin America Kenneth M. deRegt, Chief Risk Officer Colin Bryce, European Head-Institutional Sales & Trading John J. Mack, Chmn. Owen D. Thomas, CEO-Morgan Stanley Asia Stefano Corsi, Global Head-Dist.

Phone: 212-761-4000 Fax: 212-762-8131 Toll-Free: Address: 1585 Broadway, New York, NY 10036 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: MS 2008 Sales: $24,700,000 2008 Profits: $1,700,000 Int’l Ticker: Int’l Exchange: 2007 Sales: $28,026,000 2007 Profits: $3,209,000 Employees: 2006 Sales: $29,839,000 2006 Profits: $7,472,000 Fiscal Year Ends: 11/30 2005 Sales: $23,525,000 2005 Profits: $4,939,000 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $3,970,219


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



MORNINGSTAR INC

www.morningstar.com




Profits: 4



Y



TYPES OF BUSINESS: Investment Research Online Financial Information Financial Periodicals Investor Relations Services Stock and Mutual Fund Tracking and Ratings Investment Advisory Services

Morningstar, Inc. is a provider of independent investment research to investors around the world. The company offers an extensive line of Internet, software and print-based products for individual investors, financial advisors and institutional clients. The firm also provides asset management services for advisors, institutions and retirement plan participants. Morningstar maintains a series of databases in 10 key types of investments. The company offers data of more than 22,000 mutual fund shares classes in the U.S.; 87,000 mutual funds and similar vehicles in international markets; 24,000 stocks; 8,400 hedge funds; 8,500 separate accounts and collective investment trusts; 103,000 variable annuity/life subaccounts and policies; 36,000 insurance, pension and life funds; 2,600 exchangetraded funds; 4,000 closed-end funds; 80 state-sponsored college savings plans; and 82 years of capital market performance. The firm offers data and proprietary analytical tools such as the Morningstar Rating for mutual funds, which rates past performance based on adjusted returns; and the Morningstar Style Box, which provides a visual summary of a mutual fund’s underlying investment style. Morningstar’s other tools, such as the Ownership Zones, Sector Deltas and Market Barometer, allow investors to see how different investments work together to form a portfolio and to track its progress. The Portfolio X-Ray tool helps investors reduce risk and understand key characteristics of portfolios. In recent years, the firm has been focusing on growth through strategic acquisitions. In addition, it has been growing its services and staff in India. In April 2009, the company’s Canadian subsidiary, Morningstar Research, Inc., acquired the equity research and data business of C.P.M.S. (Computerized Portfolio Management Services), Inc. In May 2009, Morningstar obtained Andex Associates, Inc., a company that creates financial charts for advisors. Morningstar provides employees with medical, vision and dental care; spending and savings accounts; tuition reimbursement; and paid six week sabbaticals every four years.

BRANDS/DIVISIONS/AFFILIATES: Morningstar Research, Inc. Morningstar Rating Morningstar Style Box Ownership Zones Ibbotson Associates Computerized Portfolio Management Services, Inc. Andex Associates, Inc. Portfolio X-Ray

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Joseph Mansueto, CEO Tao Huang, COO Scott Cooley, CFO John Rekenthaler, VP-Research Richard Robbins, General Counsel/Corp. Sec. Peng Chen, Pres./Chief Investment Officer-Ibbotson Associates Elizabeth Kirscher, Pres., Data Svcs. Bus. Chris Boruff, Pres., Advisor Bus. Catherine Gillis Odelbo, Pres., Equity Research Joseph Mansueto, Chmn. Bevin Desmond, Pres., Int'l Div.

Phone: 312-696-6000 Fax: 312-696-6009 Toll-Free: Address: 225 W. Wacker Dr., Chicago, IL 60606 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: MORN 2008 Sales: $502,457 2008 Profits: $92,532 Int’l Ticker: Int’l Exchange: 2007 Sales: $435,107 2007 Profits: $73,922 Employees: 2,375 2006 Sales: $315,175 2006 Profits: $51,762 Fiscal Year Ends: 12/31 2005 Sales: $227,114 2005 Profits: $31,117 Parent Company:




Y Y Y

Profit Sharing:


Bonus: $1,466,526 Bonus: $1,276,777


Southwest:

Midwest: Y

Southeast:


Northeast:

International: Y



MUTUAL OF OMAHA COMPANIES (THE) Industry Group Code: 524113 Ranks within this company's industry group: Sales: 19 Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y Y


Y

www.mutualofomaha.com

Profits: 13





TYPES OF BUSINESS: Life Insurance Asset Management Annuities Medical & Dental Insurance Supplemental Health Insurance IT Services & Consulting

The Mutual of Omaha Companies provide insurance, annuities and asset management products through several affiliated companies. These firms include Companion Life Insurance Company; Mutual of Omaha Investor Services, Inc.; United of Omaha Life Insurance Company; United World Life Insurance Company; Omaha Financial Holdings, Inc.; Continuum Worldwide Corporation; and East Campus Realty, LLC. Companion Life Insurance Company provides insurance, annuities and investment services to New York residents. Mutual of Omaha Investor Services, Inc., is a registered broker dealer that offers mutual funds and asset management to affiliate companies and directly to consumers. United of Omaha Life Insurance Company provides life insurance, annuities and financial services through the Mutual of Omaha network of sales representatives. United World Life Insurance Company offers specialty life plans, as well as health and accident coverage, through independent agents. Omaha Financial Holdings, Inc., is a holding company that handles Mutual of Omaha’s banking operation. Continuum Worldwide Corporation provides Operational Risk Management services. East Campus Realty, LLC is developing Midtown Crossing at Turner Park, a mixed-use development offering condominiums, apartments, services, dining and entertainment adjacent to Mutual of Omaha’s headquarters. In July 2008, the company acquired the deposits of Renobased First National Bank of Nevada and its affiliate, First Heritage Bank of Newport Beach, California. In January 2009, Mutual of Omaha subsidiary Continuum Worldwide acquired the assets of eDiscovery provider Focus Solutions. In June 2009, the firm released Mutual Care Plus and United of Omaha Life Insurance launched United LTCi Solutions; both products are long-term, customizable insurance programs for individuals and small businesses. In August 2009, the company launched Guaranteed Universal Life Survivor (GULS), a second-to-die life insurance plan aimed at offering funds after the second insured person dies. The firm offers employees benefits including medical, dental, vision, life and disability insurance; flexible spending accounts; and a 401(k).

BRANDS/DIVISIONS/AFFILIATES: Companion Life Insurance Company United of Omaha Life Insurance Company United World Life Insurance Company Mutual of Omaha Investors Services, Inc. Continuum Worldwide Omaha Information Services Company Mutual Care Plus United LTCi Solutions

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Daniel P. Neary, CEO David A. Diamond, CFO/Exec. VP Robert T. Handren, Exec. VP-Info. Svcs. Richard C. Anderl, General Counsel/Exec. VP David A. Diamond, Treas. Daniel P. Martin, Exec. VP-Group Benefit Svcs. Michael C. Weekly, Exec. VP-Individual Financial Svcs. Richard A. Witt, Exec. VP/Chief Investment Officer Stacy A. Scholtz, Exec. VP-Corp. Svcs. Daniel P. Neary, Chmn.

Phone: 402-342-7600 Fax: 402-351-2775 Toll-Free: 800-775-6000 Address: Mutual of Omaha Plz., Omaha, NE 68175 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Mutual Company 2008 Sales: $4,072,790 2008 Profits: $47,048 Int’l Ticker: Int’l Exchange: 2007 Sales: $4,241,677 2007 Profits: $217,027 Employees: 2006 Sales: $4,204,837 2006 Profits: $165,710 Fiscal Year Ends: 12/31 2005 Sales: $3,742,762 2005 Profits: $121,066 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International:



N M ROTHSCHILD & SONS

www.rothschild.com



Y Y


Y

Profits:



Y



TYPES OF BUSINESS: Investment Banking Corporate Banking Private Banking Advisory Services

N M Rothschild & Sons is an investment banking and financial services company. The U.K.-based firm is owned by the Rothschild family, the descendants of the five founding Rothschild brothers. The firm operates in four business segments: investment banking; corporate banking; private banking and trust; and other businesses. The investment banking division involves the financial advisory and transaction of mergers and acquisitions, restructuring, private placements, privatizations, and equity capital markets. The corporate banking segment focuses on specialist industry sectors and major debt markets (where it arranges and structures deals, participates in debt transactions and trades debt) and offers banking and debt capital markets advisory services. The division also deals with lending, treasury, asset finance and offshore banking. The private banking and trust business offers investment management services, trust and fiduciary services, which aim to protect, structure and manage personal wealth, and banking services, which provide credit solutions including asset-backed loans. This segment targets wealthy individuals, families, trusts and charities. The other businesses segment involves real estate, venture capital and asset management services. Rothschild’s main operating companies include Rothschild Bank Zurich, Rothschild Bank International Limited, Rothschild Trust, and Rothschild Private Management. N M Rothschild operates out of offices in 55 cities spread across six continents.

BRANDS/DIVISIONS/AFFILIATES: Rothschild Bank Zurich Rothschild Bank International Limited Rothschild Trust Rothschild Private Management

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Isobel Baxter, Exec. Dir.-Finance Paul Berry, Exec. Dir.-Human Resources Paul Copsey, Treas. Dirk Wiedmann, Head-Investments, Private Banking & Trust Rod Stewart, Head-Fixed Income, Private Banking & Trust David de Rothschild, Chmn. Jose Luis Ferrer, Gen. Mgr.-Rothschild Bank AG Zurich

Phone: 44-20-7280-5000 Fax: 44-20-7929-1643 Toll-Free: Address: 1 King William St., London, EC4N 7AR UK

FINANCIALS:





Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



NASDAQ OMX

www.nasdaqomx.com


Y



Profits: 6


Y


Y



TYPES OF BUSINESS: Stock Exchange Exchange Software Market Data Insurance Agency Newswire & Multimedia Services

NASDAQ OMX is a provider of securities listing, trading and information products and services. In the U.S., the firm operates the NASDAQ Stock Market, a registered national securities exchange encompassing approximately 2,836 listed companies with a combined market capitalization of $4 trillion. Also in the U.S., the company operates NASDAQ OMX PHLX, one of the largest U.S. options markets; the NASDAQ Options Market, a second options market; NASDAQ OMX BX, a second cash equities trading market; NASDAQ OMX Futures Exchange, a futures market; and International Derivatives Clearing Group, a derivatives clearinghouse. In Europe, NASDAQ operates exchanges in Sweden, Denmark, Finland and Iceland through NASDAQ OMX Nordic, as well as exchanges in Estonia, Latvia and Lithuania under the NASDAQ OMX Baltic banner. These include roughly 800 listed companies with a combined market capitalization of approximately $859 billion. The Nordic and Baltic operations also offer an alternative marketplace for smaller companies called NASDAQ OMX First North. In addition, the company operates NASDAQ OMX Europe (London), a marketplace for pan-European blue chip securities trading; NASDAQ OMX Commodities (Norway), offering commodities trading and clearing; and the Armenian Stock Exchange. The company also operates two registered broker-dealers, Nasdaq Execution Services and NASDAQ Options Services. NASDQ also maintains a market technology segment that provides technologies related to trading, clearing, settlement and information dissemination, as well as a range of technical advisory services. In 2008, NASDAQ's parent company acquired OMX, an exchange based in Europe. In September 2008, the newly merged company launched the OMX Pan European Market, a trading platform designed to electronically match buyers and sellers of stocks listed on various exchanges throughout Europe. In September 2009, NASDAQ announced plans to begin trading in Eastern European blue chip securities listed on the Budapest, Warsaw and Prague Stock Exchanges.

BRANDS/DIVISIONS/AFFILIATES: NASDAQ Stock Market (The) NASDAQ OMX PHLX NASDAQ Options Market NASDAQ OMX BX NASDAQ OMX Futures Exchange International Derivatives Clearing Group NASDAQ OMX Nordic NASDAQ OMX Baltic

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Robert Greifeld, CEO Adena T. Friedman, CFO/Exec. VP John L. Jacobs, Exec. VP-Worldwide Mktg. Anna M. Ewing, CIO/Exec. VP Lars Ottersgard, Sr. VP-Market Tech. Edward S. Knight, General Counsel/Exec. VP Adena T. Friendman, Exec. VP-Corp. Strategy Ronald Hassen, Controller/Sr. VP Carl-Magnus Hallberg, Sr. VP-Global IT Svcs. Bruce E. Aust, Exec. VP-Corp. Client Group Eric W. Noll, Exec. VP-Transaction Svcs. H. Furlong Baldwin, Chmn. Hans-Ole Jochumsen, Exec. VP-Transactions Svcs. Nordics

Phone: 212-401-8700 Fax: Toll-Free: Address: 1 Liberty Plz., New York, NY 10006 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: NDAQ 2008 Sales: $3,648,693 2008 Profits: $319,880 Int’l Ticker: Int’l Exchange: 2007 Sales: $2,436,592 2007 Profits: $518,401 Employees: 2,507 2006 Sales: $1,657,776 2006 Profits: $127,893 Fiscal Year Ends: 12/31 2005 Sales: $879,919 2005 Profits: $61,690 Parent Company:




Y Y Y

Profit Sharing:


Bonus: $3,800,000 Bonus: $1,592,000


Southwest:

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



NATIONAL AUSTRALIA BANK LTD

www.nabgroup.com




Y Y

Profits: 11



Y



TYPES OF BUSINESS: Banking Asset Financing Wealth Management Business & Corporate Banking Private & Personal Banking Insurance

National Australia Bank Ltd. (NAB) is an international banking group with over 7.7 million banking and 2.3 million wealth management customers. It operates five businesses, four of which are regional: Australia, the U.K., New Zealand and Americas with nabCapital as the last unit. The Australia business mainly offers business, private and retail banking services in Australia, and it also operates in Asia, the Americas, the U.K. and New Zealand. In all, it has 180 business banking centers, 110 agribusiness locations and 800 retail branches. This business also offers wealth management service through MLC, which manages $88.21 billion in assets for retail and corporate customers. The U.K.’s business operates through two firms: Clydesdale Bank, with 150 branches, and Yorkshire Bank, with 190 branches and 22 Financial Solutions centers. These two banks serve consumers and small to medium sized corporate customers. The New Zealand business operates through the Bank of New Zealand (BNZ), with 180 outlets serving 1.1 million customers. This branch offers agribusiness banking services, in addition to corporate, business and retail banking options. The Americas business operates through Great Western Bank, which has 100 locations in six U.S. states. Great Western offers personal and business banking services as well as insurance and wealth management products. Lastly, nabCapital, formerly Institutional Markets & Services, works with the firm’s regional businesses, offering funding, investment products and risk management services. In March 2008, NAB sold its Commercial Fleet vehicle leasing business to Super Group Australia Pty Limited for $342 million. In June 2008, the company acquired Great Western Bancorporation, the holding firm for Great Western Bank, for $798 million. In June 2009, NAB agreed to acquire the wealth management business, including insurance operations, of Aviva Australia Holdings for $714 million. In August 2009, NAB agreed to acquire mortgage loan company Challenger Mortgage Management Holdings Pty Ltd. for $311.6 million.

BRANDS/DIVISIONS/AFFILIATES: MLC Yorkshire Bank Clydesdale Bank Bank of New Zealand Great Western Bank Great Western Bancorporation nabCapital

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Cameron Clyne, Group CEO Michaela J. Healey, Company Sec./Group Exec.-Group Governance George Wright, Head-Comm. Mark A. Joiner, Dir.-Finance Michael J. Ullmer, Deputy Group CEO Lisa Gray, Group Exec.-Personal Banking Joseph Healy, Group Exec.-Bus. Banking Bruce Munro, Chief Risk Officer Michael A. Chaney, Chmn. Andrew Thorburn, CEO-New Zealand, Asia & U.S.

Phone: 61-3-8641-0296 Fax: 61-3-8641-4927 Toll-Free: Address: 500 Bourke St., Level 34, Melbourne, VIC 3000 Australia

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: NAUBF.PK 2008 Sales: $31,213,000 2008 Profits: $4,104,000 Int’l Ticker: NAB Int’l Exchange: Sydney-ASX 2007 Sales: $38,880,000 2007 Profits: $4,060,000 Employees: 2006 Sales: $24,188,800 2006 Profits: $3,160,500 Fiscal Year Ends: 9/30 2005 Sales: $16,172,300 2005 Profits: $3,249,500 Parent Company:




Profit Sharing:


Bonus: $1,321,008 Bonus: $1,657,099


Southwest:

Midwest: Y

Southeast:


Northeast: Y

International: Y



NATIONAL FINANCIAL PARTNERS CORP Industry Group Code: 523920 Ranks within this company's industry group: Sales: 19 Brokers/Stocks: Broker: Investment Bank: Futures/Options:

Y


Y Y


Y Y

www.nfp.com

Profits: 21



Y Y



TYPES OF BUSINESS: Investment Management Broker/Dealer Life Insurance Financial Planning Consulting Employee & Executive Benefits Estate Planning

National Financial Partners Corp. (NFP) is an independent distributor of financial services products to high net worth individuals and growing entrepreneurial companies, defined as businesses with fewer than 1,000 employees. It has a national distribution network of over 175 owned and member firms in the U.S., Canada and Puerto Rico. Subsidiary NFP Securities, Inc. is the firm’s principal broker-dealer with services in three sections: life insurance and wealth transfer; corporate and executive benefits; and financial planning and investment advisory services. Its life insurance and wealth transfer services focus on high net worth individuals with life insurance and annuity products, as well as estate planning services, preservation and transfer needs and charitable giving planning. Corporate benefits include individual and group disability insurance, long-term care insurance, group life insurance, group health insurance benefits, supplemental life insurance, 401(k), 403(b) and other retirement plans and pension administration. Executive benefits include corporate and bank-owned life insurance products, as well as plan design and administration. Financial planning and investment advisory services include separately managed accounts, mutual funds, investment consulting, trust and fiduciary services and broker-dealer services. NFP partners include many industry leading manufacturers, such as AIG, AIM, Allianz, Allstate, American Funds, American Skandia, Assurant, AXA Financial, Boston Mutual, Century Healthcare, Chubb Federal Insurance Company, Fidelity Investments, Fireman’s Fund, Genworth Financial, The Hartford, ING, Jackson National Life, John Hancock USA, Lincoln Benefit, Lincoln Financial Group, Lloyds of London, MassMutual, MetLife, Nationwide Financial, Oppenheimer Funds, Pacific Life, Phoenix Life, Principal Financial, Protective, Prudential, Securian, Standard Insurance Company, Sun Life, Transamerica, Traveler Property and Casualty Insurance Company, United Healthcare, Unum Group, West Coast Life and WM Group of Funds. In September 2009, NFP reorganized its client service delivery structure into two core groups, the corporate client group and the individual client group.

BRANDS/DIVISIONS/AFFILIATES: NFP Securities, Inc. Corporate Client Group Individual Client Group

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Jessica M. Bibliowicz, CEO Douglas W. Hammond, COO/Exec. VP Jessica M. Bibliowicz, Pres. Donna J. Blank, CFO/Exec. VP Emily Arean, Sr. VP/Dir.-Human Resources Stancil E. Barton, General Counsel/Exec. VP/Chief Compliance Officer Elizabeth J. Weber, Sr. VP-Firm Oper. Michael N. Goldman, Exec. VP-Mergers & Acquisitions Mark Gordon, VP-Investor Rel. John P. Vanderheyden, Sr. VP/COO-NFP Securities, Inc. James R. Gelder, Exec. VP/CEO-NFP Insurance Svcs., Inc. James L. Poer, Pres., NFP Securities, Inc. Jessica M. Bibliowicz, Chmn.


FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: NFP 2008 Sales: $1,150,387 2008 Profits: $14,836 Int’l Ticker: Int’l Exchange: 2007 Sales: $1,194,294 2007 Profits: $54,232 Employees: 3,383 2006 Sales: $1,077,113 2006 Profits: $57,578 Fiscal Year Ends: 12/31 2005 Sales: $891,446 2005 Profits: $56,182 Parent Company:




Profit Sharing:


Bonus: $325,000 Bonus: $260,000


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



NATIONWIDE FINANCIAL NETWORK Industry Group Code: 524113 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y Y


Y

www.nationwideprovident.com Profits:



Y



TYPES OF BUSINESS: Life Insurance Asset Management Annuities Retirement Services

Nationwide Financial Network (NFN) is a subsidiary of Nationwide Financial Services, Inc. (NFS). The company was formed through NFS’s acquisition of Provident Mutual Life Insurance. The company sells its products through a diverse distribution network. Unaffiliated entities that sell the products include independent brokers and dealers; financial institutions; wirehouse and regional firms; pension plan administrators; and life insurance specialists. Through its subsidiaries, the firm offers life insurance to families, estates and businesses; annuities for individual retirement needs; and a group annuity contract and related services for qualified pension plans. NFN provides life insurance and annuities, as well as a range of brand-name mutual funds, stocks, bonds and variable insurance policies and variable annuity contracts. The company’s life insurance products are issued by two NFS subsidiaries: Nationwide Life Insurance Company of America (which is licensed in all U.S. states and Washington D.C.) and Nationwide Life and Annuity Company of America (which is licensed in all U.S. states except New York). The firm’s life insurance products include permanent, universal, variable universal, whole and survivorship variable universal life insurance. NFN also offers long-term care and riders insurance. The company’s annuities products include both variable and fixed annuities. Through Nationwide Securities, LLC, the company provides investment consultation and brokerage services.

BRANDS/DIVISIONS/AFFILIATES: Nationwide Life and Annuity Company of America Nationwide Life Insurance Company of America Nationwide Financial Services Inc

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Clay Thompson, Pres. James D. Benson, Sr. VP-Finance/Controller Michael A. Hamilton, Pres., NFN Dist.

Phone: 302-452-4000 Fax: 302-452-7634 Toll-Free: 800-523-4681 Address: 300 Continental Dr., Newark, DE 19713 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company: NATIONWIDE FINANCIAL SERVICES INC




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International:



NATIONWIDE FINANCIAL SERVICES INC Industry Group Code: 524113 Ranks within this company's industry group: Sales: 20 Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y Y


Y Y Y

www.nationwidefinancial.com

Profits: 19





TYPES OF BUSINESS: Insurance-Life Investment Products Pension Plans Annuities Mutual Funds Trust Services Banking Services

Nationwide Financial Services, Inc. (NFS) is the holding company for Nationwide Life Insurance Company (NLIC) and other companies that comprise the life insurance and retirement savings operations of the Nationwide group of companies. The company is a wholly-owned subsidiary of Nationwide Corporation, which is in turn a subsidiary of Nationwide Mutual Insurance Company (Nationwide), a leading U.S. property and casualty insurer. NFS develops and sells individual annuities; private and public sector group retirement plans; and other investment products through a diverse distribution network of independent broker/dealers; financial institutions; wirehouse and regional firms; pension plan administrators; and life insurance specialists. NFS operates through four business segments: Individual Protection, which includes the company’s investment life insurance products, traditional life insurance products and universal life insurance products; Retirement Plans, which includes both the private and public sector retirement plans businesses; Individual Investments, which is responsible for the firm’s variable annuity, individual annuity, deferred fixed annuity, income and investment advisory businesses; and Corporate and Other, which includes the structured products business, net investment income not allocated to product segments, the medium-term note (MTN) program, revenues and expenses of the company’s non-insurance subsidiaries and realized gains and losses related to securitizations. This segment also provides banking products and services through Nationwide Bank and mutual funds through Nationwide Funds Group. Subsidiary Nationwide Insurance serves as its parent company’s commercial and personal lines property-casualty insurance operation. It is one of the largest property-casualty insurance and homeowner insurance companies based on premiums written. It provides a full range of products, including auto, flood, life, health, identity theft and commercial insurance. In January 2009, Nationwide completed the acquisition of NFS. The company continues operation as a private, wholly-owned subsidiary of Nationwide Corporation, another Nationwide subsidiary. NFS offers its employees a wellness program; 401(k) and pension plans; educational assistance; and medical, dental life insurance.

BRANDS/DIVISIONS/AFFILIATES: Nationwide Mutual Insurance Co. Nationwide Corporation Nationwide Life Insurance Company Nationwide Financial Network Nationwide Insurance Company Nationwide Bank Nationwide Funds Group Nationwide Insurance Company

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Mark R. Thresher, COO Mark R. Thresher, Pres. Timothy G. Frommeyer, CFO/Sr. VP James R. Lyski, Chief Mktg. Officer/Exec. VP Michael C. Keller, CIO/Exec. VP Patricia R. Hatler, Chief Legal & Governance Officer/Exec. VP Harry H. Hallowell, Treas./Sr. VP Stepen S. Rasmussen, Exec. VP/CEO-Nationwide Mutual Insurance Co. Gail G. Snyder, Chief Investment Officer/Sr. VP Michael S. Spangler, Sr. VP/Pres., Nationwide Funds Group Arden L. Shisler, Chmn.

Phone: 614-249-7111 Fax: Toll-Free: Address: 1 Nationwide Plz., Columbus, OH 43215 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $2,707,600 2008 Profits: $-849,000 Int’l Ticker: Int’l Exchange: 2007 Sales: $4,562,500 2007 Profits: $724,000 Employees: 4,644 2006 Sales: $4,416,200 2006 Profits: $610,400 Fiscal Year Ends: 12/31 2005 Sales: $4,307,900 2005 Profits: $598,700 Parent Company: NATIONWIDE MUTUAL INSURANCE CO




Profit Sharing:




Southwest:

Midwest: Y

Southeast:


Northeast:

International:



NATIONWIDE MUTUAL INSURANCE CO Industry Group Code: 524126 Ranks within this company's industry group: Sales: 8 Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y


Y

www.nationwide.com

Profits: 8


Y




TYPES OF BUSINESS: Insurance, Direct Property & Casualty Life Insurance Investment Products Liability Insurance Workers' Compensation Health Insurance Asset Management Specialty Insurance

Nationwide Mutual Insurance Co. is one of the largest insurance and financial services companies in the world. The company consists of four primary businesses: domestic property and casualty insurance; life insurance and retirement savings; asset management; and strategic investments. Nationwide Insurance, the firm’s commercial and personal insurance operator, provides auto, fire, life, health and commercial insurance. Nationwide Mutual Insurance Company is the parent and largest company in the Nationwide organization. Other property-casualty insurers with the Nationwide name include Nationwide Affinity Insurance Company of America, Nationwide General Insurance Company, Nationwide International Underwriters and Nationwide Indemnity Company. Its subsidiaries include Nationwide Life Insurance Company, a leading provider of long-term savings and protection products, such as life insurance, individual annuities and retirement plans; Nationwide Financial Services, Inc., a long-term savings and retirement products provider; and Nationwide Retirement Solutions, a retail distributor and a leading marketer and administrator of 457 deferred compensation plans for publicsector employees. In August 2008, the company’s subsidiary Nationwide Financial Network merged its two broker/dealers into Nationwide Securities, LLC. In January 2009, the company purchased all outstanding shares of common stock of Nationwide Financial Services. Nationwide Financial Services is now a wholly-owned subsidiary of Nationwide Mutual Insurance Co. Nationwide offers investment opportunities, educational assistance, child care and eldercare referral. Nationwide has been ranked among Computerworld magazine’s top 100 places to work for information technology professionals.

BRANDS/DIVISIONS/AFFILIATES: Nationwide Insurance Nationwide Financial Services, Inc. Gartmore Group Nationwide Mutual Insurance Company Nationwide Life Insurance Company CalFarm Scottsdale Insurance RIA Services, Inc.

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Steve Rasmussen, CEO Larry Hilsheimer, CFO/Exec. VP James Lyski, Chief Mktg. Officer/Exec. VP Michael C. Keller, CIO/Exec. VP Terri Hill, Exec. VP/Chief Admin. Officer Patricia R. Hatler, General Counsel/Corp. Sec./Exec. VP Gail Snyder, Sr. VP/Chief Investment Officer Michael D. Miller, Pres./COO-Scottsdale Insurance Paul J. Hondros, Pres., Gartmore Group Mark Thresher, Pres./COO-Nationwide Financial

Phone: 614-249-6349 Fax: 614-249-7705 Toll-Free: 800-882-2822 Address: 1 Nationwide Plz., Columbus, OH 43215-2220 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Mutual Company 2008 Sales: $19,848,000 2008 Profits: $-342,000 Int’l Ticker: Int’l Exchange: 2007 Sales: $22,797,000 2007 Profits: $1,994,000 Employees: 34,345 2006 Sales: $22,139,000 2006 Profits: $2,110,000 Fiscal Year Ends: 12/31 2005 Sales: $21,832,000 2005 Profits: $ Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



NEUBERGER BERMAN GROUP LLC

www.nb.com



Y Y


Y

Profits:


Y


Y Y



TYPES OF BUSINESS: Investment Advisory Services Mutual Fund Management Wealth Management Trade Execution Consulting

Neuberger Berman Group LLC, is an investment advisory firm providing clients with a wide array of investment products, services and strategies. Primarily, Neuberger Berman serves high-net-worth individuals, institutions, corporations, pension funds, foundations and endowments. Through its subsidiaries, the company has over $169 billion in assets under management and operates in several sectors: wealth management, mutual funds and professional securities services. The firm spreads about 45% of its assets in core and specialty fixed income and liquidity portfolios, 45% in an array of equity portfolios and about 10% in alternative investment products such as private equity and hedge funds. In the wealth management segment, the company offers private asset management to accounts over $1 million; fiduciary services and wealth planning to individuals; and, for institutions, trust and investment management. Subsidiary Neuberger Berman Management, Inc. is involved in the management, administration and distribution of mutual funds and related services. The firm, in general, offers mutual fund investments for both individuals and investors, closed-end funds and broker advised products. For institutional investors with accounts of $10 million or more, Neuberger offers balanced, fixed income and equity strategies. The company’s professional securities operations focus mainly on services such as trade execution, custody, clearance and settlement, margin financing, portfolio reporting and consulting advice. In May 2009, the company underwent an employee-led buyout following the collapse of its previous owner, Lehman Brothers Holdings, Inc. In July 2009, the firm agreed to acquire elements of Lehman Brothers Trust Company, N.A. and Lehman Brothers Trust Company of Delaware, which specialize in trust, estate and investment services. Neuberger Berman's money managers are not organized around a central committee like many firms; employees instead operate in small investment teams, an arrangement that allows them a greater deal of autonomy. The company believes this allows money managers to pursue more custom tailored portfolios.

BRANDS/DIVISIONS/AFFILIATES: Lehman Brothers Holdings, Inc. Neuberger Berman Management, Inc. Lehman Brothers Trust Company, N.A. Lehman Brothers Trust Company of Delaware

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. George H. Walker, CEO Joseph V. Amato, Pres. Eric Johnson, Global Head-Institutional Asset Management Sales Richard Anthony, Co-Head-NB Alternatives Advisory & Replacement Brian Sears, Co-Head-NB Alternatives Advisory & Replacement Jack Rivkin, Chief Investment Officer/Exec. VP George H. Walker, Chmn.

Phone: 212-476-8800 Fax: 212-476-9090 Toll-Free: 800-223-6448 Address: 605 3rd Ave., 36th Fl., New York, NY 10158 US

FINANCIALS:





Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest: Y

Southeast:


Northeast: Y

International: Y



NEW ENTERPRISE ASSOCIATES

www.nea.com



Y


Profits:





TYPES OF BUSINESS: Venture Capital IT Investments Health Care Investments Energy Technology Investments

New Enterprise Associates (NEA), founded in 1978, is a venture capital firm that supplies capital to start companies in the information technology, health care, and energy technology industries. Its offices are in Menlo Park, California; Chevy Chase, Maryland; Baltimore, Maryland; Beijing, China; Shanghai, China; and Bangalore, India. Within the information technology industry, the firm works with companies in communications, electronics production and software and services. Funded information technology companies include TargetRx, 3com and Vonage Holdings Corp. The firm invests in health care companies that produce medical devices, supply health care services, manage health care information systems and market biopharmaceuticals. NEA focuses on early stage investment with initial funding that ranges from $200,000 to $20 million. The company participates in the formation of the firms it invests in, usually working with 20-30 new companies each year. NEA has invested in over 550 companies, of which more than 160 have gone public and more than 245 have been merged or acquired. In 2008, the company invested $15 million in Deeya Energy, Inc., a clean energy technology company which develops and manufactures energy storage systems.


CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Gene Trainor, COO Tim Schaller, CFO Louis Citron, General Counsel/Partner Dick Kramlich, General Partner/Founder Patrick Chung, Partner Forest Baskett, General Partner Rohini Chakravarthy, Partner

Phone: 410-244-0115 Fax: 410-752-7721 Toll-Free: Address: 1119 St. Paul St., Baltimore, MD 21202 US

FINANCIALS:





Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



NEW YORK LIFE INSURANCE CO

www.newyorklife.com



Y Y


Y

Profits: 21


Y




TYPES OF BUSINESS: Life Insurance Annuities Mutual Funds Asset Management Life Insurance Real Estate

New York Life Insurance Co. provides life insurance policies, annuities, mutual funds and third-party asset management services. It is among the highest-ranked U.S. companies in life insurance sales, and has a total surplus, including investment reserves, of $12.8 billion. The firm operates in all 50 U.S. states; through New York Life International, LLC, it operates in India, Thailand, Argentina, Bermuda, China, Hong Kong, Mexico, South Korea and Taiwan. New York Life markets fixed and variable life insurance and annuity products that provide protection in the form of death benefits, savings and retirement income. The company offers fiveand 20-year term life insurance; family protection insurance; and increased premium term life and term life to age 90 insurance. It also offers its investment management services to institutional investors. Other lines of business include long-term care insurance and special group policies sold through AARP and other affinity groups or professional associations. The firm maintains a virtual service center on its web site that enables policyholders to obtain information on their policies and premiums. Through its New York Life Investment Management subsidiary, the company provides a broad range of asset management products and services for individuals, corporations, foundations and municipalities. The primary distribution channel for its products is the firm’s agency force. In July 2008, New York Life introduced its Select 5 Fixed Annuity, offering clients a competitive guaranteed interest rate for five years followed by full liquidity. New York Life offers its employees comprehensive life insurance; savings and investment plans; a physician-staffed on-site employee health center; an on-site fitness center; a cafeteria; and a back-up child care center.

BRANDS/DIVISIONS/AFFILIATES: New York Life Investment Management New York Life International LLC

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Theodore A. Mathas, CEO Theodore A. Mathas, Pres. Michael E. Sproule, CFO/Exec. VP Eileen T. Slevin, CIO/Sr. VP Sue Ericksen, CTO/Sr. VP-Corp. Info. Dept. Frank M. Boccio, Chief Admin. Officer/Exec. VP Sheila K. Davidson, General Counsel/Exec. VP/Chief Legal Officer Nancy Davenport, VP-Gov't Affairs John A. Cullen, Controller/Sr. VP/Chief Acct. Officer Gary Wendlandt, Vice Chmn./Chief Investment Officer Christopher O. Blunt, Exec. VP Richard J. Witterschein, Treas. Susan A. Thrope, Sr. VP/Sec. Theodore A. Mathas, Chmn. Richard L. Mucci, Chmn./CEO-New York Life Int'l


FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Mutual Company 2008 Sales: $16,830,000 2008 Profits: $-1,016,000 Int’l Ticker: Int’l Exchange: 2007 Sales: $21,123,000 2007 Profits: $ Employees: 2006 Sales: $20,980,000 2006 Profits: $2,298,000 Fiscal Year Ends: 12/31 2005 Sales: $17,505,000 2005 Profits: $855,000 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



NEW YORK MERCANTILE EXCHANGE INC Industry Group Code: 523210 Ranks within this company's industry group: Sales: 2 Brokers/Stocks: Broker: Investment Bank: Futures/Options:



www.nymex.com

Profits: 3


Y




TYPES OF BUSINESS: Futures Exchange Clearing & Settlement Services Electronic Trading Market Data

New York Mercantile Exchange, Inc. (NYMEX Exchange) is one of the largest exchanges in the world for the trading of energy futures and options contracts. These include contracts for crude oil, natural gas, heating oil, gasoline, propane and electricity. The firm also offers exchange for gold, silver and copper contracts. The company is a subsidiary of CME Group (formerly Chicago Mercantile Exchange Holdings), a diverse international derivatives exchange located in Chicago, Illinois. NYMEX Exchange provides physical facilities necessary for an open-outcry auction market, electronic trading systems and systems for matching and clearing all trades executed on the exchanges. The firm derives significant revenues from the sale of market data. The company is also a major provider of financial services to the energy and metals industries. In August 2008, NYMEX Exchange’s former parent company, NYMEX Holdings, Inc., was acquired by CME Group in a deal valued at $8.3 billion. As a result, both NYMEX Exchange and its former subsidiary, Commodity Exchange, Inc., became subsidiaries of CME Group.

BRANDS/DIVISIONS/AFFILIATES: New York Mercantile Exchange Inc CME Group Inc

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. James Newsome, CEO James Newsome, Pres. Kenneth Shifrin, CFO Joseph Raia, Sr. VP-Mktg. Robert A. Levin, Sr. VP-Research Samuel H. Gaer, CIO/Exec. VP Ian Wall, Sr. VP-Tech. Benjamin Chesir, Sr. VP-New Prod. Dev. Christopher K. Bowen, Chief Admin. Officer Christopher K. Bowen, General Counsel/Sr. VP Christopher Rodriguez, Sr. VP-Corp. Dev. & Strategic Planning Thomas F. LaSala, Sr. VP-Compliance & Risk Mgmt. Sean Keating, Sr. VP-Clearing Svcs. Richard Kerschner, Sr. VP-Corp. Governance & Strategic Initiatives Brian Regan, Sr. VP Richard Schaeffer, Chmn.

Phone: 212-299-2000 Fax: 212-301-4623 Toll-Free: 800-439-8616 Address: 1 N. End Ave., World Financial Ctr., New York, NY 10282 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $673,604 2007 Profits: $224,039 Employees: 2006 Sales: $497,249 2006 Profits: $154,801 Fiscal Year Ends: 12/31 2005 Sales: $334,108 2005 Profits: $71,128 Parent Company: CME GROUP




Y Y

Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest:

Southeast:


Northeast: Y

International: Y



NEW YORK STATE AND LOCAL RETIREMENT SYSTEM www.osc.state.ny.us Industry Group Code: 523920 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:



Y Y

Profits:





TYPES OF BUSINESS: Pension Funds Retirement Plans Employee Benefits

The New York State and Local Retirement System is a government-owned pension fund operated by the New York State Comptroller. The number of state government employees that receive retirement through the firm has reached more than 1 million participants, about 350,000 of which are retirees and beneficiaries. Participants in the system include police, firefighters, correction officers, teachers and other public employees. The system is divided between the Police and Fire Retirement System, with approximately 36,000 members; and the Employees’ Retirement System, with more than 626,000 members. Both of the programs provide retirement, disability and death benefits for participating personnel. Additionally, the system provides survivor benefits to relatives of the state of New York. The firm also provides almost 100 different benefit programs, including funds for college savings, environmental repair after oil spills, and cash and debt management. An excess of 80% of the retirees registered in the state program maintain residence in New York, therefore the majority of payments dispersed will eventually filter back into the state’s economy. Thomas DiNapoli, the state comptroller, is the sole trustee and steward of the Common Retirement Fund, which has assets valued at more than $156 billion, along with the other funds.

BRANDS/DIVISIONS/AFFILIATES: Common Retirement Fund Police & Fire Retirement System Employees' Retirement System

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Thomas P. DiNapoli, N.Y. State Controller Thomas Sanzillo, First Deputy Comptroller Thomas Nitido, Asst. Comptroller-Retirement Compliance Laura L. Anglin, Deputy Comptroller-Retirement Services Diana J. Ritter, Exec. Deputy Comptroller

Phone: 518-474-4044 Fax: 518-402-4433 Toll-Free: 866-805-0990 Address: 110 State St., Albany, NY 12244 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Government-Owned 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 3/31 2005 Sales: $ 2005 Profits: $ Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

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Northeast: Y

International:



NH INVESTMENT & SECURITIES CO LTD Industry Group Code: 523110 Ranks within this company's industry group: Sales: 25 Brokers/Stocks: Broker: Investment Bank: Futures/Options:

Y


Y


www.nhis.co.kr

Profits: 13



Y



TYPES OF BUSINESS: Financial Services Securities Brokerage

NH Investment Securities Co., Ltd. offers various financial services, especially securities brokerage. Other services include retail services such as brokerage of stocks and futures options, financial consulting, business planning, online investment services, securities trading services and issuing corporate and government bonds. Its private banking business includes asset management services such as investment information services and investment consulting. The company’s investment banking business focuses on mergers and acquisitions; issuing asset-backed securities (ABS) and primary Collateralized Bond Obligations (CBO); and the purchase and sale of corporate bonds. The firm also offers mutual funds, overseas funds, over-the-counter derivatives and equity-linked securities, as well as research services focusing on the areas of enterprise, industry and market. NH Investment Securities currently has approximately 29 branches. The company was formerly known as Sejong Securities Co., Ltd.

BRANDS/DIVISIONS/AFFILIATES: Sejong Securities Co., Ltd.

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Hoe Dong Jung, CEO

Phone: 82-2-2004-4114 Fax: 82-2-3454-0496 Toll-Free: Address: 34-7 Yeouido-Dong Yeongdeungpo-Gu, Seoul, 150010 Korea

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $189,320 2009 Profits: $8,920 U.S. Stock Ticker: 2008 Sales: $155,370 2008 Profits: $21,970 Int’l Ticker: 016420 Int’l Exchange: Seoul-KRX 2007 Sales: $97,980 2007 Profits: $3,610 Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 2005 Sales: $ 2005 Profits: $ Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

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International: Y



NIPPON LIFE INSURANCE COMPANY Industry Group Code: 524113 Ranks within this company's industry group: Sales: 3 Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y Y


Y Y Y

www.nissay.co.jp Profits: 2





TYPES OF BUSINESS: Life Insurance Asset Management Retirement Products Health Insurance Comprehensive Insurance Packages Insurance Riders

Nippon Life Insurance Company is a leading provider of comprehensive insurance services to individuals and businesses worldwide. The company operates in Japan through 117 domestic branches, 1,500 sales offices and more than 8,500 agencies. Its products are offered in the form of Nissay Insurance Accounts, a platform shared by all group companies allowing customers to combine insurance for life, mortality, medical, retirement and nursing coverage, as well as non-life insurance and other products, into a single account. The firm’s products include death and medical coverage, such as whole and term life, medical and cancer insurance; endowment insurance; retirement coverage, including variable accumulation rate and equity-indexed annuities; juvenile insurance; and insurance riders, including living benefit, medical and accident riders. The company provides the majority of its non-life insurance in Japan through subsidiary Nissay Dowa General Insurance Co., Ltd. Internationally, the firm operates in six countries in Europe, North America and Asia through14 subsidiary companies and five representative offices. In the U.S., subsidiary Nippon Life Insurance Company of America underwrites group health insurance. The firm also operates through Nissay-SVA Life Insurance Co., Ltd., which serves the Chinese market. Additionally, the company has a stake in a leading Thai insurer, Bangkok Life Assurance PCL. Subsidiary Nissay Asset Management Corporation offers defined contribution pension asset management products. In July 2008, the company entered a business cooperation agreement with The Northwestern Mutual Life Insurance Company for the provision of asset management services. In September 2009, Nippon Life announced an investment in The Prudential Insurance Company of America. Also in September, the firm’s Chinese joint venture changed its name to Nissay Great Wall Insurance Co., Ltd.

BRANDS/DIVISIONS/AFFILIATES: Nissay Insurance Accounts Nissay Dowa General Insurance Co., Ltd. Nissay Asset Management Corporation Nippon Life Insurance Company of America Nissay-SVA Life Insurance Co., Ltd. Bangkok Life Assurance, Ltd. Prudential Insurance Company of America Nissay Great Wall Insurance Co., Ltd.

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Kunie Okamoto, Pres. Eitaro Waki, Exec. VP/Head-Corp. Mktg. Mitsuhiro Ishibashi, Vice Chmn. Yasuomi Matsuyama, Managing Dir./Head-Agency Mgmt. Sector Sadao Kato, Sr. Managing Dir./Head-Investment Mgmt. Sector Shigemi Kanamori, Sr. Managing Exec. Officer Ikuo Uno, Chmn.

Phone: 81-6-6209-5525 Fax: Toll-Free: Address: 3-5-12, Imabashi, Chuo-ku, Osaka, 541-8501 Japan

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Mutual Company 2008 Sales: $65,951,000 2008 Profits: $3,015,000 Int’l Ticker: Int’l Exchange: 2007 Sales: $63,147,140 2007 Profits: $3,204,860 Employees: 63,802 2006 Sales: $58,945,000 2006 Profits: $3,659,000 Fiscal Year Ends: 3/31 2005 Sales: $60,567,000 2005 Profits: $3,473,000 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest: Y

Southeast:


Northeast: Y

International: Y



NOMURA HOLDINGS INC

www.nomura.com


Y Y


Y Y


Y Y Y

Profits: 28



Y Y


Y


TYPES OF BUSINESS: Investment Banking Merchant Banking Asset Management Stock Brokerage Investment Consultation Services Mergers & Acquisitions Advisory Services

Nomura Holdings, Inc. is the holding company for one of Japan’s largest brokerage houses, Nomura Securities Co., Ltd., and other subsidiaries. The firm’s business is divided into five segments. The Domestic Retail segment provides investment consultation services to individual investors. The Global Markets segment, operating in international and Japanese markets, focuses principally on equities, bonds and derivatives trading, as well as foreign exchange for institutional investors. The Global Investment Banking segment provides financial and mergers and acquisitions advisory services, as well as underwriting equity and bond issues. The Global Merchant Banking segment invests in venture companies and private equity opportunities, using the company’s own capital. The Asset Management segment develops and manages investment trusts and funds, provides investment advisory services and offers administrative services for defined contribution pension plans. Aside from Nomura Securities, Nomura Holdings operates about 14 other businesses in Japan, including Nomura Asset Management Co., Ltd.; The Nomura Trust & Banking Co., Ltd.; Nomura Babcock & Brown Co., Ltd.; Nomura Capital Investment Co., Ltd.; and Nomura Funds Research and Technologies Co., Ltd. Nomura’s international holdings are divided into three groups: Nomura Europe Holdings plc; Nomura Asia Holding N.V.; and the firm’s American subsidiary, Nomura Holding America, Inc., which operates in both North and South America. U.S.-based subsidiaries include Instinet, Inc., a global agency broker and provider of electronic trading services for institutional investors. In late 2008, Nomura acquired Lehman Brothers’ Asia Pacific franchise, as well as certain of its European and Middle Eastern investment banking and equities businesses. In June 2009, the company acquired NikkoCiti Trust & Banking Corporation from Citigroup, Inc. for roughly $210 million. In July 2009, subsidiary Nomura Asset Management acquired a 35% stake in LIC Mutual Fund Asset Management Company for approximately $63.1 million.

BRANDS/DIVISIONS/AFFILIATES: Nomura Securities Co., Ltd. Nomura Asset Management Co., Ltd. Nomura Trust & Banking Co., Ltd. Nomura Holding America, Inc. Nomura Europe Holdings plc Nomura Asia Holding N.V. Instinet Group Inc NikkoCiti Trust & Banking Corporation

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Kenichi Watanabe, CEO Takumi Shibata, COO Masafumi Nakada, CFO Hiroshi Tanaka, CIO/Head-Compliance Kenichi Watanabe, Pres./CEO-Nomura Securities Co., Ltd. Takumi Shibata, Deputy Pres./COO-Nomura Securities Co., Ltd. Hiromi Yamaji, CEO-Investment Banking Shoichi Nagamatsu, CEO-Merchant Banking Akira Maruyama, CEO-Global Markets

Phone: 81-3-5255-1000 Fax: 81-3-5255-1064 Toll-Free: Address: 1-9-1 Nihonbashi, Chuo-Ku, Tokyo, 103-8645 Japan

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $3,548,910 2009 Profits: $-8,039,320 U.S. Stock Ticker: NMR 2008 Sales: $8,936,860 2008 Profits: $-770,190 Int’l Ticker: 8604 Int’l Exchange: Tokyo-TSE 2007 Sales: $12,386,100 2007 Profits: $1,496,000 Employees: 25,626 2006 Sales: $15,261,000 2006 Profits: $2,590,000 Fiscal Year Ends: 3/31 2005 Sales: $10,504,000 2005 Profits: $884,000 Parent Company:


Y



Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

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Northeast: Y

International: Y



NORTHWESTERN MUTUAL LIFE INSURANCE CO Industry Group Code: 524113 Ranks within this company's industry group: Sales: 9 Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y Y Y


Y

www.nmfn.com

Profits: 9


Y




TYPES OF BUSINESS: Life Insurance Disability Insurance Employee Benefit Plans Long-Term Care Insurance Investment Products & Services Financial Planning Services

Northwestern Mutual Life Insurance Co. (NMLIC) is a financial network company. It offers network services, insurance products, investment products and advisory services to 3.3 million policy owners with 5 million policies nationwide. Its network services include asset and income protection, personal needs analysis, investment services, education funding and retirement solutions. The firm offers permanent, term and combination life insurance plans, as well as individual and group disability plans. Long-term care insurance is offered through NMLIC’s Northwestern Long Term Care Insurance Company subsidiary, while investment services are provided by subsidiary Northwestern Mutual Investment Services, LLC. Through its marketing name, Northwestern Mutual Financial Network, NMLIC offers a wide range of products and services through 350 offices across the U.S. Network affiliates include Strategic Employee Benefit Services, which provides custom-designed employee benefit programs; Network Planning Advisors, which offers financial planning services; Estate Strategies Group, an investment advising group specializing in estate and business succession planning; and Northwestern Mutual Trust Company, which offers a full range of investment and trust services. The company manages approximately $155 billion in total assets. In 2008, the firm announced it was partnering with Nippon Life to explore potential joint ventures. Nippon Life has also acquired 5% of Russell Investments, a NMLIC subsidiary. NMLIC offers its employees flexible spending accounts, training programs, flexible work schedules, adoption assistance, an on-site fitness center, credit union membership, educational assistance and a business-casual work environment.

BRANDS/DIVISIONS/AFFILIATES: Northwestern Long Term Care Insurance Company Northwestern Mutual Investment Services, LLC Northwestern Mutual Financial Network Northwestern Mutual Trust Company Russell Investments Nippon Life Insurance Company

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Edward J. Zore, CEO John M. Bremer, COO John E. Schlifske, Pres. Michael G. Carter, CFO/VP Conrad C. York, VP-Mktg. Susan A. Lueger, VP-Human Resources Timothy G. Schaefer, CIO Jean M. Maier, Sr. VP-Tech. Marcia Rimai, Chief Admin. Officer/Exec. VP Raymond J. Manista, General Counsel/Sec. Kimberley Goode, VP-Comm. Gary M. Hewitt, Treas./VP-Treasury & Investment Oper. Gary A. Poliner, Chief Risk Officer/Exec. VP David D. Clark, Sr. VP-Real Estate Christina H. Fiasca, Sr. VP-Agency Services Mark G. Doll, Sr. VP/Chief Investment Officer Edward J. Zore, Chmn.

Phone: 414-271-1444 Fax: 414-299-7022 Toll-Free: Address: 720 E. Wisconsin Ave., Milwaukee, WI 53202-4797 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Mutual Company 2008 Sales: $21,734,400 2008 Profits: $483,200 Int’l Ticker: Int’l Exchange: 2007 Sales: $21,355,000 2007 Profits: $1,000,000 Employees: 4,938 2006 Sales: $19,733,000 2006 Profits: $829,000 Fiscal Year Ends: 12/31 2005 Sales: $18,400,000 2005 Profits: $924,000 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International:



NUVEEN INVESTMENTS INC

www.nuveen.com



Y


Y

Profits:


Y


Y




Nuveen Investments, Inc., formerly Nuveen John Company, provides asset management services for financial institutions and high-net worth individuals. The company, with over $141 billion in managed assets, offers investment options that include open-ended mutual funds, closed-end exchange-traded funds and individually managed accounts as well as institutional accounts. The firm distributes its products through unaffiliated firms including broker-dealers, investment advisors, affiliates of insurance providers, commercial banks, accountants, private banks, consultants and financial planners. The company and its subsidiaries offer its portfolio solutions through its independent investment teams which include NWQ, which specializes in value-style equities; Nuveen Asset, managing fixed-income investments; Santa Barbara, committed to growth equities; HydePark, which offers risk-controlled investment strategies; and Symphony, an investment advisor and qualified plan asset manager; and Tradewinds Global Investors, which offers global equities investments. In November 2008, the company created Nuveen Alternative Investments, catered to serve the needs of institutional investors requesting alternative forms of alpha and uncorrelated returns. Also in November 2008, the company acquired Winslow Capital Management, a large cap growth stock portfolios investment manager for institutions and high net worth investors. Employees of Nuveen receive medical plans, life insurance, dental coverage and partial tuition reimbursement.

BRANDS/DIVISIONS/AFFILIATES: Nuveen John Company HydePark Nuveen Asset Management Santa Barbara Winslow Capitol Management Symphony Tradewinds Global Investors Madison Dearborn ARTNERS LLC

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. John P. Amboian, CEO Glenn R. Richter, COO/Exec. VP Glenn R. Richter, Principal Financial Officer Glenn R. Richter, Chief Admin. Officer Kathleen Cardoza, VP-Corp. Comm. Natalie Brown, VP-Investor Rel. Jamshaud Zovein, Managing Dir. Mark Anson, Exec. Dir./Pres., Investment Svcs.

Phone: 312-917-7700 Fax: 312-917-8049 Toll-Free: 800-257-8787 Address: 333 W. Wacker Dr., Chicago, IL 60606-2186 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Private 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $709,828 2006 Profits: $187,680 Fiscal Year Ends: 12/31 2005 Sales: $589,129 2005 Profits: $171,156 Parent Company: MADISON DEARBORN PARTNERS LLC




Profit Sharing: Y


Bonus: $ Bonus: $


Southwest:

Midwest: Y

Southeast:


Northeast: Y

International:



NYSE AMEX LLC

www.nyse.com/equities/nysealternextus




Profits:


Y




TYPES OF BUSINESS: Stock Exchange

NYSE Amex, formerly NYSE Alternext US, was formed following NYSE Euronext Inc.’s acquisition of AMEX in October 2008 and functions as a listing venue for emerging growth companies. Its parent company, NYSE Euronext, was organized in 2006 as the result of a merger between NYSE Group, Inc. and Euronext N.V., a Netherlands company. NYSE Amex is one of four NYSE Euronext equities markets that, together, represent almost 40% of the world’s equities trading. NYSE Amex also operates one of seven options exchanges in the United States, trading options on domestic and foreign stocks, American Depositary Receipts, broad-based, industry and sector and international indexes, ETFs and Holding Company Depositary Receipts. It is registered as a national securities exchange under the Exchange Act. The market primarily lists small to micro-cap companies and, in December 2008, listed 466 companies, representing a total market capitalization of $124.5 billion. Members of the NYSE group, including NYSE Alternext, earn revenue by collecting market data fees principally for consortium-based data products and, to a lesser extent, for NYSE proprietary data products. Employees are eligible for health, dental and vision coverage; life insurance; participation in a 401(k) plan; and a tuition reimbursement program.

BRANDS/DIVISIONS/AFFILIATES: NYSE Euronext Inc

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once.

Phone: 212-656-3000 Fax: Toll-Free: Address: 11 Wall St., New York, NY 10005 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company: NYSE EURONEXT INC




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

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Northeast: Y

International:



NYSE EURONEXT INC

www.nyse.com




Profits: 9


Y




TYPES OF BUSINESS: Stock Exchange Software & Information Technology Trading Solutions

NYSE Euronext, Inc. is a holding company that, along with its subsidiaries, is one of the world’s largest providers of securities listing, trading, market data products, software and technology services. The company and its subsidiaries operate the following securities exchanges: the New York Stock Exchange (NYSE); NYSE Arca, Inc. (NYSE Arca); and NYSE Amex LLC (NYSE Amex) in the U.S.; and the five European-based exchanges that comprise Euronext N.V. (Euronext), the Paris, Amsterdam, Brussels and Lisbon stock exchanges; as well as the Liffe derivatives markets in London, Paris, Amsterdam, Brussels and Lisbon, collectively known as NYSE Liffe. The NYSE one of the largest and most liquid cash equities exchanges in the world. In addition to common stock, the NYSE lists both debt and equity structured products such as capital securities, mandatory convertibles, repackaged securities and equity-linked and index-linked. More than 2,447 issuers are listed on the stock exchange, representing a total worldwide market value of approximately $15 trillion. The NYSE Arca is a fully electronic exchange for equities; ETPs, including exchange traded funds (ETFs); exchange traded notes (ETNs); exchange-traded vehicles (ETVs); certificates; and options. NYSE Amex, formerly the American Stock Exchange, offers a listing venue for a broader range of companies than are qualified for listing on the NYSE. NYSE Liffe, one of the largest derivatives markets in the world, offers customers in more than 24 countries access to interest-rate, equity, index, commodity and currency derivative products. In addition to markets, Euronext operates a global connectivity network through NYSE Technologies that supports trading and provides IT services to third party financial markets and other financial institutions. In October 2008, NYSE Euronext sold its interest in former subsidiary, GL Trade. In March 2009, the company announced the rebranding of its options and equities businesses from NYSE Alternext US LLC to NYSE Amex. Employees of the firm are offered medical, dental and vision insurance; flexible spending accounts; life insurance; a 401(k) plan; and a tuition reimbursement program.

BRANDS/DIVISIONS/AFFILIATES: NYSE Amex Euronext NV NYSE Liffe NYSE Arca, Inc. NYSE Technologies

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Duncan L. Niederauer, CEO Michael S. Geltzeiler, CFO/Exec. VP Philippe Duranton, Exec. VP-Global Human Resources Dominique Cerutti, Head-Tech. Andrew T. Brandman, Chief Admin. Officer John K. Halvey, General Counsel/Exec. VP Joost van der Does de Willebois, Exec. VP/Head-Corp. Comm. Rolland Bellegarde, Exec. VP/Head-European Execution Mary Brienza, Exec. VP/Gen. Auditor Garry Jones, Exec. VP/Head-Global Derivatives Catherine Langlais, Exec. Legal Dir./Gen. Counsel-Euronext N.V. Jan-Michiel Hessels, Chmn. Miguel Athayde Marques, Exec. VP/Head-Portuguese Market

Phone: 212-656-3000 Fax: Toll-Free: Address: 11 Wall St., New York, NY 10005 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: NYX 2008 Sales: $4,703,000 2008 Profits: $-738,000 Int’l Ticker: Int’l Exchange: 2007 Sales: $3,938,000 2007 Profits: $643,000 Employees: 3,757 2006 Sales: $2,375,950 2006 Profits: $204,977 Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company:




Y

Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



OAK ASSOCIATES LTD

www.oakltd.com



Y


Y

Profits:


Y





Oak Associates, Ltd. is an equity investment manager. The firm provides growth portfolios to national endowments, public pension plans, private clients and mutual fund investors. The company operates through two divisions: managed accounts and mutual funds. Oak Associates' managed accounts are operated through partnerships with a variety of sponsor firms and require a minimum investment of $100,000. Oak Associates has seven mutual funds: White Oak Select Growth Fund, Pin Oak Aggressive Fund, Rock Oak Core Growth Fund, River Oak Discovery Fund, Red Oak Technology Select Fund, Black Oak Emerging Technology Fund and Live Oak Health Sciences Fund. White Oak Select Growth Fund (21 holdings, $326 million total fund assets) primarily invests in large-cap companies in the technology, financial services and health care sectors. Rock Oak Core Growth Fund (36, $5 million) invests in companies that stand to gain from globalization, demographics, productivity and innovation. Pin Oak Aggressive Fund (38, $101 million) invests primarily in medium and small cap companies in newer growth-oriented industries. River Oak Discovery Fund (37, $8 million) is a small cap growth fund focused on companies with less than $3 billion in market capitalization that have cutting edge products, visionary management and innovative approaches. Red Oak Technology Select Fund (35, $76 million) is a sector-specific fund for large-cap core and stable technology companies. Black Oak Emerging Technology Fund (29, $41 million) is also a sector-specific fund for technology companies, but it focuses on young and emerging companies with the potential for sudden growth. The Live Oak Health Sciences Fund (31, $17 million) invests with an eye to long-term growth in health care companies that conduct research and develop, produce, market and distribute health care products.

BRANDS/DIVISIONS/AFFILIATES: White Oak Growth Fund Pin Oak Aggressive Fund Rock Oak Core Growth Fund River Oak Discovery Fund Red Oak Technology Select Fund Black Oak Emerging Technology Fund Live Oak Health Sciences Fund

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. James D. Oelschlager, CEO/Chief Investment Officer Chris H. White, Dir.-Mktg. Mark W. Oelshlager, Research Analyst/Mgr.-Red Oak Tech. Select Fund Sandra H. Noll, Dir.-Acct./Chief Compliance Officer Donna L. Barton, Sr. Portfolio Trader Robert D. Stimpson, Research Analyst/Mgr.-Rock Oak Core Growth Fund Margaret L. Ballinger, Portfolio Trader/Dir.-Cash Mgmt.

Phone: 330-668-1234 Fax: 330-668-2901 Toll-Free: 888-462-5386 Address: 3875 Embassy Pkwy., Ste. 250, Akron, OH 44333 US

FINANCIALS:





Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest: Y

Southeast:


Northeast:

International:



OAKMARK

www.oakmark.com



Y


Y

Profits:





TYPES OF BUSINESS: Mutual Funds Investment Management IRAs

Oakmark operates a family of seven mutual funds advised by Harris Associates L.P. The company invests with a bottomup strategy, focusing on individual companies, rather than specific economic factors or industries, in making its investment decisions. The funds are focused and undiversified, allowing a greater long-term return. The firm typically buys stock that it feels trades below its actual value but shows potential for growing shareholder value. It offers Traditional, Roth, Rollover, SEP and Simple IRAs. The Oakmark Fund, the firm’s primary fund, holds 54 stocks in mid- to large-cap companies, with over $3.1 billion in assets under management. The Oakmark Select Fund, a nondiversified fund, invests in 21 mid- to large- sized companies, and has over $2.3 billion under management. The firm operates four international funds: The Oakmark Global Fund, with over $1.7 billion invested in 38 equity holdings; The Oakmark Global Select Fund, which currently invests in 20 domestic and international securities worth nearly $266 million; The Oakmark International Fund, with $4.1 billion under management invested in 57 companies; and The Oakmark International Small Cap Fund, which has about $769 million under management and 64 equity holdings. The Oakmark Equity and Income Fund invests in a diversified portfolio of equity and fixed income securities in order to achieve capital growth and high-income preservation. The fund has over $15.5 billion under management with 46 equity holdings. Parent company Harris Associates (an indirect subsidiary of Natixis Global Asset Management, L.P.) manages separate accounts in addition to the Oakmark funds.

BRANDS/DIVISIONS/AFFILIATES: Harris Associates, L.P. Oakmark Fund (The) Oakmark Global Fund (The) Oakmark International Fund (The) Oakmark Equity and Income Fund (The) Oakmark Select Fund (The) Natixis Global Asset Management, L.P

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. John R. Raitt, CEO John R. Raitt, Pres. David Herro, Mgr.-Oakmark Int'l Fund & Int'l Small Cap Clyde S. McGregor, Mgr.-Equity & Income Fund John R. Raitt, CEO-Harris Associates William C. Nygren, Mgr.-Oakmark Fund & Oakmark Select & Global Selec

Phone: 617-483-3250 Fax: Toll-Free: 800-625-6275 Address: 330 W. 9th St., Kansas City, MO 64105-1514 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company: NATAXIS GLOBAL ASSET MANAGEMENT LP




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest: Y

Southeast:


Northeast:

International:



OAKTREE CAPITAL MANAGEMENT LP Industry Group Code: 523910 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:



Y

www.oaktreecapital.com

Profits:



Y


Y


TYPES OF BUSINESS: High-Yield Bonds Convertibles Vulture Funds Real Estate Investment Equity Investment Distressed Debt Investments

Oaktree Capital Management, LLC specializes in riskadverse investment in troubled companies and inefficient industries. With over $67 billion in assets under management, the firm works primarily in specialty markets where access to key information is limited to industry specialists, rather than risk money in crowded, volatile markets hoping for a big pay-off. Oaktree uses its knowledge in these high-risk markets, based on companyspecific research, to make respectable gains. It has offices in Los Angeles, New York, Amsterdam, Tokyo, London, Seoul, Singapore, Hong Kong, Beijing, Shanghai, Frankfurt and Luxembourg. North America houses 77% of its clients; Europe, 14%; Asia, 8%; and Africa and Middle East, 1%. The firm invests in six major areas. Its high yield debt investments include U.S. high yield bonds, where it has $12.1 billion in assets under management; European high yield bonds, $1.8 billion; mezzanine finance, $1.4 billion; senior bank loans, $5.1 billion; and high yield plus, $558 million. Its convertibles investments include U.S. convertibles, $5.0 billion; international convertibles, $2.5 billion; and high income convertibles, $1.1 billion. Its distressed debt investments include simple distressed opportunities, $21.8 billion; and value opportunities, $1.5 million. Oaktree’s private equity investments include principal opportunities (control investments), $6.9 billion; European principal opportunities, $3.3 billion; Asia principal opportunities, $482 million; and power opportunities, $1.7 billion. The firm has real estate investments of $1.0 billion and Asian real estate interests of $219 million. The company invests $713 million in listed equities in emerging markets. Clients of Oaktree include corporations, representing 32% of assets under management; public funds, 35%; endowments and foundations, 9%; insurance companies, 7%; private clients, 7%; mutual funds, 3%; Taft-Hartley accounts, 1%; and other customers, 6%. Subsidiary OCM Investments offers the firm’s securities; and GFI Energy Ventures, LLC is the co-manager of Oaktree’s power opportunities investment strategy.

BRANDS/DIVISIONS/AFFILIATES: OCM Investments GFI Energy Ventures LLC

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. John Frank, Managing Principal Bruce A. Karsh, Pres./Mgr.-Distressed Debt Portfolio David M. Kirchheimer, CFO Kevin Clayton, Principal Dir.-Mktg. & Client Rel. David M. Kirchhiemer, Chief Admin. Officer Todd Molz, General Counsel/Managing Dir. John Edwards, Controller/Managing Dir. Lisa Arakaki, Sr. VP Emily Alexander, Sr. VP Suzette Ramirez-Carr, Sr. VP Carrie Armenta, VP Howard S. Marks, Chmn. Lisa Kiely, Chief Admin. Officer-Europe/Sr. VP

Phone: 213-830-6300 Fax: 213-830-6293 Toll-Free: Address: 333 S. Grand Ave., 28th Fl., Los Angeles, CA 90071 US

FINANCIALS:





Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



OHIO PUBLIC EMPLOYEES RETIREMENT SYSTEM Industry Group Code: 523920 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:



Y Y

www.opers.org

Profits:



Y



TYPES OF BUSINESS: Pension Funds Employee Benefits Health Care Plan Administration Investment Management

The Ohio Public Employees Retirement System (OPERS), an office of the state of Ohio, provides retirement benefits, disability benefits and survivor benefits, and administers health care programs to state employees. OPERS has assets in excess of $59.2 billion. OPRES’ assets comprise two funds: Pension, with $49.6 billion in assets and Health Care, with $9.7 billion. The company also provides retirement, disability and survivor benefit programs for public employees throughout the state who are not covered by another state or local retirement system. The system covers nearly 936,000 members. Of those members, approximately 166,516 are retirees and surviving beneficiaries who receive monthly benefits; 374,002 are active members who are currently working for the state of Ohio; and 395,445 are inactive members who maintain retirement accounts from prior employment with the state. It currently services more than 3,700 public employers. The top equity holdings of OPERS are General Electric, AT&T, Johnson and Johnson; Chevron; Wal-Mart; Exxon Mobil, Microsoft, Bank and Procter & Gamble. Employees are offered medical, dental and vision insurance; life insurance; disability coverage; a retirement plan; an employee assistance plan; an educational assistance program; a dependent care spending account; credit union membership; access to OPERS Academy, a child development center on site managed by Bright Horizons; and longevity pay, which awards employees $100 when completing a full year of service and an additional $25 after five years of employment.

BRANDS/DIVISIONS/AFFILIATES: OPERS Academy

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Chris DeRose, CEO Blake W. Sherry, COO Karen E. Carraher, Dir.-Finance Shelley M. Wilson, Dir.-Human Resources Chuck Quinlan, Dir.-IT Julie E. Becker, General Counsel Carol Drake, Dir.-External Rel. Karen E. Carraher, Dir.-Finance Julie Reneau, Dir.-Benefits Randy Hoffman, Dir.-Health Care Greg Januszewski, Dir.-Internal Audit John Mauer, Chmn.

Phone: Fax: 614-857-1144 Toll-Free: 800-222-7377 Address: 277 East Town St., Columbus, OH 43215-4642 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Government-Owned 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest: Y

Southeast:


Northeast:

International:



OLD MUTUAL ASSET MANAGEMENT CORP USwww.oldmutualus.com Industry Group Code: 523920 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y Y


Y

Profits:


Y




TYPES OF BUSINESS: Investment Management/Mutual Funds International Securities Fixed Income Investment

Old Mutual Asset Management Corp. U.S. (OMAM), formerly known as United Asset Management Corp., is a subsidiary of London-based investment conglomerate Old Mutual plc. OMAM is a holding company for 20 investment firms that manage domestic and international investment portfolios, with collective assets under management of $240 billion. It provides a broad range of investment management services to institutional and individual investors. Each of OMAM’s investment management firms maintains its own investment activities, operating independence and name. Investment firms include Acadian Asset Management; Dwight Asset Management Company; Old Mutual Capital, Inc.; Provident Investment Counsel LLC; 2100 Xenon; Thomson, Heitman Real Estate Securities LLC. and many others. OMAM supports its affiliates through marketing and service initiatives, and invests with them in professional development, client service, new products, marketing and distribution. The firms primarily manage U.S. equities, bonds and cash, though some firms also manage global equity, fixed income and alternative investment assets. In mutual funds, the company offers both single-strategy funds and diversified asset allocation funds, under the brand name Pure Portfolios. The firm also offers separately managed accounts. The company intends to continue expanding through the internal growth of its present affiliated firms and through the acquisition of additional firms in the future.

BRANDS/DIVISIONS/AFFILIATES: Acadian Asset Management Old Mutual plc Dwight Asset Management Company Old Mutual Capital, Inc. 2100 Xenon Thomson, Horstmann & Bryant, Inc. Ashfield Capital Partners, LLC Provident Investment Counsel LLC

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Thomas M. Turpin, CEO Linda Tilton Gibson, COO/Exec. VP Thomas M. Turpin, Pres. Matthew E. Berger, Interim CFO/Sr. VP Matthew J. Appelstein, Exec. VP/Head-Institutional Sales & Mktg. Kathryn M. Horgan, Exec. VP-Human Resources James. E. Mikolaichik, Exec. VP/Head-Prod. Dev. James. E. Mikolaichik, Exec. VP/Head-Corp. Dev. & Strategy Julian Sluyters, Pres./CEO-Old Mutual Capital Mark Bentley, Sr. VP-Retail Dist.

Phone: 617-369-7300 Fax: 617-369-7499 Toll-Free: Address: 200 Clarendon St., 53rd Fl., Boston, MA 02116 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company: OLD MUTUAL PLC




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



OLD MUTUAL PLC

www.oldmutual.com



Y


Y

Profits: 7





TYPES OF BUSINESS: Life Insurance Property & Casualty Insurance Asset Management Banking

Old Mutual plc is an international financial services group. Based in London, the firm maintains operations in Africa (mainly South Africa), the U.S., Europe, Latin America and the Asia Pacific region. In the U.S., Old Mutual provides asset management and life insurance services through Old Mutual Asset Management (OMAM) and Old Mutual US Life. OMAM encompasses 18 firms that provide investment products and services with a range of risk and financial participation, including value equity and fixed income investments. Old Mutual US Life provides life insurance and annuities in all 50 states and Washington, D.C., through OM Financial Life Insurance Company and OM Financial Life Insurance Company of New York. In South Africa, Old Mutual offers life insurance and financial services through Old Mutual South Africa, and personalized short term insurance services to the personal, commercial, corporate and agriculture markets through majority-owned subsidiary Mutual and Federal. It also provides asset management through Fairbairn Capital and Old Mutual Specialized Finance (PTY). Additionally, the company provides banking through its 55%-owned subsidiary Nedbank Group Limited. Nedbank provides retail, commercial, corporate and investment banking and asset management to 3.6 million South Africans. In the U.K., Old Mutual offers asset management and investment services through subsidiaries such as Old Mutual Fund Managers, Fairbairn Private Bank and Skandia Wealth Management. Old Mutual operates in Europe primarily through the Swedish insurance company Skandia, which is active in the U.K., China, Italy, Spain and several other countries. Banking activities account for approximately 49% of Old Mutual plc’s operating income; life assurance accounts for 31%; asset management for 14%; and general insurance for 6%. In August 2009, Nedbank Group Limited agreed to acquire all outstanding shares of its joint venture, Imperial Bank Limited, from joint venture partner Imperial Holdings Limited.

BRANDS/DIVISIONS/AFFILIATES: Skandia Skandia Wealth Management Old Mutual Fund Managers Old Mutual Asset Management OM Financial Life Insurance Company OM Financial Life Insurance Company of New York Fairbairn Private Bank Nedbank Group Limited

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Julian Roberts, CEO Don Schneider, Dir.-Human Resources Martin Murray, Sec. Don Hope, Head-Strategy Dev. Matthew Gregorowski, Head-Media Rel. Patrick Bowes, Head-Investor Rel. Philip Broadley, Dir.-Finance Andrew Birrell, Head-Risk & Actuarial Paul Maddox, Head-Strategic Implementation Thomas Boardman, CEO-Nedbank Group Paul Hanratty, CEO-Long-Term Savings/Chmn.-Old Mutual S. Africa Christopher D. Collins, Chmn. Thomas Turpin, Pres./CEO-Old Mutual Asset Mgmt. (U.S.)

Phone: 44-20-7002-7000 Fax: 44-20-7002-7221 Toll-Free: Address: 2 Lambeth Hill, London, EC4V 4GG UK

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: 2008 Sales: $75,280 2008 Profits: $1,093,990 Int’l Ticker: OML Int’l Exchange: London-LSE 2007 Sales: $28,304,300 2007 Profits: $1,995,770 Employees: 57,000 2006 Sales: $39,003,400 2006 Profits: $2,140,300 Fiscal Year Ends: 12/31 2005 Sales: $27,086,200 2005 Profits: $2,117,500 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



ONEX CORPORATION

www.onex.com



Y Y


Profits: 2





TYPES OF BUSINESS: Private Equity Investments Manufacturing Investment Medical Services Investment Outsourcing Investment Real Estate Investment Movie Theater Investment Communications Investment

Onex Corporation is a private equity firm that acquires largeand mid-cap companies. The firm invests in large-cap companies with funding from Onex Partners LP, a $1.65 billion fund, and Onex Partners II LP, a $3.45 billion fund. Onex invests in the mid-cap market through ONCAP, and also operates through Onex Real Estate Partners LP, an acquisition partnership that plans to invest in commercial and multi-unit residential real estate. The company operates through a number of autonomous subsidiaries, including Celestica, which provides electronics manufacturing services from 30 facilities worldwide; Spirit AeroSystems, a manufacturer of Tier 1 aerostructures; Emergency Medical Services, a healthcare company with subsidiaries American Medical Response, Inc., operating 4,400 ambulances in 40 U.S. states, and EmCare, which provides outsourced services for hospital emergency department physician staffing and management; Center for Diagnostic Imaging, which operates 50 outpatient diagnostic imaging centers in the U.S.; Skilled Healthcare Group, an organization that operates 75 nursing facilities and 21 assisted living facilities throughout the western U.S.; Res-Care, which operates more than 3,200 supported living centers that provide services to people with developmental disabilities and also operates approximately 20 Job Corps centers; Cineplex Entertainment, a Canadian movie theater company with 129 theaters; and Cosmetic Essence, Inc., a provider of outsourced supply chain management services to the personal care products industry. In December 2007, Onex acquired Husky Injection Molding Systems for $960 million. In September 2008, the firm agreed to acquire a 50% interest in RSI Home Product, Inc., a manufacturer of residential cabinetry, for approximately $318 million.

BRANDS/DIVISIONS/AFFILIATES: Celestica, Inc. Spirit Aerosystems, Inc. Emergency Medical Services Cosmetic Essence, Inc. Cineplex Entertainment LP Tube City IMS Corp. Hawker Beechcraft Allison Transmission

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Gerald W. Schwartz, CEO Donald W. Lewtas, CFO Christopher A. Govan, Managing Dir.-Corp. Admin. Andrea E. Daly, General Counsel/VP Christine M. Donaldson, VP-Finance David W. Copeland, Dir.-Taxation Mark L. Hilson, Special Advisor Robert M. Le Blanc, Managing Dir.-Healthcare & Financial Svcs. Timothy A.R. Duncanson, Managing Dir.-Industrial Svcs. & Entertainment Gerald W. Schwartz, Chmn.

Phone: 416-362-7711 Fax: 416-362-5765 Toll-Free: Address: 161 Bay St., P.O. Box 700, Toronto, ON M5J 2S1 Canada

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: 2008 Sales: $21,047,500 2008 Profits: $221,590 Int’l Ticker: OCX Int’l Exchange: Toronto-TSX 2007 Sales: $23,620,000 2007 Profits: $230,000 Employees: 2006 Sales: $17,473,000 2006 Profits: $940,265 Fiscal Year Ends: 12/31 2005 Sales: $14,201,000 2005 Profits: $905,544 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



OPPENHEIMER HOLDINGS INC

www.opco.com


Y Y


Y Y


Y

Profits: 20



Y Y



TYPES OF BUSINESS: Investment Banking Traditional & Online Discount Securities Brokerage Equity Research Asset Management Mutual Fund Services Retirement & Financial Planning Services Consulting Trust Services

Oppenheimer Holdings, Inc. (OP) is an integrated financial services holding company for securities brokerage and investment firms. These firms include Oppenheimer & Co., Inc. (Oppenheimer); Oppenheimer Asset Management, Inc. (OAM); Freedom Investments, Inc.; and Oppenheimer Trust Company (OTC). Together, they provide wealth management, securities brokerage (equity and fixed income products), equity research and investment banking services to individuals, family businesses, corporations and institutional investors. The company’s financial products and services include executive services, mutual fund services, retirement services and Oppenheimer Planning Group. Oppenheimer is a U.S. broker-dealer that provides financial planning services to its clients through 86 offices in 21 states and four foreign countries. It also provides investment banking services to privately-held and publicly traded emerging growth and middle-market companies in need of capital or advice on corporate finance transactions. OAM offers private clients and institutional investors access to customized managed money programs. Its various divisions include Oppenheimer Investment Advisers, Oppenheimer Consulting Group and Oppenheimer Alternative Investments Group. OTC is a limited purpose bank that caters to highnet-worth individuals and offers a complete line of trust services throughout the U.S. The firm offers online discount brokerage and dollar-based investing services through its subsidiary Freedom Investments, Inc.. and Freedom’s BUY and HOLD division. In 2008, OP acquired a major portion of CIBC World Markets’ U.S., U.K. and Asian Capital Markets businesses. As a result, the company created new subsidiaries Oppenheimer EU Ltd. and Oppenheimer Investments Asia Ltd. In March 2009, Oppenheimer announced it would open new branch locations in Florida, Tennessee, North Carolina and Virginia.

BRANDS/DIVISIONS/AFFILIATES: BUY and HOLD Oppenheimer & Co Inc Oppenheimer Asset Management Inc Freedom Investments Inc Oppenheimer Trust Company Oppenheimer Planning Group

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Albert G. Lowenthal, CEO Elaine K. Roberts, Pres. Elaine K. Roberts, CFO Robert Okin, Exec. VP-National Sales, Oppenheimer & Co., Inc. Brian Maddox, Head-Media Rel. Elaine K. Roberts, Treas. James Carley, Pres./CEO-Oppenheimer Trust Company Brian G. Belski, Chief Investment Strategist-Oppenheimer & Co. Inc. Thomas Robinson, Pres., Oppenheimer Asset Mgmt., Inc. Marshall A. Heinberg, Head-Investment Banking, Oppenheimer & Co. Inc. Albert G. Lowenthal, Chmn.

Phone: 212-668-8000 Fax: Toll-Free: 800-221-5588 Address: 125 Broad St., New York, NY 10004 Canada

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: OPY 2008 Sales: $920,070 2008 Profits: $-20,770 Int’l Ticker: OPY Int’l Exchange: Toronto-TSX 2007 Sales: $914,397 2007 Profits: $75,367 Employees: 3,399 2006 Sales: $733,900 2006 Profits: $44,600 Fiscal Year Ends: 12/31 2005 Sales: $679,746 2005 Profits: $22,916 Parent Company:




Profit Sharing:




Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



OPPENHEIMERFUNDS INC

www.oppenheimerfunds.com



Y Y


Y Y Y

Profits:



Y



TYPES OF BUSINESS: Mutual Funds & Funds Management Investor Services Annuities Retirement Plans

OppenheimerFunds, Inc., a subsidiary of Massachusetts Mutual Life Insurance Co. (MassMutual), is one of the largest mutual fund companies in the U.S. The firm offers a broad range of products and services, including mutual funds, separately managed accounts, institutional-management services, hedge fund products, qualified retirement plans and subadvisory investment-management services, to individuals, corporations and institutions. The company has a family of more than 65 funds covering nearly all major asset classes and investment styles. These include: Domestic Equity; Global and International Equity; Domestic and International Fixed Income; National and State Specific Municipal Bonds; Alternative Investments; and Money Market. The firm operates OFI Institutional Asset Management (OFII). OFII is dedicated to the institutional investment management marketplace. OFII’s institutional investment capabilities include domestic equities, global, international and emerging markets equities, investment grade fixed income and commodities. OppenheimerFunds also operates OFI Private Investments, Inc., which offers professionally managed, separate account products with a wide range of asset classes, tax strategies and institutional money managers. Portfolio Builder is the company’s tool that offers investors a diversified mutual fund portfolio within a single account. OFI Private Investments’ Manager Select Portfolios (MSP) cater to affluent and emerging-affluent investors who seek diversification and tax management. OppenheimerFunds also manages Tremont Capital Management, Inc., which provides investment management of hedge funds and multi-manager portfolios to institutional investors and clients, including financial institutions, public and private pension plans, university endowments and foundations. Finally, the company’s OppenheimerFunds Legacy Program is an independent organization recognized as a tax-exempt charity. It offers the Donor-Advised Fund to meet philanthropic and estate planning needs. Employees are offered medical, dental and vision insurance; life insurance; disability coverage; an employee assistance program; adoption assistance and a 401(k) plan.

BRANDS/DIVISIONS/AFFILIATES: Massachusetts Mutual Life Insurance Co OFI Institutional Asset Management, Inc. OFI Private Investments, Inc. OppenheimerFunds Services Portfolio Builder Manager Select Portfolios OpenheimerFunds Legacy Program Tremont Capital Management, Inc.

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. William Glavin, CEO Martha B. Willis, Chief Mktg. Officer Jeaneen Pisarra, VP/Dir.-Media Rel. Darren Walsh, Pres., Svcs. Jerry A. Webman, Chief Economist/Sr. Investment Officer Richard W. Knott, Pres., OppenheimerFunds Distributor, Inc. Christopher Leavy, Chief Investment Officer-Equities/Sr. VP John V. Murphy, Chmn. William C. Carey, Exec. VP/Head-Dist.

Phone: 212-323-0200 Fax: 212-323-4070 Toll-Free: 888-470-0862 Address: 225 Liberty St., 2 World Financial Center, New York, NY 10281 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company: MASSACHUSETTS MUTUAL LIFE INSURANCE CO




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International:



PACIFIC INVESTMENT MANAGEMENT COMPANY (PIMCO) www.pimco.com Industry Group Code: 523920 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y Y


Y Y Y

Profits:





TYPES OF BUSINESS: Mutual Funds Bond Funds Separate Accounts

Pacific Investment Management Company (PIMCO) is a global bond fund and other fixed-income manager, and a subsidiary of Allianz, one of the world’s largest insurers and financial groups with over 60 million customers and numerous subsidiaries and affiliates operating in 70 countries. PIMCO has over $790 billion in assets under management. The firm offers three investment areas: separate accounts, open-end institutional mutual funds and open-end individual mutual funds. Most separate accounts require a minimum investment of $75 million, and are intended for corporate pension plans, foundations, endowments, public retirement plans, corporate treasury departments, financial intermediaries, high net worth individuals and global institutional investors. The open-end institutional mutual funds require a minimum investment of $5 million, and include the PIMCO Managed Funds and PIMCO Variable Insurance Trust. PIMCO oversees over 60 mutual funds through open-end funds for individuals and institutions and specialty closed-end mutual funds, including the PIMCO Total Return Fund. Open-end individual mutual funds require a minimum investment of $5,000 and include the PIMCO and Sub-Advisor Managed Funds. Closed-end products include PIMCO Commercial Mortgage and PIMCO Strategic Global Government Fund. Retail mutual funds are distributed through Allianz Global Investors Distributors LLC. PIMCO has offices in Newport Beach, New York, Singapore, Tokyo, London, Sydney, Munich, Toronto, and Hong Kong.

BRANDS/DIVISIONS/AFFILIATES: Allianz SE PIMCO Total Return Fund PIMCO Managed Funds PIMCO Variable Insurance Trust Allianz Global Investors Distributors LLC PIMPCO Global Advantage Bond Index

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Mohamed A. El-Erian, CEO Douglas Hodge, COO Mohamed El-Erian, Co-CIO Mark Porterfield, Media Rel. Anne Gudefin, Exec. VP/Mgr.-Global Equities Portfolio Richard Weil, Head-Advisory Rod Dubitsky, Exec. VP Bill Gross, Co-CIO/Exec. VP

Phone: 949-720-6000 Fax: 949-720-1376 Toll-Free: 866-746-2602 Address: 840 Newport Center Dr., Newport Beach, CA 92660 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company: ALLIANZ SE




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



PACIFIC MUTUAL HOLDING CO

www.pacificlife.com



Y Y


Y Y

Profits: 8





TYPES OF BUSINESS: Life Insurance Annuities Real Estate Consulting Health Insurance Investment Management Employee Benefit Plans Aircraft Financing & Leasing

Pacific Mutual Holding Co. provides life insurance products, individual annuities, mutual funds and group employee benefits to companies and individuals. The company conducts business through its subsidiary Pacific LifeCorp (PLC) and PLC's subsidiary Pacific Life Insurance Co. Pacific Life Insurance is one of the largest life insurance companies in the nation and a leader in California. The firm counts more than half of the 100 largest U.S. companies as clients. Pacific Life operates through four major divisions: life insurance; investment management; annuities and mutual funds; and real estate. The life insurance division provides families and businesses with universal, variable, indexed, joint and last survivor, interest-sensitive and term life insurance. The investment management division provides annuity contracts, funding, private equity and money market advisory services. The annuities and mutual funds business offers a variety of financial services, including 401(k)s and 529 college savings plans. The real estate division supplies fixed- and floating-rate mortgage loans as well as real estate equity. Subsidiaries include the Aviation Capital Group, which works with the leasing and procurement of jet aircraft for airlines; Pacific Asset Funding, a logistics and credit risk management service; Pacific Life Re, a specialty life reinsurer; and College Savings Bank, which provides certificates of deposit for future tuition payments. Pacific Mutual offers its employees medical, dental and prescription drug plans; a health care reimbursement account; life and disability coverage; a dependent care reimbursement account; and elective vacations.

BRANDS/DIVISIONS/AFFILIATES: Pacific LifeCorp Pacific Life Insurance Co. Aviation Capital Group Pacific Asset Funding Pacific Life Re College Savings Bank

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. James T. Morris, CEO James T. Morris, Pres. Khanh T. Tran, CFO/Exec. VP Anthony J. Bonno, Sr. VP-Human Resources Anthony J. Bonno, Sr. VP-Facilities & Corp. Tech. Joseph Celentano, Sr. VP-Prod. Mgmt. Sharon A. Cheever, General Counsel/Sr. VP Mary Ann Brown, Sr. VP-Corp. Dev. Robert G. Haskell, Sr. VP-Public Affairs Edward R. Byrd, Chief Acct. Officer/Sr. VP Henry (Hank) M. McMillan, Chief Risk Officer/Sr. VP Andrew Oleksiw, Sr. VP-Bus. Dev. David Howell, CEO-Pacific Life Re Michael A. Bell, Exec. VP-Life Insurance Div. James T. Morris, Chmn.

Phone: 949-219-3011 Fax: 949-219-7614 Toll-Free: 800-800-7646 Address: 700 Newport Center Dr., Newport Beach, CA 926606397 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Mutual Company 2008 Sales: $5,252,000 2008 Profits: $534,000 Int’l Ticker: Int’l Exchange: 2007 Sales: $5,049,000 2007 Profits: $ Employees: 2006 Sales: $5,196,000 2006 Profits: $614,000 Fiscal Year Ends: 12/31 2005 Sales: $6,421,000 2005 Profits: $ Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



PERELLA WEINBERG PARTNERS LP Industry Group Code: 523110 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y


Y

www.pwpartners.com Profits:


Y


Y Y



TYPES OF BUSINESS: Investment Banking Asset Management Corporate Advisory Services

Perella Weinberg Partners LP is a provider of corporate advisory and asset management services. Perella Weinberg’s advisory business offers clients independent advice and transaction analysis, including mergers and acquisitions, exclusive sales, defense advisory and financial restructuring. The company’s mergers and acquisitions practice focuses on advising both public and private companies and other global institutions, with a particular emphasis on major industry leaders. The firm’s financial restructuring practice focuses on advising companies and investors in turn-around and distressed situations. Perella Weinberg’s asset management activities, controlling assets of roughly $5.34 billion, include a diversified suite of alternative investment strategies as well as comprehensive investment solutions based on the large endowment investment model. Perella Weinberg invests in most major asset classes on a global basis, including equities; distressed securities; private investments; fixed income; asset based securities; and real estate. The firm provides its services to a spectrum of institutional clients, including some of the world’s leading corporations, public pension funds, endowments, private pension funds, foundations and major financial institutions. The company has offices in New York, Austin, Denver, San Francisco and London.


CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Joseph R. Perella, CEO Peter A. Weinberg, Partner Amr M. Nosseir, Partner Michael A. Kramer, Partner Philip Friedman, Partner Joseph R. Perella, Chmn.

Phone: 212-287-3200 Fax: 212-287-3201 Toll-Free: Address: 767 Fifth Ave., New York, NY 10153 US

FINANCIALS:





Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest:

Southeast:


Northeast: Y

International: Y



PERSHING LLC

www.pershing.com



Y Y


Y

Profits:



Y Y Y



TYPES OF BUSINESS: Investment Management Solutions Securities Processing Trading & Operations Management Investment Technology Investment Research & Services Annuities & Mutual Funds Managed Account Programs Brokerage & Asset Management Services

Pershing LLC, with assets of more than $747.6 billion, is the securities clearing, execution and settlement segment of Bank of New York Mellon Corp. The company does business in over 60 markets and offers services and technologies in the investment market to more than 300 financial organizations worldwide. The firm provides investment research, investor services, mutual funds, managed account programs and other brokerage and asset management services. Through its thought leadership program, Ideas Without Limited, the company offers strategies and ideas gathered from independent studies and white papers to investment professionals, investment advisors and financial organizations. Pershing also offers business tools, which include customer billing support; BondCentral, an online fixed income trading platform; EasyPay, a checking account to brokerage account transfer service; and Fixed Income Portfolio Solutions, a suite of services revolving around fixed income investment. Pershing Prime Services, the company’s prime brokerage affiliate, offers fund managers, money managers, and other financial organizations a range of trading services, securities lending and business consulting solutions. Pershing Limited, a London-based subsidiary, provides support to both institutional and retail firms. Pershing Advisor Solutions LLC focuses exclusively on the needs of registered investment advisors. Other affiliated companies include iNautix USA, a consulting and technology company that provides outsourcing solutions to financial institutions, and Lockwood Advisors, Inc., which offers research, asset allocation recommendations and portfolio design services. The firm has regional offices in Massachusetts, North Carolina, New Jersey, Illinois, California, Florida, New York, Pennsylvania and Arizona, and international offices in England, India, Australia, Singapore and Ireland. Employees are offered medical, dental and vision insurance; life insurance; tuition assistance; flexible spending accounts; life insurance; travel accident insurance; AD&D insurance; disability coverage; an employee assistance program; a 401(k) savings plan; back up child care; financial counseling; on-site flu shots and health screenings; and vendor discounts.

BRANDS/DIVISIONS/AFFILIATES: Bank of New York Mellon Corp Pershing Limited Pershin Advisor Solutions LLC Pershing Prime Services iNautix USA Lockwood Advisors, Inc. Nexus Loans Fixed Income Portfolio Solutions

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Rich Brueckner, CEO Brian Shea, COO Brian Shea, Pres. Dennis Wallestad, CFO/Managing Dir. Sharon Simmers, Managing Dir.-People Svcs. Unit Suresh Kumar, CIO/Managing Dir. Yvonne Young, Managing Dir.-Tech. Group Ron DeCicco, Chief Admin. Officer/Managing Dir. Gary Lischin, General Counsel/Managing Dir. Lisa Dolly, Dir.-Oper. Francis La Salla, Managing Dir.-Corp Dev. & Global Securities Svcs. Charles van der Merwe, CEO-Pershing Ltd. James Crowley, Managing Dir.-National Consumers Group Mark Tibergien, CEO-Pershing Advisor Solutions LLC Jim Seuffert, CEO-Pershing Managed Acct. Solutions Rich Brueckner, Chmn.

Phone: 201-413-2000 Fax: 201-413-0934 Toll-Free: Address: 1 Pershing Plaza, Jersey City, NJ 07399 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company: BANK OF NEW YORK MELLON CORP




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



PHOENIX COMPANIES INC (THE)

www.phoenixwm.com



Y Y


Y Y

Profits: 18




Y


TYPES OF BUSINESS: Insurance-Life Mutual Funds Annuities Brokerage Services Wealth Management Trust Services Investment

The Phoenix Companies, Inc. is a provider of wealth management products and services designed specifically for affluent and high-net-worth clients. Through a variety of select advisors and financial services firms, the company serves the accumulation, preservation and wealth transfer needs of individuals and families, business owners, senior corporate executives and institutions. Phoenix’s primary subsidiaries include PHL Variable Insurance Company, Phoenix Life Insurance Company and AGL Life Assurance Company. The company offers life insurance, annuities, asset management, trust services and private placement through the Philadelphia Financial Group. Products offered by the company include universal life insurance; variable universal life insurance; term life insurance; variable annuities; immediate annuities; and private placement life insurance and annuities. The firm currently has $62.3 billion of net life insurance in force and $6.9 billion of annuity assets under management. In January 2009, the company completed its spin off of former subsidiary, Virtus Investment Partners, Inc. In August 2009, the firm launched a first-to die universal life insurance product that covers two lives under one payment. The product, Phoenix Joint Advantage Universal Life, is geared toward both couples and business partners. Employees are offered a stock purchase plan; a 401(k) plan; benefits for same-sex domestic partners; paternity leave; adoption assistance; flexible spending accounts; and disability program.

BRANDS/DIVISIONS/AFFILIATES: Philadelphia Financial Group PHL Variable Insurance Company Phoenix Life Insurance Company AGL Life Assurance Company Phoenix Joint Advantage Universal Life

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. James D. Wehr, CEO James D. Wehr, Pres. Peter A. Hofmann, CFO/Sr. Exec. VP Edward W. Cassidy, Exec. VP-Life & Annuity Sales Bonnie J. Malley, Exec. VP-Human Resources Walter H. Zultowski, Sr. VP-Research & Concept Dev. Deborah M. Zawisza, CIO/Sr. VP Thomas Buckingham, Sr. VP-Prod. Dev. Bonnie J. Malley, Exec. VP-Corp. Admin. John T. Mulrain, General Counsel/Sr. VP/Sec. Edward W. Cassidy, Exec. VP-Oper. Michele U. Farley, Sr. VP-Corp. Comm. David R. Pellerin, Sr. VP-Chief Risk Officer Phillip K. Polkinghorn, Sr. Exec. VP/Pres., Life & Annuity George R. Aylward, Sr. Exec. VP/Pres., Asset Mgmt. John V. LaGrasse, Exec. VP-Alternative Retirement Solutions Thomas S. Johnson, Chmn.

Phone: 860-403-5000 Fax: 860-403-5534 Toll-Free: Address: 1 American Row, Hartford, CT 06102-5056 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: PNX 2008 Sales: $2,008,300 2008 Profits: $-726,000 Int’l Ticker: Int’l Exchange: 2007 Sales: $2,572,800 2007 Profits: $123,900 Employees: 2006 Sales: $2,578,000 2006 Profits: $99,900 Fiscal Year Ends: 12/31 2005 Sales: $2,608,900 2005 Profits: $108,400 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International:



PINEBRIDGE GLOBAL INVESTMENTS LLC Industry Group Code: 523920 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y Y


Y

www.pinebridge.com

Profits:


Y


Y



TYPES OF BUSINESS: Investment Advisory Listed Equities Hedge Fund Management Alternative Investments Private Equities Fixed Income

PineBridge Global Investments LLC, formerly AIG Investments and doing business as PineBridge Investments, is an international group of investment companies that provide investment advice, financial products and asset management services. The firm has $89.7 billion in assets under management and operations in 32 countries. It invests in three asset classes: equities, fixed income and alternative investments. The company’s equities investment business is organized along three platforms: developed markets, emerging markets and structured equities. Its fixed income asset classes include emerging markets; high-yield; investment grade, structured and securitized products; and structured loans. PineBridge’s alternative investments include 32 private equity funds and investments with over 100 hedge fund managers. The firm lists corporations; financial institutions and intermediaries; insurance companies; public sector pension programs and Taft-Hartley plans; non-profit organizations, endowments and foundations; ultra-high-net-worth individuals and family offices; government entities and sovereign wealth funds; consultants; and individual investors among its clients. Roughly 43% of its clients are institutional; 33%, affiliated with AIG; and 25%, retail. The firm was formed following the September 2009 sale of a portion of AIG’s investment advisory and asset management business to Bridge Partners, L.P., a subsidiary of Pacific Century Group (PCG).

BRANDS/DIVISIONS/AFFILIATES: Pacific Century Group AIG Investments Bridge Partners, L.P. PineBridge Global Investments LLC

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Win J. Neuger, CEO Amy Pappas, CFO Connie B. Miller, Head-Human Resources Hans K. Danielsson, Sr. Managing Dir. Robert T. Thompson, Sr. Managing Dir.

Phone: 212-770-7000 Fax: 212-770-9491 Toll-Free: 800-706-6661 Address: 70 Pine St., New York, NY 10270 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company: PACIFIC CENTURY GROUP




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



PIONEER INVESTMENT MANAGEMENT USA INC us.pioneerinvestments.com Industry Group Code: 523920 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y Y


Y

Profits:



Y



TYPES OF BUSINESS: Investment Management Mutual Funds Venture Capital Online Services Mining & Timber Investments Real Estate

Pioneer Investment Management USA, Inc. (Pioneer USA), the U.S. subsidiary of Pioneer Global Asset Management S. p. A., is a financial services institution that offers investment management services. The company has approximately $56.4 billion in assets under management. The firm’s products and services include mutual funds, offshore investment options, retirement services, institutional strategies, closed-end funds, structured products and separately managed accounts. Pioneer USA’s original fund, The Pioneer Fund, is one of the oldest mutual funds in the U.S. Parent company Global Asset Management operates in 29 countries; has, including Pioneer USA operations, approximately $254.2 billion in assets under management; offers more than 180 investment funds, separate accounts strategies and alternative investments worldwide; and conducts business primarily out of locations in Boston (Pioneer USA), Singapore and Dublin, Ireland.

BRANDS/DIVISIONS/AFFILIATES: Phoenix Investment Partners, Ltd Pioneer Investment Management Pioneer International Financial Services Pioneer Global Investments UniCredito Italiano SpA

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Daniel Keith Kingsbury, CEO Daniel Keith Kingsbury, Pres. Richard L. Sardelli, Sr. VP-Mktg. Comm. Dorothy Bourassa, General Counsel/Sr. VP Teri W. Anderholm, Chief Compliance Officer

Phone: 617-742-7825 Fax: 800-225-4240 Toll-Free: 800-225-6292 Address: 30 Dan Rd., Canton, MA 02021-2809 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company: UNICREDITO ITALIANO SPA




Y

Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



PIPER JAFFRAY COMPANIES

www.piperjaffray.com


Y


Y Y Y Y


Y

Profits: 25


Y


Y Y



TYPES OF BUSINESS: Investment Banking Venture Capital Health Care Research & Investment Investment Management Investment Research Private Equity Funds

Piper Jaffray Companies provides financial advice, investment products and transaction execution within targeted sectors of the financial services industry. The firm has 29 offices in the U.S., one in London, one in Hong Kong and one in Shanghai. Its operations are broken down into four categories: investment banking; equity and fixed income institutional sales and trading; asset management; and other income. The investment banking segment offers equity and debt financings as well as mergers and acquisitions consultations for corporate clients in eight primary industries: alternative energy, consumer, media/telecommunications, financial institutions, health care, technology, business services and industrial growth. For government and nonprofit clients, it underwrites debt insurances and provides financial advisory and interest rate risk management services. Its public finance investment banking capabilities tend to focus on state and local governments; hospitality; commercial real estate; healthcare; higher education; and housing. Piper Jaffray’s equity and fixed income segment offers trade execution and equity/fixed income advisory services for nonprofit clients, institutional investors, public entities, public corporations and private corporations. The firm’s asset management division primarily operates through subsidiary Fiduciary Asset Management, LLC (FAMCO). FAMCO, which has approximately $5.9 billion under management, offers separately managed accounts and closed-end funds. It provides an array of investment products including master limited partnerships; traditional, quantitative and hedge equity; and fixed income. The company also offers asset management through subsidiaries Piper Jaffray Private Capital LLC and Piper Jaffray Investment Management LLC. Piper Jaffray’s other income segment includes gains and losses from investments in private equity and venture capital funds as well as other firm investments. Employees of Piper Jaffray receive benefits such as medical, dental and vision benefits; life and disability insurance; a 401(k); profit sharing; tuition reimbursement; adoption assistance; a mother’s room for nursing mothers; paid time off; and discounts on financial products and services.

BRANDS/DIVISIONS/AFFILIATES: Piper Jaffray Private Capital LLC Piper Jaffray Investment Management LLC Fiduciary Asset Management LLC

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Andrew S. Duff, CEO Thomas P. Schnettler, COO Thomas P. Schnettler, Pres. Debbra L. Schoneman, CFO R. Todd Firebaugh, Chief Admin. Officer James L. Chosy, General Counsel/Sec. Maureen Decker, Head-Bus. Dev., FAMCO Jennifer A. Olson-Goude, Dir.-Investor Rel. Frank L. Fairman, Head-Public Finance Svcs. Robert W. Peterson, Head-Equities Jon W. Salveson, Head-Investment Banking David Wilson, CEO-Piper Jaffray Ltd. Andrew S. Duff, Chmn. Alex Ko Po Ming, CEO-Piper Jaffray Asia

Phone: 612-303-6000 Fax: 612-303-8199 Toll-Free: 800-333-6000 Address: 800 Nicollet Mall, Ste. 800, Minneapolis, MN 55402 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: PJC 2008 Sales: $7,625 2008 Profits: $-182,975 Int’l Ticker: Int’l Exchange: 2007 Sales: $182,497 2007 Profits: $21,943 Employees: 1,036 2006 Sales: $535,237 2006 Profits: $235,253 Fiscal Year Ends: 12/31 2005 Sales: $814,800 2005 Profits: $40,100 Parent Company:




Profit Sharing: Y


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast:


Northeast: Y

International: Y



PMI GROUP INC (THE)

www.pmigroup.com




Profits: 12



Y



TYPES OF BUSINESS: Insurance-Financial Guaranty Mortgage Insurance & Reinsurance Structured Finance Insurance

The PMI Group, Inc. provides financial products for residential mortgages, public finance obligations and assetbacked securities. Products include mortgage insurance and reinsurance; structured finance solutions; and financial guaranty. The company operates in four segments: U.S. mortgage insurance operations; international operations; financial guaranty; and corporate and other. The U.S. mortgage insurance operations segment, through PMI Mortgage Insurance Co., offers mortgage insurance and structured financial products to meet the capital and credit risk mitigation needs of its customers the U.S. market. CMG Mortgage Insurance Company, a 50%-owned joint venture, provides mortgage insurance exclusively to credit unions. The international segment consists of PMI Europe and PMI Canada. PMI Europe has since ceased operations to conserve capital, and the firm is in the process of closing PMI Canada. The financial guaranty segment includes the company’s investment in RAM Holdings Ltd. and FGIC Corporation, whose subsidiary Financial Guaranty Insurance Company provides financial guaranty insurance for public finance and structured finance obligations. Both RAM Holdings Ltd. and FGIC Corporation have both ceased operations. The corporate and other segment consists of corporate debt and expenses of the company. It also focuses on contract underwriting operations and equity in earnings or losses from investments in certain limited partnerships. In October 2008, the company sold its Australian operations (PMI Australia) to QBE Insurance Group Limited for $920 million. In December of the same year, the firm sold its Asia operations (PMI Asia) to QBE Lenders’ Mortgage Insurance Limited for $51.6 million. Employees are offered medical, dental and vision insurance; life insurance; disability coverage; an employee assistance program; domestic partner benefits; a pension plan; a 401(k) plan; an employee stock purchase plan; flexible spending accounts; a first-time homebuyer program; onsite yoga classes; adoption reimbursement; and tuition reimbursement.

BRANDS/DIVISIONS/AFFILIATES: PMI Mortgage Insurance Co. PMI Europe PMI Canada CMG Mortgage Insurance Company FCIG Group

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. L. Stephen Smith, CEO Donald P. Lofe, Jr., CFO/Exec. VP Charles F. Broom, Sr. VP-Human Resources & Organizational Dev. Donald P. Lofe, Jr., Chief Admin. Officer Andrew D. Cameron, General Counsel/Exec. VP/Sec. David Berson, Chief Strategist & Economist/Sr. VP Tom Taggart, VP-Public Rel. Bill Horning, VP-Investor Rel. Thomas H. Jeter, Chief Acct. Officer/Corp. Controller/Sr. VP Ray D. Chang, Corp. Treas./Sr. VP Lloyd A. Porter, Chief Enterprise Risk Officer/Exec. VP Joanne M. Berkowitz, Chief Insurance Oper. Officer/Exec. VP David H. Katkov, Chief Bus. Officer/Exec. VP L. Stephen Smith, Chmn.

Phone: 925-658-7878 Fax: 925-658-6931 Toll-Free: 800-280-4764 Address: 3003 Oak Rd., Walnut Creek, CA 94597 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: PMI 2008 Sales: $907,787 2008 Profits: $-928,508 Int’l Ticker: Int’l Exchange: 2007 Sales: $923,185 2007 Profits: $-915,326 Employees: 736 2006 Sales: $868,344 2006 Profits: $419,651 Fiscal Year Ends: 12/31 2005 Sales: $1,019,898 2005 Profits: $409,169 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



PNC FINANCIAL SERVICES GROUP INC Industry Group Code: 522110 Ranks within this company's industry group: Sales: 34 Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y


Y

www.pnc.com

Profits: 28


Y


Y Y



TYPES OF BUSINESS: Retail Banking Corporate & Institutional Banking Investment Management Asset Management Global Investment

PNC Financial Services Group, Inc. is a financial services company with assets totaling over $291 billion. The firm offers a range of services, including retail banking; corporate and institutional banking; risk management; investment system outsourcing; financial advisory services; global investment services; and asset management services. The retail banking provides deposit, lending, brokerage, trust, investment management and cash management services to roughly 6 million consumer and small business customers through 2,589 branches in 14 states, online services and 6,400 ATM machines. PNC’s corporate and institutional banking provides lending, treasury management and capital markets products and services to mid-sized corporations, government entities and to large corporations. PNC owns 33% of BlackRock, Inc., which is one of the largest publiclytraded investment management firms in the U.S. with $1.3 trillion of assets. It manages assets on behalf of institutional and individual investors globally through a variety of fixed income, cash management, equity and balanced and alternative investment separate accounts and funds. In addition, BlackRock provides risk management, investment system outsourcing and financial advisory services to institutional investors. PNC Global Investment Servicing provides processing, technology and business intelligence services to PNC’s international client base of asset managers, broker/deals and financial advisors. The asset management group consists of PNC Wealth Management and PNC Capital Advisors, Inc. PNC Wealth Management offers investments, private banking and brokerage services to affluent individuals and families. PNC Capital Advisors, Inc. is a multi-strategy investment management organization that provides risk management services. The asset management group manages approximately $100 billion in assets, serving clients from 87 offices in 14 states and Washington, D.C. Recently, PNC acquired National City, which it purchased for approximately $6.1 billion.

BRANDS/DIVISIONS/AFFILIATES: BlackRock, Inc. PFPC National City Corporation

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. James E. Rohr, CEO Joseph C. Guyaux, Pres. Richard J. Johnson, CFO Joan L. Gulley, Chief Human Resources Officer Helen P. Pudlin, General Counsel Thomas K. Whitford, Vice Chmn. Timothy G. Shack, Vice Chmn. Robert Riley, Exec. VP John J. Wixted, Jr., Sr. VP James E. Rohr, Chmn.

Phone: 412-762-2000 Fax: 412-762-7829 Toll-Free: 888-762-2265 Address: 249 5th Ave., 1 PNC Plz., Pittsburgh, PA 15222 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: PNC 2008 Sales: $9,886,000 2008 Profits: $882,000 Int’l Ticker: Int’l Exchange: 2007 Sales: $10,088,000 2007 Profits: $1,467,000 Employees: 51,362 2006 Sales: $11,146,000 2006 Profits: $2,595,000 Fiscal Year Ends: 12/31 2005 Sales: $7,937,000 2005 Profits: $1,325,000 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



PRINCIPAL FINANCIAL GROUP (THE) Industry Group Code: 524113 Ranks within this company's industry group: Sales: 13 Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y Y


Y Y Y

www.principal.com Profits: 10





TYPES OF BUSINESS: Asset Management Life Insurance Health Insurance Annuities Disability Insurance Investment Services Specialty Benefits Insurance

The Principal Financial Group is a leading provider of retirement savings, investment and insurance products and services. It holds a total of $257.7 billion in assets, which it manages for approximately 18.8 million customers throughout the world. The company is organized into four primary business segments: U.S. asset management; global asset management; international asset management and accumulation; and life and health insurance. Its flagship unit is Principal Life Insurance Co., which provides life, health, dental and disability insurance. The firm’s U.S. and international operations concentrate on asset accumulation and management, additionally offering individual and group life insurance; group health insurance; and individual and group disability insurance. Principal Financial Group focuses primarily on small and medium sized businesses, which it defines as companies with less than 1,000 employees. The U.S. asset management segment consists of asset management operations, which provide retirement savings and related investment products and services to businesses, their employees and other individuals. The global asset management segment consists of Principal Global Investors and its affiliates, which focus on providing a range of asset management services covering a broad range of asset classes, investment styles and portfolio structures to Principle Financial Group’s other segments and third-party institutional clients. The international asset management and accumulation division consists of Principal International, which has operations in Chile, Mexico, Hong Kong, Brazil, India, Indonesia, China, Singapore and Malaysia. The life and health insurance segment offers individual life and disability insurance as well as group health insurance, group dental, group vision, group life and group long-term and short-term disability insurance in the U.S. In August 2009, the company offered a new feature which allows clients with retirement accounts to access their account information through text messages and iGoogle home pages. Employees are offered medical, dental and vision insurance; flexible spending accounts; disability coverage; life insurance; and banking benefits.

BRANDS/DIVISIONS/AFFILIATES: Principal Life Insurance Co. Principal Financial Services, Inc. Principal International, Inc.

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Larry D. Zimpleman, CEO Larry D. Zimpleman, Pres. Terrance Lillis, CFO/Sr. VP Mary A. O'Keefe, Chief Mktg. Officer/Sr. VP Ralph C. Eucher, Sr. VP-Human Resources Gary P. Scholten, CIO/Sr. VP Karen E. Shaff, General Counsel/Exec. VP Thomas J. Graf, Sr. VP-Investor Rel. Greg Elming, Controller/Sr. VP James P. McCaughan, Pres., Principal Global Investors Julia M. Lawler, Chief Investment Officer/Sr. VP Joh E. Aschenbrenner, Pres., Insurance & Financial Svcs. Ellen Z. Lamale, Chief Risk Officer/Sr. VP Larry D. Zimpleman, Chmn.

Phone: 515-247-5111 Fax: 515-246-5475 Toll-Free: 800-986-3343 Address: 711 High St., Des Moines, IA 50392 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: PFG 2008 Sales: $9,935,900 2008 Profits: $458,100 Int’l Ticker: Int’l Exchange: 2007 Sales: $10,906,500 2007 Profits: $860,300 Employees: 16,234 2006 Sales: $9,873,100 2006 Profits: $1,064,300 Fiscal Year Ends: 12/31 2005 Sales: $9,041,700 2005 Profits: $919,000 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



PROTECTIVE LIFE CORP

www.protective.com



Y


Y

Profits: 14





TYPES OF BUSINESS: Insurance-Life Credit & Disability Insurance Vehicle & Marine Insurance Retirement Products Annuity Products Guaranteed Investment Contracts

Protective Life Corp. is a holding company that offers an array of insurance and investment products. These products are provided through four main subsidiaries: Protective Life Insurance Company; West Coast Life Insurance Company; Protective Life and Annuity Insurance Company; and Lyndon Property Insurance. The company operates through six segments: life marketing; acquisitions; annuities; stable value products; asset protection; and corporate and other. Its life marketing segment markets level premium term insurance, universal life, variable universal life and bank-owned life insurance products through a network of independent insurance agents, brokerage general agencies, regional stockbrokers and banks. Protective Life’s acquisitions segment acquires, converts and services policies, primarily individual life insurance, from other companies. Its annuities segment manufactures, sells and supports fixed and variable annuity products. The firm’s stable value products segment markets guaranteed funding agreements; and fixed and floating rate funding agreements directly to the trustees of municipal bond proceeds, institutional investors, bank trust departments and money market funds. The asset protection segment markets credit life and disability insurance; and vehicle and marine extended service contracts. This segment also sells inventory protection and guaranteed asset protection products. The company’s corporate and other segment consists of earnings from lines of business that the company is not actively marketing, such as cancer insurance. In November 2008, Protective Life Insurance Company and West Coast Life Insurance Company released The Protective Term Income Provider and the West Coast Life Income Replacement Term, both of which are term life insurance policies that provide designated beneficiaries with a guaranteed income stream death benefit. In July 2009, these two subsidiaries launched The Return of Substandard Charges Option Rider, which offers incentives for clients who outlive their estimated life expectancies. The company offers employees an assistance program; tuition reimbursement; medical and dental insurance; adoption assistance; and scholarships for dependents.

BRANDS/DIVISIONS/AFFILIATES: Protective Life Insurance Company Lyndon Property Insurance Protective Life & Annuity Insurance Company West Coast Life Insurance Company

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. John D. Johns, CEO Carolyn M. Johnson, COO/Exec. VP John D. Johns, Pres. Richard J. Beilen, CFO/Vice Chmn. Eric Miller, VP/Dir.-Nat'l Mktg. D. Scott Adams, Chief Human Resources Officer/Sr. VP Deborah J. Long, General Counsel/Exec. VP/Sec. Carolyn King, Sr. VP-Corp. Dev. & Acquisitions Eva Robertson, VP-Investor Rel. Steven G. Walker, Controller/Chief Acct. Officer/Sr. VP Carl S. Thigpen, Exec. VP/Chief Investment Officer Brent E. Griggs, Sr. VP-Asset Protection Judy Wilson, Sr. VP-Stable Value Products Edward M. Berko, Exec. VP/Chief Risk Officer John D. Johns, Chmn.

Phone: 205-268-1000 Fax: 205-268-3196 Toll-Free: 800-866-3555 Address: 2801 Hwy. 280 S., Birmingham, AL 35223 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: PL 2008 Sales: $2,505,564 2008 Profits: $-41,855 Int’l Ticker: Int’l Exchange: 2007 Sales: $3,051,700 2007 Profits: $289,566 Employees: 2,372 2006 Sales: $2,679,133 2006 Profits: $281,561 Fiscal Year Ends: 12/31 2005 Sales: $2,109,204 2005 Profits: $246,567 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International:



PROVIDENCE EQUITY PARTNERS LLC Industry Group Code: 523910 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:



www.provequity.com

Profits:




Y



Providence Equity Partners LLC is a leading global private equity firm that specializes in equity investments in media, entertainment, communications and information companies. The company manages seven funds with total committed capital of over $22 billion, and since its creation in 1989 has invested in over 100 companies around the world. The firm partners with companies across different stages of development, from growth capital and recapitalization of family-owned businesses to large buyouts, and offers a variety of financing structures that target equity investments between $250 million to $2.5 billion. The company offers North American, European and Asian portfolios, and has offices on these three continents as well. The company’s current portfolio holdings include stakes in Nextag; Stream Global Services; Trilogy International Partners; Univision Communications; Kerasotes Theaters; Yankees Entertainment and Sports Network; and World Triathlon Corporation.


CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Jonathan Nelson, CEO Gary Weinstein, COO Raymond Mathieu, CFO Lindsey Mead, VP-Recruiting & Human Capital Julie Fisher, Managing Dir.-Investor Rel. Alex X. Chen, VP Biswajit Subramanian, Managing Dir./Head-Indian Investments John Hahn, Managing Dir./Head-European Investments Sean Tong, Managing Dir.-Hong Kong

Phone: 401-751-1700 Fax: 401-751-1790 Toll-Free: Address: 50 Kennedy Plaza, 18th Fl., Providence, RI 02903 US

FINANCIALS:





Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



PRUDENTIAL FINANCIAL INC

www.prudential.com


Y


Y Y Y


Y Y Y

Profits: 22





TYPES OF BUSINESS: Insurance-Life Property & Casualty Insurance Asset Management, Pension & Benefit Plans Brokerage Services Relocation Services

Prudential Financial, Inc. provides insurance, investment management and other financial products and services to individual and institutional customers worldwide. It operates in three divisions: U.S. Retirement Solutions and Investment Management; U.S. Individual Life and Group Insurance; and International Insurance and Investments. The Retirement Solutions and Investment division is composed of three segments: individual annuities, which manufactures and distributes individual variable and fixed annuity products; retirement, which provides retirement investment and income products; and asset management, which provides investment management and advisory services. The Individual Life and Group Insurance division is composed of two segments: individual life, which manufactures and distributes individual variable life, term life and universal life insurance products, and group insurance, which manufactures and distributes group life, long-term and shortterm group disability, long-term care and group corporateand trust-owned life insurance products. This division operates through the Prudential Insurance Company of America, the firm’s major subsidiary. The International division operates through two divisions: international insurance, which distributes individual life insurance products in Japan, Korea and other countries outside the U.S., and international investments, which offers proprietary and nonproprietary asset management, investment advice and services to international retail and institutional clients. The firm also operates Prudential Real Estate and Relocation Services, a real estate brokerage and relocation services business. All of the company’s operations are divided into either Financial Services Businesses, which are publicly traded on the New York Stock Exchange, or Closed Block Businesses, which represent a former operating division. The company has approximately $580 billion in assets under management. In May 2009, Prudential’s Gibraltar Life subsidiary acquired Yamato Life, a Japanese life insurance company. Prudential offers its employees medical coverage, dental and vision plans; wellness screenings; an employee savings plan; a cash balance plan; tuition assistance; flexible spending accounts; an employee assistance program; and flexible work arrangements.

BRANDS/DIVISIONS/AFFILIATES: Prudential Insurance Company of America (The) Prudential Real Estate and Relocation Services Prudential Real Estate Affiliates, Inc. Yamato Life Gibraltar Life

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. John Strangfeld, CEO John Strangfeld, Pres. Richard J. Carbone, CFO/Exec. VP Sharon C. Taylor, Sr. VP-Corp. Human Resources Susan L. Blount, General Counsel/Sr. VP Robert C. Golden, Exec. VP-Oper. Bob DeFillippo, Head-Global Comm. Bernard B. Winograd, Exec. VP/COO-U.S. Bus. Helen M. Galt, Chief Risk Officer/Sr. VP Margaret M. Foran, Chief Governance Officer/VP/Sec. Robert C. Golden, Exec. VP-Systems John Strangfeld, Chmn. Edward P. Baird, Exec. VP/COO-Int'l Bus.

Phone: 973-802-6000 Fax: 973-367-6476 Toll-Free: 877-998-7625 Address: 751 Broad St., Newark, NJ 07102 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: PRU 2008 Sales: $29,275,000 2008 Profits: $-1,073,000 Int’l Ticker: Int’l Exchange: 2007 Sales: $34,401,000 2007 Profits: $3,704,000 Employees: 41,844 2006 Sales: $32,268,000 2006 Profits: $3,428,000 Fiscal Year Ends: 12/31 2005 Sales: $31,599,000 2005 Profits: $3,540,000 Parent Company:




Profit Sharing:


Bonus: $3,300,000 Bonus: $2,750,000


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



PRUDENTIAL PLC

www.prudential.co.uk



Y Y


Y Y Y

Profits: 17





TYPES OF BUSINESS: Insurance-Life Property & Casualty Insurance Banking Products Fund Management Pensions Annuities E-Commerce Services Mutual Funds

Prudential plc is an international financial services group that provides retail financial services and fund management in the U.K., U.S. and Asia. The group’s four main business units are Prudential Corporation Asia, Jackson National Life Insurance Company, Prudential UK & Europe and M&G. Its products include long-term insurance and asset accumulation products such as life insurance, pensions and annuities, retail investment and unit trust products, fund management services and banking products. The company distributes these products primarily through independent financial advisers, bank branches and direct marketing. In the U.K., Prudential is one of the largest providers of life insurance and pensions, with over 7 million customers. M&G Investments functions independently, operating its own retail fund business as well as performing asset management for Prudential in Europe. In the U.S., Prudential works through Jackson National Life Insurance Company to offer insurance products such as fixed, equity-indexed and variable annuities, life insurance, guaranteed investment contracts and funding agreements. Prudential Corporation Asia (PCA) provides life insurance and funds management. PCA offers life insurance with accident and health options, selected personal lines property and casualty insurance and mutual funds. Its insurance products are distributed mainly through an agency sales force, while the majority of mutual funds are sold through banks and brokers.

BRANDS/DIVISIONS/AFFILIATES: Egg Banking PLC Jackson National Life Insurance Company PCA Phoenix Life and Pensions Limited M&G Investments Bank Aljazira Standard Chartered

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Mark Tucker, CEO Tidjane Thiam, CFO Jon Bunn, Dir.-Public Rel. James Matthews, Dir.-Investor Rel. Michael McLintock, CEO-M&G Clark Manning, CEO/Pres., Jackson National Life Rob Devey, CEO-Prudential UK & Europe Thibaut Le Maire, Chief Risk Officer Harvey McGrath, Chmn.

Phone: 44-020-7220-7588 Fax: Toll-Free: Address: Laurence Pountney Hill, London, EC4R 0HH UK

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: PUK 2008 Sales: $ 2008 Profits: $-623,300 Int’l Ticker: PRU Int’l Exchange: London-LSE 2007 Sales: $70,401,000 2007 Profits: $1,712,000 Employees: 2006 Sales: $49,204,000 2006 Profits: $1,381,000 Fiscal Year Ends: 12/31 2005 Sales: $70,453,000 2005 Profits: $2,051,200 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



PUTNAM LLC

www.putnam.com



Y Y


Y Y Y

Profits:



Y



TYPES OF BUSINESS: Investment Management Mutual Funds 401(k) & IRA Services Alternative Investments

Putnam LLC, a subsidiary of Great-West Lifeco, Inc., is a global money management firm with nearly $116 billion in assets under management, 190 institutional clients and nearly 8 million shareholders and retirement plan participants. Putnam’s mutual fund assets total $113 billion, while its institutional assets total $72 billion. Founded in 1937, Putnam today offers such investment products as institutional portfolios, 437 401(k) plans, IRAs, 78 mutual funds, 24 variable annuity and variable life product choices and alternative investments for institutions and high-networth investors. Mutual funds are offered in four categories: growth, blend, value and income. The company serves nearly two million individual IRA/Keogh investors through its approximately 72 Putnam funds in Traditional, Roth, SEP, SARSEP and SIMPLE IRAs. It manages annuity subaccounts for The Hartford Financial Services Group and Allstate Life Insurance Company. The company serves customers through its 157 investment professionals in offices in Boston, London and Tokyo. Putnam was acquired from its former parent company Marsh & McLennan Companies by Canada based Great-West Lifeco. Following the acquisition of Putnam, Great-West and its subsidiaries have more than $415 billion in assets under administration. Putnam offers its employees free investments in any Putnam mutual fund; flexible work schedules; a Work@Home program; tuition assistance; student loans; adoption assistance; an employee assistance program; backup child care; a PC discount program; a transportation pass; child care and elder care resource referral; on campus shops, coffee bars, prepared take-home dinners; dry cleaning; corporate discounts; and a shuttle service to all locations. The company also offers pet health insurance, ID theft insurance and spouse and domestic partner insurance additions.

BRANDS/DIVISIONS/AFFILIATES: Great-West Lifeco Inc Hartford Financial Services Group Inc (The) Allstate Life Insurance Company Marsh & McLennan Companies Inc

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Robert Reynolds, CEO Robert Reynolds, Pres. Clare S. Richer, CFO/Sr. Managing Dir. John A. Hill, Chmn.

Phone: 617-292-1000 Fax: 617-482-3610 Toll-Free: 800-225-1581 Address: 1 Post Office Sq., Boston, MA 02109 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company: GREAT-WEST LIFECO INC




Profit Sharing: Y


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International:



R R DONNELLEY CAPITAL MARKETS Industry Group Code: 323 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:



capitalmarkets.rrdonnelley.com

Profits:



Y Y



TYPES OF BUSINESS: Financial Printing Content Management Filings Services Document Distribution Compliance Management Online Financial Information

R. R. Donnelley Capital Markets (RRD-Capital Markets) serves the compliance and marketing communication needs of public corporations. The company works with corporate counsels, officers, directors, securities lawyers, investment bankers and accountants to create, manage, and produce transaction and compliance documents. The firm is a subsidiary of R. R. Donnelley & Sons Co., a full-service global print provider and one of the largest printing companies in North America. RRD-Capital Markets’ services include managing compliance documents and completing EDGAR Filings for public companies for financial activities such as IPOs, mergers and acquisitions, primary and secondary offerings, privatizations, foreign registration filings and proxy statements and cards. RRD-Capital Markets' Transaction Services unit prepares documents for bankruptcies, class-action suits, convertible offerings, reorganizations, high-yield offerings, demutualizations, and more. The company also operates an online resource library which provides industry news, case studies, reference publications, a glossary of industry terms and links to other valuable law, news and reference sites. RRD-Capital Markets offers a secure, hosted, online Virtual Dataroom to simplify marketing, due diligence and question processes associated with merger and acquisition transactions for any computer with Internet access. Employees are offered medical, dental and vision insurance; flexible spending accounts; life insurance; employee accident insurance; disability coverage; a pension plan; a 401(k) plan; an employee stock purchase plan; an employee assistance program; and an adoption assistance program.

BRANDS/DIVISIONS/AFFILIATES: RR Donnelley & Sons Co. Virtual Dataroom

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Thomas J. Quinlan, III, CEO Thomas J. Quinlan, III, Pres. Doug Fitzgerald, Exec. VP-Corp. Comm. Dave Gardella, VP-Investor Rel.

Phone: 312-326-8000 Fax: 312-326-8790 Toll-Free: Address: 111 S. Wacker Dr., Chicago, IL 60606 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company: R R DONNELLEY & SONS CO




Y Y

Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



R R DONNELLEY GLOBAL INVESTMENT MARKETSwww.rrdgim.com Industry Group Code: 323 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:



Profits:



Y Y



TYPES OF BUSINESS: Financial Printing Marketing Communications Filing Services Translation Services Online Filing Tools Graphic Design & Photography Services Logistics

R. R. Donnelley Global Investment Markets is a division of R. R. Donnelley & Sons. The firm serves investment funds, investment companies and variable annuities by assisting them with compliance filings and customer communications. This includes assisting with annual and quarterly reports filings, investor communications, proxy statements, member kits and investor kits. The company helps its clients to keep up to date with changing compliance regulations through the preparation, production and delivery of documents. R. R. Donnelley Global Investment Markets’ document creation assistance includes a network of typesetters, desktop publishers, conversion specialists, proofreaders, and support professionals. The firm also offers a range of Internet-based solutions to speed up document preparation; this includes its proprietary FactNET, an online solution that seamlessly creates, manages, reviews, edits and approves mutual fund fact sheets. The company’s production department offers traditional/offset printing, digital printing and print-on-demand services, which are distributed from centers across North America. In addition, R. R. Donnelley operates a web site that provides information on fund governance and compliance, as well as SEC actions. The firm offers its employees a variety of benefits including life, disability, medical, dental and vision coverage; health and dependent care flexible spending accounts; a pension plan; a 401(k) plan; an employee stock purchase program; an employee assistance program; and adoption assistance.

BRANDS/DIVISIONS/AFFILIATES: RR Donnelley & Sons Co FactNET

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Eric Johnson, Sr. VP Thomas J. Quinlan III, Pres./CEO-R.R. Donnelley & Sons Miles W. McHugh, CFO-R.R. Donnelley & Sons

Phone: 312-326-8000 Fax: 312-326-8790 Toll-Free: 800-424-9001 Address: 111 S. Wacker Dr., Chicago, IL 60606 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company: R R DONNELLEY & SONS CO




Y

Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International:



RADIAN GROUP INC

www.radian.biz




Profits: 9



Y



TYPES OF BUSINESS: Insurance-Financial Guaranty Mortgage Insurance & Services Insurance-Related Services Financial Services Consumer Asset Services

Radian Group, Inc. is a global credit enhancement company focused on domestic residential mortgage insurance. The firm operates in three segments: mortgage insurance, financial guaranty and financial services. The mortgage insurance segment provides credit protection for mortgage lenders and other financial services companies on residential mortgage assets, primarily through traditional mortgage insurance. The company provides these products and services through wholly-owned subsidiaries Radian Guaranty, Inc.; Radian Insurance, Inc.; and Amerin Guaranty Corp. The financial guaranty segment insures and reinsures municipal bonds, structured finance transactions and other credit-based risks, and provides synthetic credit protection on various asset classes through credit default swaps. Major industries served by this segment include telecommunications, financial solutions, insurance, retail and utilities. This segment operates primarily through Radian Asset Assurance, a wholly-owned subsidiary of Radian Guaranty, and Radian Asset Assurance’s subsidiary RAAL, located in the U.K. The financial services segment consists mainly of the company’s 28.7% ownership stake in Sherman Financial Services Group LLC, a consumer asset and servicing firm specializing in credit card and bankruptcy-plan consumer assets. This segment also includes the firm’s 46% interest in Credit-Based Asset Servicing and Securitization LLC (C-BASS), a mortgage investment company whose operations are in run-off. In late 2008, Radian announced a temporary discontinuation of writing any new financial guaranty business, including accepting new financial guaranty reinsurance. The company offers its employees medical, dental and vision insurance; a 401(k) plan; an employee stock purchase plan; life insurance; a pension plan; short- and long-term disability insurance; tuition reimbursement; and an employee assistance program.

BRANDS/DIVISIONS/AFFILIATES: Radian Guaranty, Inc. Radian Insurance, Inc. Amerin Guaranty Corp. Radian Asset Assurance RAAL Sherman Financial Services Group LLC C-BASS

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. S. A. Ibrahim, CEO C. Robert Quint, CFO/Exec. VP Lawrence DelGatto, CIO/Exec. VP Rick Altman, Chief Admin. Officer/Exec. VP Ted Hoffman, General Counsel/Corp. Sec. Terri Williams-Perry, Investor Rel. Cathy Jackson, Controller/Sr. VP Teresa Bryce, Pres., Radian Guaranty, Inc. David J. Beidler, Pres., Radian Asset Assurance, Inc. Paul F. Bognanno, Chmn.-Radian Guaranty Inc. H. Scott Theobald, Exec. VP/Chief Risk Officer-Radian Guaranty, Inc. Herbert Wender, Chmn.

Phone: 215-231-1000 Fax: Toll-Free: 800-523-1988 Address: 1601 Market St., Philadelphia, PA 19103 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: RDN 2008 Sales: $1,808,000 2008 Profits: $-410,600 Int’l Ticker: Int’l Exchange: 2007 Sales: $201,051 2007 Profits: $-1,290,299 Employees: 835 2006 Sales: $1,327,946 2006 Profits: $582,172 Fiscal Year Ends: 12/31 2005 Sales: $1,298,151 2005 Profits: $522,854 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



RAYMOND JAMES FINANCIAL INC

www.raymondjames.com


Y Y


Y Y Y Y Y


Y

Profits: 7


Y


Y



TYPES OF BUSINESS: Stock Brokerage/Investment Banking Trust Services Asset Management Banking

Raymond James Financial, Inc. is a diversified financial services holding company with subsidiaries engaged in investment and financial planning. Services include securities, brokerage, investment banking, asset management, banking and cash management and trust products. The company operates through eight segments: private client group, capital markets, asset management, Raymond James Bank, emerging markets, stock loan/borrow, proprietary capital and other. The private client group provides securities transaction and financial planning services to roughly 1.9 million client accounts through the branch office systems of Raymond James & Associates, Inc.; Raymond James Financial Services, Inc.; Raymond James Financial Services Advisors, Inc.; Raymond James, Ltd.; and Raymond James Investment Services, Ltd. The capital markets segment’s activities consist primarily of equity and fixed income products and services. The asset management segment includes proprietary asset management operations, internally sponsored mutual funds, non-affiliated private account portfolio management alternatives, a national bank and other fee based programs. The Raymond James Bank is a federally chartered savings bank that provides residential, consumer and commercial loans, as well as deposit accounts, to clients of the company’s broker-dealer subsidiaries and to the general public. The emerging markets segment, through Raymond James International Holdings, Inc., currently has interests in join ventures in Latin America. The stock loan/borrow segment borrows and lends securities from and to other broker-dealers, financial institutional and other counterparties. The proprietary capital segment consists of the firm’s principal capital and private equity activities. The Other segment includes various corporate activities. In May 2009, the company acquired Lane, Berry & Co. International, LLC. Employees have access to group health insurance, both traditional and Roth 401(k) plans, annual bonuses, stock purchase plans, and discounts to various local venues. The company also provides profit sharing and employee stock ownership programs, as well as tuition reimbursement for higher education and work-related study.

BRANDS/DIVISIONS/AFFILIATES: Raymond James & Associates, Inc. Raymond James Financial Services, Inc. Raymond James Investment Services, Ltd. Raymond James Bank, FSB Raymond James, Ltd. Raymond James International Holdings, Inc. Raymond James Capital, Inc. Lane, Berry & Co. International, LLC

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Thomas A. James, CEO Chet Helck, COO Paul Reilly, Pres. Jeffrey P. Julien, CFO/Sr. VP-Finance Pam Ward, Sr. VP-Human Resources J. Timothy Eitel, CIO/Sr. VP Angela Biever, Chief Admin. Officer Richard G. Averitt, III, Chmn./CEO-Raymond James Financial Svcs. Paul Allison, Pres./CEO-Raymond James Ltd. Steven Raney, Pres./CEO-Raymond James Bank Dennis Zank, Pres., Raymond James & Associates Thomas A. James, Chmn.

Phone: 727-567-1000 Fax: 727-567-8915 Toll-Free: 800-248-8863 Address: 880 Carillon Pkwy., St. Petersburg, FL 33716 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $2,602,519 2009 Profits: $152,750 U.S. Stock Ticker: RJF 2008 Sales: $3,204,932 2008 Profits: $235,078 Int’l Ticker: Int’l Exchange: 2007 Sales: $3,109,579 2007 Profits: $250,430 Employees: 7,100 2006 Sales: $2,645,578 2006 Profits: $214,342 Fiscal Year Ends: 9/30 2005 Sales: $2,168,196 2005 Profits: $151,046 Parent Company:




Profit Sharing:


Bonus: $2,300,000 Bonus: $1,428,000


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



RBC CAPITAL MARKETS CORP

www.rbccm.com


Y


Y


Profits:



Y



TYPES OF BUSINESS: Wholesale Banking Debt Origination Underwriting Foreign Exchange Services Research Services Investment Banking

RBC Capital Markets Corp., formerly RBC Dain Rauscher and operating as RBC Wealth Management, is the global wholesale banking unit of parent company Royal Bank of Canada. The company provides financial planning and services to a variety of institutions, including private clients, corporations and governments in 150 countries. Its services help clients to raise capital and enter markets through extensive research, which helps to lessen risk factors that might be caused by uninformed decisions. The company operates out of 75 offices in 15 countries, and delivers its products and services through operations in major U.S. cities, Asia, Australia and Europe. The firm’s areas of industry expertise include energy, healthcare, retail, communications, mining and metals, technology, financial institutions and real estate. The company’s other service units include the Alternative Assets Group, which provides customized products and services to hedge fund investors; RBC Capital Partners, which focuses on mezzanine and second lien debt; RBC Global Prime Services, which supports equity, option, futures, and fixed income trading platforms; the National Client Group, dedicated to Canadian private companies; the Asset Based Lending group, which specializes in working capital for companies in transition; futures services; and investment banking. In September 2009, RBC Capital Markets acquired J.P. Morgan’s Third Party Registered Investment Advisor (RIA) Servicing Business, which provides the company with more reach into the high-end area of the wealth management market. In November 2009, the firm acquired the assets of Rundle Energy Partners, which specializes in advising acquisition and divestiture moves within the oil and gas industry.

BRANDS/DIVISIONS/AFFILIATES: Royal Bank of Canada RBC Global Prime Services RBC Wealth Management RBC Capital Partners Rundle Energy Partners

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Mark Standish, Co-CEO Mark Hughes, COO Mark Standish, Pres. Troy Maxwell, CFO/Managing Dir. Richard Talbot, Co-head-Global Research Bruce Macdonald, Head-Wholesale Tech. Bruce Macdonald, Head-Oper. Beverley Weber, Global Head-Comm. Morten Friis, Chief Risk Officer Kirby Gavelin, Managing Dir./Head-Equity Capital Markets Doug Guzman, Managing Dir./Head-Global Investment Banking Mark Hughes, COO/Managing Dir./Head-Global Credit Doug McGregor, Chmn./Co-CEO John Burbidge, Managing Dir./COO-Europe & Asia

Phone: 612-371-2711 Fax: 612-313-1353 Toll-Free: Address: 60 S. 6th St., RBC Plaza, Minneapolis, MN 55402-4422 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company: ROYAL BANK OF CANADA (RBC)




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



RBC DOMINION SECURITIES INC

www.rbccm.com


Y


Y


Y

Profits:



Y



TYPES OF BUSINESS: Investment Banking Wealth Management Investment & Portfolio Management

RBC Dominion Securities, Inc., which operates under the name RBC Capital Markets, is the corporate and investment banking arm of its parent company, Royal Bank Financial Group. Royal Bank Financial Group is one of Canada’s largest financial institutions. RBC Dominion Securities provides services including alternative asset management, asset-based lending, base metals sales/trading, futures services and investment banking. The firm also offers commodities, corporate banking, derivatives, debt capital markets, securitization finance, equity markets, fixed income, currencies, municipal markets and structured notes. RBC Dominion Securities also has a research team that provides clients with insight on economics, currency strategy, equity, credit, emerging markets and fixed income strategy. The company operates out of 75 offices located in 15 countries in the U.K., Europe, North America, Asia and Australasia. The firm is part of Royal Bank’s Wealth Management segment, which also includes the operations Royal Bank’s Financial Planning division; RBC Estate and Trust Services; RBC Private Banking; and RBC Phillips, Hager & North Investment Counsel. In March 2009, RBC Dominion Securities acquired the remaining 50% interest in Canadian investment services provider Commission Direct, Inc., making it a wholly-owned subsidiary. In November 2009, the company acquired the assets of Canadian oil/gas asset acquisition and divestiture specialist Rundle Energy Partners Ltd.

BRANDS/DIVISIONS/AFFILIATES: RBC Capital Markets Royal Bank of Canada Royal Bank Wealth Management Commission Direct Inc Rundle Energy Partners Ltd

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Doug McGregor, Co-CEO Mark Hughes, COO Mark Standish, Pres./Co-CEO Troy Maxwell, CFO Greg Mills, Head-Global Equity Sales & Trading Richard E. Talbot, Co-Head-Global Research Bruce Macdonald, Head-Wholesale Tech. Michael Bowick, Head-Financial Prod. Bruce Macdonald, Head-Oper. Michael Bowick, Head-Strategic Portfolio Mgmt. Beverley Weber, Head-Global Comm. Morten Friis, Chief Risk Officer Doug Guzman, Head-Global Investment Banking Mark Hughes, Head-Global Credit Marc Harris, Co-Head-Global Research Doug McGregor, Chmn. John W. Burbidge, COO-Europe & Asia

Phone: 416-842-2000 Fax: 212-428-6200 Toll-Free: Address: Royal Bank Plaza, 200 Bay St., Toronto, ON M5J 2W7 Canada

FINANCIALS:





Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



RBC WEALTH MANAGEMENT

www.rbcwm-usa.com


Y


Y


Profits:



Y Y



TYPES OF BUSINESS: Stock Brokerage Financial Advising Research Asset Securitization

RBC Wealth Management, formerly known as RBC Dain Rauscher Corporation, a division of RBC Capital Markets Corporation and a subsidiary of Royal Bank of Canada (RBC), is a full-service securities firm in the U.S. with more than 2,100 financial consultants. The firm serves individuals and small businesses through 206 offices in 43 states across the country plus Washington, D.C., and manages about $150 billion in assets. RBC Wealth Management’s business lines each serve a specific customer group. Its private clients group provides financial advice on stocks, bonds, mutual funds, retirement options, life insurance, education planning, trusts and a wide range of other financial products for individual investors. The institutional clients group focuses on business services, such as retirement plans and restricted stock options; equity capital markets, which includes services such as corporate finance and mergers and acquisitions; fixed income sales and trading, along with finance underwriting; public finance for municipal sectors; and asset securitization for consumer debt. Employees are offered a 401(k) savings plan; an employee stock ownership plan; health, dental, vision and life insurance; flexible spending accounts; commuter plans; auto and home insurance; short-and long-term disability; tuition reimbursement; and an employee assistance program.

BRANDS/DIVISIONS/AFFILIATES: Royal Bank of Canada RBC Dain Rauscher, Inc. RBC Capital Markets Corporation

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Mike Kavanagh, COO John Taft, Pres. Mary Zimmer, Head-Primary Advisor Svcs.

Phone: 612-371-2711 Fax: 612-371-2745 Toll-Free: 800-678-3246 Address: 60 S. 6th St., RBC Plaza, Minneapolis, MN 55402-4422 US

FINANCIALS:





Y

Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International:



REGIONS FINANCIAL CORP

www.regions.com


Y Y


Y


Y

Profits: 43



Y



TYPES OF BUSINESS: Banking Mortgages Insurance Securities Brokerage Investment Services Trust Services Asset Management Mutual Funds

Regions Financial Corp. is a financial holding company headquartered in Birmingham, Alabama. Regions Bank, with total assets of approximately $146.2 billion, provides commercial and retail banking services. Regions operates approximately 2,300 ATMs and 1,900 banking offices in Alabama, Arkansas, Florida, Georgia, Illinois, Indiana, Iowa, Kentucky, Louisiana, Mississippi, Missouri, North Carolina, South Carolina, Tennessee, Texas and Virginia.. Regions Financial also operates several subsidiaries that provide financial services in the fields of investment banking, asset management, trust, mutual funds, securities brokerage, insurance, leasing and mortgage banking. The company’s Morgan Keegan and Company, Inc., subsidiary is a fullservice securities brokerage and investment banking firm. It serves individual investors in the southern states and institutional clients throughout the U.S. from over 300 offices in 16 states. Regions Insurance Group, Inc., another subsidiary, is comprised of three mortgage companies: Regions Insurance, Inc., headquartered in Arkansas; and Regions Insurance Services, headquartered in Tennessee. The group offers all lines of personal and commercial insurance, including property, casualty, life, health and accident. Regions Agency, Inc. acts as an insurance agent or broker for credit life insurance, accident and health insurance plans. Regions Interstate Billing Service factors commercial accounts receivable and performs billing and collection service, focusing primarily on clients in the trucking and automotive services industry. Other Subsidiaries include Regions Mortgage, Inc.; Regions Equipment Finance Corporation; and Regions Life Insurance Company. In August 2008, the FDIC chose Regions Financial to acquire approximately $900 million in total deposits, including all uninsured deposits, of Integrity Bank, a recently failed bank based in Atlanta, Georgia. In February 2009, Regions Bank assumed approximately $285 million in total deposits of FirstBank Financial Services, based in Henry County, Georgia. Employee benefits include health insurance; a 401 (k) plan; training and career development; an employee assistance programs; tuition reimbursement program and a home ownership program.

BRANDS/DIVISIONS/AFFILIATES: AmSouth Bancorporation Regions Bank Regions Mortgage, Inc. Rebsamen Insurance Services Regions Agency Morgan Keenan & Company ICT Insurance Regions Equipment Finance Corporation

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. C. Dowd Ritter, CEO C. Dowd Ritter, Pres. Irene Esteves, CFO/Sr. Exec. VP David B. Edmonds, Sr. Exec. VP-Human Resources Group John B. Owen, Sr. VP-Oper. & Tech. O. B. Grayson Hall, Jr., Sr. Exec. VP-General Banking Group David H. Rupp, Sr. Exec. VP-Consumer Services Group William C. Wells, II, Sr. Exec. VP/Chief Risks Officer G. Timothy Laney, Sr. Exec. VP-Bus. Svcs. C. Down Ritter, Chmn.

Phone: 205-944-1300 Fax: 205-326-7756 Toll-Free: Address: 1900 5th Ave. N., Birmingham, AL 35203 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: RF 2008 Sales: $9,636,621 2008 Profits: $-5,595,774 Int’l Ticker: Int’l Exchange: 2007 Sales: $10,939,051 2007 Profits: $1,251,095 Employees: 29,838 2006 Sales: $7,756,362 2006 Profits: $1,353,145 Fiscal Year Ends: 12/31 2005 Sales: $6,123,800 2005 Profits: $1,000,500 Parent Company:




Profit Sharing:


Bonus: $1,000,000 Bonus: $494,910


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International:



RELIANCE CAPITAL LIMITED

www.reliancecapital.co.in



Y


Y

Profits: 8


Y




TYPES OF BUSINESS: Financial Asset Management Services Insurance Consumer Finance

Reliance Capital Limited is a private sector financial services company and a part of the Reliance Anil Dhirubhai Ambani Group, one of India’s largest business houses. The primary business segments of the company include asset management, insurance, broking and distribution, consumer finance and other businesses. The asset management segment includes products and services such as mutual funds, portfolio management and offshore funds. The insurance segment includes both life and general insurance. The broking and distribution segment includes such products and services as stocks, commodities and derivative; foreign exchange and offshore investments; third party products; and over the counter services. The consumer finance segment encompasses mortgages, personal loans, vehicle loans and business loans. The other businesses segment includes a variety of investments, proprietary trading and asset reconstruction. Subsidiaries of the company include Reliance Money Ltd.; Reliance Capital Asset Management Ltd.; Reliance Capital Trustee Co. Ltd.; Reliance General Insurance Company Ltd.; Reliance Gilts Ltd.; Reliance Asset Management (Mauritius) Ltd.; Reliance Asset Management (Singapore) Private Ltd.; Reliance Money Express Ltd.; Medybiz Pvt. Ltd.; Net Logistics Pvt. Ltd.; Reliance Capital Research Pvt. Ltd.; Reliance Technology Ventures Pvt. Ltd.; Reliance Venture Asset Management Pvt. Ltd.; Reliance Capital Asset Management (UK) Plc.; and Reliance Capital Markets Pvt. Ltd. In February 2008, the firm launched its asset reconstruction business, through newly-formed subsidiary Reliance Asset Reconstruction Company Ltd., focused on resolving distressed debt. In May 2008, the company launched operations in Hong Kong. In August 2008, new offices were established in the U.K. In September 2008, the company announced plans to establish a subsidiary to oversee its housing finance activities, as well as a non-banking finance company (NBFC). In October 2008, Reliance Capital announced that it would acquire a 15% interest in Hong Kong Mercantile Exchange for approximately $7.5 million.

BRANDS/DIVISIONS/AFFILIATES: Reliance Money Ltd Reliance Capital Asset Management Ltd Reliance Capital Trustee Co Ltd Reliance General Insurance Company Ltd Reliance Capital Research Pvt Ltd Reliance Technology Ventures Pvt Ltd Reliance Capital Markets Pvt Ltd Reliance Asset Reconstruction Company Ltd

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. V.R. Mohan, Company Sec. Amitabh Jhunjhunwala, Vice Chmn. Sudip Bandyopadhyay, CEO-Reliance Money P. Nandagopal, CEO-Reliance Life Insurance Anil D. Ambani, Chmn.

Phone: 91-22-3032-7000 Fax: 91-22-3032-7202 Toll-Free: Address: H-Block, 1st Fl., Dhirubhai Ambani Knowledge City, Mumbai, 400 710 India

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $1,131,960 2009 Profits: $219,110 U.S. Stock Ticker: 2008 Sales: $889,650 2008 Profits: $217,680 Int’l Ticker: 500111 Int’l Exchange: Bombay-BSE 2007 Sales: $376,730 2007 Profits: $151,660 Employees: 37,302 2006 Sales: $170,010 2006 Profits: $115,940 Fiscal Year Ends: 3/31 2005 Sales: $ 2005 Profits: $ Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast:

International: Y



REPUBLIC FINANCIAL CORPORATION Industry Group Code: 523110 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y Y


www.republic-financial.com

Profits:



Y



TYPES OF BUSINESS: Private Equity Investments Aviation Investment Venture Capital Financial Structuring Consulting

Republic Financial Corporation is a private equity firm with investment interests in a variety of operating companies and assets. Industries include aviation and aerospace, manufacturing, security software, banking, telecommunications, data services, corporate staffing, commercial roofing and construction aggregates. The company invests in small market buy-outs, early stage venture capital, commercial debt, troubled middle-market companies and aviation assets. Republic divides itself into two groups: GMT Global Republic Aviation (GMT Global), which acquires, leases, and manages a fleet of commercial aircraft; and special assets, which invest in and manages under-performing financial assets, troubled middle-market companies and distressed commercial debt. The firm’s portfolio of companies include: Al-jon, Inc., a manufacturer of scrap recycling and waste compaction equipment; Camalloy a supply chain manager of stainless steel products, a metal service center, and a distributor of abrasives, adhesives and industrial tape; Cerona Networks, a provider of value-based network solutions; Clinton Aluminum & Stainless Steel, an aluminum and stainless steel processing facility and service center; Community Bank Funding Co., a supplier of wholesale funding solutions; CyberTrails, an IT consultant and management firm; EZ Pack Manufacturing, LLC, a manufacturer of OEM parts and refuse trucks; Great Lakes Castings, a supplier of readily machinable gray iron castings; Griffith Enterprises, LLC, a leading aerospace systems and components manufacturer; and VAC-TRON equipment, a designer and manufacturer of industrial vacuum trailers. In April 2009, GMT Global acquired four Airbus A320-200 aircraft from ORIX Aviation.

BRANDS/DIVISIONS/AFFILIATES: Al-jon, Inc. Camalloy EZ Pack Manufacturing, LLC Cerona Networks Corporation Clinton Aluminum & Stainless Steel CyberTrails

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Randy Dietrich, CEO Margaret Reich, COO Robert S. Possehl, Pres. Dennis Bikun, CFO Dennis Bikun, Treas. Paul Owen Mason, CEO-GMT Global Chuck Singleton, Pres., Special Assets James H. (Jim) Possehl, Chmn.

Phone: 303-751-3501 Fax: 303-751-4777 Toll-Free: Address: 3300 S. Parker Rd., Ste. 500, Aurora, CO 80014 US

FINANCIALS:





Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

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Northeast:

International:



RJ O'BRIEN & ASSOCIATES

www.rjobrien.com


Y



Profits:



Y Y Y



TYPES OF BUSINESS: Futures Commission Merchant Futures Execution & Clearing Services Brokerage Tools & Systems Research, Analysis & Consulting Technical & Operational Support

R.J. O'Brien & Associates (RJO), founded in 1914, is a futures commission merchant that offers updated order entry technology and 24-hour execution and clearing on futures exchanges internationally for over 297 introducing brokers and financial, industrial and agricultural institutions. RJO’s business is focused in five distinct areas. The RJO commercial agri-business group concentrates on the needs of agricultural hedgers, offering analysis and advice on hedge placement, spreads, options strategies and hedging models. The company’s introducing broker division provides tools for brokers including back office and floor operations; research; conferences; broker training seminars; and electronic order entry systems. The firm’s fixed income group provides analytical services; hedging execution; and technical and operational support to banks, bond dealers, mutual funds, securitizers and hedge funds. The RJO institutional division provides institutional clients with risk management strategies; market expertise; and clearing and execution services. For individuals, the firm offers a network of independent brokers that give access to electronic trading, research and professional level execution. The firm is a founding member of the Chicago Mercantile Exchange and a full clearing member of the Chicago Board of Trade, New York Mercantile Exchange, Commodity Exchange of New York and the New York Board of Trade. RJO has been independently owned by the O’Brien family since its inception. Employee benefits include health, dental and life insurance; educational assistance; 401(k); flexible spending accounts; and an RTA transit program.

BRANDS/DIVISIONS/AFFILIATES: RJO Commercial Agri-Business RJO Introducing Broker RJO Fixed Income RJO Institutional RJO Individual

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Gerald F. Corcoran, CEO Karen Northup, COO Colleen Mitchell, Pres. Tom Anderson, CFO Eileen Timmins, Sr. VP-Human Resources Ryan Gillmore, CIO Mark Metzger, Exec. VP Jamal Oulhadj, Chief Risk Officer Jane S. Obermoeller, Sr. VP-Client Svcs. Mary Ellen Scanlin, Exec. VP Gerald F. Corcoran, Chmn.

Phone: 312-373-5000 Fax: 312-373-5238 Toll-Free: Address: 222 S. Riverside Plz., Ste. 900, Chicago, IL 60606 US

FINANCIALS:





Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest: Y

Southeast:


Northeast:

International:



ROBERT W BAIRD & CO INC

www.rwbaird.com


Y Y


Y Y Y


Y

Profits:



Y Y



TYPES OF BUSINESS: Investment Banking Investment Management Stock Brokerage Research Financial Advising Private Equity Venture Capital

Robert W. Baird & Co., Inc., is a Wisconsin-based wealth management, capital markets, private equity and asset management firm. Doing business as Baird, the firm serves corporate, institutional and high-net-worth clients in the U.S., Europe, and Asia. The company has approximately $73 billion under management. The employee-owned firm specializes in the areas of public finance and equity research. Baird’s primary subsidiaries are Robert W. Baird & Co. in the U.S. and Robert W. Baird Group, Ltd. in Europe. Baird operates in five segments: private wealth management, equity capital markets, private equity, fixed income capital markets and asset management. The company’s private wealth management group, Baird Financial Advisors, provides personalized financial advice to help corporate and individual investors grow and preserve their wealth and address client concerns such as wealth transfer, tax management, financial planning and asset allocation. Baird’s equity capital markets group offers research, institutional equity services and investment banking. The private equity division, operating through Baird Capital Partners, Baird Venture Partners, Granville Baird, Baird Capital Partners Asia and Baird Capital Partners Europe, focuses on smaller, high-potential firms and strives to maximize the value creation opportunities of its portfolio companies. The fixed income capital markets group provides fixed income sales and trading and houses a public finance division. Baird provides asset management through Baird Advisors and Baird Investment Management. In May 2009, the company launched a new clean technology initiative. Also in May 2009, the firm opened a new office in Baltimore, Maryland, and two new offices near Sacramento, California. The firm offers employee benefits including medical, dental, vision, life, accident and disability coverage; flexible spending accounts; profit sharing plan; paid time off; a 401(k) with company match; adoption assistance; and tuition reimbursement.

BRANDS/DIVISIONS/AFFILIATES: Baird Robert W. Baird Group Ltd Baird Financial Advisors Baird Capital Partners Baird Venture Partners Baird Advisors Baird Investment Management Granville Baird

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Paul E. Purcell, CEO Russell P. Schwei, COO Paul E. Purcell, Pres. Leonard M. Rush, CFO Leslie H. Dixon, Chief Human Resources Officer Robert J. Venable, Managing Dir.-Research Russell P. Schwei, CIO Glen F. Hackmann, General Counsel/Corp. Sec. John D. Rumpf, Dir.-Comm. Keith A. Kolb, Dir.-Public Finance Mary Ellen Stanek, Chief Investment Officer Mark A. Roble, Managing Dir.-Risk Steven G. Booth, Managing Dir.-Investment Banking Paul J. Carbone, Managing Dir.-Private Equity Group Paul E. Purcell, Chmn. John A. Fordham, Chmn.-European Investment Banking

Phone: 414-765-3500 Fax: 414-765-3912 Toll-Free: 800-792-2473 Address: 777 E. Wisconsin Ave., Milwaukee, WI 53202 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Private 2008 Sales: $680,000 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $729,000 2007 Profits: $ Employees: 2,274 2006 Sales: $656,000 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company:




Profit Sharing: Y


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



ROSENTHAL COLLINS GROUP LLC

www.rcgdirect.com


Y



Profits:



Y



TYPES OF BUSINESS: Futures Commission Merchant Brokerage & Clearing Electronic Trading Foreign Exchange

Rosenthal Collins Group LLC (RCG) is a futures commission merchant. The company offers execution, brokerage, clearing, electronic trading, foreign exchange and managed futures services to customers internationally. The firm handles approximately 30,000 accounts through 20 offices and more than 190 correspondent brokerage firms worldwide. RCG serves financial institutions, brokers, commercial hedgers, professional traders, individual clients and API (Application Programming Interface) users. The firm has its own brand of API, called RCG Onyx, which is needed for electronic trading and may optionally be used to retrieve market data, supplied by a third-party provider, from the firm’s Market Data API. The company will help clients configure existing systems to accommodate Onyx. An adjunct to the Onyx system, RCG Passport provides daily information online regarding the client’s trading activity, margin calls and account cash balance, as well as allowing the customer to print daily and monthly reports. RCG has over $1.1 billion in assets under management and serves more than 120 million contracts annually. Company affiliates and regulators include Rosenthal Global Securities, LLC, Rosenthal Collins Global Funds, LLC and Rosenthal Collins Capital Management, LLC. RCG also facilitates the hedging requirements of commercial customers in agricultural, financial, currency and metal industries. The firm offers clearing services that include processing of deposits and withdrawals, position reports, personal service and fill reports. In addition, RCG foreign exchange services, under the brand name RCG fxtrader, offers a range of self directed exchange forwards, options and cash metal products; and a full-service dealing desk. In October 2008, the company acquired MG Financial LLC, a provider of online trading services in the foreign exchange market. In January 2009, the firm introduced RCG RiskHunter, a program designed to find and highlight any trading pattern or behavior that differs significantly from a client’s or trader’s historical behavior.

BRANDS/DIVISIONS/AFFILIATES: Rosenthal Global Securities LLC Rosenthal Collins Global Funds LLC Rosenthal Collins Capital Management LLC RCG fxtrader RCG RiskHunter RCG Passport RCG Onyx MG Financial LLC

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Scott Gordon, CEO George Recchia, COO/Exec. VP Maureen C. Downs, Pres. Richard J. Horgan, CFO/Exec. VP S. Brian Adams, CIO/Exec. VP Gerald L. Fishman, General Counsel/Exec. VP Renata K Szkoda, Dir.-Finance Leslie Rosenthal, Principal J. Robert Collins, Principal Michael Phillips, Sr. VP Scott Gordon, Chmn.

Phone: 312-460-9200 Fax: 312-795-7887 Toll-Free: Address: 216 W. Jackson Blvd., Ste. 400, Chicago, IL 606066918 US

FINANCIALS:





Y

Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest: Y

Southeast:


Northeast:

International:



ROTH CAPITAL PARTNERS LLC

www.rothcp.com


Y



Profits:



Y Y



TYPES OF BUSINESS: Investment Banking Financial Advisory Services Small Cap Markets Market Research

Roth Capital Partners, LLC is an independent full-service investment bank focused on emerging growth companies in the small- and micro-cap market. The firm is divided into five sections: the investment-banking group; the capital markets group, which includes institutional sales and trading; the research group; the corporate services group; and the marketing and events group. The investment banking group focuses on identifying, financing and advising emerging growth companies and offers a range of investment banking services including initial public offerings, secondary and follow-on equity offerings, private placements and strategy advisement. The investment banking group has raised more than $10.6 billion for emerging growth companies. The capital markets group includes the firm’s research, trading, institutional sales and the equity transaction areas. The group focuses on corporate clients and offers advice on mergers and acquisitions and general financial advice. The firm’s trading activities include the execution of retail orders, block trades, Rule 144 transactions, and corporate equity repurchases. The research group focuses on small cap companies in the media, gaming, healthcare, business services, electronics, consumer and retail industries. The company’s team of analysts conducts research in 13 different business sectors, and several have won distinctions from such publications as Forbes and the Wall Street Journal. The corporate services team focuses on providing liquidity for clients. Services include corporate stock buybacks, employee stock options programs, directed share programs, corporate cash management and retirement plans. The marketing and events team offers brand building services, product development, event planning, communication strategy and marketing services.


CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Byron Roth, CEO Gordon Roth, COO Gordon Roth, CFO Isabel A. Mattson-Pain, Dir.-Mktg. Mark Tobin, Dir.-Research Jeff Martin, Dir.-Oper., Research Ted Roth, Managing Dir.-Bus. Dev. Chad Cooper, Dir.-Institutional Sales Nazan Akdeniz, Dir.-Corp. Scvs. Rick Hult, Managing Dir.-Equity Trading Aaron M. Gurewitz, Managing Dir.-Equity Capital Markets Byron Roth, Chmn.

Phone: 949-720-5700 Fax: 949-720-7215 Toll-Free: 800-678-9147 Address: 24 Corporate Plaza Dr., Newport Beach, CA 92660 US

FINANCIALS:





Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast:

International: Y



ROYAL BANK OF CANADA (RBC)

www.rbc.com



Y Y


Y Y

Profits: 8



Y



TYPES OF BUSINESS: Banking Trust Services Mortgages Wealth Management Services Online Services Consumer & Business Loans Insurance Mutual Funds

Royal Bank of Canada (RBC) is a Canadian finance and banking company, with more than 18 million customers in 54 countries around the world. The company is organized into five major lines of business: personal and business banking; wealth management; insurance; corporate and investment banking; and transaction processing services. The company’s domestic banking is done through RBC Royal Bank and RBC Direct Investing. The RBC Royal Bank has a retail banking network with nearly 1,200 branches and over 4,000 ATMs in Canada. The firm also serves Canadians through RBC Insurance and RBC Liberty Insurance. Internationally, the company provides its services through a number of subsidiaries: RBC Bank (USA) has 430 fullservice banking centers in six southeast U.S. states; RBC Builder Finance finances U.S. developers; RBC Dexia Investor Services (50%-owned) provides global custody services; and RBC Caribbean Banking manages institutions in eight Caribbean countries. The group also offers wealth management services in 24 countries through seven subsidiaries, including Voyageur Asset Management, Inc., RBC Private Counsel and RBC Asset Management, Inc. The firm provides private and investment banking; international estate planning and wealth management services; as well as trading, capital markets, reinsurance, securities custody and trade finance services throughout Europe; Asia-Pacific and Australia; South America; and the Middle East. In recent years, RBC acquired J.B. Hanauer & Co.; Seasongood & Mayer, LLC; Alabama National BanCorp.; Phillips, Hager & North Investment Management Ltd.; RBTT Financial Group; Ferris, Baker Watts, Inc. (now RBC Wealth Management); O'Shaughnessy Asset Management, L.L.C.; Richardson Barr & Co.; and the Canadian branch of ABN AMRO Bank N.V.’s commercial leasing division. In January 2009, the firm opened an office in Brazil. In February 2009, the company acquired Mourant Private Wealth. In September 2009, RBC agreed to acquire the Third Party Registered Investment Advisor Servicing Business of J.P. Morgan.

BRANDS/DIVISIONS/AFFILIATES: RBC Liberty Insurance RBC Bank (USA) J.B. Hanauer & Co RBC Direct Investing RBC Capital Markets RBC Royal Bank RBC Builder Finance Alabama National Bancorp

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Gordon M. Nixon, CEO Barbara G. Stymiest, COO Gordon M. Nixon, Pres. Janice R. Fukakusa, CFO Janice R. Fukakusa, Chief Admin. Officer Carol J. McNamara, Associate General Counsel/VP/Sec. David I. McKay, Group Head-Canadian Banking M. George Lewis, Group Head-Wealth Management A. Douglas McGregor, Co-Group Head-Capital Markets Mark A. Standish, Co-Group Head-Capital Markets David P. O'Brien, Chmn. W. James Westlake, Group Head-Int'l Banking & Insurance

Phone: 416 974-8393 Fax: 416 974-3535 Toll-Free: Address: 1 Pl. Ville Marie, Montreal, QC H3C 3A9 Canada

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: RY 2008 Sales: $36,616,000 2008 Profits: $4,440,000 Int’l Ticker: RY Int’l Exchange: Toronto-TSX 2007 Sales: $43,570,000 2007 Profits: $5,770,000 Employees: 2006 Sales: $32,162,900 2006 Profits: $4,212,500 Fiscal Year Ends: 10/31 2005 Sales: $24,995,500 2005 Profits: $2,970,300 Parent Company:




Profit Sharing:


Bonus: $2,221,355 Bonus: $925,717


Southwest:

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



ROYAL BANK OF SCOTLAND GROUP PLC (THE, RBS) www.rbs.com Industry Group Code: 522110 Ranks within this company's industry group: Sales: 7 Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y


Y

Profits: 48



Y



TYPES OF BUSINESS: Banking Investment Products Mortgages Credit Cards

The Royal Bank of Scotland Group plc (RBS) is one of Europe’s leading financial groups. The firm has over 2,250 office locations and 6,600 ATMs worldwide. RBS operates along five business lines: global markets, regional markets, RBS insurance, group manufacturing and The Centre. The global markets segment is focused on the provision of debt and equity financing, risk management and transaction banking services to large businesses and financial institutions around the world. The segment divides its operations into global banking and markets and global transaction services. The regional markets segment is organized into retail and commercial banking in the U.K., the U.S., Europe and the Middle East and Asia. RBS Insurance sells and underwrites retail and small and medium enterprise (SME). Group manufacturing comprises the firm’s worldwide manufacturing operations. It supports the customer-facing businesses, operational technology, account management, lending and money transmission, global purchasing and other services. The Centre comprises group and corporate functions including capital raising, finance, risk management, communications and human resources. Brand names include Ulster Bank; NatWest; Royal Bank of Scotland; Lombard and Citizens Financial Group. In August 2009, Australia and NewZealand Banking Group agreed to buy RBS retail, wealth and commercial businesses in Taiwan, Singapore, Indonesia and Hong Kong, and the institutional operations in Taiwan, the Philippines and Vietnam at a price of $775 million. Also in August 2009, MCB Bank Ltd. agreed to buy RBS holdings in Pakistan for $87 million. Continued restructuring, including asset sales, are likely in 2010-2011. RBS was lead investor in a group that acquired banking giant ABN Amro in 2007. Later, RBS was forced to accept a massive injection of capital from the U.K. government during the financial crisis of 2008-09, which resulted in the government becoming a controlling shareholder, eventually owning as much as 84% of the company. In 2010, the company is likely to sell hundreds of bank branches along with its insurance business and parts of its investment banking business.

BRANDS/DIVISIONS/AFFILIATES: NatWest Ulster Bank Coutts Group Citizens Financial Group Lombard Churchill Direct Line ABN Amro Holdings NV

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Stephen Hester, CEO Richard Hemsley, COO Bruce van Saun, Group Dir.-Finance Peter Nielsen, Group Dir.-Mktg. Neil Roden, Head-Human Resources Ron Teerlink, Chief Admin. Officer Miller McLean, General Counsel/Group Sec. Iain Allan, Group Dir.-Strategy Gordon Pell, Chmn.-Regional Markets John Hourican, CEO-Global Banking & Markets Alan Dickinson, Chmn.-UK Corporate Chris Sullivan, CEO-UK Corporate Tom McKillop, Chmn. Johnny Cameron, Chmn.-Global Markets

Phone: 44-131-556-8555 Fax: 44-131-523-2055 Toll-Free: Address: 42 St. Andrew Square, Edinburgh, EH2 2YE UK

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: RBS 2008 Sales: $113,087,000 2008 Profits: $-43,167,000 Int’l Ticker: RBS Int’l Exchange: London-LSE 2007 Sales: $108,450,000 2007 Profits: $14,620,000 Employees: 2006 Sales: $82,466,400 2006 Profits: $10,466,400 Fiscal Year Ends: 12/31 2005 Sales: $64,211,600 2005 Profits: $7,888,100 Parent Company:




Profit Sharing: Y


Bonus: $ Bonus: $


Southwest:

Midwest: Y

Southeast:


Northeast: Y

International: Y



RS INVESTMENT MANAGEMENT INC Industry Group Code: 523920 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y


Y

www.rsim.com Profits:


Y


Y



TYPES OF BUSINESS: Investment Management Mutual Funds Real Estate Investments

RS Investment Management, Inc., is an investment management firm that focuses on domestic equity investing in small to medium companies. The company is an independent subsidiary of Guardian Investor Services LLC, which in turn is a wholly-owned subsidiary of Guardian Life Insurance Company of America. The firm primarily works in mutual funds, but also has institutional value and growth strategy account options for its clients. RS Investment has approximately $11.37 billion in assets under management in 20 independent mutual funds. Mutual funds include both growth funds and value funds. Growth funds include RS Smaller Company Growth Fund, RS Select Growth Fund, RS Small Cap Equity Fund, RS Mid Cap Growth Fund, RS Growth Fund, RS Technology Fund and RS Small Cap Growth Fund. Value funds include RS Global Natural Resources Fund, RS Partners Fund, RS Investors Fund, RS Large Cap Alpha Fund and RS Value Fund. The firm’s employees have approximately $41 million invested in RS Investment funds.

BRANDS/DIVISIONS/AFFILIATES: Guardian Life Insurance Company of America RS Smaller Company Growth Fund RS Mid Cap Growth Fund RS Diversified Growth Fund RS Growth Fund RS Partners Fund RS Value Fund RS Global Natural Resources Fund

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Terry R. Otton, CEO James E. Klescewski, CFO Mark Thomas, Chief Mktg. Officer Benjamin L. Douglas, General Counsel John J. Sanders, Jr., Chief Compliance Officer David M. Elliott, Head-Institutional Svcs. Team Jared Buell, VP-Institutional Svcs. Joe Fague, VP-Institutional Svcs.

Phone: 415-591-2700 Fax: Toll-Free: 800-766-3863 Address: 388 Market St., Ste. 1700, San Francisco, CA 94111 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company: GUARDIAN LIFE INSURANCE COMPANY OF AMERICA




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International:



S1 CORPORATION

www.s1.com




Profits: 2




Software-Financial Services Internet Banking Applications

S1 Corporation is a global provider of software and related services that automate the processing of financial transactions. The firm’s solutions are designed for financial organizations including banks, credit unions, insurance companies, transaction processors, payment card associations and retailers. S1 operates in two segments: Enterprise and Postilion. The Enterprise segment represents global banking and insurance solutions primarily targeting larger financial institutions. It supports channels that a bank uses to interact with its customers, including self-service channels like the Internet for personal, business and corporate banking, as well as trade finance and mobile banking; and full service channels such as teller, branch, sales and service and call center. The Postilion segment represents the community financial, full service banking and lending businesses in North America and global payment processing and management solutions. It provides Internet personal and business banking, voice banking and mobile banking solutions to community banks and credit unions, as well as payment processing and management solutions that drive ATMs (automated teller machines) and point-of-sale (POS) devices, to financial institutions, retailers, third-party processors, payments associations and other transaction generating endpoints. In addition, through its FSB Solutions brand, the segment offers full service banking and lending applications including teller sales and service activities and solutions for the call center agent’s desktop. S1 licenses its Postilion suite of online, telephone and mobile banking applications primarily on a subscription only basis. Postilion’s payment processing and management and full service banking solutions are primarily licensed on a perpetual basis. In July 2009, S1 launched eLearning Solutions, a series of self-paced, interactive training solution for end-users of financial institutions. In September 2009, the firm launched a mobile iPhone application for its suite of banking and payments solutions. S1 offers its employees medical, prescription, dental, disability, life, accidental death and travel accident insurance benefits.

BRANDS/DIVISIONS/AFFILIATES: Enterprise Postilion FSB Solutions eLearning Solutions

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Johann Dreyer, CEO Paul Parrish, CFO Greg Orenstein, Chief Legal Officer/Sec. Greg Orenstein, Sr. VP-Corp. Dev. Jan Kruger, Pres., S1 Enterprise Pierre Naude, Pres., Postilion Banking Francois van Schoor, Pres., Postilion Payments John W. Spiegel, Chmn.

Phone: 404-923-3500 Fax: 404-923-6727 Toll-Free: 888-457-2237 Address: 705 Westech Dr., Norcross, GA 30092 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: SONE 2008 Sales: $228,435 2008 Profits: $21,850 Int’l Ticker: Int’l Exchange: 2007 Sales: $204,925 2007 Profits: $19,495 Employees: 1,510 2006 Sales: $192,310 2006 Profits: $17,902 Fiscal Year Ends: 12/31 2005 Sales: $179,140 2005 Profits: $-1,057 Parent Company:



Y Y


TYPES OF BUSINESS:


Y

Profit Sharing:


Bonus: $242,780 Bonus: $213,656


Southwest: Y

Midwest:

Southeast: Y


Northeast: Y

International: Y



SAFEGUARD SCIENTIFICS INC

www.safeguard.com



Y Y


Profits: 4





TYPES OF BUSINESS: Private Equity Investments Information Technology Investments Life Sciences Investments

Safeguard Scientifics, Inc., is an investment firm that specializes in growth-stage technology and life sciences businesses. The company provides capital as well as a range of strategic, operational and management resources to its partner companies. It participates in expansion financings, corporate spin-outs, management buy-outs, recapitalizations, industry consolidations and early-stage financings. Safeguard concentrates on companies in two categories: technology companies and life sciences firms. Technology companies include those focused on providing technology-enabled services and vertical software solutions for the financial services sector; software-as-a-service (SaaS); Internet-based businesses; and healthcare information technology. Life sciences firms include those focused on regenerative medicine, molecular/point-of-care diagnostics, medical devices and specialty pharmaceuticals. Safeguard Scientifics focuses on acquiring majority or minority stakes in growth-stage companies operating in large or growing markets, with capital requirements between $5 million and $50 million. Sourcing efforts are targeted in the Northeast/Mid-Atlantic region of the U.S., with consideration also given to candidates in other parts of the U.S. and southern Canada. The firm’s partner companies include Advanced BioHealing, Inc., which develops cell-based and tissue-engineered products for wound healing; Alverix, Inc., a provider of diagnostic technology; Avid Radiopharmaceuticals, Inc., a developer of imaging agents for neurodegenerative diseases; Beyond.com, Inc., an online provider of career services and technology; MediaMath, Inc., a digital Internet media trading firm; Bridgevine, Inc., an internet media company; and Cellumen, Inc., which delivers proprietary services and products to support drug discovery and development. In mid-2008, the company sold its interests in Acsis, Inc.; Alliance Consulting Group Associates, Inc.; Laureate Pharma, Inc.; Neuronyx, Inc.; NextPoint Networks, Inc.; and ProModel Corporation. In September 2009, Safeguard Scientifics sold approximately 20% of its ownership of Clarient, Inc.; the firm now owns approximately 28.5% interest in Clarient.

BRANDS/DIVISIONS/AFFILIATES: Advanced BioHealing Inc Alverix Inc Avid Radiopharmaceuticals Inc Beyond.com Inc Bridgevine Inc Cellumen Inc MediaMath Inc Clarient Inc

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Peter J. Boni, CEO Peter J. Boni, Pres. Stephen T. Zarrilli, CFO/Sr. VP Brian J. Sisko, General Counsel/Sr. VP John E. Shave, VP-Bus. Dev. John E. Shave, VP-Corp. Comm. John E. Shave, VP-Investor Rel. James A. Datin, Exec. VP/Managing Dir.-Life Sciences Group Gary J. Kurtzman, VP/Managing Dir.-Life Sciences Group Kevin L. Kemmerer, Sr. VP/Managing Dir.-Tech. Group Erik B. Rasmussen, VP/Managing Dir.-Tech. Group Robert E. Keith, Jr., Chmn.

Phone: 610-293-0600 Fax: 610-293-0601 Toll-Free: 877-506-7371 Address: 435 Devon Pk. Dr., Bldg. 800, Wayne, PA 19087 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: SFE 2008 Sales: $73,736 2008 Profits: $-52,013 Int’l Ticker: Int’l Exchange: 2007 Sales: $42,995 2007 Profits: $-65,868 Employees: 269 2006 Sales: $162,642 2006 Profits: $45,908 Fiscal Year Ends: 12/31 2005 Sales: $143,831 2005 Profits: $-32,070 Parent Company:




Profit Sharing:


Bonus: $182,000 Bonus: $113,100


Southwest:

Midwest:

Southeast:


Northeast: Y

International:



SANDERS MORRIS HARRIS GROUP

www.smhgroup.com


Y Y


Y


Y

Profits: 21



Y



TYPES OF BUSINESS: Stock Brokerage Investment Banking Merchant Banking Loan Servicing Asset Management Trust-Related Services Financial Planning Sports Representation & Management

Sanders Morris Harris Group (SMHG) is a financial services holding company. The firm has $10.6 billion in managed assets for corporations, institutional investors and high networth individuals. Through its subsidiaries, the company’s financial and other professional services include retail brokerage, institutional sales and trading, fixed income sales, investment banking, securities analysis and research, prime brokerage services, financial advisory and trust services, financial planning, investment management, systems development, sports representation and management accounting, administration, legal, compliance and support operations. SMH Capital, Inc., one of several subsidiaries, is one of the largest investment banking firms in Texas. Another subsidiary, SMH Capital Advisors, engages in feebased money/asset management and investment advisory services. Specifically, the subsidiary focuses on fixedincome investments. SMH Private Equity Funds, the firm’s series of pooled investments, focuses on equity and equitylinked securities of late-stage private and small public firms. Kissinger Financial Services, another wholly-owned subsidiary, provides financial planning services for individuals and corporations. Select Sports Group Holdings, LLC provides sports representation and management services to professional athletes, primarily football and baseball players. The firm’s growth strategy includes investing in common with its clients to complement not only growth but investors’ confidence. In early 2008, SMGH acquired Miller-Green Financial Group, an independent wealth management firm serving Houston and its surrounding areas.

BRANDS/DIVISIONS/AFFILIATES: Sanders Morris Harris SMH Capital Advisors SMH Capital Inc Kissinger Financial Services SMH Private Equity Funds Select Sports Group Holdings LLC Miller-Green Financial Group

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Ben T. Morris, CEO Robert E. Garrison, II, Pres. Rick Berry, CFO John T. Unger, General Counsel/Sr. VP Don A. Sanders, Vice Chmn. Susan Bailey, Corp. Sec. George L. Ball, Chmn.

Phone: 713-993-4610 Fax: 713-224-1101 Toll-Free: 800-900-4611 Address: 600 Travis, 5800 JP Morgan Chase Tower, Ste. 5800, Houston, TX 77002 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: SMHG 2008 Sales: $196,330 2008 Profits: $-25,293 Int’l Ticker: Int’l Exchange: 2007 Sales: $185,812 2007 Profits: $5,093 Employees: 639 2006 Sales: $166,748 2006 Profits: $3,406 Fiscal Year Ends: 12/31 2005 Sales: $124,475 2005 Profits: $10,674 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International:



SCHRODERS PLC

www.schroders.com



Y


Y

Profits: 16


Y


Y



TYPES OF BUSINESS: Investment Management Biotechnology & Health Care Investments

Schroders plc, established in 1818 and based in the U.K., is engaged in global asset management, with over $222.2 billion under management. Schroders’ products encompass a range of asset classes such as equities, including singlecountry and multi-country funds, small and mid-cap funds, high-risk funds and more conservative options; fixed income, managing a variety of portfolio types for institutional investors worldwide; multi-asset investments, encompassing customized cross-class management strategies aimed at diversifying risk; and alternative investments, including assets managed through investments in property, commodities, funds of hedge funds and debt in emerging international markets. The company’s clients include major conglomerates, international financial firms, government agencies, pension funds, hedge funds, charities and private investors, as well as insurance companies, local and public authorities and retail investors. The firm maintains a dedicated private banking division with approximately $19.7 billion in assets under management offering personalized financial management, custody and execution services, deposit-taking and specialized lending services to high net worth individuals, family trusts and business owners. Schroders has 33 offices in 26 countries across the Americas, Europe, the Middle East and the Asia-Pacific region. The company’s U.S. offices are located in New York, New York and Philadelphia, Pennsylvania. The firm also operates through subsidiary Schroder Ventures Life Sciences, which invests in companies within the life sciences sector, including biotechnology, pharmaceuticals, medical devices and health care information technology. In August 2009, the company relocated the headquarters of its German property business from Wiesbaden to Frankfurt in order to consolidate certain administrative functions across several business lines. In November 2009, Schroders announced a strategic partnership with ABN AMRO for the extended distribution of the firm’s funds in the Netherlands. Schroders advertises employment vacancies internally to allow for employee mobility. It also offers educational assistance, on-site fitness centers and paid time off for charitable volunteer work.

BRANDS/DIVISIONS/AFFILIATES: Schroder Ventures Life Sciences Schroder & Co. Limited

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Michael Dobson, CEO Kevin Parry, CFO Graham Staples, Corp. Sec. Emma Tovey, Head-Corp. Comm. Alan Brown, Chief Investment Officer Philip Mallinckrodt, Head-Schroders Private Banking Michael Miles, Chmn. Massimo Tosato, Head-Asia & Americas/Vice Chmn.

Phone: 44-207-658-6000 Fax: 44-207-658-6965 Toll-Free: Address: 31 Gresham St., London, EC2V 7QA UK

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: 2008 Sales: $1,507,880 2008 Profits: $123,590 Int’l Ticker: SDR Int’l Exchange: London-LSE 2007 Sales: $1,920,380 2007 Profits: $482,920 Employees: 2006 Sales: $1,894,000 2006 Profits: $434,500 Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



SCHWAB RETIREMENT PLAN SERVICES COMPANY scrs.schwab.com Industry Group Code: 523920 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:



Y Y

Profits:



Y Y Y



TYPES OF BUSINESS: Asset Management Retirement & Pension Plans Consulting Back Office Services Employee Benefit Education Services Compliance Assistance Trustee Services Online Services

Schwab Retirement Plan Services Company, formerly The 401(k) Company, is a subsidiary of The Charles Schwab Corp. The company offers a full range of retirement and defined contribution pension plan services. The company specializes in helping midsize and large employers revamp and manage their existing 401(k) and retirement plans. Its comprehensive range of services covers record keeping, trustee functions, consulting, compliance regulation, participant education and communication with employees. It functions as a hybrid between a bundled provider and a benefit consulting firm, focused primarily on the management of 401(k) plans and companion defined contribution plans. The fund distribution services previously offered through 401(k) Investment Services, Inc. are now offered directly through Schwab Retirement Plan Services Company. Additionally, the company offers its customers access to an online fund selection and monitoring system, known as FIDUCIARYdirect. The company offers its employees a 401(k) plan; a stock purchase plan; medical, dental vision; flexible spending account; tuition assistance; an employee discount program; and an employee assistance program.

BRANDS/DIVISIONS/AFFILIATES: Charles Schwab Corp (The) FIDUCIARYdirect

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Jerry Bramlett, CEO Jerry Bramlett, Pres. Donald Figer, CIO Melissa Janda, VP-Admin. Deborah Ebner, Sr. VP-Legal Melissa Janda, VP-Finance

Phone: Fax: 330-908-4416 Toll-Free: 887-456-0777 Address: 4150 Kinross Lakes Pkwy., Richfield, OH 44286 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company: CHARLES SCHWAB CORP (THE)




Y

Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest: Y

Southeast:


Northeast:

International:



SCM ADVISORS LLC

www.scmadv.com



Y


Y

Profits:


Y




TYPES OF BUSINESS: Investment Management/Mutual Funds Asset Management

SCM Advisors LLC, formerly Seneca Capital Management LLC, serves the financial needs of individual and corporate customers, particularly in asset management products and services. The company is a majority-owned subsidiary of Virtus Investment Partners, Inc., formerly The Phoenix Companies, a provider of wealth management and investment management products and services designed specifically for foundations, endowments, corporations, public funds, multi-employer plans, private clients and high net worth individuals. SCM Advisors LLC offers separately managed accounts and mutual funds and has $3.1 billion in assets under management. Products include fixed income, growth equity and structured finance vehicles foundations, which are special purpose funds that invest in a diversified pool of assets.

BRANDS/DIVISIONS/AFFILIATES: Phoenix Companies (The) Seneca Capital Management LLC Virtus Investment Partners Inc

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Maxwell Bublitz, Chief Strategist John Hayes, Mgr.-Client Comm. Laura Milner, Portfolio Mgr. Kaushik Saha, Securitized Portfolio Mgr. Robert Bishop, Portfolio Mgr./Chief Investment Officer

Phone: 415-486-6500 Fax: 415-486-6783 Toll-Free: 800-828-1212 Address: 909 Montgomery St., Ste. 500, San Francisco, CA 94133 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company: VIRTUS INVESTMENT PARTNERS INC




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast:

International:



SCOTTRADE INC

www.scottrade.com




Profits:





TYPES OF BUSINESS: Online Stock Broker Discount Brokerage Online Financial Information Fixed Income Securities Trading Software

Scottrade, Inc. is a discount and online brokerage firm with over 443 branch offices across the U.S. Scottrade offers accounts with commissions as low as $7 per trade with no inactivity fees and a minimum account balance of $500 and $2,000 for margin accounts. The company operates Scottrade.com, which serves as an investment information center and platform for online trading. The web site features real-time streaming quotes and charts, access to premium Standard & Poor’s research, Dow Jones Real-Time News for Investors and market commentary. The firm also offers touch-tone phone/wireless trading and broker-assisted trades at branch locations. Customers can invest in listed, NASDAQ, bulletin board, pink sheet and Canadian stocks. The firm also has a large selection of fixed income securities, such as corporate, municipal and U.S. Treasury bonds, as well as CDs and preferred stocks. Option accounts are also available. ScottradeELITE, free to accounts with a minimum value of $25,000, is a trading software platform for active traders, which features advanced charting, real-time streaming news, stock research, chart analysis and trading tools for stocks and options. Scottrade OptionsFirst is a trading tool that offers a risk viewer to determine a potential profit and virtual trading to evaluate differing trade strategies before committing real money. The company also offers a mobile version of their website for internet-enabled phones. In 2009, the firm opened or expanded branches in Texas, New York, Kansas, Virginia, North Carolina, Delaware, Wisconsin, Georgia, Florida, Illinois, Michigan, New Jersey, Pennsylvania and Tennessee. Scottrade sponsors the Alzheimer’s Association, The Humane Society, the American Red Cross, United Way, and the St. Louis Art Museum, among others. The company offers its employees performance based bonuses; medical, dental, vision and life insurance; flexible spending accounts; legal advice; elder care and child care referrals; life and AD&D insurance; and tuition reimbursement.

BRANDS/DIVISIONS/AFFILIATES: scottrade.com ScottradeELITE Scottrade OptionsFirst

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Rodger O. Riney, CEO Rodger O. Riney, Pres. Ron Wiese, CFO Chris X. Moloney, Chief Mktg. Officer

Phone: 314-965-1555 Fax: 314-543-6222 Toll-Free: 800-619-7283 Address: 12800 Corporate Hill Dr., St. Louis, MO 63131-1834 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Private 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $1,030,000 2007 Profits: $ Employees: 2006 Sales: $796,000 2006 Profits: $ Fiscal Year Ends: 9/30 2005 Sales: $464,000 2005 Profits: $ Parent Company:




Y Y Y

Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



SECURITY BENEFITS GROUP OF COMPANIES www.securitybenefit.com Industry Group Code: 524113 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y Y


Y Y

Profits:





TYPES OF BUSINESS: Life Insurance Investment Management Annuities Mutual Funds

Security Benefits Group of Companies is a retirement and investment firm for the education, corporate, banking, government and health care industries. The firm, operating through Security Benefit Life Insurance Company, Security Distributors, Inc. and other subsidiaries, works primarily through independent financial planners to provide service to corporations and individual investors. Security Benefits provides investment options, including proprietary fixed annuities, variable annuities, mutual funds, life insurance, asset management services and full service retirement plans. The company has over $35 billion in assets, The company divides its offerings into three sections: individual investor programs, which include traditional and Roth IRAs and education savings accounts; employer-sponsored programs, such as health care reimbursement account programs, customized custody/trust plans, defined benefit plans and several different types of retirement and pension programs; and institutional programs, including collective trusts, guaranteed investment contracts, single premium deposit contracts and funding agreements. The company also offers business technology and processing solutions through its se2 (service end2end) business unit. se2 utilizes a state-of-the-art software platform to provide administration and distribution support services to the business processing outsourcing (BPO) industry. In 2008, the firm acquired Rydex Investments, which retails institutional-style investment products.

BRANDS/DIVISIONS/AFFILIATES: Security Benefit Life Insurance Company Security Distributors, Inc. se2 (service end2end) Rydex Investments

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Kris A. Robbins, CEO Kris A. Robbins, Pres. Tom Swank, CFO David Keith, CIO/Sr. VP Doug Wolff, VP-Bus. Dev. Kris A. Robbins, Chmn.

Phone: 785-438-3000 Fax: 785-438-5177 Toll-Free: 800-888-2461 Address: 1 Security Benefit Place, Topeka, KS 66636-0001 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Private 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $2,953,500 2007 Profits: $40,700 Employees: 2006 Sales: $3,842,400 2006 Profits: $45,700 Fiscal Year Ends: 12/31 2005 Sales: $2,264,900 2005 Profits: $45,900 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest: Y

Southeast:


Northeast:

International:



SEI INVESTMENTS CO

www.seic.com




Profits: 8



Y Y


Outsourced Investment Management Services Processing Services Asset Management Software Investment Services Consulting Services Back Office Software & Services

SEI Investments Co. is a global provider of investment processing, fund processing and investment management business outsourcing solutions. SEI administers $379.6 billion in mutual fund and pooled assets and manages $134.3 billion in assets. The firm also markets financial software products and computer processing services to assist trust institutions in managing investments. SEI operates in six units. Private banks provide investment processing and investment management programs to banks and trust institutions and independent wealth advisers. Investment advisors offers investment management programs to affluent investors through a network of independent investment advisors, financial planners and other investment professional. Institutional investment provides investment management programs and administrative outsourcing solutions to retirement plan sponsors and not-for-profit organizations. The firm’s investment managers supply investment processing, fund processing and operational outsourcing solutions to investment managers, fund companies and banking institutions. LSV Asset Management is for institutions and investment companies. Finally, investments in new businesses provide investment management programs to affluent families directly and through the SEI Wealth Network. The TRUST 3000 product line offers back-office accounting and processing services to trust institutions, allowing them to outsource their trust operations and related investment functions. The company’s principal subsidiaries are SEI Investments Distribution Company, a broker dealer; SEI Investments Management Corporation, an investment advisor; and SEI Private Trust Company, a company offering processing, reporting and custody services, as well as automating and centralizing clients’ trust accounting, income collections, securities settlement and securities processing functions. In January 2009, the Commercial Bank of Kuwait’s Tijari Private Bank announced a partnership with SEI to provide comprehensive global investment management solutions to Kuwaiti investors. Benefits include an incentive compensation program, health and life insurance and an on-site fitness center.

BRANDS/DIVISIONS/AFFILIATES: SEI Investments Distribution Company SEI Investments Management Corp. SEI Private Trust Company TRUST 3000 SEI Wealth Network

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Alfred P. West, Jr., CEO Dennis J. McGonigle, CFO/Exec. VP Jeffrey Klauder, General Counsel/Exec. VP Kathy C. Heilig, Chief Acct. Officer Wayne Withrop, Exec. VP Stephen G. Meyer, Exec. VP Edward D. Loughlin, Exec. VP Alfred P. West, Jr., Chmn.

Phone: 610-676-1000 Fax: 610-676-2995 Toll-Free: 800-342-5734 Address: 1 Freedom Valley Dr., Oaks, PA 19456-1100 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: SEIC 2008 Sales: $1,247,919 2008 Profits: $496,349 Int’l Ticker: Int’l Exchange: 2007 Sales: $1,369,028 2007 Profits: $593,975 Employees: 2,260 2006 Sales: $1,175,749 2006 Profits: $236,990 Fiscal Year Ends: 12/31 2005 Sales: $773,007 2005 Profits: $188,344 Parent Company:



Y


TYPES OF BUSINESS:


Y

Profit Sharing:


Bonus: $147,500 Bonus: $132,500


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



SEQUOIA CAPITAL

www.sequoiacap.com



Y


Profits:





TYPES OF BUSINESS: Venture Capital IT Investments

Sequoia Capital is a venture capital firm that has backed computer and technology companies including Yahoo!, Apple Computer, Cisco Systems, Google, PayPal and mp3.com. The firm identifies three growth stages for companies that it invests in: Seed Stage (in which the company invests $100,000 to $1 million); Early Stage ($1 million to $10 million); and Growth Stage ($10 million to $100 million). Firms in Sequoia’s portfolio operate in areas including energy (alternative energy, conventional energy, energy efficiency, energy storage and energy services), finance (banking, brokerage, payments and enabling technologies), healthcare (diagnostic services, genetics services, lab services, patient services and product development service), Internet (advertising, communications, ecommerce, games, media, search and social networking), mobile technology (advertising, applications and devices), outsourcing (business process outsourcing, hosting services, managed services, professional services and software development services) and technology (semiconductor, subsystems, systems, software and services). The company invests in firms internationally through three divisions: Sequoia Capital Israel, with offices in Herzelia and Menlo Park; Sequoia Capital India, with offices in Mumbai, New Delhi and Bangalore; and Sequoia Capital China, with offices in Beijing, Hong Kong and Shanghai. Most of Sequoia’s investors are educational institutions or philanthropic organizations. Companies that have recently spent a formative period with Sequoia Capital include YouTube, Plaxo, Cast Iron Systems and Mark Logic. The company’s web site provides guidelines for business plan formatting and elements of sustainable firms for companies seeking venture capital. Companies Sequoia has recently invested in include First Republic Bank; Okaybuy, a Chinese shoe and apparel retailer; Aobi.com, a Chinese children’s social networking site; Kenshoo, Inc., an online marketing company; and CloudShare, an Israeli IT solutions company.

BRANDS/DIVISIONS/AFFILIATES: Sequoia Capital China Sequoia Capital Israel Sequoia Capital India

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Melinda Dunn, CFO Mark Dempster, Mktg. Partner Joe Dobrenski, Human Capital Partner Marie L. Leippe, VP-Finance Roelof Botha, Partner-Svcs. & Software Investments Michael Gogeun, Partner-Semiconductor & Systems Investments Mark A. Stevens, Partner-Semiconductor, Software & Systems Michael Mortiz, Partner-Svcs. & Software Investments

Phone: 650-854-3927 Fax: 650-854-2977 Toll-Free: Address: 3000 Sand Hill Rd., 4-250, Menlo Park, CA 94025 US

FINANCIALS:





Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast:

International: Y



SHAREBUILDER CORP

www.sharebuilder.com




Profits:





TYPES OF BUSINESS: Online Brokerage Discount Brokerage

ShareBuilder Corporation is an online brokerage with over 1 million accounts. The company is a subsidiary of ING Direct, which in turn is a subsidiary of the ING Group. ShareBuilder Corporation operates through its subsidiary ShareBuilder Securities Corporation, a registered broker-dealer and member of the National Association of Securities Dealers (NASD) and the Securities Investor Protection Corporation (SIPC). The company’s primary product is ShareBuilder, a discount online brokerage service targeted towards first-time and moderately experienced investors. ShareBuilder offers some of the lowest transaction fees in the industry (around $4). The online service offers customers their choice of three account types: basic, standard and advantage, with various subscription fees arranged according to the volume and frequency of trades. The advantage account offers a gain and loss tracker, portfolio tax tool and priority notification for initial public offerings (IPOs).

BRANDS/DIVISIONS/AFFILIATES: ShareBuilder Securities Corporation ShareBuilder ING Direct ING Group (ING Groep NV)

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Dan Greenshields, Pres. Steve Throckmorton, Head-Human Resources Garrett Silver, Head-Investments Tech. Brandon Potter, Head-Prod. Mgmt. Paul Swegle, General Counsel/VP/Sec. Brian Applegate, Chief Compliance Officer

Phone: 425-451-4440 Fax: 425-451-4449 Toll-Free: 800-747-2537 Address: 83 S. King St., Seattle, WA 98104 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $6,000 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company: ING GROUP (ING GROEP NV)




Y

Profit Sharing:


Bonus: $ Bonus: $


Southwest:

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Southeast:


Northeast:

International:



SIAM CITY SECURITIES CO LTD

www.scis.co.th




Y

Profits:



Y



TYPES OF BUSINESS: Securities Trading Underwriting Services Financial Advisory Services Securities Brokerage Investment Advisory Services

Siam City Securities Co., Ltd. (SCIBS), a wholly-owned subsidiary of Thailand-based Siam City Bank Pcl, provides stock exchange and brokerage for the Stock Exchange of Thailand through 16 branches throughout the country. The company separates its business into five categories: securities brokerage, through which it provides brokerage services for domestic and foreign investors, as well as cash and credit account balance and Internet trading services; securities trading; investment advisory services, which include securities value and investment and securities trading advisory services; securities underwriting, provided for securities such as common shares, debentures, warrants and unit trust; and derivatives brokerage, through which the firm provides financial advisory services and online trading. Financial advisory services include restructuring, initial public offering, merger and acquisition, divestment, tender offer, strategic partner and debt restructuring services. Siam City Bank Pcl, SCIBS’ parent company, offers retail and commercial banking services through approximately 404 branches in Thailand.

BRANDS/DIVISIONS/AFFILIATES: Siam City Bank Pcl

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Wiboon Perm-Arayawong, CEO Wiboon Perm-Arayawong, Pres. Sukit Udomsirikul, Asst. Managing Dir.-Research Dept. Santad Sa-nguandeekul, Managing Dir.-Investment Banking Payupat Mahabhol, Asst. Managing Dir.-Investment Banking Panthita Sae-Eng, Asst. Managing Dir.-Investment Banking Tepadol Lor. Veerapak, Asst. Managing Dir.-Securities Brokerage Bus. Rathian Srimongkol, Chmn.

Phone: 66-2624-8888 Fax: 66-2207-2888 Toll-Free: Address: 999/9 Rama I Rd., 9th Fl., Pathumwan, Bangkok, 10330 Thailand

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 2005 Sales: $ 2005 Profits: $ Parent Company: SIAM CITY BANK PCL




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast:

International: Y



SIEBERT FINANCIAL CORP

www.siebertnet.com


Y Y


Y


Y

Profits: 16



Y



TYPES OF BUSINESS: Investment Banking Discount Stock Brokerage Online Financial Information Equity Execution Services

Siebert Financial Corp., through its wholly-owned subsidiary Muriel Siebert & Co., Inc., provides retail discount brokerage and municipal and corporate investment banking services from seven offices in New York, New Jersey, Florida and California. Subsidiary Siebert Woman’s Financial Network, Inc. provides products, services and information tailored specifically to women’s financial needs. Through its Capital Markets division, Siebert also offers institutional clients equity execution services on an agency basis, as well as equity and fixed income underwriting and investment banking services. In addition, Siebert, Brandford, Shank & Co., LLC, (SBS) is a company in which Siebert holds a 49% ownership interest, is one of the largest minority and women’s business enterprises (MWBE) in the tax-exempt underwriting market in the country. SBS has offices in New York, Seattle, Houston, Chicago, Detroit, Los Angeles, Washington DC, San Antonio, Anchorage, Miami, Dallas, Atlanta, Weehawken, San Diego and Baton Rouge. The company also as a 33.33% stake in SBS Financial Products Company, LLC, which engages in derivatives transactions related to the municipal underwriting business. Siebert’s focus in its discount brokerage business is to serve retail clients seeking investment services with commissions that are substantially lower than those of fullcommission firms. The company operates a web site, SiebertNet, which provides access to an extensive selection of independent, third-party research and analytic tools as well as free real-time quotes, email alerts, securities and information centers. The company’s retail customers can make investments by telephone, over the Internet or through a wireless device such as a PDA.

BRANDS/DIVISIONS/AFFILIATES: Muriel Siebert & Co., Inc. SiebertNet Siebert Women's Financial Network, Inc. Siebert, Brandford, Shank & Co., LLC SBS Financial Products Company, LLC

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Muriel F. Siebert, CEO Muriel F. Siebert, Pres. Joseph M. Ramos, Jr., CFO/Exec. VP Jeanne M. Rosendale, General Counsel/Exec. VP Ameen Esmail, Exec. VP/Dir.-Bus. Dev. Muriel F. Siebert, Chmn.

Phone: 212-644-2400 Fax: 212-486-2784 Toll-Free: 877-327-8379 Address: 885 3rd Ave., Ste. 1720, New York, NY 10022 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: SIEB 2008 Sales: $29,750 2008 Profits: $-1,760 Int’l Ticker: Int’l Exchange: 2007 Sales: $33,914 2007 Profits: $2,258 Employees: 82 2006 Sales: $28,818 2006 Profits: $3,425 Fiscal Year Ends: 12/31 2005 Sales: $31,172 2005 Profits: $1,863 Parent Company:




Y Y

Profit Sharing:


Bonus: $145,000 Bonus: $95,000


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International:



SILVER LAKE PARTNERS

www.silverlake.com




Profits:




Y



Silver Lake Partners is a private equity firm that primarily focuses its investments in middle and large capital technology companies. The company seeks to invest in firms that have an established business model and sustainable competitive advantage. Silver Lake’s ideal target firm has an established position in the industry, a strong management team, a profitable business model and proprietary business processes and technology. The company pursues many types of investment structures, including acquisition finance; leveraged buyouts and goingprivate transactions; restructurings and recapitalizations; spin-offs and carve-outs from larger companies; and structured minority investments and strategic stakes. On average the company invests large amounts of capital (between $100 and $500 million) in its transactions. The company’s primary funds include its middle market fund Silver Lake Sumeru; the Silver Lake Financial fund, which invests in distressed debt opportunities; and the Silver Lake Partners fund that invests in large capital companies. Silver Lake’s portfolio of companies includes Avago Technologies, a supplier of semiconductor devices for a wide array of endmarket applications such as wireless handsets, fiber optics and optoelectronics; Avaya, Inc., a provider of Intelligent Communications solutions; Flextronics, which offers electronics manufacturing services; NetScout Systems, Inc., a provider of integrated network and application performance management solutions; NASDAQ OMX, an electronic screen-based equity securities market in the U.S.; NXP, a provider of semiconductors, system solutions and software; SunGuard, which offers software and processing solutions for financial services, higher education and the public sector; and Thomson, a technology, services and systems provider for media and entertainment clients. In November 2009, the company and its investment partners acquired a 70% stake in Skype Technologies from eBay.

BRANDS/DIVISIONS/AFFILIATES: Avago Technologies NetScout Systems, Inc. NASDAQ NXP SunGuard Avaya, Inc. Thomson Silver Lake Financial

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Glenn Hutchins, Co-CEO Alan Austin, COO/Managing Dir. Andy Wagner, CFO Susannah Carrier, Dir.-Mktg. Audra Paterna, VP-Human Resources Eric Rosenberg, CIO Karen King, General Counsel Gabriela Elma, Mgr.-Oper. Susannah Carrier, Dir.-Investor Rel. Yolande Jun, Sr. VP-Finance Jim Davidson, Chmn. Ken Hao, Managing Dir., Asia


FINANCIALS:





Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



SIMMONS & COMPANY INTERNATIONAL Industry Group Code: 523110 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:

Y



www.simmonsco-intl.com

Profits:



Y Y



TYPES OF BUSINESS: Investment Banking-Energy Sector Research Mergers & Acquisitions

Simmons & Company International provides investmentbanking services for the energy service industry, primarily for oil and drilling companies and the firms that work with them. Specifically focused on energy service, Simmons & Company assists its clients with the execution and closing of transactions including mergers, divestitures, acquisitions and debt and equity financing. The firm also offers research, sales and trading services for publicly held oil service and equipment companies. Simmons & Company has completed over 560 merger, acquisition and divestiture transactions worth over $98 billion. Transactions have ranged from $10 million to $8 billion, in virtually every sector of the energy service industry and involving both small, privately held companies and multi-billion dollar public entities. Simmons & Company has participated in more than 128 public offerings, raising over $38 billion in equity and debt. The firm operates domestically from offices in Houston, Texas and internationally from offices in London, England; Aberdeen, Scotland; and Dubai, United Arab Emirates. Approximately 20% of the mergers, acquisitions and divestitures transactions for which Simmons & Company has provided assistance have been cross-border transactions. The firm’s Aberdeen office has completed 118 transactions worth about $10 billion, roughly 66% of which have been cross-border transactions.


CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Michael E. Frazier, CEO Michael E. Frazier, Pres. William F. Britt, Head-Institutional Sales William A. Herbert, Managing Dir.-Research Anthony P. Banham, Vice Chmn. Nicholas L. Swyka, Vice Chmn. Colin I. Welsh, CEO-Simmons & Company International Limited Matthew R. Simmons, Chmn. Robert C. Muse, Head-European Institutional Sales

Phone: 713-236-9999 Fax: 713-223-7800 Toll-Free: Address: 700 Louisiana St., Ste. 1900, Houston, TX 77002 US

FINANCIALS:





Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest:

Southeast:


Northeast:

International: Y



SINOPIA ASSET MANAGEMENT

www.sinopia.fr



Y


Y

Profits:


Y




TYPES OF BUSINESS: Investment Management Investment Funds

Sinopia Asset Management is a specialist in quantitative asset management, providing quantitative asset management products and services for high-net-worth investors and financial distribution networks, with more than $26.5 billion in assets under management. The company is a subsidiary of HSBC France, formerly CCF, S.A. bank, which is itself a subsidiary of U.K.-based HSBC Holdings plc, one of the largest banking and financial services organizations in the world. Sinopia’s investments teams are supported by a global network of HSBC Global Asset Management sales and marketing teams. Sinopia’s Equity Team consists of 14 experienced investment professionals managing over $10.5 billion. The team offers index funds, enhanced index funds, country/sector funds and global or regional equities funds, all of which range from low to high active risk level, on developed and emerging markets. Sinopia’s fixed income team consists of six investment professionals managing over $7.2 billion, offering two strategies: duration matching indexed strategies and single country and global strategies. The company’s absolute return team consists of nine investment professionals managing $5.1 billion, making Sinopia a leading European hedge fund. Sinopia’s structured and guaranteed team consists of 11 investment professionals managing over $3.7 billion, and offers actively managed guaranteed and protected funds and structured products.

BRANDS/DIVISIONS/AFFILIATES: HSBC France HSBC Holdings plc HSBC Group Equity Team Fixed Income Team Absolute Return Team Global Bond Market Neutral Structured & Guaranteed Team

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Pierre Sequier, CEO Emmanuel Babinet, COO/Sr. Exec. VP Maria-Laura Hartpence, Head-Investment Research Muriel Heitzmann, Global Head-Guaranteed & Structured Prod. Jean-Charles Bertrand, Head-Fixed Income & Absolute Return Gregory Taillard, Global Head-Financial Eng. Jean Francois Schmitt, Head-Equity/CEO-SINOPIA Asset Mgmt. U.K. Pierre Sequier, Chief Investment Officer Alfred Yip, CEO-SINOPIA Asset Mgmt. Asia Pacific Ltd.

Phone: 33-1-41-02-52-00 Fax: 33-1-41-02-51-30 Toll-Free: Address: Immeuble Ile de France, 4 Place de la Pyramide, la Defense 9, Puteaux, 92 800 France

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company: HSBC HOLDINGS PLC




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast:

International: Y



SOCIETE GENERALE GROUP

www.societegenerale.com


Y


Y


Y Y Y

Profits: 17



Y



TYPES OF BUSINESS: Banking Business Finance Life Insurance Investment Management Securities Consumer Credit Services

Societe Generale Group (SG), based in Paris, France, is a European financial service group with operations in over 82 countries. Societe Generale’s numerous subsidiaries are divided into three core businesses: retail banking and specialized financial services such as business finance, consumer credit, securities and life insurance activities; global investment management and services, which includes the company’s group asset management and private banking business; and corporate and investment banking, which includes corporate banking, fixed income, equity and advisory activities. In France, the company owns retail bank Credit du Nord. In the U.S., the company’s primary asset management subsidiary is the TCW Group; the firm’s corporate investment and banking subsidiaries include SG Cowen Securities, SG Americas, Inc. and SG Americas Securities, LLC. The firm also operates through Fimat, a global securities services subsidiary for investors, offering services including execution; clearing; delivery; custody settlement; employee share plan management; and trustee, fund and portfolio administration. In 2008, Societe Generale Consumer Finance acquired General Financing in Lithuania and signed an agreement with Banque PSA Finance to expand in Russian markets. In April 2009, subsidiary Societe Generale Asset Management sold its London-based asset management division, SGAM U.K., to GLG Partners, Inc. Also in April 2009, SG launched Green IT, a program aimed at reducing the firm’s carbon footprint worldwide. In May 2009, the company acquired an additional 7% ownership of Rosbank from Interros; SG now owns 64.7% of the bank. In June 2009, SG agreed to merge its asset management operations with those of Credit Agricole S.A.; the combined group will have roughly $861.84 billion in assets under management.

BRANDS/DIVISIONS/AFFILIATES: Credit du Nord TCW Group Societe Generale Asset Management Fimat Rosbank

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Frederic Oudea, CEO Didier Valet, CFO Anne Marion-Bouchacourt, Head-Human Resources Patrick Suet, Chief Legal & Compliance Officer/Corp. Sec. Hugues Le Bret, Head-Corp. Comm. Severin Cabannes, Deputy CEO Didier Alix, Deputy CEO Benoît Ottenwaelter, Chief Risk Officer Alain Py, Chmn./CEO-Credit du Nord Frederic Oudea, Chmn. Jean-Louis Mattei, Head-Int'l Retail Banking

Phone: 33-1-42-14-20-00 Fax: Toll-Free: Address: 29 Blvd. Haussmann, Paris, 75009 France

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: SCGLY 2008 Sales: $104,378,000 2008 Profits: $2,942,000 Int’l Ticker: GLE Int’l Exchange: Paris-Euronext 2007 Sales: $103,440,000 2007 Profits: $1,300,000 Employees: 2006 Sales: $84,485,700 2006 Profits: $6,550,500 Fiscal Year Ends: 2005 Sales: $64,441,900 2005 Profits: $5,524,400 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest: Y

Southeast:


Northeast: Y

International: Y



SOMPO JAPAN INSURANCE INC

www.sompo-japan.co.jp



Y


Y

Profits: 1





TYPES OF BUSINESS: Insurance, Property & Casualty Asset Management Reinsurance Risk Management Life Insurance Pension Management Services

Sompo Japan Insurance, Inc. is an international insurance company offering a variety of life and non-life coverage, as well as asset and risk management and reinsurance services, in Japan and 29 other countries. Sompo operates through six business segments: the non-life insurance business, which provides fire, marine, automobile and other insurance; the life insurance business; the defined contribution (DC) pension business, offering DC scheme management services; the mutual fund and investment advisory business; the healthcare business, which includes one of Japan’s largest health guidance networks; and the risk management business, offering primarily Business Continuity Management solutions. Sompo Japan Insurance Company of America, a subsidiary of the firm, offers property and casualty insurance and risk management in the U.S. through SJA Insurance Agency LLC. Sompo Japan Insurance Company of Europe Limited conducts underwriting and provides claim settlement, risk management and insurance information mainly to Japanese enterprises in the U.K., Belgium, France, Germany, Italy, the Netherlands and Spain. Sompo Japan Asia Holdings Pte. Ltd., based in Singapore, provides general insurance through subsidiaries in Malaysia, Indonesia, the Philippines, Thailand, Australia and Vietnam. Yasuda Seguros S.A. offers insurance to Japanese and local companies in Brazil. Sompo Japan Insurance (China) Co., Ltd. provides local insurance services from Dalian, Shanghai and Guangdong, China. The company also has underwriting subsidiaries in Korea and Taiwan. In July 2008, Sompo Japan established Sompo Japan Asia Holdings Pte. Ltd. In November 2008, subsidiary Sompo Japan System Solutions, Inc. opened a new development system center in Dalian, China. In March 2009, Sompo Japan China established a local branch in Guangdong, China. Also in March, Sompo Japan and NIPPONKOA Insurance Co., Ltd., agreed to establish a joint holding company, NKSJ Holdings, Inc., for future business collaboration. In July 2009, Yasuda Seguros acquired 54.7% of Maritima Seguros S.A., a Brazilian insurance company.

BRANDS/DIVISIONS/AFFILIATES: Sompo Japan Insurance Company of America SJA Insurance Agency LLC Sompo Japan Insurance Company of Europe Limited Sompo Japan Asia Holdings Pte Ltd Yasuda Seguros S.A Sompo Japan Insurance (China) Co., Ltd. NIPPONKOA Insurance Co., Ltd. Maritima Seguros S.A.

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Masatoshi Sato, CEO Masatoshi Sato, Pres. Koki Kazuma, Sr. Managing Exec. Officer Kenichi Tomita, Dir./Sr. Managing Exec. Officer Mitsuhiko Fuse, Dir./Sr. Managing Exec. Officer Hisashi Nakano, Dir./Managing Exec. Officer

Phone: 81-3-3349-3111 Fax: Toll-Free: Address: 26-1 Nishi-Shinjuku 1-chome, Shinjuku-ku, Tokyo, 1608338 Japan

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $13,313,607 2009 Profits: $-678,913 U.S. Stock Ticker: SJIIF 2008 Sales: $18,213,100 2008 Profits: $596,400 Int’l Ticker: 8755 Int’l Exchange: Tokyo-TSE 2007 Sales: $16,020,000 2007 Profits: $530,000 Employees: 2006 Sales: $15,340,717 2006 Profits: $573,568 Fiscal Year Ends: 3/31 2005 Sales: $16,429,300 2005 Profits: $456,289 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



SS&C TECHNOLOGIES INC

www.ssctech.com




Profits: 3



Y


Financial Software Business Process Outsourcing Services Application Service Provider Solutions Financial Education & Simulation Products Hedge Fund Management Services

SS&C Technologies, Inc., a subsidiary of SS&C Technologies Holdings, Inc., is an international company offering a family of highly specialized, mission-critical software and services that help automate and simplify information management, analysis, accounting, reporting and compliance for investment professionals in a broad range of financial services segments. The products allow clients to rapidly access, manage and analyze large amounts of transactions-based data both in the aggregate and in detail. The firm provides its services to over 4,500 clients globally. The company’s portfolio of over 60 product and services offerings are specialized to serve eight main industry segments: alternative investments; asset management; insurance and pension funds; commercial lending; treasury, banks and credit unions; financial institutions; municipal finance; and real estate property management. Various branded products/services within the SS&C product lines include AdvisorWare, a software that supports hedge funds, funds of funds and family offices with sophisticated global investment, trading and management concerns; BANC Mall, an Internet-based research and lending tools for loan administration; and Antares, a real-time, event-driven trading and profit and loss reporting system designed to integrate trade modeling with trade order management. The firm’s software-as-a-service business accounted for 82% of total revenues for the year of 2008, with about three-quarters of business coming from North America. SS&C has expanded through acquisitions, acquiring 25 businesses since 1995 with the goal of obtaining companies that provide complementary products, address highly specialized niche markets, have strategic geographical presences, offer expertise that is amenable to software delivered services and possess proven technologies that can be further exploited. In 2009, the company acquired TheNextRound, Inc., a private equity software firm; MAXIMIS Software, a provider of real-time investment programs; and Evare, LLC, which develops data gathering and transformation applications for the financial sector. Employees of the firm are offered health benefits; flexible spending accounts; life insurance; a 401(k) plan; disability insurance; and tuition reimbursement.

BRANDS/DIVISIONS/AFFILIATES: AdvisorWare BANC Mall Antares TheNextRound, Inc. MAXIMIS Software Evare, LLC SS&C Technologies Holdings, Inc.

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. William Stone, CEO Normand A. Boulanger, COO Normand A. Boulanger, Pres. Patrick J.Pedonti, CFO/Sr. VP Stephen V.R. Whitman, General Counsel/Sr. VP Steve H. Kremidas, Sr. VP/Chief Dev. Officer Suresh Thekkenmar, Sr. VP-Professional Svcs. Sean Egan, Sr. VP-Real Estate Alex Marasco, Sr. VP-Asset Management Colleen Nelsen, Sr. VP-Treasury, Banks & Credit Unions William Stone, Chmn.

Phone: 860-298-4500 Fax: 860-298-4900 Toll-Free: 800-234-0556 Address: 80 Lamberton Rd., Windsor, CT 06095 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $280,006 2008 Profits: $18,801 Int’l Ticker: Int’l Exchange: 2007 Sales: $248,168 2007 Profits: $6,575 Employees: 1,128 2006 Sales: $205,469 2006 Profits: $1,075 Fiscal Year Ends: 12/31 2005 Sales: $161,600 2005 Profits: $ Parent Company: SS&C TECHNOLOGIES HOLDINGS INC



Y Y


TYPES OF BUSINESS:


Y

Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest: Y

Southeast:


Northeast: Y

International: Y



STANDARD & POORS (S&P)

www.standardandpoors.com



Y


Profits:



Y Y



TYPES OF BUSINESS: Financial Information Credit Ratings Securities Indices Equity Research Risk Services Mutual Funds Data Services

Standard & Poor’s (S&P), a subsidiary of McGraw-Hill Companies, Inc., is one of the world’s largest providers of credit ratings, financial-market indices and other investment related products and services. Products and services offered by the company include credit ratings, equity research, indices, funds, risk solutions, governance services, evaluations and data services. S&P’s best known index is the S&P 500, which is one of the world’s premier U.S. largecap indexes and a benchmark for many major index funds. Other indices track Canadian, European and Asian stock markets, as well as emerging economies, commodities, composite spreads and hedge funds. Over $1.7 trillion in investment assets is directly tied to S&P indexes and more than $4.5 trillion is benchmarked to S&P indices. The S&P Global 1200 covers 31 markets and approximately 70% of global market capitalization. The company’s equity research division provides independent investment information on over 2,000 stocks for financial institutions, corporations, universities, libraries, financial advisors and individual investors. S&P’s Risk Solutions division helps clients develop, enhance and validate their credit assessment processes, perform research, model credit risk and train analysts. The firm also offers a number of mutual funds, including money market funds, bond funds, management quality and select funds, government investment pools and equity funds. The data services segment provides research data on companies, funds, indices and securities pricing. S&P is the parent company of Capital IQ, which provides information on companies, markets and people to over 4,200 client firms including investment banks, investment management firms, private equity firms and corporations; Compustat, which supplies fundamental company, index and industry information; and RatingsDirect, the web-based source for S&P’s global credit ratings, research and risk analysis that covers more than 9 million ratings and 350,000 reports on companies in more than 96 countries.

BRANDS/DIVISIONS/AFFILIATES: McGraw Hill Cos Inc S&P 500 S&P Global 1200 Capital IQ Compustat RatingsDirect

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Deven Sharma, Pres. Pat Milano, Exec. VP


FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $2,400,000 2005 Profits: $ Parent Company: MCGRAW HILL COS INC




Y

Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast:


Northeast: Y

International: Y



STATE BANK OF INDIA

www.sbi.co.in


Y



Profits: 23





TYPES OF BUSINESS: Banking

State Bank of India (SBI) is a public sector banking and financial services institution. The bank was officially formed in 1955 in order to consolidate and manage the operations of a number of smaller banks formerly associated with various Indian states. Some of these state-associated banks have over time been merged into the company, while others remain as subsidiary, or associate, banks. Current associate banks under the firm’s jurisdiction include the State Bank of Bikaner and Jaipur; State Bank of Hyderabad; State Bank of Indore; State Bank of Mysore; State Bank of Patiala; and State Bank of Travancore. Products and services offered by the company include deposits and saving accounts, housing loans, car loans, education loans, personal loans, agricultural finance, corporate banking, corporate loans, export credit, project finance, loan syndication, trade finance, merchant banking, remittances, offshore banking, treasury services, correspondent banking, non-resident Indian (NRI) banking services, Internet banking and mobile banking, among others. The company serves its customers through a network of approximately 10,000 branch offices throughout India, in addition to over 4,500 branches operated by its associate banks. Customers also have 24-hour-a-day access to over 8,500 automated teller machines (ATMs) maintained by the bank throughout its service areas. Outside of India, SBI maintains approximately 82 foreign offices in 32 countries worldwide. Subsidiaries of the firm include SBI Capital Markets Limited; SBI DFHI LTD; SBI Cards & Payments Services Pvt. Ltd.; SBI Life Insurance Company Limited; and SBI Funds Management (P) Ltd. In November 2008, the firm announced a joint venture partnership with Insurance Australia Group Limited for the establishment of a general insurance company in India. Over the course of 2008, the bank experienced significant growth, hiring some 25,000 employees; in March 2009, it announced plans to add another 10,000 employees in the coming year, along with opening approximately 2,000 new branches and adding roughly 4,000 ATMs to its network. State Bank of India is approximately 59% governmentowned.

BRANDS/DIVISIONS/AFFILIATES: State Bank of Bikaner and Jaipur State Bank of Hyderabad State Bank of Indore State Bank of Mysore State Bank of Patiala State Bank of Travancore SBI Capital Markets Limited SBI Life Insurance Company Limited

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. S.K. Bhattacharyya, Joint Managing Dir. R. Sridharan, Joint Managing Dir. O.P. Bhatt, Chmn.

Phone: 91-22-2202-2678 Fax: 91-22-2202-2678 Toll-Free: Address: 8th Fl., M.C. Rd., Nariman Point, Mumbai, 400 021 India

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $9,545,150 2009 Profits: $2,351,650 U.S. Stock Ticker: 2008 Sales: $8,142,830 2008 Profits: $1,923,480 Int’l Ticker: 500112 Int’l Exchange: Bombay-BSE 2007 Sales: $6,588,330 2007 Profits: $1,366,170 Employees: 205,896 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 3/31 2005 Sales: $ 2005 Profits: $ Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast:

International: Y



STATE FARM INSURANCE COMPANIES Industry Group Code: 524126 Ranks within this company's industry group: Sales: 3 Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y Y


www.statefarm.com

Profits: 10





TYPES OF BUSINESS: Insurance, Direct Property & Casualty Accident Insurance Health Insurance Life Insurance Annuities Automobile Insurance Banking/Savings Association Mutual Funds

State Farm Insurance Companies is a mutual company providing personal property and casualty insurance through 30 operation centers and 343 claim offices across the U.S. and Canada. The company provides auto, homeowners, renter’s, life and annuities, health, disability, long-term care, business, boat, farm and ranch, flood, motorcycle, personal and volcano damage insurance. Over half of its 78.8 million policies are auto policies. The group’s major insurance companies include State Farm Automobile Insurance Company; State Farm Life and Accident Assurance Company; State Farm Fire and Casualty Company; State Farm General Insurance Company; State Farm Lloyds; and State Farm Guaranty Insurance Company. Through State Farm Bank, F.S.B., the company provides bank account, credit card and loan services, including individual retirement accounts (IRA), money market, checking, savings and health savings accounts; and home mortgage and home equity, vehicle and business loans. The firm also manages over 424,000 mutual fund accounts through State Farm Associate and Retail Mutual Funds and State Farm Investment Management Corp. State Farm is also a leading insurer in Canada through The Canadian Zone of State Farm Insurance, serving over 1.2 million households in Alberta, New Brunswick and Ontario. In January 2009, subsidiary State Farm Florida Insurance Company announced plans to discontinue its Florida property insurance product lines. State Farm offers its employees medical, dental and vision plans; flexible spending accounts; long-term care and disability insurance; tuition reimbursement; credit union membership; mutual funds; adoption leave; an employee assistance program; a tobacco cessation program; and relocation assistance. In 2008, the company was named as one of the top 100 Best Places to work in information technology by Computerworld, and one of the top 30 companies for Executive Women by the National Association for Female Executives. In 2009, State Farm was named a top employer for multicultural women by Working Mother magazine.

BRANDS/DIVISIONS/AFFILIATES: State Farm Bank, F.S.B. State Farm Life & Accident Assurance Co. State Farm Fire & Casualty Co. State Farm Automobile Insurance Company State Farm General Insurance Company State Farm Guaranty Insurance Company State Farm Associate and Retail Mutual Funds Canadian Zone of State Farm Insurance (The)

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Edward B. Rust, Jr., CEO Edward B. Rust, Jr., Pres. Michael L. Tipsord, CFO/Sr. VP Michael C. Davidson, Chief Agency & Mktg. Officer Laura Haas, Asst. VP-Human Resources & Diversity James E. Rutrough, Chief Admin. Officer/Vice Chmn. Mike Fernandez, VP-Public Rel. Michael L. Tipsord, Treas. Jim Broach, Dir.-Admin. Svcs. Mark Gibson, Asst. VP-Advertising Laurette Stiles, VP-Strategic Resources Edward B. Rust, Jr., Chmn.

Phone: 309-766-2311 Fax: Toll-Free: 877-734-2265 Address: 1 State Farm Plaza, Bloomington, IL 61710-0001 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Mutual Company 2008 Sales: $61,343,400 2008 Profits: $-541,800 Int’l Ticker: Int’l Exchange: 2007 Sales: $61,611,600 2007 Profits: $5,463,700 Employees: 68,517 2006 Sales: $60,528,000 2006 Profits: $5,315,500 Fiscal Year Ends: 12/31 2005 Sales: $59,223,900 2005 Profits: $3,241,800 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



STATE STREET CORP

www.statestreet.com




Y

Profits: 2



Y Y Y



TYPES OF BUSINESS: Investment Management & Mutual Fund Services Investment Company Services Investment Management Trust, Custodial & Transfer Services Mutual Fund Services Back Office Services Foreign Exchange Services Trading Services

State Street Corp. is a global financial holding company. With roughly $1.44 trillion under management, the firm provides a full range of products and services for global investors through its subsidiaries. The company conducts its business primarily through subsidiary State Street Bank and Trust Company. Clients include mutual funds and other collective investment funds, corporate and public pension funds, investment managers and others. State Street operates in 27 countries and over 100 geographic markets worldwide. The firm has two main lines of business: investment servicing and investment management. The investment servicing branch oversees mutual funds, collective investment funds, corporate and public retirement plans, insurance companies, foundations and endowments. The investment management segment, operating via State Street Global Advisors, encompasses all asset classes, risk strategies and investment approaches for institutional investors worldwide. In July 2008, State Street Corp. and Citigroup sold their jointly-owned benefits servicing business, CitiStreet, to ING Group for approximately $900 million. In August 2008, the firm opened a new office in Qatar. In March 2009, the company released a new expense manager program to aid collective fund providers to lower operational costs and risks. In April 2009, State Street launched State Street Investment Analytics Dashboard, an interactive and graphical program that offers return, risk and other accounting information for private and public investments. In September 2009, the firm released eHorizon, a worldwide accounting solution aimed at institutional investors and asset managers. State Street Corp. offers its employees medical, dental, vision, AD&D and disability insurance; flexible spending accounts, adoption assistance, educational assistance; a 401(k); dependant, spouse and domestic partner benefits; and paid time off.

BRANDS/DIVISIONS/AFFILIATES: State Street Bank and Trust Company State Street Global Advisors State Street Investment Analytics Dashboard eHorizon

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Ronald E. Logue, CEO Joseph L. Hooley, COO Joseph L. Hooley, Pres. Edward J. Resch, CFO/Exec. VP Hannah Grove, Exec. VP-Global Mktg. David C. O'Leary, Exec. VP-Global Human Resources Christopher Perretta, CIO/Exec. VP David C. Phelan, General Counsel/Exec. VP George A. Russell, Jr., Exec. VP-Comm. Affairs David J. Gutschenritter, Treas./Exec. VP Gunjan Kedia, Exec. VP-Investment Servicing Maureen J. Miskovic, Chief Risk Officer/Exec. VP Jeffrey N. Carp, Chief Legal Officer/Corp. Sec./Exec. VP James Malerba, Chief Acct. Officer/Corp. Controller/Exec. VP Ronald E. Logue, Chmn. William Slattery, Managing Dir.-Ireland Oper.

Phone: 617-786-3000 Fax: 617-654-3386 Toll-Free: Address: 1 Lincoln St., Boston, MA 02111 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: STT 2008 Sales: $10,693,000 2008 Profits: $1,811,000 Int’l Ticker: Int’l Exchange: 2007 Sales: $8,336,000 2007 Profits: $1,261,000 Employees: 28,475 2006 Sales: $6,311,000 2006 Profits: $1,106,000 Fiscal Year Ends: 12/31 2005 Sales: $5,473,000 2005 Profits: $838,000 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



STIFEL FINANCIAL CORP

www.stifel.com


Y Y


Y Y Y


Y

Profits: 10



Y Y



TYPES OF BUSINESS: Stock Brokerage/Investment Banking Underwriting Broker-Dealer Investment Advisory Services Research Insurance Annuities

Stifel Financial Corp. is a financial services holding company. Its principal subsidiary is Stifel Nicolaus & Company, Inc., a full service retail/institutional brokerage and investment banking firm. Other subsidiaries include Century Securities Associates, Inc. (CSA), and Butler Wick & Company, Inc., both independent contractor broker-dealer firms; Stifel Nicolaus Limited, the company's international subsidiary; and Stifel Bank & Trust, a retail and commercial bank. The Stifel group of companies provides research, brokerage, trading, investment banking, investment advisory, insurance, annuities and related financial services to customers throughout the U.S. and internationally. The firm operates in five business segments: Private Client Group, Equity Capital Markets, Fixed Income Capital Markets, Stifel Bank and Other. The Private Client segment provides securities transaction, brokerage and investment services to clients through the consolidated Stifel Nicolaus branch system of roughly 250 branches in 35 states and through CSA, which has affiliations with approximately 173 independent contractors. The Equity Capital Markets segment includes institutional sales/trading, research, investment banking and syndicate operations. Stifel Financial’s Fixed Income Capital Markets segment offers institutional sales/trading and public finance services. The Stifel Bank division offers retail and commercial banking services to private and corporate clients in the St. Louis area. The Other segment includes revenues and expenses associated with the clearing of transactions by Stifel Nicolaus for another non-affiliated independent introducing broker-dealer, along with certain overhead costs. Through Stifel Nicolaus Limited, the company operates three European offices. In January 2009, the firm acquired Butler Wick & Company from United Community Financial Corp. In October 2009, Stifel Nicolaus acquired 56 branch locations from UBS Financial Services, Inc. The company offers its employees life, disability, medical and dental insurance; an employee assistance plan; paid time off; a 401(k); an employee stock ownership plan; and tuition assistance.

BRANDS/DIVISIONS/AFFILIATES: Stifel Nicolaus & Company Inc Century Securities Associates Inc Stifel Nicolaus Ltd Stifel Bank & Trust Butler Wick & Company Inc

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Ronald J. Kruszewski, CEO Ronald J. Kruszewski, Pres. James M. Zemlyak, CFO/Sr. VP David D. Sliney, Sr. VP-Tech. David M. Minnick, General Counsel/Sr. VP/Corp. Sec. David D. Sliney, Sr. VP-Oper. James M. Zemlyak, Treas. Thomas P. Mulroy, Sr. VP/Co-Head-Capital Investments Victor Nesi, Co-Head-Capital Investments James M. Zemlyak, Exec. VP/Co-COO-Stifel Nicolaus Scott B. McCuaig, Pres./Co-COO-Stifel Nicolaus Ronald J. Kruszewski, Chmn.

Phone: 314-342-2000 Fax: 314-342-2151 Toll-Free: Address: 501 N. Broadway, St. Louis, MO 63102 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: SF 2008 Sales: $888,847 2008 Profits: $55,502 Int’l Ticker: Int’l Exchange: 2007 Sales: $793,090 2007 Profits: $32,170 Employees: 3,371 2006 Sales: $471,388 2006 Profits: $15,431 Fiscal Year Ends: 12/31 2005 Sales: $270,010 2005 Profits: $19,644 Parent Company:




Profit Sharing: Y


Bonus: $910,000 Bonus: $2,720,000


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



SUMITOMO MITSUI FINANCIAL GROUP INC (SMFG)www.smfg.co.jp Industry Group Code: 522110 Ranks within this company's industry group: Sales: 21 Brokers/Stocks: Broker: Investment Bank: Futures/Options:

Y


Y


Y Y

Profits: 7



Y Y


Y


TYPES OF BUSINESS: Banking Credit Card Services Unsecured Small Card Loans Commercial Banking Management Consulting Data Processing Leasing

Sumitomo Mitsui Financial Group, Inc. (SMFG) is the parent company of Sumitomo Mitsui Banking Corporation (SMBC), Sumitomo Mitsui Card Co., Ltd., SMBC Leasing Co., Ltd., SMBC Friend Securities, The Japan Research Institute, Ltd. and other subsidiaries. SMBC, the original company in the financial group, is a wholly-owned subsidiary that offers banking services at more than 1,489 locations across Japan. It also has 40 international offices, and is one of the world's largest banks. Sumitomo Mitsui Card Company was the first company to issue the Visa card in Japan. The Japan Research Institute offers integrators, consultants and thinktanks for information technology issues, and recently established a new subsidiary, JRI Solutions, Ltd., to target customers outside the company. Sumitomo Mitsui Finance and Leasing Company, Ltd. supplies corporate leasing and installment, operating leasing and rental business, real estate leasing and financial solutions. Some of the company’s other subsidiaries are engaged in the following activities. Sakura Card Co., Ltd. offers credit card services. SMBC Loan Business Planning Co., Ltd. provides management support services. SMBC Friend Securities offers security services throughout Japan. The Japan Net Bank, Ltd. offers commercial banking through the Internet. SMBC Consulting Co., Ltd. is a management consultancy. Financial Link Company, Ltd. offers data processing services and e-trading consultancy. In June 2009, SMFG received a banking license from the Russian central bank intending to establish banking operations in Russia in order to conduct business with Russian firms connected to Japanese companies. In October 2009, SMB acquired all the shares of Nikko Cordial Securities, formerly a subsidiary of Citigroup Inc., for a cash value of approximately $8.7 billion. SMFG has renamed the company Nikko Cordial Securities Inc. The two companies signed an alliance agreement between Citigroup Global Markets Japan and Nikko Cordial securities in order to promote financial products in Japan and worldwide.

BRANDS/DIVISIONS/AFFILIATES: Sumitomo Mitsui Banking Corporation Sumitomo Mitsui Card Co., Ltd. JRI Solutions, Ltd. Japan Research Institute, Ltd. (The) Sumitomo Mitsui Finance and Leasing Company, Ltd. Sakura Card Co., Ltd. SMBC Friend Securities SMBC Consulting Co., Ltd.

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Teisuke Kitayama, Pres./Chmn-SMBC Junsuke Fujii, Exec. Dir.-Human Resources & Risk Mgmt. Hideo Shimada, Dir.-IT Planning Takeshi Kunibe, Dir.-Corp. Planning Dept. Takeshi Kunibe, Dir.-Financial Acct. Satoru Nakanishi, Sr. Dir.-Consumer Business Planning Fumihiko Tanizawa, Sr. Mgmt.-Audit Dept. Wataru Ohara, Deputy Pres., Corp. Risk Masayuki Oku, Chmn./Pres., SMBC

Phone: 81-3-5512-3411 Fax: Toll-Free: Address: 1-2, Yurakucho 1-Chome, Chiyoda-Ku, Tokyo, 1000006 Japan

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $23,920,490 2009 Profits: $-4,060,830 U.S. Stock Ticker: SMFJY 2008 Sales: $38,632,190 2008 Profits: $5,018,580 Int’l Ticker: 8316 Int’l Exchange: Tokyo-TSE 2007 Sales: $32,001,260 2007 Profits: $4,799,090 Employees: 2006 Sales: $33,354,200 2006 Profits: $3,773,400 Fiscal Year Ends: 3/31 2005 Sales: $33,450,000 2005 Profits: $-2,182,000 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest:

Southeast:


Northeast: Y

International: Y



SUMMIT PARTNERS

www.summitpartners.com



Y Y


Profits:



Y



TYPES OF BUSINESS: Private Equity Investments Venture Capital Merger, Acquisition, Divestiture & IPO Advising Private Equity Funds

Summit Partners is a global private equity and venture capital firm. The company has invested in more than 300 businesses. Summit Partners supplies capital, industry expertise and resources to the companies it invests in and participates as an active director. To date, Summit Partners has assisted its portfolio of companies in completing nearly 125 public offerings and over 110 strategic sales or mergers. The company has the ability to invest in excess of $800 million in each company and has three financing funds it utilizes: private equity funds, venture capital funds and subordinated debt funds. Typical investments range from $30 million to $500 million for private equity funds; from $5 million to $30 million for venture capital funds; and up to $125 million for subordinated debt funds. The firm assigns a team of professionals to each investment, helping the individual company’s management explore financial options such as shareholder liquidity, recapitalizations, growth capital, acquisition financing, leveraged buyouts, divestitures and spin-offs. For initial public offerings, Summit Partners assists companies in refining the strategy and predictability of their business model and selecting the appropriate underwriting firm, as well as helping the company to act like a public company before it actually is one. For mergers, divestitures and acquisitions, Summit Partners helps companies define a strategy; negotiate terms and documents; and search for and approach potential buyers and partners. The company’s current portfolio consists of more than 50 companies. Some of the company’s more recent investments include PeopleAdmin, Inc., a provider of on-demand human resources software for universities and public sector organizations; Telerik, a distributor of software tools that allow developers to build web and desktop applications; Flow Traders, a European electronic trading firm; and Snap Fitness, Inc., a franchisor of fitness clubs. In September 2009, the company invested in ApoCell, a cancer diagnostics company.

BRANDS/DIVISIONS/AFFILIATES: PeopleAdmin, Inc. Telerik Flow Traders Snap Fitness, Inc. ApoCell

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Robin W. Devereux, CFO/Chief Compliance Officer Joan Miller, Chief Mktg. Officer Brenda A. Franciose, Dir.-Human Resources Deborah T. Lower, VP-Admin. Cynthia R. Freedman, Dir.-Investor Rel. Adam H. Hennessey, VP-Finance Leslie A. Noonan, VP-Taxation Thomas S. Roberts, Managing Partner Martin J. Mannion, Managing Partner

Phone: 617-824-1000 Fax: 617-824-1100 Toll-Free: Address: 222 Berkeley St., Boston, MA 02116 US

FINANCIALS:





Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



SUN CAPITAL PARTNERS INC

www.suncappart.com




Profits:



Y


Y


TYPES OF BUSINESS: Private Equity Investments Product-Sourcing Services

Sun Capital Partners, Inc. (SCP) is a private investment firm focused on leveraged buyouts, equity, debt and other investments in market-leading companies. The firm maintains an active interest in approximately 60 companies. The company focuses on firms with $50 million to $5 billion in revenue across a wide range of industries that are underperforming, turnarounds or have special circumstances. SCP can close a transaction within 30 days as opposed to the usual 3-6 months. Additionally, the firm focuses its attention on improving its operations substantially within the first 100 days of acquisition. With $8 billion of equity capital under management, the company is able to bridge the entire purchase price with no outside money. SCP affiliates have invested in and managed more than 200 companies worldwide, with combined sales in excess of $35 billion. They acquire controlling interests in companies through the private equity fund, Sun Capital Partners IV, LP, with $2 billion of committed equity capital; and invest in noncontrolling stakes in equity, debt and other securities of companies through its securities fund, Sun Capital Securities Fund. SCP recently began offering product-sourcing services in China and other parts of Asia. The company has several international advisor partners including Sun European Partners, LLP; Sun Capital Partners Japan K.K.; and Sun Capital Sourcing, LLC, located in China, which is primarily concerned with providing logistical support. The company’s portfolio includes, Boston Market Corporation; Fazoli’s Restaurants; Gerber Childrenswear; Hickory Farms; and Limited Stores. In October 2009, the company sold Tarami K.K. to MUL Principle Investment Company. In November 2009, the company sold Timothy’s Coffees of the World to Green Mountain Coffee Roasters, Inc. for $157 Million.

BRANDS/DIVISIONS/AFFILIATES: Sun European Partners, LLP Sun Capital Partner Japan K.K. Sun Capital Sourcing (Shenzhen) Hickory Farms Limited Stores Sun Capital Securities Fund Fazoli's Restaurants Boston Market Corporation

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Rodger R. Krouse, Co-CEO Kevin J. Calhoun, CFO/Sr. VP Luis F. Henriquez, Dir.-Mktg. Lisa Lutton, Dir.-Human Resources Patrick McAneny, Dir.-IT C. Deryl Couch, General Counsel/Managing Dir. Mark Brody, Sr. VP-Oper. Richard A. Hurwitz, VP-Comm. Richard A. Hurwitz, VP-Investor Rel. Michael McConvery, VP-Finance Marc J. Leder, Co-CEO M. Joseph Politoski, II, Corp. Controller David Stokoe, VP-Oper. & Sourcing, Far East Charles P. Megan, VP-Procurement

Phone: 561-394-0550 Fax: 561-394-0540 Toll-Free: Address: 5200 Town Center Cir., Ste. 600, Boca Raton, FL 33486 US

FINANCIALS:





Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast: Y


Northeast: Y

International: Y



SUNGARD DATA SYSTEMS INC

www.sungard.com




Profits: 1




Outsourced Information Processing & Services Workflow Management Systems Data Protection Financial Services Software Education Software Administrative Software

SunGard Data Systems, Inc. is a leading global provider of integrated software and information technology services for financial services companies, higher education and the public sector. The firm serves more than 25,000 clients in over 70 countries. SunGard is organized into four business segments: Financial Systems, Higher Education, Public Sector and Availability Services. SunGard Financial Systems serves financial services companies specializing in alternative investments; banking; benefit administration; brokerage and clearance; capital markets and investment banking; energy trading and risk management; institutional asset management; insurance; trading; treasury management; and wealth management. The Higher Education segment provides specialized enterprise resource planning and administrative software to over 1,600 higher education institutions. SunGard Public Sector serves school districts, nonprofit organizations and local, state and federal government agencies, with solutions for accounting; human resources; payroll; utility billing; land management; public safety and criminal justice; and grant and project management. The Availability Services segment provides solutions to information-dependent companies across virtually all industries protecting against breaches of security; network or hardware failures; data loss; power failure; and extreme events, such as natural disaster and terrorism. In October 2008, Sungard acquired a majority interest in GL Trade, a Paris-based developer of financial software. In March 2009, the company acquired Performance Pathways, Inc., which creates software geared towards K-12 educational environments. In April 2009, the firm acquired Genix Systems AG, a Zurich, Switzerland-based entity which serves private banking information needs. In May 2009, the company acquired ICE Risk Solution from InterContinental Exchange, which evaluates risk across multiple trading venues. SunGard offers its employees medical, dental and vision insurance; an employee assistance program; a flexible compensation plan; short- and long-term disability; life and AD&D insurance; a retirement savings plan; a college tuition savings plan; tuition reimbursement; and adoption assistance.

BRANDS/DIVISIONS/AFFILIATES: ICE Risk Solution Performance Pathways, Inc. Genix Systems AG GL Trade

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Cristobal Conde, CEO Cristobal Conde, Pres. Michale J. Ruane, CFO Brian Robins, Sr. VP-Mktg./Chief Mktg. Officer Kathleen Asser Weslock, Chief Human Resources Officer/Sr. VP Victoria E. Silbey, General Counsel/VP-Legal Richard C. Tarbox, Sr. VP-Corp. Dev. Suzanne DeFruscio, VP-Corp. Comm. Michale J. Ruane, Sr. VP-Finance Jim Ashton, Div. CEO-Financial Systems Harold Finders, Div. CEO-Financial Systems Eric Berg, Group CEO-Availability Svcs. Ron Lang, CEO-Higher Education James L. Mann, Chmn.

Phone: 484-582-2000 Fax: Toll-Free: 800-825-2518 Address: 680 E. Swedesford Rd., Wayne, PA 19087-1586 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Private 2008 Sales: $5,596,000 2008 Profits: $470,000 Int’l Ticker: Int’l Exchange: 2007 Sales: $4,901,000 2007 Profits: $-60,000 Employees: 20,000 2006 Sales: $4,323,000 2006 Profits: $-118,000 Fiscal Year Ends: 12/31 2005 Sales: $4,002,000 2005 Profits: $117,000 Parent Company:



Y


TYPES OF BUSINESS:


Y Y

Profit Sharing:


Bonus: $1,517,972 Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



SUNTRUST BANKS INC

www.suntrust.com


Y Y


Y


Y Y Y

Profits: 29



Y



TYPES OF BUSINESS: Banking Mortgages Corporate Finance Credit Cards Factoring Investment Management Mutual Funds

SunTrust Banks, Inc. is one of the largest commercial banking organizations in the U.S., with total assets of approximately $179 billion. The firm operates nearly 1,700 branches and over 2,600 ATMs in Alabama, Arkansas, Florida, Georgia, Maryland, Mississippi, North and South Carolina, Ohio, Pennsylvania, Tennessee, Virginia, West Virginia and Washington, D.C. The company operates under four business segments: retail and commercial banking; corporate and investment banking; household lending; and wealth and investment management. SunTrust’s primary banking services include deposit, credit, trust and investment services, as well as credit cards, mortgage banking, mutual funds, brokerage, investment management, equipment leasing and capital market services. In addition, SunTrust offers Internet, ATM, PC and 24-hour-a-day telephone banking. The company’s subsidiaries include SunTrust Bank; ValuTree Real Estate Services LLC; GenSpring Family Offices LLC; SunTrust Mortgages, Inc.; and SunTrust Robinson Humphrey. In February 2008, the firm sold First Mercantile Trust Company to MassMutual Life Insurance Company. In May 2008, the company acquired GB&T Bancshares, Inc., of Atlanta. The transaction adds $1.5 billion in deposits and 17 banking offices to SunTrust’s presence in North and Central Georgia. In August 2008, SunTrust acquired, from the FDIC, $225 million in FDICinsured deposits from First Priority Bank, after the FDIC closed the Florida-based bank. In September 2009, the firm announced a trade product alliance with the Global Transaction Services business of Citi to provide international services to SunTrust’s clients. SunTrust offers its employees an in-house training and development program, tuition assistance, child and elder care resources, an employee assistance program, adoption assistance and a dependent care flexible spending account, as well as medical, dental and vision care, a 401(k) savings plan and a retirement plan.

BRANDS/DIVISIONS/AFFILIATES: SunTrust Bank SunTrust Robinson Humphrey GenSpring Family Offices LLC ValuTree Real Estate Services LLC SunTrust Mortgage, Inc. GB&T Bancshared, Inc.

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. James M. Wells III, CEO William H. Rogers, Jr., Pres. Mark A. Chancy, CFO/Exec. VP-Corp. & Investment Banking Mimi Breeden, Human Resources Timothy E. Sullivan, CIO David F. Dierker, Chief Admin. Officer Raymond D. Fortin, General Counsel Thomas E. Freeman, Chief Risk Officer C.T. Hill, Head-Mid-Atlantic Banking Group & Retail Bus. Thomas G. Kuntz, Head-Florida Banking Group & Commercial Bus. Line E. Jenner Wood, III, Head-Central Banking Group James M. Wells III, Chmn.

Phone: 404-588-7711 Fax: Toll-Free: 800-786-8787 Address: 303 Peachtree St. NE, Atlanta, GA 30308 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: STI 2008 Sales: $13,012,674 2008 Profits: $785,774 Int’l Ticker: Int’l Exchange: 2007 Sales: $13,826,315 2007 Profits: $1,634,015 Employees: 28,520 2006 Sales: $13,310,869 2006 Profits: $2,117,471 Fiscal Year Ends: 12/31 2005 Sales: $10,893,508 2005 Profits: $1,987,239 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast: Y


Northeast: Y

International:



SVB FINANCIAL GROUP

www.svb.com


Y


Y Y Y


Y

Profits: 33


Y


Y



TYPES OF BUSINESS: Banking Lending Services Asset Management Investment Banking Online Banking Trade & Foreign Exchange Services Mutual Funds Advisory Services

SVB Financial Group (SVB) is a financial services/holding and bank holding company. Through principal subsidiary Silicon Valley Bank, the company aids entrepreneurs, specifically within the life science, private equity, technology and premium wine niches. The bank operates through three business segments: commercial banking, SVB capital and other business services. SVB’s commercial banking segment provides domestic and international cash management services including deposit services, collection services, disbursement services, electronic funds transfers and online banking through SVBeConnect. The SVB capital segment provides banking services to private equity and venture capital firms; makes private equity and venture capital fund investments; and establishes and maintains international alliances with venture capital firms. The company’s other business services division includes SVB Global, a provider of global banking products to non-U.S. clients; SVB Analytics, a provider of corporate equity tracking and administrative services to private venture capital-backed companies; SVB Wine Division, which provides banking products and services to the firm’s clients in the premium wine industry; and SVB Private Client Services, which provides a range of credit services to high net-worth individuals. SVB has approximately $10.9 billion in assets, $4.8 billion in loans and $8.4 billion in deposits. The firm maintains 27 U.S. offices and five offices in the U.K., Israel, China and India. In August 2008, the firm created a joint venture, SVB India Finance Pvt. Ltd., which provides debt capital to high growth companies in India. In September 2009, the company opened a new office in Shanghai, China. The company offers employees benefits such as life, dependent life, disability, AD&D, medical, dental and vision insurance; a 401(k); a stock ownership, stock purchase and assistance plan; and paid time off.

BRANDS/DIVISIONS/AFFILIATES: Silicon Valley Bank SVBeConnect SVB Global SVB Analytics SVB Private Client Services SVB Analytics SVB Wine Div. SVB India Advisors Pvt. Ltd.

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Kenneth P. Wilcox, CEO David Webb, COO Kenneth P. Wilcox, Pres. Michael Descheneaux, CFO Chris Edmonds-Waters, Head-Human Resources Mary Dent, General Counsel/Corp. Sec. Marc Verissimo, Chief Strategy Officer Carrie Merritt, Dir.-Public Rel. Meghan O'Leary, Dir.-Investor Rel. Harry W. Kellogg, Vice Chmn.-SVB Mark MacLennan, Pres., SVB Capital Gregory W. Becker, Pres., Silicon Valley Bank Marc Verissimo, Chief Risk Officer Alex W. Hart, Chmn. Phil Cox, Head-Israel, U.K. & Europe

Phone: 408-654-7400 Fax: 408-496-2405 Toll-Free: Address: 3003 Tasman Dr., Santa Clara, CA 95054-1191 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: SIVB 2008 Sales: $610,416 2008 Profits: $78,628 Int’l Ticker: Int’l Exchange: 2007 Sales: $664,770 2007 Profits: $123,638 Employees: 1,260 2006 Sales: $528,845 2006 Profits: $89,385 Fiscal Year Ends: 12/31 2005 Sales: $433,954 2005 Profits: $92,537 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



SWS GROUP INC

www.swsgroupinc.com


Y Y



Y

Profits: 12


Y


Y Y



TYPES OF BUSINESS: Stock Brokerage/Investment Banking Transaction Processing Asset Management Trust Services Insurance Online Banking

SWS Group, Inc. offers diverse investment and financial services through its subsidiaries. Major company subsidiaries include Southwest Securities, Inc.; SWS Financial Services, Inc.; and Southwest Securities, FSB. Southwest Securities, its primary subsidiary, is a registered broker-dealer based in Texas with operations in 32 states, Canada and Europe. The company provides correspondent services to individual investors through its private client group offices in California, Texas, New Mexico, Nevada and Oklahoma and through institutional investors nationwide. Southwest Securities executes and clears securities transactions for retail and institutional clients, extends margin credit and lends securities and manages and participates in underwriting equity and fixed income securities. Subsidiary SWS Financial Services administers and supports the securities business of experienced financial advisors who are independent contractors and has contracts with over 300 individual registered representatives. Southwest Securities, FSB, is the company’s federally chartered savings bank, offering full-service, traditional and Internet banking through its main office in Arlington, Texas; 14 branch locations in New Mexico and northern Texas; and three loan production offices in Texas. The bank’s one active subsidiary, FSB Development, LLC, participates in the development of singlefamily residential lots. Other subsidiaries of SWS Group include SWS Capital Corporation; Southwest Investment Advisors, Inc.; Southwest Financial Insurance Agency, Inc.; and Southwest Insurance Agency, Inc. In 2008, the firm acquired California-based brokerage and asset management companies M.L. Stern & Co., LLC and its wholly-owned subsidiary, Tower Asset Management, LLC. SWS offer its employees a 401(k) plan; profit sharing; flexible spending accounts; tuition reimbursement; an employee assistant program; discount banking; and life, disability, medical, dental and vision insurance.

BRANDS/DIVISIONS/AFFILIATES: Southwest Securities Inc SWS Financial Services Inc Southwest Securities FSB FSB Development LLC SWS Capital Corporation Southwest Investment Advisors Inc ML Stern & Co LLC Tower Asset Management LLC

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Donald W. Hultgren, CEO Donald W. Hultgren, Pres. Kenneth R. Hanks, CFO/Exec. VP/Treas. W. Norman Thompson, CIO/Exec. VP Allen R. Tubb, General Counsel/VP/Sec. Laura Leventhal, Controller Stacy M. Hodges, Exec. VP Paul D. Vinton, Exec. VP Jeffrey J. Singer, Exec. VP Daniel R. Leland, Exec. VP Don A. Buchholz, Chmn.

Phone: 214-859-1800 Fax: 214-859-6077 Toll-Free: 800-218-1267 Address: 1201 Elm St., Ste. 3500, Dallas, TX 75270 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $485,677 2009 Profits: $23,631 U.S. Stock Ticker: SWS 2008 Sales: $477,527 2008 Profits: $31,932 Int’l Ticker: Int’l Exchange: 2007 Sales: $470,898 2007 Profits: $37,609 Employees: 1,170 2006 Sales: $391,618 2006 Profits: $41,408 Fiscal Year Ends: 6/30 2005 Sales: $326,799 2005 Profits: $31,332 Parent Company:




Profit Sharing: Y


Bonus: $358,052 Bonus: $238,701


Southwest: Y

Midwest:

Southeast: Y


Northeast: Y

International:



T ROWE PRICE GROUP INC

www.troweprice.com



Y


Y Y Y

Profits: 9



Y



TYPES OF BUSINESS: Investment Management & Mutual Funds Retirement Accounts Advisory Services

T. Rowe Price Group, Inc., is a financial services holding company. The firm derives revenue primarily from investment advisory services that its subsidiaries provide to individual and institutional investors. The firm manages approximately $366.2 billion in assets. The company operates its investment advisory business through subsidiaries, primarily T. Rowe Price International, T. Rowe Price Associates, and T. Rowe Price Global Investment Services. The company offers a broad range of investment portfolios designed to attract and retain investors with varying investment objectives. Products and services for the individual investor include mutual funds, retirement accounts, rollover IRAs, college savings, private asset management, high net worth services, banking services and advisory services. In addition to investment management and consulting services, T. Rowe Price offers institutional clients retirement plan services, including small business retirement plans and corporate retirement plans as well as public sector plans for religious institutions, schools and hospitals. The company introduces new mutual funds and other investment portfolios in an attempt to complement and expand its investment offerings and respond to competitive developments in the marketplace. The firm manages a broad range of domestic and international stock, bond and money market mutual funds and other investment portfolios. T. Rowe Price also offers administrative services to its clients, including acting as a mutual fund transfer agent; accounting and shareholder services; record keeping and transfer agent services for defined contribution retirement plans; discount brokerages; and trust services. In January 2009, the firm began offering a strategic investment fund. In June 2009, the company launched the U.S. Large-Cap Core Fund. In November 2009, the company agreed to acquire 26% interest in India’s UTI Asset Management Company Limited and UTI Trustee Company Pvt. Ltd. for approximately $138 million. The company offers its employees benefits including medical, dental, vision, disability, life and AD&D insurance.

BRANDS/DIVISIONS/AFFILIATES: T Rowe Price Associates Inc T Rowe Price International Inc T Rowe Price Global Investment Services Limited T Rowe Price Global Asset Management Limited US Large-Cap Core Fund (The)

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. James A.C. Kennedy, CEO James A.C. Kennedy, Pres. Kenneth V. Moreland, CFO Wayne D. O'Melia, Head-Oper. Joseph P. Croteau, Treas. Brian C. Rogers, Chief Investment Officer Mary J. Miller, Dir.-Fixed Income Division William J. Stromberg, Dir.-Global Equities & Global Equity Research Brian C. Rogers, Chmn. Christopher Alderson, Pres./CEO-T. Row Price Int'l., Inc.

Phone: 410-345-2000 Fax: 410-345-2394 Toll-Free: 800-638-7890 Address: 100 E. Pratt St., Baltimore, MD 21202 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: TROW 2008 Sales: $2,116,000 2008 Profits: $491,000 Int’l Ticker: Int’l Exchange: 2007 Sales: $2,228,000 2007 Profits: $671,000 Employees: 5,385 2006 Sales: $1,815,000 2006 Profits: $529,600 Fiscal Year Ends: 12/31 2005 Sales: $1,512,200 2005 Profits: $431,000 Parent Company:




Profit Sharing:


Bonus: $3,850,000 Bonus: $3,850,000


Southwest:

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



TD AMERITRADE HOLDING CORP

www.amtd.com

Industry Group Code: 52312E Ranks within this company's industry group: Sales: 2 Brokers/Stocks: Broker: Investment Bank: Futures/Options:

Y



Y

Profits: 1



Y



TYPES OF BUSINESS: Discount Stock Brokerage Online Brokerage Financial Planning Clearing Services

TD Ameritrade Holding Corp. and its subsidiaries provide discount securities brokerage services and technology-based financial services to retail investors and business partners. The company provides these services primarily through the Internet, a national branch network and relationships with independent registered investment advisors (RIAs). Products and services include common and preferred stock, exchange-traded funds, option trades, futures and foreign exchange trades, mutual funds, fixed income services, margin lending and cash management services. The company’s private client offerings include TD Ameritrade, a program designed for self-directed retail investors; TD Ameritrade Institutional, a provider of brokerage and custody services to RIAs and their clients; thinkorswim, Inc., which provides a suite of trading platforms serving self-directed and institutional traders and money managers; thinkorswim from TD Ameritrade, which delivers trading tools and investment analytics to a limited number of TD Ameritrade brokerage clients; thinkorswim’s Investools, Inc., a subsidiary which offers investor education products and services for stock, option foreign exchange, futures, mutual fund and fixed income investors; Amerivest, an online advisory service that develops portfolios of exchange-traded funds for long-term investors; and TD Ameritrade Corporate Services, which provides self-directed brokerage services to employees and executives of corporations, either directly or through joint marketing relationships with third-party administrators, such as 401(k) providers and employee benefit consultants. In June 2009, TD Ameritrade completed its acquisition of thinkorswim Group, Inc. The firm offers its employees a 401(k) and profit-sharing plan.

BRANDS/DIVISIONS/AFFILIATES: tdameritrade.com TD Ameritrade Corporate Services TD Ameritrade Institutional thinkorswim Group, Inc. Amerivest Investools, Inc.

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Fredric J. Tomcyzk, CEO Dave Kelly, COO/Exec. VP Fredric J. Tomczyk, Pres. William J. Gerber, CFO/Exec. VP Laurine M. Garrity, Chief Mktg. Officer/Sr. VP Karen Ganzlin, Chief Human Resources Officer Ellen L. S. Koplow, General Counsel/Exec. VP Wayne Ferbert, VP-Bus. Dev. Kim Hillyer, Mgr.-Comm. Jeff Goeser, Dir.-Investor Rel. Michael D. Chochon, Treas./Managing Dir.-Finance John Bunch, Pres., Retail Dist. Tom Bradley, Pres., TD Ameritrade Institutional David Kimm, Chief Risk Officer Joseph H. Moglia, Chmn.

Phone: 402-331-7856 Fax: Toll-Free: 800-237-8692 Address: 4211 S. 102nd St., Omaha, NE 68127 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $2,407,926 2009 Profits: $643,705 U.S. Stock Ticker: AMTD 2008 Sales: $2,537,356 2008 Profits: $803,917 Int’l Ticker: Int’l Exchange: 2007 Sales: $2,176,946 2007 Profits: $645,900 Employees: 5,196 2006 Sales: $1,803,531 2006 Profits: $526,759 Fiscal Year Ends: 9/30 2005 Sales: $1,003,153 2005 Profits: $339,753 Parent Company:




Y

Profit Sharing: Y


Bonus: $15,150,000 Bonus: $542,438


Southwest: Y

Midwest: Y

Southeast:


Northeast: Y

International: Y



THOMAS H LEE PARTNERS LP

www.thl.com




Profits:




Y



Thomas H. Lee Partners L.P. is a leveraged buyout (LBO) firm, which uses an admixture of debt, funds from institutional investors and its own money to buy companies. Known as a friendly LBO, the firm emphasizes management cooperation. Thomas H. Lee retools these companies and then either sells them or takes them public. Thomas H. Lee was founded in 1974 with the modest sum of $150,000. While Thomas Lee himself left the firm in 2005, it continues as one of the world's largest private equity companies, now managing billions of dollars. The firm has raised nearly $22 billion of equity capital and has invested in over 100 companies. Recently, the company, along with Brain Capital, acquired media giant Clear Channel for approximately $26.7 billion, including debt. In mid 2008, an indirect wholly-owned subsidiary of CC Media Holdings, Inc., a corporation formed by the firm and Bain Capital Partners, LLC, completed its merger with Clear Channel Communications, Inc.; the transaction is valued at approximately $24 billion.


CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Scott Sperling, Co-Pres. Anthony DiNovi, Co-Pres. Scott Schoen, Co-Pres.

Phone: 617-227-1050 Fax: 617-227-3514 Toll-Free: Address: 100 Federal St., Boston, MA 02110 US

FINANCIALS:





Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International:



THOMAS WEISEL PARTNERS GROUP INC Industry Group Code: 523110 Ranks within this company's industry group: Sales: 24 Brokers/Stocks: Broker: Investment Bank: Futures/Options:

Y Y


Y Y


Y

www.tweisel.com

Profits: 24


Y


Y



TYPES OF BUSINESS: Investment Banking Securities Brokerage Equity Research Asset Management Strategic Advisory Services

Thomas Weisel Partners Group, Inc. (TWPG) is an investment banking firm specializing in growth sectors including the technology, healthcare and consumer sectors. The group specifically focuses on servicing U.S. and international emerging growth companies and institutional investors. The firm has offices in San Francisco, Denver, Baltimore, Boston, Chicago, Cleveland, New York, Portland, Silicon Valley, Toronto, Calgary, Zurich and London. TWPG operates through the following channels: Investment Banking, Institutional Brokerage, Equity Research and Asset Management. The Investment Banking group provides corporate finance and strategic advisory services for companies in the technology, healthcare, consumer and alternative energy sectors. The Brokerage segment serves over 1,000 institutional and high-net-worth investors with trading advice and customized services focusing on capital preservation. TWPG’s Equity Research segment provides the firm’s clients with independent research on over 500 technology, consumer, Internet/media, healthcare, energy, metal and other companies located in 18 countries. The Asset Management division offers distribution management and public equity investment products. The segment also has three private investment funds: Thomas Weisel Global Growth Partners, Thomas Weisel Venture Partners and Thomas Weisel Healthcare Venture Partners. In early 2008, the company acquired Westwind Partners, an investment bank focused on energy and mining markets. In early 2009, TWPG laid off 70 employees, representing approximately 12.3% of their total workforce. In May 2009, the firm formed an alliance with Shariah compliant investment services company IdealRatings, Inc., to invest in small and mid-cap U.S. companies. In July 2009, TWPG affiliate Thomas Weisel Asset Management LLC formed a strategic alliance with Geologic Resource Partners LLC by which the companies will aid each other in asset-related tasks. Employees are offered life, disability, AD&D, medical, dental and vision insurance; a 401(k); an employee assistance program; paid time off; and a 529 college savings plan.

BRANDS/DIVISIONS/AFFILIATES: Westwind Partners Thomas Weisel Healthcare Venture Partners LLC Thomas Weisel Global Growth Partners LLC Thomas Weisel Venture Partners LLC Thomas Weisel Asset Management LLC

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Thomas W. Weisel, CEO Lionel F. Conacher, COO Lionel F. Conacher, Pres. Ryan Stroub, CFO Tom Carbeau, Head-Institutional Sales R. Keith Gay, Head-Research Shaugn Stanley, Chief Admin. Officer Mark Fisher, General Counsel Keith Harris, Treas. Paul Slivon, Chmn.-Wealth Mgmt. William McLeod, Co-Head-Investment Banking Brad Raymond, Co-Head-Investment Banking Amy Freedman, COO-Investment Banking Thomas W. Weisel, Chmn.

Phone: 415-364-2500 Fax: 415-364-2695 Toll-Free: 888-267-3700 Address: 1 Montgomery St., San Francisco, CA 94104 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: TWPG 2008 Sales: $195,465 2008 Profits: $-158,569 Int’l Ticker: Int’l Exchange: 2007 Sales: $289,049 2007 Profits: $ 20 Employees: 2006 Sales: $276,317 2006 Profits: $34,921 Fiscal Year Ends: 12/31 2005 Sales: $250,886 2005 Profits: $-7,058 Parent Company:




Profit Sharing:


Bonus: $1,011,000 Bonus: $371,000


Southwest:

Midwest: Y

Southeast:


Northeast: Y

International: Y



THOMSON REUTERS

www.thomsonreuters.com




Profits: 1



Y Y



TYPES OF BUSINESS: Information Services & Software Legal & Regulatory Information Services Financial Information & Technology Health Care Information Tools Scientific Data Tools

Thomson Reuters, formerly the Thomson Corporation, provides specialized information in digital and print formats, with employees in 93 countries. The company is organized in two divisions: Markets, which consists of the previous Reuters business combined with Thomson Financial; and Professional, which consists of Thomson’s previous nonfinancial business segments. The Markets division includes four units: Sales & Trading, which provides information, trading and post-trade connectivity requirements of buy-side and sell-side customers in the foreign exchange, fixed income, equities and other exchange-traded instruments, and commodities and energy markets; Enterprise, which offers information and software supporting business automation within capital markets; Investment & Advisory, which provides information, decision support tools and integration services to portfolio managers, wealth managers, investment bankers, research analysts and corporate executives; and Media, which offers global information and news services to newspapers, television and cable networks, radio stations and web sites, as well as directly to consumers through Reuters-branded digital services online, mobile and IPTV platforms. The Professional division includes four units: Legal, providing information, decision support tools and services to legal, intellectual property, compliance, business and government professionals worldwide; Tax & Accounting, serving tax and accounting professionals in North America; Scientific, serving researchers, scientists and information professionals in the academic, scientific, corporate and government marketplaces; and Healthcare, serving physicians and other professionals in the healthcare, corporate and government marketplaces. Approximately 90% of the company’s revenues are derived from electronic products, software and online services. Approximately 86% of revenues are derived from products and services that are recurring or subscription-based in nature. During 2008, Thomson Corporation completed its $17.5 billion mergeracquisition of Reuters Group PLC, changing the name of the merged firm to Thomson Reuters. In December 2009, the company acquired Breakingviews, a financial commentary business with reporting staff based in London, Hong Kong, Paris, Moscow, Madrid, New York and Washington D.C.

BRANDS/DIVISIONS/AFFILIATES: Reuters Group PLC Thomson Corporation Reuters Thomson Elite Thomson Reuters Healthcare Physicians’ Desk Reference, Inc. Thomson Reuters Group Limited Breakingviews Limited

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Thomas H. Glocer, CEO Robert D. Daleo, CFO/Exec. VP Gustav Carlson, Chief Mktg. Officer/Exec. VP Stephen Dando, Chief Human Resources Officer/Exec. VP James Powell, CTO/Exec. VP Deidre Stanley, General Counsel/Exec. VP David Craig, Chief Strategy Officer James C. Smith, CEO-Professional Div. Devin Wenig, CEO-Markets Div. Chris Ahearn, Pres., Reuters Media Mark Redwood, Pres., Sales & Trading, Markets Div. David Thomson, Chmn.

Phone: 646-223-4000 Fax: Toll-Free: Address: 3 Times Square, New York, NY 10036 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: TRI 2008 Sales: $11,707,000 2008 Profits: $1,264,000 Int’l Ticker: TRI Int’l Exchange: Toronto-TSX 2007 Sales: $7,296,000 2007 Profits: $4,062,000 Employees: 50,000 2006 Sales: $6,641,000 2006 Profits: $1,143,000 Fiscal Year Ends: 12/31 2005 Sales: $8,703,000 2005 Profits: $934,000 Parent Company:




Y Y Y Y

Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



THRIVENT FINANCIAL FOR LUTHERANS Industry Group Code: 524113 Ranks within this company's industry group: Sales: 17 Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y Y Y


Y

www.thrivent.com

Profits: 15


Y




TYPES OF BUSINESS: Life Insurance Medical Insurance Banking Mutual Funds Trust Services Securities Brokerage

Thrivent Financial for Lutherans is a faith-based non-profit financial planning organization that offers insurance and financial services to Lutherans in the U.S. Originally founded as a small regional insurance organization in 1902, today Thrivent has approximately 2.6 million members nationwide, $162 billion worth of life insurance in force and $61.9 billion in assets under management. Its insurance products include permanent life, term life, long-term care, major medical, business continuation and disability insurance, while its financial services cover annuities, mutual funds and other investments, banking services and financial planning tools, including online loan calculators. Subsidiary Thrivent Investment Management, Inc. offers securities and brokerage throughout the U.S. As a not-for-profit organization, Thrivent sponsors national outreach programs and activities that support congregations, schools, charitable organizations and needy individuals. These programs include Thrivent Builds Homes, an alliance between the firm and national non-profit Habitat for Humanity. The four-year program represents a $125 million commitment by Thrivent Financial, enhanced in the wake of Hurricane Katrina by an additional $5 million to help rebuild homes in the Gulf Coast region. The homebuilding initiative works to create homeownership opportunities for low-income families in the U.S. and abroad. It funded and built 535 homes in 2008 and expects to offer homes to 311 families in 2009. Much of the funding for the company’s outreach activities comes from donations given or raised by its members, who also often volunteer labor to carry out the projects. Members are active in all 50 states and Washington, D.C. Employees of Thrivent receive health, dental and disability plans; group term life insurance; tuition reimbursement; an on-site cafeteria; and other discounts, programs and promotions.

BRANDS/DIVISIONS/AFFILIATES: Thrivent Investment Management, Inc. Thrivent Builds Homes

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Bruce J. Nicholson, CEO Bradford L. Hewitt, COO/Sr. Exec. VP Bruce J. Nicholson, Pres. Randy L. Boushek, CFO/Sr. VP Jennifer H. Martin, Sr. VP-Human Resources Holly J. Morris, CIO/Sr. VP Jon M. Stellmacher, Chief-Admin. & Staff/Sr. VP Teresa J. Rasmussen, General Counsel/Sec./Sr. VP Pamela J. Moret, Exec. VP-Strategic Dev. Marie A. Uhrich, Sr. VP-Comm. James A. Thomsen, Exec. VP-Member Svcs. Timothy J. Lehman, Sr. VP-Member Experience Strategy David M. Anderson, Sr. VP-Centralized Svcs. Russell W. Swansen, Chief Investment Officer/Sr. VP Bruce J. Nicholson, Chmn.

Phone: 920-734-5721 Fax: 800-225-2264 Toll-Free: 800-847-4836 Address: 625 4th Ave. S., Minneapolis, MN 55415-1624 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Nonprofit 2008 Sales: $6,413,000 2008 Profits: $-315,000 Int’l Ticker: Int’l Exchange: 2007 Sales: $6,081,000 2007 Profits: $391,000 Employees: 2006 Sales: $6,086,000 2006 Profits: $524,000 Fiscal Year Ends: 12/31 2005 Sales: $4,397,000 2005 Profits: $498,000 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest: Y

Southeast:


Northeast:

International:



TIAA-CREF

www.tiaa-cref.org



Y Y


Y Y

Profits: 25



Y


Y


TYPES OF BUSINESS: Investment Management Retirement & Supplemental Retirement Plans College Savings Plans Mutual Funds Annuities & Pension Funds Trust Services Life Insurance

TIAA-CREF (Teachers Insurance and Annuity AssociationCollege Retirement Equities Fund) is a nonprofit group of companies and a private retirement system. In addition to retirement plans, the firm provides investment products. The company has roughly $375 billion in assets under management. It serves approximately 3.6 million active and retired employees through their current/former employers. Clients include institutions such as colleges, universities, schools, research centers, medical organizations and other nonprofit organizations throughout the U.S. TIAA-CREF primarily offers employer-sponsored retirement plans such as 401(k)s, 403(b)s and 457(b)s through TIAA-CREF Retirement Systems, which also offers 10 no-load savings investment options such as TIAA Traditional Annuity and TIAA Real Estate; and eight variable accounts from CREF including money market, bond market, stock, growth, global equities, equity index, the CREF Inflation-Linked Bond Account and the CREF Social Choice Account. The company’s other retirement products include Keogh plans, supplemental retirement plans (tax-deferred annuities) and classic, Roth and rollover IRAs. The firm also manages a line of mutual funds including international equity, large-cap value, mid-cap growth, high-yield bond, real estate securities, and growth and income equity index. In addition, TIAA-CREF manages 529 college savings plans through TIAA-CREF Tuition Financing, Inc.; provides life insurance (term, universal and survivorship universal) and annuities (before- and after-tax) through TIAA-CREF Life Insurance Company; and provides trust services through TIAA-CREF Trust Company, FSB (its savings bank). Trust services include personal and institutional asset management, trust administration, endowment management, planned giving and estate planning. In 2008, the firm expanded internationally, opening an office in London, England. The company offers its employees a retirement plan; a 401(k) plan; life, disability, medical, dental, vision and prescription drug insurance; flexible spending accounts; adoption assistance; and tuition and fitness reimbursement.

BRANDS/DIVISIONS/AFFILIATES: TIAA-CREF Retirement Systems TIAA Traditional Annuity TIAA-CREF Trust Company TIAA-CREF Life Insurance Company TIAA-CREF Tuition Financing, Inc.

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Roger W. Ferguson, Jr., CEO Roger W. Ferguson, Jr., Pres. Georganne C. Proctor, CFO/Exec. VP Bertram L. Scott, Chief Sales Officer/Exec. VP Dermot J. O'Brien, Exec. VP-Human Resources & Corp. Svcs. Cara L. Schnaper, Exec. VP-Tech. Edward V. Dolsen, Exec. VP-Prod. Dev. & Mgmt. Brandon Becker, Chief Legal Officer/Exec. VP Cara L. Schnaper, Exec. VP-Oper. Keith Stock, Chief Strategy Officer I. Steven Goldstein, Chief Comm. Officer/Exec. VP Edward J. Grzybowski, Chief Investment Officer Maliz Beams, Exec. VP-Client Svcs. Bertram L. Scott, Chief Institutional Dev. Officer Stephen B. Gruppo, Exec. VP-Risk Mgmt. Roger W. Ferguson, Jr., Chmn.

Phone: 212-490-9000 Fax: 212-916-4840 Toll-Free: 800-842-2252 Address: 730 3rd Ave., New York, NY 10017 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Private 2008 Sales: $29,362,000 2008 Profits: $-3,345,000 Int’l Ticker: Int’l Exchange: 2007 Sales: $13,187,000 2007 Profits: $ Employees: 7,069 2006 Sales: $12,378,000 2006 Profits: $3,453,000 Fiscal Year Ends: 12/31 2005 Sales: $12,023,000 2005 Profits: $1,878,000 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



TMX GROUP INC

www.tmx.com




Profits: 7


Y



Stock Exchanges Financial Information Energy Exchange

TMX Group, Inc. is an integrated, multi-asset class exchange group with businesses that operate cash and derivative markets for asset classes including equities, fixed income and energy. The company also provides clearing facilities and data services. The group owns and operates Toronto Stock Exchange and TSX Venture Exchange. Its business includes issuer services, trading and market data. In the category of issuer services, the Toronto Stock Exchange provides senior issuers with access to public equity and new and existing investors with liquidity. TSX Venture Exchange serves the public venture capital market, providing early stage companies with access to growth capital and investors with a regulated market, and the Equicom Group, a subsidiary, provides investor relations and corporate communications services. TMX Group’s trading capabilities include cash equities, fixed income, derivatives and energy. Montreal Exchange, a wholly-owned subsidiary, provides interest rate, index and equity derivatives trading and clearing. Natural Gas Exchange, Inc. (NGX), another subsidiary, operates a leading North American exchange for the trading and clearing of natural gas and electricity contracts. Other partners in trading include partially-owned subsidiary, CanDeal.ca, an institutional fixed income trading system, and wholly-owned, Shorcan Brokers Limited, Canada’s first fixed income interdealer broker. The firm’s market data business is conducted through TMX Datalink, a provider of real-time, historical and index data, corporate information, news, derivatives, fixed income and foreign exchange data. Employees are offered health, dental and life insurance; a pension plan; and an employee share purchase plan.

BRANDS/DIVISIONS/AFFILIATES: Toronto Stock Exchange TSX Venture Exchange Natural Gas Exchange, Inc. (NGX) TMX Datalinx Montreal Exchange Inc. CanDeal Shorcan Brokers Limited

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Thomas Kloet, CEO Michael S. Ptasznik, CFO Christine Ellison, VP-Human Resources Brenda L. Hoffman, CIO/Sr. VP Sharon Pel, Sr. VP-Legal & Bus. Affairs Kevan Cowan, Group Head-Equities/Pres., TSX Markets Robert Fotheringham, Sr. VP-Trading Eric Sinclair, Sr. VP-TMX Datalink Peter Krenkel, Pres., NGX Wayne C. Fox, Chmn.

Phone: 416-947-4670 Fax: 416-947-4662 Toll-Free: 888-873-8392 Address: 130 King St. W., 3rd Fl., Toronto, ON M5X 1J2 Canada

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: X 2008 Sales: $533,189 2008 Profits: $181,952 Int’l Ticker: X Int’l Exchange: Toronto-TSX 2007 Sales: $424,724 2007 Profits: $148,697 Employees: 2006 Sales: $352,847 2006 Profits: $131,524 Fiscal Year Ends: 12/31 2005 Sales: $248,700 2005 Profits: $88,600 Parent Company:



Y


TYPES OF BUSINESS:

Pension Plan: Y Savings Plan:

Y

Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast:

International: Y



TOKYO STOCK EXCHANGE (TSE)

www.tse.or.jp




Profits:


Y


Y Y



TYPES OF BUSINESS: Stock Exchange Securities Clearing & Settlement Services Market Information Services Regulatory & Compliance Oversight

Tokyo Stock Exchange (TSE), founded in 1878, provides an exchange securities market under the authorization of Japan, listing 2,370 companies. The company’s major functions are the provision of a market place, including operating computerized trading systems and making transaction prices available to the public; monitoring trade and reporting of rule violations, improper conduct or unfair trading; listing securities; monitoring listed securities, including receiving and analyzing corporate and security information, maintaining disclosure guidelines, providing a filing system that facilitates investor access to disclosure documents and if necessary, the suspension or delisting of securities; and the supervision of trading participants, including an examination system whereby strict investigations are carried out to assess the state of prospective participants' businesses and assets at the time of their application for trading permission. Besides its equity market, TSE provides derivatives products markets, as for government bond and TOPIX futures; and is considering adding REIT, commodity ETFs and mini-TOPIX futures. The exchange operates through its wholly-owned subsidiary Japan Securities Settlement & Custody, Inc. (JSSC), which independently performs settlement and custody services for a broad range of securities transactions involving foreign equities and publicly-issued bonds; and handles deposit, delivery and custody of domestic stocks as commissioned by the Japan Securities Depository Center (JASDEC). The role of settlement and depository entity for TSE's foreign stock market recently began being transferred in stages from JSSC to JASDEC. TSE also owns 86.3% of Japan Securities Clearing Corporation (JSCC), which is coowned by all six Japanese stock exchanges. JSCC is a cross-market clearing organization for stocks and other securities traded in Japan, performing collateral management and custody operations. Trading participant fees generate 39.1% of TSE’s revenues; securities settlement, 15.8%; information services, 16.6%; listing fees, 12%; other operating income, 5.3%; and system development and operations, 11.2%. In late 2009, TSE completed a $140 million electronic trading upgrade that dramatically increased trading speeds.

BRANDS/DIVISIONS/AFFILIATES: Japan Securities Settlement & Custody, Inc. Japan Securities Clearing Corporation

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Atsushi Saito, CEO Hiroyuki Iwakuma, COO/Exec. VP Atsushi Saito, Pres. Norio Iwasaki, CFO Koichiro Miyahara, Sr. Exec. VP-Human Resources Yoshinori Suzuki, CIO/Sr. Exec. Officer Koichiro Miyahara, Sr. Exec. VP-Corp. Strategy Koichiro Miyahara, Sr. Exec. VP-Corp. Comm. Tomoyoshi Uranishi, Sr. Exec. Officer Taizo Nishimuro, Chmn.

Phone: 81-3-3666-1361 Fax: Toll-Free: Address: 2-1 Nihombashi-Kabuto-cho, Chuo-ku, Tokyo, 1038224 Japan

FINANCIALS:





Y

Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



TORONTO-DOMINION BANK (TD BANK) Industry Group Code: 522110 Ranks within this company's industry group: Sales: 29 Brokers/Stocks: Broker: Investment Bank: Futures/Options:



Y

www.td.com

Profits: 14



Y



TYPES OF BUSINESS: Banking Brokerage Services Asset Management Trust Funds Securities Loans Credit Cards Insurance

Toronto-Dominion Bank, also known as TD Bank or TD Bank Financial Group, is a banking and investment firm based in Canada with more than 17 million customers worldwide and $545 billion in assets. The company operates through four major lines of business: personal and business banking, including TD Canada Trust and TD Insurance; wealth management including TD Waterhouse and an investment in TD Ameritrade; wholesale banking, including TD Securities; and U.S. personal and commercial banking through the activities of TD Bank. The personal and commercial banking divisions offers personal and business clients a wide range of products and services including savings and checking accounts; credit cards; loans; and investment management. Other more advanced services include estate planning, wealth protection, small business banking, insurance and international banking. The wealth management division provides investors and financial advisors with brokerage, mutual funds, banking and various other financial products on an integrated basis. The wholesale banking division operates primarily through TD Securities and focuses on governments, corporations and institutions for its client base. The U.S. personal and commercial banking segment operates through its TD Bank brand, renamed in July 2008 after the merger of subsidiaries TD Banknorth and Commerce Bank. The firm maintains over 1,000 retail locations in the eastern U.S. and serves more than 6.5 million U.S. customers. In September 2008, the firm acquired the Canadian asset-based lending business of ABN AMRO Bank NV. In August 2008, TD Waterhouse Discount Brokerage launched a telephone voice identification system that offers clients greater security. TD Bank offers employees medical and dental insurance; an employee savings plan; a pension plan; and an employee assistance program.

BRANDS/DIVISIONS/AFFILIATES: TD Bank Financial Group TD Canada Trust TD Ameritrade TD Waterhouse TD Securities Inc TD Meloche Monnex TD Bank NA Commerce Bancorp Inc

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. W. Edmund Clark, CEO W. Edmund Clark, Pres. Colleen Johnston, CFO Mike Pedersen, Group Head-Corp. Oper. Mohammed Nakhooda, Sr. Mgr.-Corp. Comm. Colleen Johnston, Group Head-Finance Bob Dorrance, Chmn./Pres./CEO-TD Securities/Head-Wholesale Bharat Masrani, Group Head-US Personal & Commercial Banking Bill Hatanaka, Group Head-Wealth Mgt. Rob MacLellan, Chief Investment Officer/Exec. VP John M. Thompson, Chmn. Bernie Dorval, Group Head-Global Insurance

Phone: 416-982-8222 Fax: 416-982-5671 Toll-Free: 866-222-3456 Address: TD Centre, King St. W. and Bay St., PO Box 1, Toronto, ON M5K 1A2 Canada

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: TD 2008 Sales: $25,070,000 2008 Profits: $3,736,000 Int’l Ticker: TD Int’l Exchange: Toronto-TSX 2007 Sales: $26,510,000 2007 Profits: $4,200,000 Employees: 2006 Sales: $19,518,100 2006 Profits: $4,340,053 Fiscal Year Ends: 10/31 2005 Sales: $15,867,100 2005 Profits: $1,822,600 Parent Company:




Profit Sharing:


Bonus: $1,146,369 Bonus: $1,670,935


Southwest:

Midwest:

Southeast: Y


Northeast: Y

International: Y



TPG INC

www.texaspacificgroup.com




Profits:




Y



TPG, Inc. formerly Texas Pacific Group, is one of the world's largest private investment companies. The firm, with more than $45 billion in assets under management, primarily buys out companies in industries undergoing change and takes control of the companies to restructure for resale. TPG invests in a broad range of industries and geographies but generally seeks to invest in established companies requiring equity capital between $10 million and $1 billion. Some of the more well-known companies in which TPG has investments include Avaya, Biomet, Energy Future Holdings, Freescale Semiconductor, Sabre Holdings, SunGard Data Systems, Univision, Metro-Goldwyn-Mayer, Neiman Marcus and Aleris International. The company pursues complex transactions that require significant capital and time, and companies that are non-core subsidiaries of larger companies. The firm operates in the U.K. through affiliate TPG Capital LLP and offers its services in Germany through TPG Capital L.P.

BRANDS/DIVISIONS/AFFILIATES: Intergraph Corp Petco Animal Supplies Inc Avaya Inc Midwest Air Group Inc Energy Futureholdings Corp (TXU) Intergraph Corporation Gate Gourmet Inc Axcan Pharma Inc

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. David Bonderman, Founding Partner Richard W. Boyce, Partner-Oper. Simba Gill, Venture Partner-TPG Ventures James G. Coulter, Founding Partner Geoffrey Duyk, Managing Dir.-TPG Ventures/Managing Partner

Phone: 817-871-4000 Fax: 817-871-4010 Toll-Free: Address: 301 Commerce St., Ste. 3300, Forth Worth, TX 76102 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Private 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $847,400 2005 Profits: $ Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest:

Southeast:


Northeast:

International: Y



TRADESTATION GROUP INC

www.tradestation.com

Industry Group Code: 52312E Ranks within this company's industry group: Sales: 3 Brokers/Stocks: Broker: Investment Bank: Futures/Options:



Profits: 2





TYPES OF BUSINESS: Online Stock Brokerage Financial Information Stock Trading Software

TradeStation Group, Inc. is the parent company of two main subsidiaries which target the active stock trader market. TradeStation Securities, Inc., the firm’s principal operating subsidiary, is an online brokerage firm with over 45,500 trading accounts. It offers the company’s core product, the proprietary TradeStation direct market access electronic trading platform, which allows trading in equity options, futures and foreign currencies. The user has an option to automate trading, generating instant orders based on customizable buy or sell rules. While TradeStation Securities does not provide investment or trading advice or recommend the use of any particular strategy, it enables users to design, test and optimize strategies, utilizing historical data to test for profitability before officially trading. The company’s EasyLanguage is the principal tools that allow the user to design and develop trading strategies. EasyLanguage is a computer language consisting of Englishlike statements and trading terms input by the trader to describe particular objective rules and criteria. In addition to strategy trading tools, real-time market data and directaccess order execution, TradeStation offers numerous advanced charting and analytics features. TradeStation Technologies, Inc., is the firm’s trading technology subsidiary. It owns the intellectual properties of the company and provides subscription services for TradeStation. Aside from not including order execution or account management capabilities, the TradeStation subscription service offers the same services as the TradeStation electronic trading platform. The firm’s other subsidiary, TradeStation Europe Ltd., is an introducing broker authorized and regulated by the U.K. Financial Services Authority. In September 2009, TradeStation Securities introduced a new division, TradeStation Prime Services, established to cater to registered investment advisers, start-up to mid-sized hedge funds, asset managers and professional traders. TradeStation offers its employees benefits including stock options; dental and vision coverage; medical, life, disability, accident expense and AD&D insurance; an assistance program; and special perks.

BRANDS/DIVISIONS/AFFILIATES: TradeStation Securities, Inc. TradeStation Technologies, Inc. TradeStation Europe Ltd TradeStation Prime Services EasyLanguage

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Salomon Sredni, CEO John R. Roberts, COO David H. Fleischman, CFO T. Keith Black, VP-Prod. Dev., TradeStation Technologies Marc J. Stone, General Counsel/Sec. William P. Cahill, VP-Brokerage Oper. Marc J. Stone, VP-Corp. Dev. David H. Fleischman, VP-Finance/Treas. William P. Cahill, Pres./COO-TradeStation Securities, Inc. Lance Baraker, Sr. Managing Dir.-TradeStation Prime Svcs. William Katts, Sr. Managing Dir.-TradeStation Prime Svcs. Salomon Sredni, Chmn.

Phone: 954-652-7000 Fax: 954-652-7300 Toll-Free: 800-556-2022 Address: 8050 SW 10th St., Ste. 4000, Plantation, FL 33324 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: TRAD 2008 Sales: $160,432 2008 Profits: $30,637 Int’l Ticker: Int’l Exchange: 2007 Sales: $151,555 2007 Profits: $35,371 Employees: 363 2006 Sales: $128,546 2006 Profits: $31,019 Fiscal Year Ends: 12/31 2005 Sales: $96,999 2005 Profits: $21,066 Parent Company:




Y Y Y

Profit Sharing:


Bonus: $151,281 Bonus: $72,615


Southwest: Y

Midwest: Y

Southeast: Y


Northeast:

International: Y



TRAVELERS COMPANIES INC (THE) Industry Group Code: 524126 Ranks within this company's industry group: Sales: 7 Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y


Y

www.travelers.com Profits: 2


Y




TYPES OF BUSINESS: Direct Property & Casualty Insurance Reinsurance Automobile & Homeowners' Insurance General Liability & Commercial Multi-Peril Insurance Marine Insurance Risk Management Services

The Travelers Companies, Inc., formerly St. Paul Travelers Companies, Inc., is a holding company principally engaged in providing commercial and personal property and casualty insurance products and services to businesses, government units, associations and individuals. The company operates in three segments: business insurance; financial, professional and international insurance; and personal insurance. The business insurance segment offers a broad array of property and casualty insurance and insurancerelated services primarily in the U.S. The division is organized in six groups: select accounts, commercial accounts, national accounts, industry-focused underwriting, target risk underwriting and specialized distribution. These groups provide a wide array of insurance coverage, including commercial multi-peril, property, general liability, commercial auto, workers’ compensation and marine, as well as providing risk management, claims handling, reinsurance, healthcare and other services. The business insurance group also includes the Specialty Liability Group, which manages the company’s asbestos and environmental liabilities. The financial, professional and international insurance segment includes surety and financial liability coverages, which require a primarily credit-based underwriting process, as well as property and casualty products marketed on an international basis. This division operates through two groups: bond and financial products, which provides bond and insurance products and risk management services; and International, which offers specialized insurance and risk management services marketed in the U.K., Ireland and Canada and on a wider international basis through Lloyd’s. The personal insurance segment writes virtually all types of property and casualty insurance covering personal risks. The primary coverages in this segment are automobile and homeowners insurance. In October 2008, St. Paul Fire and Marine Insurance Company, a wholly-owned subsidiary of the company, agreed to sell Unionamerica Holdings Limited, which is involved in direct insurance and reinsurance, to Royston Run-Off Limited. In July 2009, the company launched AgentU, intended as an insurance agent education tool.

BRANDS/DIVISIONS/AFFILIATES: St. Paul Companies Inc. St. Paul Fire and Marine Insurance Company Unionamerica Holdings Limited AgentU Lloyd's

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Jay S. Fishman, CEO Brian W. MacLean, COO Brian W. MacLean, Pres. Jay S. Benet, CFO Anne MacDonald, Chief Mktg. Officer/Exec. VP John P. Clifford, Jr., Exec. VP-Human Resources William Bloom, CIO/Exec. VP-Insurance Oper. Andy F. Bessette, Chief Admin. Officer/Exec. VP Kenneth F. Spence III, General Counsel/Exec. VP Samuel Liss, Exec. VP-Strategic Dev. Gabriella Nawi, Sr. VP-Investor Rel. Maria Olivo, Treas./Exec. VP William H. Heyman, Chief Investment Officer John J. Albano, Exec. VP-Bus. Insurance Alan D. Schnitzer, Chief Legal Officer Joan Kois Woodward, Exec. VP-Public Policy Jay S. Fishman, Chmn.

Phone: 917-778-6000 Fax: 917-778-7007 Toll-Free: 800-328-2189 Address: 485 Lexington Ave., New York, NY 10017-2630 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: TRV 2008 Sales: $24,477,000 2008 Profits: $2,924,000 Int’l Ticker: Int’l Exchange: 2007 Sales: $26,017,000 2007 Profits: $4,601,000 Employees: 33,000 2006 Sales: $25,090,000 2006 Profits: $4,208,000 Fiscal Year Ends: 12/31 2005 Sales: $24,365,000 2005 Profits: $1,622,000 Parent Company:




Profit Sharing:


Bonus: $5,000,000 Bonus: $2,500,000


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



TREMONT CAPITAL MANAGEMENT INC Industry Group Code: 523920 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y Y


Y

www.tremont.com

Profits:





TYPES OF BUSINESS: Investment Management/Mutual Funds Hedge Funds

Tremont Capital Management, Inc. is a leader in the investment management of hedge funds products and multimanager portfolios, with offices in New York, Toronto, Hong Kong and London. The firm is a subsidiary of OppenheimerFunds, Inc., one of the largest mutual fund companies in the U.S. with 65 funds including mutual funds, hedge fund products and qualified retirement plans. The firm has a global investor base that includes including financial institutions; public and private pension plans; ERISA plans; university endowments and foundations; and certain high net worth individuals. The company’s international investor base is comprised of institutional clients and investors, including financial institutions; public and private pension plans; ERISA plans; university endowments and foundations; and high net worth individuals.

BRANDS/DIVISIONS/AFFILIATES: OppenheimerFunds

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Rupert Allan, CEO Mark Santero, COO/Sr. VP Rupert Allan, Pres. Lynn Keeshan, CFO Robert Stone, Exec. VP-Global Sales Scott Metchick, Chief Investment Officer Susan Crotty, Managing Dir.-Investment Mgmt. Svcs.

Phone: 914-925-1140 Fax: 914-921-3499 Toll-Free: Address: 555 Theodore Fremd Ave., Rye, NY 10580 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company: OPPENHEIMERFUNDS INC




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International:



TULLETT PREBON PLC

www.tullettprebon.com


Y



Profits: 3



Y



TYPES OF BUSINESS: Stock Brokerage Intermediary Trading Services Corporate Finance Market Maker Online Financial Information

Tullett Prebon plc, formerly Collins Stewart Tullett plc, is a London based inter-dealer brokerage firm that company acts as an intermediary in wholesale financial markets by facilitating the trading activities of commercial and investment banks. The company offers products such as fixed income securities and derivatives, interest rate derivatives, treasury products, equities, and energy. Subsidiary Tullett Prebon Information carries out the company’s market data operations and provides real-time price information from the wholesale inter-dealer broker financial and commodity markets. The data coverage comprising of money markets, rates, fixed income, energy, credit, inflation, volatility, and environmental is delivered through Single Unified Record Feed (Surf), a TCP/IP based feed that can be transmitted through a leased line or through the internet; market data vendors; and internet access. In addition to the company’s voice brokerage operations, Tullet Prebon also offers an electronic platform through Tullett Prebon Electronic Broking. Products offered under this division include tpTradeBlade, a global application consisting of 130 currency pairs with global rates in ATM straddles and risk reversals, as well as emerging currencies and precious metals; tpUST, a platform designated exclusively for the execution of U.S. Treasury Benchmark Securities; and tpEnergyTrade, a combination of voice and electronic broking focusing on the Canadian and NortWest U.S.’s natural gas markets. In June 2008, Tullett Prebon Asia Pacific announced plans to launch an Islamic Capital Markets desk in Singapore, which will issue Islamic products including Sukuk bonds.

BRANDS/DIVISIONS/AFFILIATES: Chapdelaine Corporate Brokers, Inc. Tullett Prebon Information Tullett Prebon Electronic Broking tpTradeBlade tpUST tpEnergyTrade Tullett Prebon Asia Pacific

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Terry Smith, CEO Steph Duckworth, COO Paul Mainwaring, Dir.-Finance Nigel Szembel, Head-Comm. Barry Dennahy, CEO-Asia Pacific Keith Hamill, Chmn. Angus Wink, CEO-EMEA

Phone: 44-020-7200-7000 Fax: 44-020-7200-7176 Toll-Free: Address: 155 Bishopgate, London, EC2M 3TQ UK

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: CSTL 2008 Sales: $1,535,900 2008 Profits: $285,010 Int’l Ticker: CSTL Int’l Exchange: London-LSE 2007 Sales: $1,091,700 2007 Profits: $110,800 Employees: 2006 Sales: $966,600 2006 Profits: $192,700 Fiscal Year Ends: 12/31 2005 Sales: $958,100 2005 Profits: $92,100 Parent Company:




Y Y

Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



UBS AG

www.ubs.com


Y


Y Y


Y

Profits: 46


Y


Y



TYPES OF BUSINESS: Banking Asset Management Mutual Funds Estate Planning Corporate Finance Financial Software Investment Banking

UBS AG, based in Switzerland, is one of the world’s leading wealth management businesses, with offices in 50 countries, primarily in the Americas and Switzerland. The firm provides a variety of services under the following channels: Global Wealth Management & Business Banking; Global Asset Management; and its Investment Bank. The Global Wealth Management & Business Banking segment offers services designed for high net worth individuals. UBS provides customers with individualized advice and investment services ranging from asset management to estate planning and from corporate finance to art banking. Its Swiss retail and corporate banking business provides a complete set of banking and securities services for individual and corporate clients in Switzerland. The company’s Global Asset Management segment offers investment management solutions in various asset classes to private, institutional and corporate clients, as well as through financial intermediaries. Investment capabilities comprise traditional assets, such as equities, fixed income and asset allocation; alternative and quantitative investments, including multi-manager funds, funds of hedge funds and hedge funds; and real estate. Through its Investment Bank, UBS provides securities products and research in equities, fixed income, rates, foreign exchange, energy and metals. It also provides access to capital markets for corporate, institutional, intermediary and alternative asset management clients. In December 2008, the company sold its stake in the Bank of China. In January 2009, the company entered into an agreement to acquire the commodity index business of AIG Financial Products Corp., a subsidiary of AIG. That same month, the firm announces sale of its base metals, oil and U.S. power and gas businesses. In April 2009, UBS sold its Brazilian operation UBS Pactual to BTG Investments for approximately $2.5 billion. The firm announced a major expansion into the Middle East in July 2009, following which the company set up operations in Saudi Arabia and applied for license to operate in Qatar.

BRANDS/DIVISIONS/AFFILIATES: UBS Wealth Management USA UBS Investment Bank UBS Capital Markets LP

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Oswald Gruebel, CEO Ulrich Korner, COO John Cryan, CFO John F. Bradley, Group Head-Human Resources Markus U. Diethelm, General Counsel Michael Willi, Chief Comm. Officer Alex Wilmot-Sitwell, CEO-UBS Investment Bank Robert J. McCann, CEO-UBS Wealth Mgmt. Americas John A. Fraser, CEO-Global Asset Mgmt. Philip J. Lofts, Chief Risk Officer Peter Kurer, Chmn. Chi-Won Yoon, CEO-Asia Pacific

Phone: 41-44-234-1111 Fax: 41-44-234-3415 Toll-Free: Address: Bahnhofstrasse 45, Zurich, CH-8001 Switzerland

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: UBS 2008 Sales: $59,882,000 2008 Profits: $-19,301,000 Int’l Ticker: UBSN Int’l Exchange: Zurich-SWX 2007 Sales: $31,086,600 2007 Profits: $-5,142,100 Employees: 2006 Sales: $46,534,300 2006 Profits: $11,296,500 Fiscal Year Ends: 12/31 2005 Sales: $76,292,100 2005 Profits: $10,664,800 Parent Company:




Y

Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



UBS INVESTMENT BANK

www.ibb.ubs.com


Y Y


Y


Y

Profits:



Y Y



TYPES OF BUSINESS: Investment Banking/Stock Brokerage Financial Research & Consulting Risk Management Foreign Exchange Asset Management

UBS Investment Bank, formerly UBS Warburg, is the investment-banking subsidiary of UBS AG, one of Switzerland's largest banks. Its services include equities, fixed income, rates, foreign exchange, energy and metals advice, research and risk management. The company, with more than 140 years of banking experience, has offices in more than 30 countries in the Americas, the Asia Pacific region and Europe, with the majority of offices in Switzerland; and serves corporate, government, institutional and private clients worldwide, with a focus on North America. The company operates through three business units: equities; fixed income; and foreign exchange. The equities divisions distributes, trades, finances and clears cash equity and equity-linked products. The firm’s fixed income division offers research, products and trade services that address all areas of global debt capital markets. The foreign exchange division partners with UBS AG to design and develop unique solutions for corporate clients, hedge funds, banks, private clients and asset managers. Securities activities in the US are conducted through UBS Securities LLC, a registered broker dealer. In November 2008, UBS Investment Bank acquired a minority stake in Governance Metrics International (GMI), a research advisory firm that specializes in assessing corporate governance.

BRANDS/DIVISIONS/AFFILIATES: UBS Securities LLC UBS AG

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Carsten Kengeter, Co-CEO Suneel Kamlani, COO Robert Wolf, Pres. Andrew Wright, CFO Maria Bentley, Global Head-Human Resources David Graham, General Counsel Alex Wilmot-Sitwell, Co-CEO Michelle Bereaux, Chief-Staff/Joint COO Daniel B. Coleman, Global Head-Equities Tom Daula, Chief Risk Officer Robert Wolf, Chmn.

Phone: 212-821-3000 Fax: 212-821-3285 Toll-Free: Address: 299 Park Ave., New York, NY 10171 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company: UBS AG




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



UNICREDIT SPA (UNICREDIT GROUP) Industry Group Code: 522110 Ranks within this company's industry group: Sales: 12 Brokers/Stocks: Broker: Investment Bank: Futures/Options:

Y


Y


Y Y

www.unicreditgroup.eu Profits: 4



Y



TYPES OF BUSINESS: Banking Asset Management Loans Leasing Insurance Investment Banking

UniCredit SPA is a holding company for multiple banking and investment groups internationally. The firm is one of the largest banking and financial services institutions in Europe with over 10,000 branches in 22 countries including Austria, Italy, Germany and 19 countries in Central and Eastern Europe. The group is the result of the merger of nine of Italian banks and then union of the German HVB Group and the Italian Capitalia Group. The company has four strategic business units which include retail banking, corporate and investment banking and private banking, global banking and CEE Divisionalization. The retail business segment provides retail banking and services to individuals and small businesses ad includes the retail Italy network, the retail Germany and Austria network, asset gathering, family financing and retail marketing. The corporate banking services includes serves corporate & Investment customers and high net worth individuals through Private Banking. The global banking services includes information and communication technology, back office, organization and logistics, identity and communications, management consultancy, security and life long learning. The CEE Divisionalization (Central and Easten Europe) segment is responsible for implementing the business model in the CEE countries.

BRANDS/DIVISIONS/AFFILIATES: UniCredit Banca DAB Bank Bayerische Hypo und Vereinsbank AG (HVB) direktanlage.at AG Bank Austria Corporate Banking Schoellerbank UniCredit Bank Banja Luka Zagrebacka Banka UniCredit Bank Russia

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Alessandro Profumo, CEO Ranieri de Marchis, CFO Rino Piazzolla, Head-Human Resources Strategy Nadine Faruque, General Counsel/Compliance Officer Francesco Giordano, Chief Strategic Officer Antonella Massari, Head-Group Identity & Comm. Henning Giesecke, Chief Risk Officer Roberto Nicastro, Deputy CEO/Head-Retail Strategic Business Sergio Ermotti, Deputy CEO Paolo Fiorentino, Deputy CEO Dieter Rampl, Chmn.

Phone: 39-02-88-621 Fax: 39-02-8862-8503 Toll-Free: Address: Piazza Cordusio, Milan, 20123 Italy

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: 2008 Sales: $94,036,000 2008 Profits: $5,872,000 Int’l Ticker: UC Int’l Exchange: Milan-BI 2007 Sales: $63,670,000 2007 Profits: $7,190,000 Employees: 2006 Sales: $59,119,300 2006 Profits: $6,835,000 Fiscal Year Ends: 12/31 2005 Sales: $22,230,700 2005 Profits: $3,069,100 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast:

International: Y



UNITAS CAPITAL

www.unitascapital.com




Profits:




Y



Unitas Capital, formerly CCMP Capital Asia Pte. Ltd., is a private equity firm based in Hong Kong with $4 billion in assets under management. The company invests in midsized to large companies in the consumer and industrial sectors across five core markets: Australia and New Zealand; Greater China; Japan; Korea; and Singapore. The firm’s portfolio includes companies such as Air International Thermal Holdings L.P.; Ceratech Corporation; Generac Power Systems, Inc.; ASAT Holdings Limited; Quiznos; Sensata Technologies; Yellow Pages Group Limited; Waco International Limited; Rhythm Corporation; Repco Corporation Limited; Haitai Confectionery & Foods Co., Limited; KD Blue Sky Technologies Limited; and Independent Liquor. Unitas has holdings in the automotive, technology, general industrial, environmental protection, consumer retail and service industries. The company is closely aligned with, but independent from, CCMP Capital Advisors, LLC. The firm has offices in Hong Kong, Melbourne, Seoul and Shanghai. The firm currently has 27 investments and a total transaction value in excess of $14 billion. In January 2009, the firm changed its name to Unitas Capital.

BRANDS/DIVISIONS/AFFILIATES: CCMP Capital Asia Pte. Ltd. Air International Thermal Holdings L.P. Ceratech Corporation Generac Power Systems, Inc.. ASAT Holdings Limited Quiznos Sensata Technologies Haitai Confectionery & Foods Co.

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Andrew Liu, CEO Eugene Suh, COO Sharon Lim, CFO Susanna Lau, Mgr.-Human Resources John D. Lewis, CIO Susanna Lau, Mgr.-Admin. Simon Bell, General Counsel Steve Stewart, Managing Dir. Leo Cheung, Managing Dir. Young-Ho Hur, Managing Dir. Jim Tsao, Managing Dir.

Phone: 852-2533-1818 Fax: 852-3475-0168 Toll-Free: Address: 1 Harbor View St., 30th Fl., Ste. 3003, Hong Kong, China

FINANCIALS:





Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

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Northeast:

International: Y



US BANCORP

www.usbancorp.com




Y Y

Profits: 16



Y Y



TYPES OF BUSINESS: Banking Lease Financing Consumer Finance Credit Cards Discount Brokerage Investment Advisory Services Trust Services Insurance

U.S. Bancorp (USB) is one of the largest financial services holding companies in the U.S., with $213 billion in assets. U.S. Bancorp operates approximately 2,850 banking offices and approximately 5,173 ATMs. Through U.S. Bank, Firstar Bank and other subsidiaries, the company does business in four areas: wholesale banking, payment services, wealth management, and consumer banking. The company’s wholesale banking services include middle market banking, commercial real estate, national corporate banking, correspondent banking, dealer commercial services, equipment finance, foreign exchange, government banking, international banking, treasury management, small business equipment finance, small business administration and title industry banking. USB’s payment services include corporate payment services, merchant payment services, retail payment solutions and transactions services. Retail payment solutions include payments through debit, credit, specialty cards and gift cards. Transactions services include ATM and debit processing services. Subsidiary Elavon, formed from the combination of NOVA Information Systems, Inc., euroConex and Elan, operates in the payment processing industry. Elavon provides global merchant processing services to approximately 850,000 merchants in the U.S., Canada and Europe. The company’s wealth management services include private client services, corporate trust services and institutional trust and custody services. Consumer banking services include community banking, metropolitan branch banking, corporate on-site banking, small business banking, consumer lending, 24hour-a-day banking, home mortgage and student banking. In February 2008, U. S. Bank opened its first office on the East Coast. In June 2009, U.S. Bancorp increased its presence in the Southeast by opening a new branch in Charlotte, North Carolina. USB offers employees reimbursement accounts; an employee assistance program; adoption assistance; tuition reimbursement; financial training courses; and health, dental and vision insurance.

BRANDS/DIVISIONS/AFFILIATES: U.S. Bank Firstar Bank Elavon Information Systems euroConex Elan First Horizon National Corporation United Financial Corp. Heritage Bank

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Richard K. Davis, CEO Richard K. Davis, Pres. Andrew Cecere, CFO/Vice Chmn. Jennie P. Carlson, Exec. VP-Human Resources Lee R. Mitau, General Counsel/Corp. Sec./Exec. VP William L. Chenevich, Vice-Chmn.-Oper. Svcs. P. W. Parker, Chief Credit Officer/Exec. VP Joseph M. Otting, Vice Chmn. Pamela A. Joseph, Chmn./CEO-NOVA Information Systems, Inc. Richard C. Hartnack, Vice Chmn.-Consumer Banking Richard J. Hidy, Chief Risk Officer/Exec. VP Richard K. Davis, Chmn.

Phone: 651-466-3000 Fax: 612-303-0782 Toll-Free: 800-872-2657 Address: 800 Nicollet Mall, Minneapolis, MN 55402 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: USB 2008 Sales: $14,677,000 2008 Profits: $2,946,000 Int’l Ticker: Int’l Exchange: 2007 Sales: $13,936,000 2007 Profits: $4,324,000 Employees: 2006 Sales: $13,636,000 2006 Profits: $4,751,000 Fiscal Year Ends: 12/31 2005 Sales: $16,702,000 2005 Profits: $4,489,000 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



US TRUST BANK OF AMERICA PRIVATE WEALTH MANAGEMENT www.ustrust.com Industry Group Code: 523920 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:

Y


Y


Y

Profits:



Y Y



TYPES OF BUSINESS: Investment Management Private Banking Wealth Management Services Trust Services Brokerage Philanthropic Consulting

U.S. Trust Bank of America Private Wealth Management (U.S. Trust), formerly U.S. Trust Corporation, is Bank of America’s wealth and investment management subsidiary. Subsequent to its acquisition by Bank of America from The Charles Schwab Corp., the operations of U.S. Trust were combined with The Private Bank of Bank of America and Columbia Management. U.S. Trust provides wealth structuring services; investment management services; credit and banking services; legacy and philanthropy services; and family office services. Wealth structuring services offered by the company include a comprehensive planning process, which incorporates such considerations as lifestyle and income requirements; tax profile; trust and estate plans; business interests and succession planning; charitable aspirations; and wealth transfer goals. Asset classes and investment styles provided by the company include proprietary managers, custom portfolios, external managers and alternative investments. Credit and banking services offered by U.S. Trust include customized credit solutions, real estate solutions, capital market strategies for managing interest rate risk, structured deposits, everyday banking services and business services. U.S. Trust provides its legacy and philanthropy services through its Philanthropic Management group, which provides asset management services; grantmaking advisory services; and the Bank of America Charitable Gift Fund, a tax-exempt public charity. The family office division provides financial, estate planning and tax services, as well as investment consulting services designed specifically for individual and multigenerational family needs.

BRANDS/DIVISIONS/AFFILIATES: US Trust Corporation Bank of America Corp Charles Schwab Corp (The) Private Bank (The) Columbia Management Group Inc Philanthropic Management Bank of America Charitable Gift Fund

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. James L. Bailey, CFO/Exec. VP Lauran Sambrotto, Media Contact

Phone: 212-852-1000 Fax: 212-852-1140 Toll-Free: 800-878-7878 Address: 114 W. 47th St., New York, NY 10036 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company: BANK OF AMERICA CORP




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International:



USAA

www.usaa.com



Y Y


Y

Profits: 5


Y




TYPES OF BUSINESS: Insurance, Direct Property & Casualty Banking Life Insurance Real Estate Development Discount Brokerage Investment Management Mutual Funds

USAA (United Services Automobile Association) is a mutual insurance company that serves 7.2 million members, comprising exclusively U.S. military personnel and their families. It owns and manages over $119 billion in assets from offices in Texas, Colorado, Arizona, Virginia, Colorado, Florida and California; and international offices in London and Frankfurt. USAA offers more than 150 financial services and products, primarily automobile, homeowner's and renter's insurance as well as automobile, mortgage and home equity loans. The company also manages checking accounts, savings accounts, credit cards and personal loans for its military customers. Customers also have access to mutual funds and brokerage services through USAA Investment Management Company. Members can access their accounts and conduct investing, banking and insurance business online. Additionally, subsidiary USAA Alliance Services, LLC has formed a series of partnerships to provide members with discounts on home security, travel services and insurance, floral services, car rentals and diamond and fine jewelry. The firm’s USAA Educational Foundation division, a nonprofit entity, provides consumer education to the general public on topics including personal finance, safety and quality of life. During 2008, USAA expanded its membership eligibility to include military retirees, regardless of when they retired; military personnel who were honorably discharged on or after Jan. 1, 1996; and widows or widowers of military personnel killed in action while eligible. USAA employee’s benefits include educational assistance, flextime, flexible spending accounts, wellness benefits and blood pressure screenings. Company employees called to active military duty receive their accustomed pay for four weeks, and pay differential for up to two years after deployment. USAA employees are eligible to receive benefits, holiday bonuses and corporate performance bonuses during the time they are deployed. Women account for 62% of USAA's employees.

BRANDS/DIVISIONS/AFFILIATES: USAA Investment Management Company USAA Alliance Services USAA Educational Foundation

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Josue (Joe) Robles, Jr., CEO Josue Robles, Jr., Pres. Kristi A. Matus, CFO/Exec. VP Roger V. Chacko, Chief Mktg. Officer/Exec. VP Elizabeth D. Conklyn, Exec. VP-People Svcs. Steven A. Bennett, General Counsel/Corp. Sec/Exec. VP Wayne Peacock, Exec. VP-Enterprise Bus. Oper. Wendi E. Strong, Exec. VP-Corp. Comm. F. David Bohne, Pres., USAA Fed. Savings Bank Stuart Parker, Pres., USAA Property & Casualty Insurance Group Christopher W. Claus, Pres., USAA Financial Svcs. Group John H. Moellering, Chmn.

Phone: 210-498-2211 Fax: 210-498-9940 Toll-Free: 800-531-8722 Address: 9800 Fredericksburg Rd., San Antonio, TX 78288 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Mutual Company 2008 Sales: $12,912,000 2008 Profits: $423,000 Int’l Ticker: Int’l Exchange: 2007 Sales: $14,417,900 2007 Profits: $1,855,500 Employees: 21,900 2006 Sales: $13,416,000 2006 Profits: $2,330,000 Fiscal Year Ends: 12/31 2005 Sales: $11,980,000 2005 Profits: $1,388,000 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest:

Southeast: Y


Northeast: Y

International: Y



VALUE LINE INC

www.valueline.com


Y


Y


Y

Profits: 1


Y


Y Y



TYPES OF BUSINESS: Financial Data Publishing Financial Periodicals Investment Management/Fund Advising Research Services Electronic Financial Tools Broker-Dealer Advertising Agency

Value Line, Inc., founded in 1931 as Arnold Bernhard & Company, Inc., publishes investment-related periodicals through its wholly-owned subsidiary, Value Line Publishing, Inc. (VLP) and also provides investment advisory services to mutual funds, institutions and individual clients. VLP publishes The Value Line Investment Survey, The Value Line Investment Survey - Small and Mid-Cap Edition, The Value Line 600 and The Value Line Fund Advisor Plus; these are all relatively comprehensive publications that provide statistical and text coverage of a large number of investment securities. The Value Line Investment Survey is the company’s premier service, published each week and covering approximately 1,700 stocks. The company’s niche newsletters, including Value Line Select, The Value Line Special Situations Service, The Value Line Fund Advisor, The Value Line Convertibles Survey and Value Line Daily Options Survey, provide information on a less comprehensive basis. In addition, the firm offers investment analysis software, including The Value Line Investment Analyzer and the Mutual Fund Survey for Windows, and current and historical financial databases via CD-ROM or online. Most of the company’s products are available in online versions, and subscribers are offered various combination packages with access to multiple data sets. Value Line also licenses certain trademarks and proprietary information for products, including unit investment trusts, annuity trusts, managed accounts and exchange traded funds. Through subsidiary EULAV Asset Management, LLC, the firm is also the investment advisor for the Value Line Funds, a family of 14 mutual fund investment companies. The company's other subsidiaries include a registered broker-dealer, EULAV Securities, Inc., and The Vanderbilt Advertising Agency, Inc. These subsidiaries primarily provide services used by the company in its publishing and investment management businesses. Subsidiary Compupower Corporation serves the subscription fulfillment needs of the company's publishing operations. Value Line Distribution Center, Inc. handles mailing of publications to the company's subscribers.

BRANDS/DIVISIONS/AFFILIATES: Value Line Publishing, Inc. Value Line Investment Survey (The) Value Line 600 EULAV Securities, Inc. Vanderbilt Advertising Agency, Inc. Compupower Corporation Value Line Distribution Center, Inc. Arnold Bernhard & Company, Inc.

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Howard A. Brecher, Acting CEO Mitchell E. Appel, CFO Howard A. Brecher, Chief Legal Officer/Corp. Sec. Steven R. Anastasio, Treas. Howard A. Brecher, Acting Chmn.

Phone: 212-907-1500 Fax: 212-907-1945 Toll-Free: 800-634-3583 Address: 220 E. 42nd St., New York, NY 10017 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $69,241 2009 Profits: $22,953 U.S. Stock Ticker: VALU 2008 Sales: $82,678 2008 Profits: $25,550 Int’l Ticker: Int’l Exchange: 2007 Sales: $83,635 2007 Profits: $24,607 Employees: 187 2006 Sales: $85,186 2006 Profits: $23,439 Fiscal Year Ends: 4/30 2005 Sales: $84,478 2005 Profits: $21,318 Parent Company:




Y Y Y

Profit Sharing:




Southwest:

Midwest:

Southeast:


Northeast: Y

International:



VAN KAMPEN INVESTMENTS INC

www.vankampen.com



Y


Y

Profits:


Y





Van Kampen Investments, Inc. is a global financial services firm that operates as one half of the global asset management segment of Morgan Stanley. The firm provides mutual fund and investment advisory services, with $98 billion in assets under management. The firm has about 64 mutual funds, including capital and core growth, enterprise, equity growth, large and mid cap growth, asset allocation, fixed income, tax-free and capital preservation funds; equity, closed-end and tax-free fixed-income unit trusts; a Higher Education 529 portfolios for college savings, underwritten by subsidiary Van Kampen Funds, Inc.; 14 closed-end funds; five life investment and 11 universal institutional insurance trusts; traditional retirement investments, such as IRAs, SEPs, SIMPLEs and 403(b) tax sheltered accounts; and capital growth, core and growth equity, international growth equity, value and value equity separately managed accounts. Separately managed accounts mainly target high-net worth investors that seek many of the same advantages the firm offers to institutional customers, such as direct ownership of securities. In April 2009, Van Kampen Funds, Inc. launched six new open-end equity mutual funds as part of an advisory agreement with O’Shaughnessy Asset Management, a money management firm. In October 2009, Morgan Stanley agreed to sell Van Kampen, as well as the remainder of its retail asset management business, to Invesco, Ltd., for approximately $1.5 billion. In October 2009, the firm merged its Strategic Municipal Income and High Yield Municipal funds. In December 2009, Van Kampen closed its Van Kampen O’Shaughnessy Funds to new business, with plans to liquidate the funds in January 2010.

BRANDS/DIVISIONS/AFFILIATES: Morgan Stanley Van Kampen Funds, Inc.

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Jerry W. Miller, CEO Ed Wood, COO Jerry W. Miller, Pres. Elizabeth H. Eginton, Managing Dir.-Mktg. & Prod. Brian Binder, Chief Admin. Officer/Managing Dir. David Linton, Managing Dir./Pres., Sales Edward C. Wood III, Managing Dir./Principal Exec.-Funds Steven Massoni, COO-Structured Prod. Andrew J. Scherer, Managing Dir.-Intermediary Dist.

Phone: 630-684-6000 Fax: 630-684-6155 Toll-Free: 800-847-2424 Address: 1 Parkview Plaza, Ste. 100, Oakbrook Terrace, IL 60181 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 11/30 2005 Sales: $ 2005 Profits: $ Parent Company: MORGAN STANLEY




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest: Y

Southeast:


Northeast: Y

International:



VANGUARD GROUP INC (THE)

www.vanguard.com


Y


Y Y Y


Y Y Y

Profits:





TYPES OF BUSINESS: Investment Management/Mutual Funds Financial Planning Brokerage Annuities Investment Services-Retirement Plans Exchange Traded Funds (ETFs)

The Vanguard Group, Inc. offers mutual funds and brokerage services to individuals and corporations through more than 136 domestic funds plus additional funds in foreign markets. The firm holds over $1.24 trillion in U.S. mutual fund assets, including employer-sponsored retirement plans. Vanguard has two primary business lines: direct investor services and the institutional investor group. Each line contributes roughly half of the firm’s total assets. The direct investor services division offers mutual funds, brokerage services, annuities, financial planning, asset management and trust services to individual investors. Vanguard has sections within this division for high-net-worth investors and retirement services. Subsidiary Vanguard Brokerage Services works within the direct investor services division to access thousands of other mutual funds and individual securities for clients who want to expand their portfolios. The company’s institutional investor group provides investment services for employer- aided retirement plans for corporations, unions, nonprofits organizations, government agencies, universities, banks and insurance companies. The firm has specially tailored fund groups to serve clients outside the U.S., such as Vanguard's Dublin-domiciled UCITS funds and its Australian fund offerings. In November 2008, the company merged two long term tax exempt funds to create a new $6 billion fund. In January 2009, the company launched a new broad-market bond index fund for use with Vanguard funds. In March 2009, the firm introduced a new international small-cap index fund, Vanguard FTSE All-World ex-US Small-Cap Index Fund. Vanguard matches employee contributions to a 401(k) plan. The company also has an in-house training and education organization, Vanguard University, a lunchtime seminar program, Vanguard Learning Center and provides reimbursement for external education expenses for full-time crewmembers.

BRANDS/DIVISIONS/AFFILIATES: Vanguard Brokerage Services

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. F. William McNabb, CEO Kathleen C. Gubanich, Managing Dir.-Human Resources Paul Heller, CIO/Managing Dir.-IT Heidi Stam, General Counsel Michael S. Miller, Managing Dir.-Dev. & Planning Glenn Reed, Managing Dir.-Finance Group Mortimer J.Buckley, Managing Dir.-Retail Investor Group George U. Sauter, Managing Dir./Chief Investment Officer William McNabb, Chmn. James M. Norris, Managing Dir.-Int'l Oper.

Phone: 610-648-6000 Fax: 610-669-6605 Toll-Free: 877-662-7447 Address: 100 Vanguard Blvd., Malvern, PA 19355 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Private 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $2,600,000 2005 Profits: $ Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest:

Southeast: Y


Northeast: Y

International:



VIRTUS INVESTMENT PARTNERS INC Industry Group Code: 523920 Ranks within this company's industry group: Sales: 27 Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y Y Y


Y

www.virtus.com Profits: 24


Y




TYPES OF BUSINESS: Investment Management Mutual Funds Managed Accounts Closed-end Funds Institutional Accounts Structured Finance Products

Virtus Investment Partners, Inc., formerly Phoenix Investment Partners, Ltd., is a diversified U.S. investment management company. The firm, which was the asset management division of The Phoenix Companies, Inc., was spun off and formed in December 2008. Virtus operates a multi-manager asset management business, comprising a number of individual affiliated managers and unaffiliated subadvisors with distinct investment processes and brands. The firm offers its products through multiple distribution channels and in a number of forms. The company’s retail products include open-end mutual funds, distributed primarily through intermediaries; closed-end funds, traded on the New York Stock Exchange, and separately managed accounts, comprised of intermediary programs sponsored and distributed by unaffiliated brokerage firms, as well as private client offerings, originated and maintained by the firm’s affiliated managers. Virtus also manages institutional accounts for special purpose funds; multi-employer retirement funds and foundations; corporations; endowments; and other types of institutions. The company derives the majority of its revenues from asset-based investment management fees charged on these various products. Some of the firm’s affiliated companies include Duff & Phelps Investment Management; SCM Advisors; Kayne Anderson Rudnick Investment Management; Oakhurst Asset Managers; Goodwin Capital Advisers; and SASCO Capital. The company has approximately $19.8 billion in assets under management. In October 2009, Virtus launched the Virtus AlphaSector Rotation Fund and the Virtus AlphaSector Allocation Fund, active indexes designed to generally invest in long-term S&P 50 allocations but switch to short-term treasuries in times of market turmoil.

BRANDS/DIVISIONS/AFFILIATES: Duff & Phelps Investment Management Kayne Anderson Rudnick Investment Management Goodwin Capital Advisors Oakhurst Asset Managers SASCO Capital SCM Advisors

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. George R. Aylward, CEO George R. Aylward, Pres. Michael A. Angerthal, CFO/Exec. VP Francis G. Waltman, Exec. VP-Prod. Mgmt. & Dev. Nancy G. Curtiss, Sr. VP-Oper. Samuel M. Austin, Exec. Managing Dir.-Institutional Dist. W. Patrick Bradley, Sr. VP-Mutual Fund Admin. J. Steven Neamtz, Exec. VP-Retail Dist.

Phone: 860-403-5000 Fax: 860-403-5534 Toll-Free: Address: 100 Pearl St. 9th Fl., Hartford, CT 06103 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: VRTS 2008 Sales: $178,300 2008 Profits: $-529,100 Int’l Ticker: Int’l Exchange: 2007 Sales: $226,200 2007 Profits: $-14,200 Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company:




Profit Sharing:


Bonus: $171,500 Bonus: $46,200


Southwest:

Midwest: Y

Southeast: Y


Northeast: Y

International:



VULCAN INC

www.vulcan.com



Y


Profits:



Y



TYPES OF BUSINESS: Company & Enterprise Management Film Production Entertainment Investments Telecommunications Investments Sports Teams Real Estate Museums

Vulcan, Inc. was founded by Paul Allen, Microsoft’s cofounder, to research and implement his investments, and does everything from building museums and making original motion pictures to launching businesses and developing new technologies. It invests heavily in the Pacific Northwest and primarily focuses on projects involving education, preserving history and the arts. Though the company believes that technology can enhance these projects and deliver them to a broader audience, achieving high levels of creativity is its main objective. Its creative projects include Vulcan Productions, several museums and The Hospital. Vulcan Productions is an independent film studio whose recent productions include Where God Left His Shoes; Bickford Shmeckler’s Cool Ideas; Hard Candy; and Far From Heaven. Vulcan’s museums include the Science Fiction Museum and Hall of Fame, the STARTUP Gallery and the Flying Heritage Collection of rare WWII airplanes. The Hospital is a multiuse venue for international music and film professionals created from the derelict St. Paul’s Hospital in the London borough of Camden. The firm owns two major league sports teams, the Seattle Seahawks and Portland Trail Blazers, as well as various real estate properties, including 505 Union Station in Seattle, a 291,860 square foot office building where the company headquarters are located. Vulcan invests in companies that fit Allen’s Wired-World strategy to contribute to or benefit from the technology of other companies within Vulcan’s extensive investment portfolio. In October 2009, the firm, along with new software company Xiant, released Xiant Filer an email organizer which is compatible with Microsoft Office Outlook. Vulcan offers its employees apartment assistance, an employee assistance plan, insurance benefits for domestic partners, tuition reimbursement, up to $100 a month for transportation, an on-premises athletic facility and health club membership.

BRANDS/DIVISIONS/AFFILIATES: Vulcan Productions Science Fiction Museum & Hall of Fame Hospital (The) Seattle Seahawks Portland Trailblazers Wired-World Xiant Filer STARTUP Gallery

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Jody Patton, CEO Jody Patton, Pres. Martha Fuller, CFO/Exec. VP Chris Purcell, VP-Tech. Bill McGrath, General Counsel Chris Temple, Exec. VP-Investment Mgmt. Ada M. Healey, VP-Real Estate Dev. Richard E. Hutton, VP-Media Dev. Ray Colliver, VP-Design & Construction Paul G. Allen, Chmn.

Phone: 206-342-2000 Fax: 206-342-3000 Toll-Free: Address: 505 Fifth Ave. S, Ste. 900, Seattle, WA 98104 US

FINANCIALS:





Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

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Northeast:

International:



WACHOVIA CORP

www.wachovia.com


Y Y



Y Y

Profits:



Y



TYPES OF BUSINESS: Banking Consumer & Corporate Banking Investment Management Trusts & Mutual Funds Residential Mortgage Origination Investment Banking Credit Card Services Discount Brokerage

Wachovia Corp., one of America's largest banking firms, is a financial and bank holding company that provides a range of commercial and retail banking and trust services. The firm was recently acquired by Wells Fargo & Company in a deal estimated at $15.1 billion. The newly combined banks have approximately $1.42 trillion in assets, 48 million customers and 10,761 offices in 40 states. The newly combined banks have formed one of the most extensive financial services company’s in the U.S.; with approximately 12,000 ATM’s nationwide and a community bank in 6,600 stores. Wachovia offers full service banking, and is one of the top banks in the U.S. in terms of deposits and debit card transactions on file. The bank provides financial services including mortgage banking, credit card servicing and investment banking. Additional services include online banking; investment advisory; home equity lending; asset based lending; leasing and insurance. The company also provides securities brokerage and home mortgage services through its many subsidiaries and affiliates. The bank’s home mortgage services are offered through its affiliate Wells Fargo Home Mortgage; customers can apply for a host of home and commercial mortgage options, as well as home equity lines of credit. The bank’s retail brokerage Wells Fargo Advisors, formally Wachovia Securities, offers investment planning and lending services. The recent acquisition also included Wachovia Capital Management (Wells Forgo Securities), and the bank’s mutual fund investment firm Evergreen Investment Management. Both firms remain in full operation under the auspices of Wells Forgo. In July 2009, Wells Fargo & Company announced that Wachovia Insurance Services, Inc. had officially changed its name to Wells Fargo Insurance Services USA, and will become a direct subsidiary of Wells Fargo Insurance Services next year. Wachovia offers employees health, dental and vision; health care spending account; prescription drug coverage; a preventive health care program; 401(k); long-term care insurance; legal services plan; educational assistance; an employee assistance program; and an employee discount program

BRANDS/DIVISIONS/AFFILIATES: Wells Fargo Wells Fargo Securities, LLC. Evergreen Investment Management, LLC. Wells Capital Management

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Robert K. Steel, CEO Robert K. Steel, Pres. Shannon McFayden, Head-Human Resources Danny Ludeman, CEO/Pres., Wachovia Securities, LLC Steve Cummings, Sr. Exec. VP/Head-Corp. & Investment Banking

Phone: 704-374-6161 Fax: 704-374-3425 Toll-Free: 800-922-4684 Address: 1 Wachovia Ctr., Charlotte, NC 28288-0013 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $56,662,000 2007 Profits: $6,312,000 Employees: 2006 Sales: $46,810,000 2006 Profits: $7,791,000 Fiscal Year Ends: 12/31 2005 Sales: $35,908,000 2005 Profits: $6,643,000 Parent Company: WELLS FARGO & CO




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



WADDELL & REED FINANCIAL INC

www.waddell.com



Y Y Y


Y

Profits: 17


Y




TYPES OF BUSINESS: Investment Management/Mutual Funds Life Insurance & Annuities, Distribution Financial Planning

Waddell & Reed Financial, Inc. (W&R) offers investment management operations as well as underwriting and distribution services. The firm operates primarily through registered investment advisory subsidiaries Waddell & Reed Investment Management Company and Ivy Investment Management Company. W&R distributes approximately 78 mutual funds under the names Advisor Funds, W&R Funds, Ivy Funds, W&R Target Funds and Waddell & Reed InvestEd Plan (the company’s college savings plan). The firm is operated through three distribution channels: The advisors channel, consisting of a sales force of roughly 2,336 financial advisors who sell investment products advised by the company; the wholesale channel, lead by a team of 35 wholesalers, which focuses on retail fund distribution through brokers and deals, registered investment advisors and retirement platforms; and the institutional channel, which manages assets for defined benefit pension plans, defined contribution plans, endowments and high net worth clients. Subsidiary Waddell & Reed, Inc. serves as principal underwriter and distributor of the Waddell & Reed Advisors Group of Mutual Funds; Ivy Funds Variable Insurance Portfolio, Inc.; and Waddell & Reed InvestEd Portfolios, Inc. Ivy Funds Distributors, Inc., serves as distributor and underwriter of Ivy Funds, Inc. The firm has approximately $64.5 billion in assets under management. In July 2009, W&R sold wholly-owned investment advisory subsidiary Austin, Calvert & Flavin, Inc., to TTC Holdings, Inc. The firm offers employees benefits including medical, dental, vision and long-term disability insurance; a traditional and Roth 401(k); a flexible spending account; a financial advisor security program; a net asset value investment program; paid time off; and tuition reimbursement.

BRANDS/DIVISIONS/AFFILIATES: Advisor Funds W&R Funds Inc Ivy Funds W&R Target Funds Inc Waddell & Reed InvestEd Plan Inc Waddell & Reed Management Co Waddell & Reed Inc Ivy Funds Distributors Inc

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Henry J. Herrmann, CEO Michael D. Strohm, COO/Sr. VP Henry J. Herrmann, Pres. Daniel P. Connealy, CFO/Sr. VP Thomas W. Butch, Chief Mktg. Officer/Sr. VP John E. Sundeen, Chief Admin. Officer/Sr. VP Daniel C. Schulte, General Counsel/Chief Legal Officer Nicole McIntosh, Dir.-Investor Rel. Michael L. Avery, Chief Investment Officer/Sr. VP Steve Anderson, Sr. Exec. VP/Mgr.-National Sales Alan W. Kosloff, Chmn.

Phone: 913-236-2000 Fax: 913-236-2017 Toll-Free: 888-923-3355 Address: 6300 Lamar Ave., Overland Park, KS 66202 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: WDR 2008 Sales: $919,120 2008 Profits: $96,163 Int’l Ticker: Int’l Exchange: 2007 Sales: $837,554 2007 Profits: $125,497 Employees: 1,687 2006 Sales: $718,655 2006 Profits: $46,112 Fiscal Year Ends: 12/31 2005 Sales: $622,080 2005 Profits: $60,121 Parent Company:




Profit Sharing:


Bonus: $1,000,000 Bonus: $500,000


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International:



WARBURG PINCUS LLC

www.warburgpincus.com



Y


Profits:




Y



Warburg Pincus LLC is a global leader in the private equity industry. The company traces its lineage to E.M. Warburg & Co., an investment banking and private investment counseling firm founded in 1939 by Eric M. Warburg, which then partnered with Lionel I. Pincus & Co. (an investment, venture capital and financial consulting firm) in 1966. With four decades of experience, the firm has invested over $35 billion in over 600 companies in 30 countries. Warburg Pincus partners with management teams with the aim of creating sustainable value by helping companies formulate strategy, conceptualize/implement creative financing structures and recruit talented executives. With an average investment period of five to seven years, the company focuses on building businesses that will stand the test of time. Warburg Pincus has 12 offices located in the U.S., Japan, China, Hong Kong, the Netherlands, the U.K., India, Luxembourg and Germany. Recent acquisitions include Bausch & Lomb, Safetykleen Europe and Conergy Wind. In March 2009, the firm acquired 15.71% ownership of U.K. food producer Premier Foods plc for roughly $161 million. In May 2009, the company acquired the Enodis global ice machine business, now known as Scotsman Industries, Inc.

BRANDS/DIVISIONS/AFFILIATES: Bausch & Lomb Inc Lifecore Biomedical Inc. Conergy Wind Safetykleen Europe Premier Foods plc Scotsman Industries Inc

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Joseph P. Landy, Co-Pres. Timothy J. Curt, CFO Patrick T. Hackett, Co-Head-Tech., Media & Telecomm. Scott A. Arenare, General Counsel Steven G. Schneider, Head-Investor Rel. & Fundraising Charles R. Kaye, Co-Pres. Jeffrey A. Harris, Co-Head-Energy Investments Peter R. Kagan, Co-Head-Energy Investments James Neary, Co-Head-Media, Tech. & Telecomm. Rajesh Khanna, Managing Dir.-Investments, India

Phone: 212-878-0600 Fax: 212-878-9351 Toll-Free: Address: 450 Lexington Ave., New York, NY 10017 US

FINANCIALS:





Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International: Y



WEBSTER FINANCIAL CORP

www.websterbank.com


Y


Y


Y Y

Profits: 35



Y



TYPES OF BUSINESS: Banking Mortgages Insurance Mutual Funds Trust Services Financial Planning Equipment Financing Annuities

Webster Financial Corp., founded in 1935, provides financial services to individuals and businesses in the Northeastern U.S. With assets totaling approximately $17.5 billion, Webster Financial, through its various non-banking financial services subsidiaries, provides financial services to individuals, families and businesses throughout Connecticut, Massachusetts and Rhode Island as well as in Westchester County in New York. Subsidiaries include Webster Bank; Webster Investment Services, Inc.; and Fleming, Perry & Cox. Webster Bank, a national bank charter and the firm’s primary subsidiary, provides business and consumer banking, mortgage origination and lending, trust and investment services and insurance services through 181 branch offices, 492 ATMs and online banking. Webster Financial’s consumer finance division provides residential first mortgages, home equity loans and direct installment lending programs through Webster Bank. Webster Investment Services offers securities services, including brokerage and investment advice. Webster Financial also owns equipment financing company Center Capital Corporation, as well as Webster Preferred Capital Corporation, a real estate investment trust that holds mortgage assets, principally residential mortgage loans transferred from Webster Bank. Fleming, Perry & Cox operates with Webster Financial Advisors (WFA) to provide several different levels of financial planning services, including specialized services. WFA also works with the J. Bush & Co. division to offer proprietary and non-proprietary investment products. In February 2008, the firm sold Webster Insurance to USI Holdings Corp; in connection with the sale, Webster Bank entered into a joint marketing agreement with USI to provide expanded services to their respective clients. In June 2008, the company sold its Webster Risk Services subsidiary to PMA Capital Corporation for approximately $5.9 million. Webster offers its employees benefits including medical, dental and vision coverage; health savings and flexible spending accounts; a 401(k) plan; a discount stock purchase plan; life, disability, auto and home insurance; a college savings plan; and an employee assistance program.

BRANDS/DIVISIONS/AFFILIATES: Webster Bank Fleming, Perry & Cox J. Bush & Co. Webster Investment Services, Inc. Center Capital Corporation Webster Preferred Capital Corporation Webster Financial Advisors

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. James C. Smith, CEO Gerald P. Plush, CFO/Sr. Exec. VP Michelle M. Crecca, Chief Mktg. Officer/Exec. VP Jeffrey N. Brown, Chief Admin. Officer/Exec. VP Harriet Munrett Wolfe, General Counsel/Exec. VP/Sec. Terrence K. Mangan, Sr. VP-Investor Rel. Douglas O. Hart, Chief Acct. Officer/Exec. VP John R. Ciulla, Chief Credit Risk Officer/Exec. VP Nitin J. Mhatre, Exec. VP-Consumer Finance Joseph J. Savage, Exec. VP-Commercial Banking Walter F. Greenfield, Pres./COO-Center Capital Corp. James C. Smith, Chmn.

Phone: 203-465-4364 Fax: Toll-Free: 800-995-9995 Address: 145 Bank St., Webster Plz., Waterbury, CT 06702 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: WBS 2008 Sales: $1,066,592 2008 Profits: $-321,830 Int’l Ticker: Int’l Exchange: 2007 Sales: $1,201,472 2007 Profits: $96,773 Employees: 2,782 2006 Sales: $1,239,801 2006 Profits: $133,790 Fiscal Year Ends: 12/31 2005 Sales: $1,092,732 2005 Profits: $185,855 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest:

Southeast:


Northeast: Y

International:



WELLINGTON MANAGEMENT COMPANY LLP Industry Group Code: 523920 Ranks within this company's industry group: Sales: Brokers/Stocks: Broker: Investment Bank: Futures/Options:



Y Y Y

www.wellington.com

Profits:





TYPES OF BUSINESS: Investment Management/Mutual Funds Pension Fund Management

Wellington Management Company LLP is an investment advisory firm that manages the investments of approximately 1,600 institutional clients. Among the company’s clients are government agencies, banks, insurance companies, retirement organizations, endowments and foundations. The company focuses purely on investment management for its institutional clients and requires a minimum investment of $5 million. Wellington manages international equity, fixed income and multi-asset portfolios with approximately 68% of assets invested in equity portfolios. The remaining assets are invested in fixed income portfolios, such as money markets; short bonds of intermediate and market duration; and multi-asset portfolios. Wellington has approximately $506 billion in assets under management. The company operates throughout the U.S. and internationally with locations in over 40 countries. This includes offices in Boston and Marlborough, Massachusetts; Radnor, Pennsylvania; Atlanta, Georgia; Chicago, Illinois; and San Francisco, California. The company’s international locations include offices in Hong Kong, London, Singapore, Sydney and Tokyo. The company offers its employees medical, dental and life insurance; professional development services; tuition assistance; adoption assistance; flexible spending accounts; an employee assistance program; a 401(k) plan; and a commuting expense program.


CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Perry Traquina, CEO Perry Traquina, Pres.

Phone: 617-951-5000 Fax: 617-951-5250 Toll-Free: Address: 75 State St., Boston, MA 02109 US

FINANCIALS:





Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



WELLS CAPITAL MANAGEMENT

www.wellscap.com




Y Y Y

Profits:





TYPES OF BUSINESS: Investment Management Online Services

Wells Capital Management, Inc. is the investment management subsidiary of Wells Fargo & Company, one of the largest banking corporations in the U.S. Wells Capital was formed in 1996 from existing investment management teams and currently manages $355 billion in assets. These assets include money market mutual funds, equity, fixed income, short duration and blended assets. The firm primarily serves corporations, public funds and municipalities, unions, foundations and endowments, health services organizations, mutual fund companies and insurance organizations. The company has 17 investment management teams operating across various asset classes and investment styles. Personal and corporate accounts can be safely monitored on the Wells Fargo Commercial Electronic Office (CEO), an online business portal. The firm’s web site offers an online research library, featuring articles written by the Chief Investment Strategist and Senior Economist for the firm. These articles offer information such as economic and market perspectives as well as monthly market outlooks.

BRANDS/DIVISIONS/AFFILIATES: Wells Fargo & Company Wells Fargo Commercial Electronic Office

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Karen L. Norton, COO Robert W. Bissell, Pres. J. Mari Casas, CTO Sallie C. Squire, Chief Admin. Officer William L. Timoney, Exec. VP/Dir.-Client Svcs. James W. Paulsen, Chief Investment Strategist Mai Shiver, Chief Compliance Officer/Dir.-Bus. Risk Mgmt. Kirk D. Hartman, Chief Investment Officer

Phone: 415-396-8000 Fax: 415-975-6430 Toll-Free: Address: 525 Market St., 10th Fl., San Francisco, CA 94105 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company: WELLS FARGO & CO




Y

Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast:


Northeast: Y

International:



WELLS FARGO & CO

www.wellsfargo.com


Y


Y Y Y


Y Y Y

Profits: 19



Y



TYPES OF BUSINESS: Banking Credit & Debit Cards Personal Trust Accounts Management Mutual Fund Administration Mortgages Insurance Services Investment Banking Asset Management

Wells Fargo & Co. is a financial services company that provides retail, commercial and corporate banking. Services include wholesale banking, mortgage banking, consumer finance, equipment leasing, agricultural finance, securities brokerage and investment banking, insurance agency and brokerage services, data processing services, trust services, investment consulting, mortgage-backed securities servicing and venture capital investment. The firm has three business segments: Community Banking; Wholesale Banking; and Wealth, Brokerage and Retirement. The Community Banking group offers diversified financial products and services to consumers and small businesses, including investment, insurance and trust services and mortgage and home equity loans. The Wholesale Banking group serves businesses with more than $10 million dollars in annual revenue. These services include middle market banking, treasury management, asset-based lending, insurance brokerage, correspondent banking, trade services, specialized lending, investment banking, equity trading, fixed-income sales and trading, equipment finance, corporate trust, investment banking, capital markets and asset management. Wealth, Brokerage and Retirement provides financial advisory services, such as financial planning, private banking, credit, investment management, trust and estate services and business succession planning services, to high-net-worth clients. During 2008, the company’s activities included the formation of a joint venture with Bank of America; and the acquisition of the Farmers State Bank of Fort Morgan; Transcap Associates, Inc.; Flatiron Credit Company, Inc.; the EMAR Group; and Century Bancshares. In December 2008, Wells Fargo acquired Wachovia Corp. The combined company has approximately $1.3 trillion in assets, 280,000 employees, 70 million customers and 11,000 offices in 39 states. Wells Fargo’s 2009 acquisitions included BridgeStreet Consulting Group; the assets of North Coast Surety Insurance Services and North Coast Surety Technologies; and loan and lease receivables from GE Healthcare Financial Services-Equipment Finance. Wells Fargo offers its employees tuition reimbursement, adoption assistance, commuter benefits, gift matching, free checking and savings accounts and scholarships for dependent children.

BRANDS/DIVISIONS/AFFILIATES: Wachovia Corp. HD Vest, Inc. Wells Fargo Insurance Services Wells Capital Management Wachovia Corporation GE Healthcare Financial Services BridgeStreet Consulting Group EMAR Group (The)

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. John G. Stumpf, CEO John G. Stumpf, Pres. Howard I. Atkins, CFO/Sr. Exec. VP Julie M. White, Exec. VP/Dir.-Human Resources Avid Modjtabai, Exec. VP-Tech. James M. Strother, General Counsel/Exec. VP-Law & Gov't Rel. Avid Modjtabai, Exec. VP-Oper. Richard D. Levy, Exec. VP/Controller Mark C. Oman, Sr. VP-Home & Consumer Finance David A. Hoyt, Sr. Exec. VP-Wholesale Banking Michael J. Loughlin, Chief Credit Officer/Exec. VP David M. Carroll, Sr. Exec. VP-Wealth, Brokerage & Retirement Svcs. Richard M. Kovacevich, Chmn.

Phone: Fax: Toll-Free: 888-662-7865 Address: 420 Montgomery St., San Francisco, CA 94104 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: WFC 2008 Sales: $51,652,000 2008 Profits: $2,655,000 Int’l Ticker: Int’l Exchange: 2007 Sales: $53,593,000 2007 Profits: $8,057,000 Employees: 281,000 2006 Sales: $47,998,000 2006 Profits: $8,482,000 Fiscal Year Ends: 12/31 2005 Sales: $40,527,000 2005 Profits: $7,671,000 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



WELLS FARGO ADVISORS LLC

www.wellsfargoadvisors.com


Y



Y Y Y Y

Profits:



Y



TYPES OF BUSINESS: Investment Management Securities Brokerage Securities Lending

Wells Fargo Advisors, LLC (formerly Wachovia Securities, LLC), a Wells Fargo & Company subsidiary, is one of the country’s largest broker-dealers. The firm’s services include investment advice; asset management; estate and retirement planning; traditional brokerage services; and portfolio analysis. Wells Fargo Advisors caters to a variety of different sectors and goals, including mutual fund and portfolio prospectus; business benefits, lending and insurance services; college savings plans; estate planning and longterm care; personal investments including annuities, bonds, stocks, futures and IRAs; home financing and securitiesbacked lending; and retirement planning services. To support these services, the firm offers online portfolio tracking and market research to help clients manage their accounts. The company operates in all 50 states and Washington, D.C., with foreign affiliates in Paraguay, Uruguay, Puerto Rico, Argentina and Chile. Initially formed following Wachovia’s acquisition of Bank of America’s Securities Lending Business, Wachovia’s acquisition of retail brokerage firm AG Edwards, Inc. for $6.8 billion increased Wachovia Securities’ assets under management to $1.1 trillion. The company now operates through more than 10,400 stores, 12,000 ATMs in North America and controls about $1.2 trillion in assets. Wells Fargo and Wachovia merged in January 2009, and Wachovia Securities changed its name to Wells Fargo Advisors in May 2009.

BRANDS/DIVISIONS/AFFILIATES: Wachovia Securities, LLC Wells Fargo & Company AG Edwards, Inc. Wachovia Corporation

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Daniel Ludeman, CEO Daniel Ludeman, Pres. Philip Lombardo, Group Finance Officer Mary Atkin, Chief Admin. Officer Anthony Mattera, Sr. VP-Exec. Comm.

Phone: 800-627-8625 Fax: 704-383-0569 Toll-Free: 866-927-0812 Address: 1 North Jefferson, Bldg. E7, St. Louis, MO 63103 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: Subsidiary 2008 Sales: $ 2008 Profits: $ Int’l Ticker: Int’l Exchange: 2007 Sales: $ 2007 Profits: $ Employees: 2006 Sales: $ 2006 Profits: $ Fiscal Year Ends: 12/31 2005 Sales: $ 2005 Profits: $ Parent Company: WELLS FARGO & COMPANY




Y Y

Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest: Y

Southeast:


Northeast:

International:



WILMINGTON TRUST CORP

www.wilmingtontrust.com




Y

Profits: 34


Y


Y



TYPES OF BUSINESS: Banking Asset & Investment Management Wealth Advisory Services Trust Services

Wilmington Trust Corp. (WTC) provides wealth advisory services, corporate client services and regional banking services through its main subsidiary, Wilmington Trust Company, a chartered bank and trust firm. The company has four primary business segments: regional banking; corporate client services; wealth advisory services; and affiliate money managers. With approximately 48 Delaware branch offices, the bank operates as the corporation’s principal subsidiary and is one of the state’s largest fullservice banks, providing standard services such as loans and deposit accounts, investment advice and planning, mutual funds, brokerage services, insurance, equipment leasing and retirement benefits plans. The firm owns one other depository institution, Wilmington Trust FSB, a federally chartered savings bank. WTC also owns Rodney Square Management Corporation, a registered investment adviser; WT Investments, Inc., an investment holding company with interests in several asset management firms; GTBA Holdings, Inc., an investment holding company with interests in two asset management firms; Wilmington Trust Investment Management, LLC, an investment advisory firm; and Wilmington Trust (UK), Ltd., with interests in a number of international firms providing entity management services. In October 2008, the firm completed its acquisition of UBS Fiduciary Trust Company, a provider of trust and investment management services to retirement plans, from UBS Americas, Inc.; the acquired company was subsequently renamed Wilmington Trust Fiduciary Services Company. In November 2008, the company merged former subsidiary Wilmington Trust of Pennsylvania, a Pennsylvania-chartered bank and trust company, into its Wilmington Trust FSB subsidiary. Wilmington Trust offers its employees medical, dental and vision coverage; a prescription drug plan; flexible spending accounts; life and disability insurance; child care subsidies; a pension plan and a 401(k) plan with company match; a discount stock purchase program; tuition reimbursement; and a confidential employee assistance program.

BRANDS/DIVISIONS/AFFILIATES: Wilmington Trust Company Rodney Square Management Corp. WT Investments, Inc. Wilmington Trust FSB GTBA Holdings, Inc. Wilmington Trust Investment Management, LLC Wilmington Trust (UK), Ltd. UBS Fiduciary Trust Company

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. Ted T. Cecala, CEO Robert V.A. Harra, Jr., COO Robert V.A. Harra, Jr., Pres. David R. Gibson, CFO/Exec. VP-Finance Michael A. DiGregorio, Chief Legal Counsel/Sr. VP/Sec. J.William Benintende, VP-Media Rel. Ellen J. Roberts, Investor Rel. Contact Kevin J. Conte, Treas./VP William J. Farrell II, Exec. VP-Corp. Client Svcs. Mark A. Graham, Exec. VP-Wealth Advisory Svcs. Robert M. Balentine, Exec. VP/CEO-Wilmington Trust Investment Mgmt. LLC Kevyn N. Rakowski, Controller/Sr. VP Ted T. Cecala, Chmn.

Phone: 302-651-1000 Fax: 302-651-8010 Toll-Free: 800-441-7120 Address: 1100 N. Market St., Rodney Square N., Wilmington, DE 19890-0001 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: WL 2008 Sales: $1,042,800 2008 Profits: $-23,600 Int’l Ticker: Int’l Exchange: 2007 Sales: $1,112,900 2007 Profits: $182,000 Employees: 2,909 2006 Sales: $1,020,900 2006 Profits: $143,800 Fiscal Year Ends: 12/31 2005 Sales: $829,900 2005 Profits: $173,000 Parent Company:




Profit Sharing:


Bonus: $200,000 Bonus: $200,000


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



ZIEGLER COMPANIES (THE)

www.ziegler.com


Y Y


Y


Y Y Y

Profits: 15



Y Y



TYPES OF BUSINESS: Investment Banking Financial Advisory Services Asset & Wealth Management Stock Brokerage Portfolio Consultation Financial Planning Accounting Services

The Ziegler Companies is a financial services holding firm that operates subsidiary companies providing investment banking, financial advisory, investment advisory, asset management, retail brokerage, fixed income institutional sales and trading services to individuals, as well as to a variety of industries and businesses. The firm has a particular focus in serving the financial needs of the not-forprofit sector, including churches and schools. The company was founded in 1902 and operates approximately 21 offices in the US and one in Israel. Operations are carried out in five primary industries and sectors: Healthcare, Religion, Renewable Energy, Schools and Senior Living. The Healthcare sector offers finance and advisory services, healthcare consulting, healthcare real estate and alternative investments services to healthcare organizations, hospitals, multi-state health systems, medical office buildings and ambulatory surgery centers. The Religion and Schools sectors offer bond financing, commercial bank loans, investment services, mortgage brokering and financial consulting to churches and other religious organizations, schools and universities. The Renewable Energy sector offers financing services, such as underwriting, and capital planning advisory services to alternative energy developers. The Senior Living sector offers comprehensive financial services including investment banking, seed capital and strategic planning to senior living providers, retirement communities and continuing care facilities. Other services offered by Ziegler include portfolio consultation, accounting services and a 401(k) platform for small businesses with between 50 and 500 employees.

BRANDS/DIVISIONS/AFFILIATES: Ziegler Financing Coroporation Ziegler Equity Funding Ziegler HealthVest Management, LLC B.C. Ziegler and Company Ziegler Healthcare Capital, LLC Ziegler Healthcare Real Estate Fund Management Ziegler Medical Devices, LLC

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. John J. Mulherin, CEO Tom Paprocki, Pres. Jeffrey C. Vredenbregt, CFO Leslie Lynch, Managing Dir.-Mktg. Comm. Leslie Lynch, Managing Dir.-Human Resources Gary Engle, Managing Dir.-Research Darrell Frank, Managing Dir.-Tech. Benjamin H. DeBerry, General Counsel/Corp. Sec. Gary Engle, Managing Dir.-Finance Wayne Gilpin, Managing Dir.-Ziegler Wealth Management Chuck O'Meara, Managing Dir.-Private Equity Tom Ross, Chief Credit Officer/Dir.-Proprietary Investments Elizabeth Watkins, Chief Risk & Compliance Officer Geoffrey B. Shields, Chmn.

Phone: 312.263.0110 Fax: 312.263.5217 Toll-Free: Address: 200 S. Wacker Dr., Ste. 2000, Chicago, IL 60606 US

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: ZGCO.PK 2008 Sales: $81,762 2008 Profits: $1,301 Int’l Ticker: Int’l Exchange: 2007 Sales: $115,051 2007 Profits: $5,074 Employees: 2006 Sales: $107,072 2006 Profits: $3,958 Fiscal Year Ends: 12/31 2005 Sales: $94,202 2005 Profits: $3,789 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest: Y

Midwest: Y

Southeast: Y


Northeast: Y

International: Y



ZURICH FINANCIAL SERVICES GROUP Industry Group Code: 524126 Ranks within this company's industry group: Sales: 4 Brokers/Stocks: Broker: Investment Bank: Futures/Options:


Y Y


Y

www.zurich.com

Profits: 1


Y




TYPES OF BUSINESS: Insurance, Direct Property & Casualty Asset Management Reinsurance Specialty Insurance Investment Products Automobile Insurance Homeowners Insurance

Zurich Financial Services Group (Zurich), in business for over 130 years, is one of the largest financial services providers in the world. The firm sells general and life insurance for individuals, small/medium-sized businesses and large corporations. The company operates primarily in North America, Latin America, Asia Pacific and Europe, providing services to over 170 countries. Through the Farmers Group, Allied Dunbar and Eagle Star brand names, Zurich offers home, life, property, casualty and select auto insurance; asset management; reinsurance; and financial services. The company operates in three segments: General Insurance, which offers a range of insurance plans to small/medium-sized businesses, commercial enterprises, individuals and multinational corporations; Global Life, which provides an array of life insurance, investments, savings and pension products to groups and individuals; and Farmers, which includes Farmers Management Services, and operates the firm’s Bristol West, Foremost and 21st Century range of products in the U.S. Recent acquisitions include TEB Sigorta A.S., renamed Zurich Sigorta A.S.; Minas Brasil Vida e Previdencia; Baden-Badener Versicherung AG; a 50% stake each in CaixaSabadell Vida, S.A. de Seguros Y Reaseguros and CaixaSabadell Companyia d’Assegurances Generals, S.A. In November 2008, the company acquired the remaining 34% interest in Zurich Retail Insurance Ltd., making it a wholly-owned subsidiary. Also in November 2008, the firm agreed to establish Zurich Takaful Company Limited, an insurance joint venture with Abu Dhabi National Takaful Company PSC. In December 2008, Zurich acquired (through subsidiary Zurich Participações e Representações Ltda.) 87.35% ownership of Companhia de Seguros Minas Brasil. In January 2009, the firm changed the name of subsidiary Zurich Insurance Ireland Limited to Zurich Insurance Public Limited Company; and partnered with Women’s World Banking (WWB) to offer insurance-based products (branded Caregiver) to WWB affiliates. In June 2009, Zurich acquired the U.S. Personal Auto Group of AIG for approximately $1.9 billion.

BRANDS/DIVISIONS/AFFILIATES: Zurich Sigorta AS Minas Brasil Vida e Previdencia Zurich Insurance Public Limited Company Zurich Retail Insurance Ltd Farmers Group Inc Farmers Management Services 21st Century Foremost

CONTACTS: Note: Officers with more than one job title may be intentionally listed here more than once. James J. Schiro, CEO Dieter Wemmer, CFO Peter Goerke, Head-Group Human Resources Michael Paravicini, CIO Michael Paravicini, CTO Richard P. Kearns, Chief Admin. Officer Reto Schiltknecht, General Counsel Malcolm Gilbert, Head-Investor Rel. Axel P. Lehmann, Chief Risk Officer Martin Senn, Chief Investment Officer John Amore, CEO-General Insurance Mario Greco, CEO-Global Life Manfred Gentz, Chmn. Annette Court, CEO-European General Insurance

Phone: 41-44-625-25-25 Fax: 41-44-625-35-55 Toll-Free: Address: Mythenquai 2, Zurich, 8002 Switzerland

FINANCIALS:

Sales and profits are in thousands of dollars—add 000 to get the full amount. 2009 Note: Financial information for 2009 was not available for all companies at press time. 2009 Sales: $ 2009 Profits: $ U.S. Stock Ticker: ZFSVY 2008 Sales: $32,349,000 2008 Profits: $3,039,000 Int’l Ticker: ZURN.VX Int’l Exchange: Zurich-SWX 2007 Sales: $55,050,000 2007 Profits: $5,630,000 Employees: 2006 Sales: $65,000,000 2006 Profits: $4,625,000 Fiscal Year Ends: 12/31 2005 Sales: $67,186,000 2005 Profits: $3,330,000 Parent Company:




Profit Sharing:


Bonus: $ Bonus: $


Southwest:

Midwest: Y

Southeast:


Northeast: Y

International: Y



ADDITIONAL INDEXES

Contents: Index of Firms Noted as “Hot Spots for Advancement” for Women/Minorities

459

Index by Subsidiaries, Brand Names and Selected Affiliations

461


INDEX OF FIRMS NOTED AS HOT SPOTS FOR ADVANCEMENT FOR WOMEN & MINORITIES 3I GROUP PLC AFFILIATED MANAGERS GROUP AGF MANAGEMENT LIMITED ALLIANCEBERNSTEIN HOLDING LP ALLIED IRISH BANKS PLC ALLSTATE CORPORATION (THE) AMBAC FINANCIAL GROUP AMERICAN INTERNATIONAL GROUP (AIG) AMERIPRISE FINANCIAL SERVICES INC AMP LIMITED ARIEL CAPITAL MANAGEMENT LLC ARLINGTON ASSET INVESTMENT CORPORATION ASSURED GUARANTY LTD ATLAS VENTURE AUTOMATIC DATA PROCESSING INC AVIVA PLC AXA FINANCIAL INC AXA GROUP BAIN CAPITAL LLC BANCO SANTANDER CENTRAL HISPANO SA BANK OF AMERICA CORP BANK OF MONTREAL (BMO FINANCIAL GROUP) BANK OF NEW YORK MELLON CORP BANK OF NOVA SCOTIA (SCOTIABANK) BATTERY VENTURES BERKSHIRE HATHAWAY INC BLACKROCK INC BLACKSTONE GROUP LP (THE) BLOOMBERG LP BOWNE & CO INC BROOKFIELD ASSET MANAGEMENT INC BURRILL & COMPANY CALIFORNIA PUBLIC EMPLOYEES RETIREMENT (CALPERS) CALVERT GROUP LTD CHARLES SCHWAB CORP (THE) CHICAGO BOARD OPTIONS EXCHANGE INC (CBOE) CITIGROUP INC CITIGROUP INSTITUTIONAL CLIENTS GROUP CITIZENS FINANCIAL GROUP INC COLONY CAPITAL LLC COMMONWEALTH BANK OF AUSTRALIA CONSECO INC CREDIT AGRICOLE SA DEPOSITORY TRUST & CLEARING CORPORATION (THE) DEUTSCHE BANK AG DEUTSCHE BORSE AG DEXIA GROUP DODGE & COX DOW JONES & CO INC DRAPER FISHER JURVETSON

www.plunkettresearch.com EATON VANCE CORP EVERCORE PARTNERS INC FAYEZ SAROFIM & CO FINANCIAL SECURITY ASSURANCE HOLDINGS LTD FINRA (FINANCIAL INDUSTRY REGULATORY AUTHORITY) FIRST ALLIED SECURITIES INC FIRST EAGLE INVESTMENT MANAGEMENT FIRST RESERVE CORPORATION FISERV INC FRANKLIN RESOURCES INC (FRANKLIN TEMPLETON) GENWORTH FINANCIAL INC GOLDMAN SACHS GROUP INC GUARDIAN LIFE INSURANCE COMPANY OF AMERICA H&R BLOCK INC HARRIS BANKCORP INC HARTFORD FINANCIAL SERVICES GROUP INC (THE) HSBC HOLDINGS PLC HSBC NORTH AMERICA HOLDINGS INC HSBC USA ING NORTH AMERICA INSURANCE CORP INTERACTIVE DATA CORPORATION INTERCONTINENTALEXCHANGE INC (ICE) INTERNATIONAL SECURITIES EXCHANGE (ISE) INVESTEC LIMITED INVESTMENT TECHNOLOGY GROUP INC (ITG) JANUS CAPITAL GROUP INC JOHN HANCOCK FINANCIAL SERVICES INC JP MORGAN CHASE & CO INC KEYCORP KLEINER PERKINS CAUFIELD & BYERS KNIGHT CAPITAL GROUP INC LAZARD LTD LEGG MASON INC LIBERTY MUTUAL GROUP INC LINCOLN NATIONAL CORPORATION LINSCO/PRIVATE LEDGER CORP LONDON STOCK EXCHANGE PLC (LSE) LORD ABBETT & CO LLC MADISON DEARBORN PARTNERS LLC MARSH & MCLENNAN COMPANIES INC MARSHALL & ILSLEY CORP MASSACHUSETTS MUTUAL LIFE INSURANCE CO MBIA INC MERRILL LYNCH & CO INC METLIFE INC MOELIS & COMPANY MOODY'S CORPORATION MORGAN STANLEY MORNINGSTAR INC NASDAQ OMX NATIONAL AUSTRALIA BANK LTD NATIONAL FINANCIAL PARTNERS CORP NATIONWIDE FINANCIAL SERVICES INC

Plunkett Research, Ltd. NATIONWIDE MUTUAL INSURANCE CO NEW ENTERPRISE ASSOCIATES NEW YORK LIFE INSURANCE CO NEW YORK MERCANTILE EXCHANGE INC NEW YORK STATE AND LOCAL RETIREMENT SYSTEM NORTHWESTERN MUTUAL LIFE INSURANCE CO NUVEEN INVESTMENTS INC NYSE AMEX LLC NYSE EURONEXT INC OAK ASSOCIATES LTD OAKTREE CAPITAL MANAGEMENT LP OHIO PUBLIC EMPLOYEES RETIREMENT SYSTEM ONEX CORPORATION PACIFIC INVESTMENT MANAGEMENT COMPANY (PIMCO) PACIFIC MUTUAL HOLDING CO PERELLA WEINBERG PARTNERS LP PERSHING LLC PHOENIX COMPANIES INC (THE) PINEBRIDGE GLOBAL INVESTMENTS LLC PMI GROUP INC (THE) PNC FINANCIAL SERVICES GROUP INC PRINCIPAL FINANCIAL GROUP (THE) PROTECTIVE LIFE CORP PROVIDENCE EQUITY PARTNERS LLC PRUDENTIAL FINANCIAL INC RADIAN GROUP INC REPUBLIC FINANCIAL CORPORATION RJ O'BRIEN & ASSOCIATES ROBERT W BAIRD & CO INC ROYAL BANK OF CANADA (RBC) SCHWAB RETIREMENT PLAN SERVICES COMPANY SCM ADVISORS LLC SEQUOIA CAPITAL SHAREBUILDER CORP SIEBERT FINANCIAL CORP SILVER LAKE PARTNERS SIMMONS & COMPANY INTERNATIONAL SOCIETE GENERALE GROUP STATE FARM INSURANCE COMPANIES STATE STREET CORP SUMMIT PARTNERS SUN CAPITAL PARTNERS INC SUNGARD DATA SYSTEMS INC SUNTRUST BANKS INC SVB FINANCIAL GROUP TD AMERITRADE HOLDING CORP THOMSON REUTERS THRIVENT FINANCIAL FOR LUTHERANS TIAA-CREF TMX GROUP INC TORONTO-DOMINION BANK (TD BANK) TRADESTATION GROUP INC TRAVELERS COMPANIES INC (THE) TREMONT CAPITAL MANAGEMENT INC UBS AG

www.plunkettresearch.com UBS INVESTMENT BANK UNICREDIT SPA (UNICREDIT GROUP) US BANCORP US TRUST BANK OF AMERICA PRIVATE WEALTH MANAGEMENT USAA VULCAN INC WEBSTER FINANCIAL CORP WELLS CAPITAL MANAGEMENT WELLS FARGO & CO WILMINGTON TRUST CORP ZIEGLER COMPANIES (THE) ZURICH FINANCIAL SERVICES GROUP


INDEX OF SUBSIDIARIES, BRAND NAMES AND AFFILIATIONS Brand or subsidiary, followed by the name of the related corporation 2100 Xenon; OLD MUTUAL ASSET MANAGEMENT CORP US 21st Century; ZURICH FINANCIAL SERVICES GROUP 40/86 Advisors, Inc.; CONSECO INC A.B. Watley Direct, Inc.; A B WATLEY GROUP INC Abbey National plc; BANCO SANTANDER CENTRAL HISPANO SA Abbot Group Limited; FIRST RESERVE CORPORATION Aberdeen Property Investors; ABERDEEN ASSET MANAGEMENT PLC ABN Amro Holdings NV; ROYAL BANK OF SCOTLAND GROUP PLC (THE, RBS) Absa Group Limited; BARCLAYS CAPITAL Absa Group Limited; BARCLAYS PLC Absolute Return Capital; BAIN CAPITAL LLC Absolute Return Team; SINOPIA ASSET MANAGEMENT Acadian Asset Management; OLD MUTUAL ASSET MANAGEMENT CORP US Accor SA; COLONY CAPITAL LLC Accumulation UL; JOHN HANCOCK FINANCIAL SERVICES INC Addici Holding AB; DANSKE BANK AKTIESELSKAB ADP Access; AUTOMATIC DATA PROCESSING INC ADP Business Services (Shanghai) Co., Ltd.; AUTOMATIC DATA PROCESSING INC ADP Employer Services; AUTOMATIC DATA PROCESSING INC ADP Leave Administration Service; AUTOMATIC DATA PROCESSING INC ADP TotalSource; AUTOMATIC DATA PROCESSING INC Advanced BioHealing Inc; SAFEGUARD SCIENTIFICS INC Advanced Circuits/Compass AC Holdings, Inc.; COMPASS DIVERSIFIED HOLDINGS Advanced Equities Financial Corp.; FIRST ALLIED SECURITIES INC Advanced H2O; HM CAPITAL PARTNERS LLC Advisor Funds; WADDELL & REED FINANCIAL INC AdvisorWare; SS&C TECHNOLOGIES INC Aerodom; ADVENT INTERNATIONAL CORPORATION AG Edwards, Inc.; WELLS FARGO ADVISORS LLC Agent Provocateur; 3I GROUP PLC AgentU; TRAVELERS COMPANIES INC (THE)

www.plunkettresearch.com AGF Aggressive; AGF MANAGEMENT LIMITED AGF Elements; AGF MANAGEMENT LIMITED AGF Global Funds; AGF MANAGEMENT LIMITED AGF Harmony; AGF MANAGEMENT LIMITED AGF PIM; AGF MANAGEMENT LIMITED AGF Private Bank; ASSURANCES GENERALES DE FRANCE AGF Trust Company; AGF MANAGEMENT LIMITED AGL Life Assurance Company; PHOENIX COMPANIES INC (THE) AHL; MAN GROUP PLC AIB Bank Republic of Ireland; ALLIED IRISH BANKS PLC AIB Bank U.K.; ALLIED IRISH BANKS PLC AIB Capital Markets; ALLIED IRISH BANKS PLC AIB Corporate Banking; ALLIED IRISH BANKS PLC AIG Commerical Insurance Group; AMERICAN INTERNATIONAL GROUP (AIG) AIG Investments; PINEBRIDGE GLOBAL INVESTMENTS LLC AIM; INVESCO LTD Air International Thermal Holdings L.P.; UNITAS CAPITAL Aircom International; ADVENT INTERNATIONAL CORPORATION Alabama National Bancorp; ROYAL BANK OF CANADA (RBC) Albertson's LLC; CERBERUS CAPITAL MANAGEMENT LP Al-jon, Inc.; REPUBLIC FINANCIAL CORPORATION Allegro Portfolios; IGM FINANCIAL INC AllianceBernstein; AXA GROUP AllianceBernstein Institutional Investments; ALLIANCEBERNSTEIN HOLDING LP AllianceBernstein LP; AXA FINANCIAL INC Allianz Dresdner Asset Management of America, L.P.; ALLIANZ GLOBAL INVESTORS OF AMERICA LP Allianz Global Corporate & Specialty; ALLIANZ SE Allianz Global Investors; ALLIANZ SE Allianz Global Investors Distributors LLC; PACIFIC INVESTMENT MANAGEMENT COMPANY (PIMCO) Allianz Lebensversicherungs-AG; ALLIANZ SE Allianz Life Insurance Company of North America; ALLIANZ SE Allianz Private Krankenversicherungs-AG; ALLIANZ SE Allianz SE; ASSURANCES GENERALES DE FRANCE Allianz SE; HARTFORD FINANCIAL SERVICES GROUP INC (THE) Allianz SE; PACIFIC INVESTMENT MANAGEMENT COMPANY (PIMCO) Allianz SE; ALLIANZ GLOBAL INVESTORS OF AMERICA LP Allianz Versicherungs-AG; ALLIANZ SE Allison Transmission; ONEX CORPORATION Allstate; ALLSTATE CORPORATION (THE)



INDEX OF SUBSIDIARIES, BRAND NAMES AND AFFILIATIONS, CONT. Allstate Insurance Co.; ALLSTATE CORPORATION (THE) Allstate Life Insurance Co.; ALLSTATE CORPORATION (THE) Allstate Life Insurance Company; PUTNAM LLC Allstate Motor Club, Inc.; ALLSTATE CORPORATION (THE) All-Weather Fund; BRIDGEWATER ASSOCIATES INC Alpha Hedge Strategies Fund; ASSET ALLIANCE CORPORATION Alternative Display Facility; FINRA (FINANCIAL INDUSTRY REGULATORY AUTHORITY) Alternative Investment Partners LLC; ASSET ALLIANCE CORPORATION Altura; BBVA (BANCO BILBAO VIZCAYA ARGENTARIA) Alverix Inc; SAFEGUARD SCIENTIFICS INC Ambac Assurance Corporation; AMBAC FINANCIAL GROUP Ambac Assurance UK Limited; AMBAC FINANCIAL GROUP Ambassy Court; COLONY CAPITAL LLC Ambea Healthcare; 3I GROUP PLC AMC Entertainment, Inc; CARLYLE GROUP (THE) Amerex Brokers LLC; GFI GROUP INC American Appraisal Japan Co., Ltd.; MITSUI SUMITOMO INSURANCE GROUP HOLDINGS INC American Century Investment Management, Inc.; AMERICAN CENTURY COMPANIES INC American Enterprise Investment Services, Inc.; AMERIPRISE FINANCIAL SERVICES INC American Funds; CAPITAL GROUP COMPANIES INC (THE, AMERICAN FUNDS) American Funds; CAPITAL RESEARCH AND MANAGEMENT COMPANY (AMERICAN FUNDS) American Funds Target Date Retirement Series; CAPITAL RESEARCH AND MANAGEMENT COMPANY (AMERICAN FUNDS) American Furniture Manufacturing, Inc.; COMPASS DIVERSIFIED HOLDINGS American International Group (AIG); AIG SUNAMERICA INC Amerin Guaranty Corp.; RADIAN GROUP INC Ameriprise Financial Inc; COLUMBIA MANAGEMENT GROUP INC Ameriprise Financial Services, Inc.; AMERIPRISE FINANCIAL SERVICES INC Amerivest; TD AMERITRADE HOLDING CORP Amerus Group Co; AVIVA PLC AMP Capital Core Infrastructure Fund; AMP LIMITED AMP Capital Investors; AMP LIMITED AMP Capital Shopping Centres; AMP LIMITED AMP Financial Services; AMP LIMITED AmSouth Bancorporation; REGIONS FINANCIAL CORP

AmSouth Bank; MORGAN KEEGAN & CO INC Andex Associates, Inc.; MORNINGSTAR INC Annuity Note; JOHN HANCOCK FINANCIAL SERVICES INC Anodyne Medical Device, Inc; COMPASS DIVERSIFIED HOLDINGS Antares; SS&C TECHNOLOGIES INC Antichi Pellettieri S.p.A.; 3I GROUP PLC Aozora Bank, Ltd.; CERBERUS CAPITAL MANAGEMENT LP Apax Funds; APAX PARTNERS LLP ApoCell; SUMMIT PARTNERS Application Programming Interface; INTERNATIONAL SECURITIES EXCHANGE (ISE) Apria Healthcare Group Inc; BLACKSTONE GROUP LP (THE) Archery Summit; LEUCADIA NATIONAL CORP Argus Health Systems, Inc.; DST SYSTEMS INC Ariel Appreciation Fund; ARIEL CAPITAL MANAGEMENT LLC Ariel Focus Fund; ARIEL CAPITAL MANAGEMENT LLC Ariel Fund; ARIEL CAPITAL MANAGEMENT LLC Ariel Micro-Cap Value Product; ARIEL CAPITAL MANAGEMENT LLC Ariel Mutual Funds; ARIEL CAPITAL MANAGEMENT LLC Arkhe DTVM; ICAP PLC Arnhold and S. Bleichroeder Advisers, LLC; FIRST EAGLE INVESTMENT MANAGEMENT Arnold Bernhard & Company, Inc.; VALUE LINE INC Arrive Wealth Management; AMP LIMITED Artio Global Holdings, LLC; ARTIO GLOBAL INVESTORS INC Artio Global Investment Funds; ARTIO GLOBAL INVESTORS INC ASAT Holdings Limited; UNITAS CAPITAL Ashfield Capital Partners, LLC; OLD MUTUAL ASSET MANAGEMENT CORP US Assante Wealth Management; CI FINANCIAL INCOME FUND Assicurazioni Generali U.S. Branch; ASSICURAZIONI GENERALI SPA Associated Securities Corporation; LINSCO/PRIVATE LEDGER CORP Assured Guaranty (UK) Ltd; ASSURED GUARANTY LTD Assured Guaranty Corp; ASSURED GUARANTY LTD Assured Guaranty Finance Overseas Ltd; ASSURED GUARANTY LTD Assured Guaranty Ltd; FINANCIAL SECURITY ASSURANCE HOLDINGS LTD Assured Guaranty Re Ltd; ASSURED GUARANTY LTD Assured Guaranty US Holdings Inc; ASSURED GUARANTY LTD



INDEX OF SUBSIDIARIES, BRAND NAMES AND AFFILIATIONS, CONT. Assured Guaranty US Holdings Inc; FINANCIAL SECURITY ASSURANCE HOLDINGS LTD Atlanta Capital; EATON VANCE CORP Atlantic Trust; INVESCO LTD AUD Inspire Index; BARCLAYS CAPITAL Avago Technologies; SILVER LAKE PARTNERS Avaya Inc; TPG INC Avaya, Inc.; SILVER LAKE PARTNERS Aviation Capital Group; PACIFIC MUTUAL HOLDING CO Aviation Week; MCGRAW HILL COS INC Avid Radiopharmaceuticals Inc; SAFEGUARD SCIENTIFICS INC Aviva Canada Inc; AVIVA PLC Aviva Healthcare; AVIVA PLC Aviva Investors; AVIVA PLC Aviva UK Insurance; AVIVA PLC Aviva UK Life; AVIVA PLC Aviva USA; AVIVA PLC AXA Advisors LLC; AXA FINANCIAL INC AXA Distributors; AXA FINANCIAL INC AXA Equitable Life Insurance Company; AXA FINANCIAL INC AXA Group; AXA FINANCIAL INC AXA Investment Managers; AXA GROUP Axcan Pharma Inc; TPG INC B.C. Ziegler and Company; ZIEGLER COMPANIES (THE) Babson Capital Management LLC; MASSACHUSETTS MUTUAL LIFE INSURANCE CO Bain Capital Asia; BAIN CAPITAL LLC Bain Capital Europe; BAIN CAPITAL LLC Bain Capital Private Equity; BAIN CAPITAL LLC Bain Capital Ventures; BAIN CAPITAL LLC Baird; ROBERT W BAIRD & CO INC Baird Advisors; ROBERT W BAIRD & CO INC Baird Capital Partners; ROBERT W BAIRD & CO INC Baird Financial Advisors; ROBERT W BAIRD & CO INC Baird Investment Management; ROBERT W BAIRD & CO INC Baird Venture Partners; ROBERT W BAIRD & CO INC BANC Mall; SS&C TECHNOLOGIES INC Banca dei Territori; INTESA SANPAOLO SPA Banca Fideraum; INTESA SANPAOLO SPA Banca Generali; ASSICURAZIONI GENERALI SPA Banca Intesa S.p.A.; INTESA SANPAOLO SPA Banca Prossima; INTESA SANPAOLO SPA Banco do Estado de Sao Paulo; BANCO SANTANDER CENTRAL HISPANO SA Banco Inferfin; BANK OF NOVA SCOTIA (SCOTIABANK) Banco Rio de la Plata; BANCO SANTANDER CENTRAL HISPANO SA

Banco Santander Central Hispano SA; ING GROUP (ING GROEP NV) Banco Santander-Chile; BANCO SANTANDER CENTRAL HISPANO SA BancWest; BNP PARIBAS Bangkok Life Assurance, Ltd.; NIPPON LIFE INSURANCE COMPANY Bank Aljazira; PRUDENTIAL PLC Bank Austria Corporate Banking; UNICREDIT SPA (UNICREDIT GROUP) Bank of America; BLACKROCK INC Bank of America Charitable Gift Fund; US TRUST BANK OF AMERICA PRIVATE WEALTH MANAGEMENT Bank of America Corp; US TRUST BANK OF AMERICA PRIVATE WEALTH MANAGEMENT Bank of China (Hong Kong); BOC HONG KONG (HOLDINGS) LTD Bank of Ireland Asset Management, Ltd.; BANK OF IRELAND Bank of Ireland Finance; BANK OF IRELAND Bank of Ireland Mortgage Bank; BANK OF IRELAND Bank of Ireland Private Banking; BANK OF IRELAND Bank of Montreal (BMO); HARRIS BANKCORP INC Bank of New York; JP MORGAN CHASE & CO INC Bank of New York Co., Inc. (The); BANK OF NEW YORK MELLON CORP Bank of New York Mellon Corp; DREYFUS CORPORATION (THE) Bank of New York Mellon Corp; PERSHING LLC Bank of New Zealand; NATIONAL AUSTRALIA BANK LTD Bank of Western Australia Limited; COMMONWEALTH BANK OF AUSTRALIA Bank Zachnodni WBK S.A.; ALLIED IRISH BANKS PLC Bankers Life & Casualty Company; CONSECO INC Bankrate, Inc.; APAX PARTNERS LLP Barclay Capital; BARCLAYS PLC Barclay Capital Commodities Group; BARCLAYS CAPITAL Barclay Global Investors NA; BARCLAYS PLC Barclaycard; BARCLAYS PLC Barclays Art Council; BARCLAYS PLC Barclays Bank Delaware; BARCLAYS PLC Barclays Private Equity; BARCLAYS CAPITAL Barnett Banks, Inc.; BANK OF AMERICA CORP Batterymarch Financial Management, Inc.; LEGG MASON INC Bausch & Lomb Inc; WARBURG PINCUS LLC BBVA Bancomer; BBVA (BANCO BILBAO VIZCAYA ARGENTARIA) BBVA Compass; BBVA (BANCO BILBAO VIZCAYA ARGENTARIA)



INDEX OF SUBSIDIARIES, BRAND NAMES AND AFFILIATIONS, CONT. BBVA Finanzia USA; BBVA (BANCO BILBAO VIZCAYA ARGENTARIA) BBVA Finanzia USA; BBVA (BANCO BILBAO VIZCAYA ARGENTARIA) BBVA Puerto Rico; BBVA (BANCO BILBAO VIZCAYA ARGENTARIA) Bear Stearns Cos Inc (The); JP MORGAN CHASE & CO INC Begbies Traynor; MESIROW FINANCIAL HOLDINGS INC Benjamin Moore & Co; BERKSHIRE HATHAWAY INC Bernstein Global Wealth Management; ALLIANCEBERNSTEIN HOLDING LP Bernstein Investment Research and Management; ALLIANCEBERNSTEIN HOLDING LP Bessemer Trust; BESSEMER GROUP INC (THE) Beta Hedged Strategies Fund; ASSET ALLIANCE CORPORATION Betten Financial News BV; DOW JONES & CO INC Beyond.com Inc; SAFEGUARD SCIENTIFICS INC BGC Partners; BGC PARTNERS INC Biomet Inc; BLACKSTONE GROUP LP (THE) Biomet, Inc.; KKR & CO LP (KOHLBERG KRAVIS ROBERTS & CO) Biotech Meeting at Laguna Beach; BURRILL & COMPANY Bissett; FRANKLIN RESOURCES INC (FRANKLIN TEMPLETON) Black Oak Emerging Technology Fund; OAK ASSOCIATES LTD BlackBrush Oil & Gas; HM CAPITAL PARTNERS LLC Blackmont Capital Inc; MACQUARIE GROUP LIMITED Blackmont Capital, Inc.; CI FINANCIAL INCOME FUND BlackRock Alternative Advisors; BLACKROCK INC BlackRock Inc; MERRILL LYNCH & CO INC BlackRock Solutions; BLACKROCK INC BlackRock, Inc.; PNC FINANCIAL SERVICES GROUP INC Blackstone Group LP (The); FINANCIAL GUARANTY INSURANCE COMPANY Bloom Energy; KLEINER PERKINS CAUFIELD & BYERS Bloomberg Electronic Trading Systems; BLOOMBERG LP Bloomberg Magazine; BLOOMBERG LP Bloomberg News; BLOOMBERG LP Bloomberg Professional; BLOOMBERG LP Bloomberg Roadshows; BLOOMBERG LP Bloomberg Television; BLOOMBERG LP Bloomberg Terminals; BLOOMBERG LP Bloomberg Tradebook; BLOOMBERG LP

Blue Bird Corporation; CERBERUS CAPITAL MANAGEMENT LP BlueDoor Technologies; DST SYSTEMS INC BMO; BANK OF MONTREAL (BMO FINANCIAL GROUP) BMO Capital Markets; BANK OF MONTREAL (BMO FINANCIAL GROUP) BMO Capital Markets Corp.; HARRIS BANKCORP INC BMO Financial Group; BANK OF MONTREAL (BMO FINANCIAL GROUP) BMO Financial Group; HARRIS BANKCORP INC BMO InvestorLine; BANK OF MONTREAL (BMO FINANCIAL GROUP) BMO Nesbitt Burns; BANK OF MONTREAL (BMO FINANCIAL GROUP) BNL Banca Commerciale; BNP PARIBAS BNP Paribas; CORTAL CONSORS SA BNP Paribas Assurance; BNP PARIBAS BNP Paribas Investment Partners; BNP PARIBAS BNP Paribas Personal Investors; BNP PARIBAS BNP Paribas Real Estate; BNP PARIBAS BNP Paribas Securities Services; BNP PARIBAS BNY Mellon Asset Management; DREYFUS CORPORATION (THE) BNY Mellon Shareowner Services; BANK OF NEW YORK MELLON CORP BNY Overlay Associates; BANK OF NEW YORK MELLON CORP BOC Credit Card (International) Ltd; BOC HONG KONG (HOLDINGS) LTD Bodycote Testing; CLAYTON DUBILIER & RICE INC BondEdge Asset Manager; INTERACTIVE DATA CORPORATION Boomerang TV Group; 3I GROUP PLC Borse Dubai Limited; LONDON STOCK EXCHANGE PLC (LSE) Borsheim Jewelry Company, Inc.; BERKSHIRE HATHAWAY INC Boston Management & Research; EATON VANCE CORP Boston Market Corporation; SUN CAPITAL PARTNERS INC Bostoncoach; FMR CORP (FIDELITY INVESTMENTS) Boursorama Banque; BOURSORAMA boursorama.com; BOURSORAMA Bowne International de Mexico, S.A.; BOWNE & CO INC Bowne International LLC; BOWNE & CO INC Bowne International, Ltd.; BOWNE & CO INC Bowne International, SAS; BOWNE & CO INC Bowne Japan & Co, Inc.; BOWNE & CO INC Bowne of Canada, Ltd.; BOWNE & CO INC Bowne of Europe, B.V.; BOWNE & CO INC



INDEX OF SUBSIDIARIES, BRAND NAMES AND AFFILIATIONS, CONT. Bowne XChanger Taxonomy Migration Assistant; BOWNE & CO INC Brandywine Global; LEGG MASON INC Breakingviews Limited; THOMSON REUTERS Bridge Partners, L.P.; PINEBRIDGE GLOBAL INVESTMENTS LLC BridgeStreet Consulting Group; WELLS FARGO & CO Bridgevine Inc; SAFEGUARD SCIENTIFICS INC Broadpoint AmTech; BROADPOINT GLEACHER SECURITIES GROUP INC Broadpoint Capital, Inc.; BROADPOINT GLEACHER SECURITIES GROUP INC Broadpoint DESCAP Securities, Inc.; BROADPOINT GLEACHER SECURITIES GROUP INC Broadpoint International; BROADPOINT GLEACHER SECURITIES GROUP INC Broadpoint Securities Group, Inc.; BROADPOINT GLEACHER SECURITIES GROUP INC Brookfield Homes Corporation; BROOKFIELD ASSET MANAGEMENT INC Brookfield Incorporacoes SA; BROOKFIELD ASSET MANAGEMENT INC Brookfield Renewable Power Fund; BROOKFIELD ASSET MANAGEMENT INC Brookfield Renewable Power Inc; BROOKFIELD ASSET MANAGEMENT INC Brookside Capital; BAIN CAPITAL LLC Brownfields; COLONY CAPITAL LLC BT Group plc; BT RADIANZ Burke Capital Group LLC; MORGAN KEEGAN & CO INC Burrill Agbio Capital Fund; BURRILL & COMPANY Burrill Biotechnology Capital Fund; BURRILL & COMPANY Burrill International Group; BURRILL & COMPANY Burrill Life Sciences Capital Fund; BURRILL & COMPANY Burrill Nutraceuticals Capital Fund; BURRILL & COMPANY Burrill Personalized Medicine Meeting; BURRILL & COMPANY Business Forum; HOULIHAN LOKEY HOWARD & ZUKIN INC (HOULIHAN LOKEY) Business Services; H&R BLOCK INC BusinessForum.hlhz.com; HOULIHAN LOKEY HOWARD & ZUKIN INC (HOULIHAN LOKEY) Butler Wick & Company Inc; STIFEL FINANCIAL CORP Butlers; ICAP PLC BUY and HOLD; OPPENHEIMER HOLDINGS INC CAD Inspire Index; BARCLAYS CAPITAL Cadence Capital Management; ALLIANZ GLOBAL INVESTORS OF AMERICA LP Calamos Advisors LLC; CALAMOS ASSET MANAGEMENT

Calamos Family Partners Inc.; CALAMOS ASSET MANAGEMENT Calamos Financial Services LLC; CALAMOS ASSET MANAGEMENT Calamos Global Funds plc; CALAMOS ASSET MANAGEMENT Calamos Holdings LLC; CALAMOS ASSET MANAGEMENT CalFarm; NATIONWIDE MUTUAL INSURANCE CO CalPERS; CALIFORNIA PUBLIC EMPLOYEES RETIREMENT (CALPERS) CalPERS Environmental Technology Program; CALIFORNIA PUBLIC EMPLOYEES RETIREMENT (CALPERS) Calvert Administrative Services Company, Inc.; CALVERT GROUP LTD Calvert Asset Management Company, Inc.; CALVERT GROUP LTD Calvert Distributors, Inc.; CALVERT GROUP LTD Calvert High Yield Bond Fund; CALVERT GROUP LTD Calvert Large Cap Value Fund; CALVERT GROUP LTD Calvert Shareholder Services, Inc.; CALVERT GROUP LTD Calvert Short-Term Government Fund; CALVERT GROUP LTD Calyon Financial; CREDIT AGRICOLE SA Camalloy; REPUBLIC FINANCIAL CORPORATION Camelot Group; DE LA RUE PLC Canadian Imperial Bank of Commerce; CIBC WORLD MARKETS INC Canadian Zone of State Farm Insurance (The); STATE FARM INSURANCE COMPANIES CanDeal; TMX GROUP INC Canpages; HM CAPITAL PARTNERS LLC Cantor Clearing Services; CANTOR FITZGERALD LP Cantor Gaming; CANTOR FITZGERALD LP Cantor Health Interactive; CANTOR FITZGERALD LP Cantor Index UK; CANTOR FITZGERALD LP Cantor Insurance Group; CANTOR FITZGERALD LP Cantor Spectrum & Tower Exchange; CANTOR FITZGERALD LP CantorCO2e; CANTOR FITZGERALD LP Capital Group Companies, Inc. (The); CAPITAL RESEARCH AND MANAGEMENT COMPANY (AMERICAN FUNDS) Capital Guardian & Trust Company; CAPITAL GROUP COMPANIES INC (THE, AMERICAN FUNDS) Capital International Asset Management; CAPITAL GROUP COMPANIES INC (THE, AMERICAN FUNDS) Capital International Funds; CAPITAL GROUP COMPANIES INC (THE, AMERICAN FUNDS) Capital IQ; STANDARD & POORS (S&P)



INDEX OF SUBSIDIARIES, BRAND NAMES AND AFFILIATIONS, CONT. Capital Research and Management Company; CAPITAL GROUP COMPANIES INC (THE, AMERICAN FUNDS) Carlyle Group (The); J C FLOWERS & CO LLC Carramerica Realty Corp; BLACKSTONE GROUP LP (THE) Carrefour SA; COLONY CAPITAL LLC C-BASS; RADIAN GROUP INC CBOE Futures Exchange, LLC; CHICAGO BOARD OPTIONS EXCHANGE INC (CBOE) CBOE Stock Exchange, LLC; CHICAGO BOARD OPTIONS EXCHANGE INC (CBOE) CBS Personnel Holdings, Inc.; COMPASS DIVERSIFIED HOLDINGS CCMP Capital Asia Pte. Ltd.; UNITAS CAPITAL CCO Investment Services Corp.; CITIZENS FINANCIAL GROUP INC CDW Corporation; MADISON DEARBORN PARTNERS LLC Cedar Street Advisors; MARSHALL & ILSLEY CORP Celestica, Inc.; ONEX CORPORATION Cellumen Inc; SAFEGUARD SCIENTIFICS INC Center Capital Corporation; WEBSTER FINANCIAL CORP Central European Media Enterprise; APAX PARTNERS LLP Centurion Bank of Punjab Ltd; HDFC BANK LTD Century Chartering; GFI GROUP INC Century Securities Associates Inc; STIFEL FINANCIAL CORP Ceratech Corporation; UNITAS CAPITAL Cerona Networks Corporation; REPUBLIC FINANCIAL CORPORATION Challenger Financial Services; COLONY CAPITAL LLC Chapdelaine Corporate Brokers, Inc.; TULLETT PREBON PLC Charles Schwab & Co., Inc.; CHARLES SCHWAB CORP (THE) Charles Schwab Bank, N.A.; CHARLES SCHWAB CORP (THE) Charles Schwab Corp (The); SCHWAB RETIREMENT PLAN SERVICES COMPANY Charles Schwab Corp (The); US TRUST BANK OF AMERICA PRIVATE WEALTH MANAGEMENT Charles Schwab Investment Management, Inc.; CHARLES SCHWAB CORP (THE) Charles Schwab Trust Company (The); CHARLES SCHWAB CORP (THE) Charlotte Russe; ADVENT INTERNATIONAL CORPORATION CHC Helicoptor Corp; FIRST RESERVE CORPORATION CheckFree Corp; FISERV INC

Chicago Board of Trade; CHICAGO BOARD OPTIONS EXCHANGE INC (CBOE) ChinaLink; AUTOMATIC DATA PROCESSING INC Chi-X; INSTINET INC Chi-X Global Technology LLC; INSTINET INC Chi-X Global, Inc.; INSTINET INC Chiyu Banking Corp; BOC HONG KONG (HOLDINGS) LTD Choice Cable TV; HM CAPITAL PARTNERS LLC Chongqing Dazu HSBC Rural Bank Company Limited; HSBC HOLDINGS PLC Churchill; ROYAL BANK OF SCOTLAND GROUP PLC (THE, RBS) CI Investments, Inc.; CI FINANCIAL INCOME FUND CIBC BA Limited.; CANADIAN IMPERIAL BANK OF COMMERCE CIBC Capital Partners; CIBC WORLD MARKETS INC CIBC Global Asset Management (USA) Ltd.; CANADIAN IMPERIAL BANK OF COMMERCE CIBC Global Asset Management Inc.; CANADIAN IMPERIAL BANK OF COMMERCE CIBC Life Insurance Company Limit; CANADIAN IMPERIAL BANK OF COMMERCE CIBC Merchant Banking; CIBC WORLD MARKETS INC CIBC Private Investment Counsel Inc.; CANADIAN IMPERIAL BANK OF COMMERCE CIBC Retail Markets; CANADIAN IMPERIAL BANK OF COMMERCE CIBC Wealth Management; CANADIAN IMPERIAL BANK OF COMMERCE CIBC World Markets; CANADIAN IMPERIAL BANK OF COMMERCE CIMD S.A.; ICAP PLC Cineplex Entertainment LP; ONEX CORPORATION Citadel Alternative Investments; CITADEL INVESTMENT GROUP LLC Citadel Securities; CITADEL INVESTMENT GROUP LLC Citi; CITIGROUP INC Citi Alternative Investments; CITIGROUP INC Citi Capital Advisors; CITIGROUP INSTITUTIONAL CLIENTS GROUP Citi Institutional Clients Group; CITIGROUP INC Citi Investment Research & Analysis; CITIGROUP INSTITUTIONAL CLIENTS GROUP Citibank; CITIGROUP INC CITIC Securities (HK) Company, Ltd.; CITIC SECURITIES INTERNATIONAL COMPANY LIMITED CITIC Securities Brokerage (HK), Ltd.; CITIC SECURITIES INTERNATIONAL COMPANY LIMITED CITIC Securities Co., Ltd.; CITIC SECURITIES INTERNATIONAL COMPANY LIMITED



INDEX OF SUBSIDIARIES, BRAND NAMES AND AFFILIATIONS, CONT. CITIC Securities Futures (HK), Ltd.; CITIC SECURITIES INTERNATIONAL COMPANY LIMITED CITIC Securities International Partners, Ltd.; CITIC SECURITIES INTERNATIONAL COMPANY LIMITED CITIC Securities Int'l Investment Mgmt. (HK), Ltd.; CITIC SECURITIES INTERNATIONAL COMPANY LIMITED CitiFinancial; CITIGROUP INC Citigroup; CITIGROUP INSTITUTIONAL CLIENTS GROUP Citigroup Corporate and Investment Banking; CITIGROUP INSTITUTIONAL CLIENTS GROUP Citigroup Global Markets Holdings, Inc.; CITIGROUP INSTITUTIONAL CLIENTS GROUP Citigroup Global Markets Japan, Inc.; CITIGROUP JAPAN HOLDINGS CORP Citigroup Inc; CITIGROUP JAPAN HOLDINGS CORP Citigroup Services Japan, Ltd.; CITIGROUP JAPAN HOLDINGS CORP CitiMortgage; CITIGROUP INC CitiStreet LLC; ING GROUP (ING GROEP NV) Citizens Auto Finance; CITIZENS FINANCIAL GROUP INC Citizens Bank; CITIZENS FINANCIAL GROUP INC Citizens Financial Group; ROYAL BANK OF SCOTLAND GROUP PLC (THE, RBS) CIVC Partners LP; FINANCIAL GUARANTY INSURANCE COMPANY Clarient Inc; SAFEGUARD SCIENTIFICS INC Clayton Homes Inc; BERKSHIRE HATHAWAY INC ClearBridge Advisors; LEGG MASON INC Clearstream; DEUTSCHE BORSE AG Clinton Aluminum & Stainless Steel; REPUBLIC FINANCIAL CORPORATION Clover Capital Management, Inc.; FEDERATED INVESTORS INC Clydesdale Bank; NATIONAL AUSTRALIA BANK LTD CME Group Inc; NEW YORK MERCANTILE EXCHANGE INC CMG Mortgage Insurance Company; PMI GROUP INC (THE) CNA Global; CNA FINANCIAL CORP Cobalt International Energy; FIRST RESERVE CORPORATION Cobalt/Gordian; AMP LIMITED College Savings Bank; PACIFIC MUTUAL HOLDING CO CollegeAmerica 529 Savings Plan; CAPITAL RESEARCH AND MANAGEMENT COMPANY (AMERICAN FUNDS)

Colonial First State; COMMONWEALTH BANK OF AUSTRALIA Colonial Insurance; COMMONWEALTH BANK OF AUSTRALIA Colonial Penn Life Insurance Company; CONSECO INC Columbia Funds; COLUMBIA MANAGEMENT GROUP INC Columbia Management Advisors LLC; COLUMBIA MANAGEMENT GROUP INC Columbia Management Distributors, Inc.; COLUMBIA MANAGEMENT GROUP INC Columbia Management Group Inc; AMERIPRISE FINANCIAL SERVICES INC Columbia Management Group Inc; US TRUST BANK OF AMERICA PRIVATE WEALTH MANAGEMENT Commerce Bancorp Inc; TORONTO-DOMINION BANK (TD BANK) Commerz (East Asia) Ltd Hong Kong; COMMERZBANK AG Commerz Real; COMMERZBANK AG Commerzbank Telephone Banking; COMMERZBANK AG commerzbank.com; COMMERZBANK AG CommInsure; COMMONWEALTH BANK OF AUSTRALIA Commission Direct Inc; RBC DOMINION SECURITIES INC Common Retirement Fund; NEW YORK STATE AND LOCAL RETIREMENT SYSTEM CommSec; COMMONWEALTH BANK OF AUSTRALIA Companias DeLima S.A.; MARSH & MCLENNAN COMPANIES INC Companion Life Insurance Company; MUTUAL OF OMAHA COMPANIES (THE) Compass Bancshares, Inc.; BBVA (BANCO BILBAO VIZCAYA ARGENTARIA) Compupower Corporation; VALUE LINE INC Compustat; STANDARD & POORS (S&P) Computerized Portfolio Management Services, Inc.; MORNINGSTAR INC ComStock; INTERACTIVE DATA CORPORATION Conergy Wind; WARBURG PINCUS LLC Conseco Insurance Group; CONSECO INC Conseco Life Insurance Company; CONSECO INC Conseco Services, LLC; CONSECO INC Consors Discount Broker AG; CORTAL CONSORS SA Consumer Financial Services; H&R BLOCK INC Continental Casualty Co.; CNA FINANCIAL CORP Continental Insurance Co. (The); CNA FINANCIAL CORP Continuum Worldwide; MUTUAL OF OMAHA COMPANIES (THE) Conwed Plastics; LEUCADIA NATIONAL CORP



INDEX OF SUBSIDIARIES, BRAND NAMES AND AFFILIATIONS, CONT. Corillian Corp; FISERV INC Cornerstone Real Estate; MASSACHUSETTS MUTUAL LIFE INSURANCE CO Corporacion Interfin; BANK OF NOVA SCOTIA (SCOTIABANK) Corporate Client Group; NATIONAL FINANCIAL PARTNERS CORP Cort Business Services Corporation; BERKSHIRE HATHAWAY INC Cortal; CORTAL CONSORS SA Cosmetic Essence, Inc.; ONEX CORPORATION Coutts Group; ROYAL BANK OF SCOTLAND GROUP PLC (THE, RBS) Coverdell Education Savings Account; FIRST AMERICAN FUNDS Cowen & Company LLC; COWEN GROUP INC Cowen Asset Management Limited; COWEN GROUP INC Cowen Asset Management, LLC; COWEN GROUP INC Cowen Funds p.l.c.; COWEN GROUP INC Cowen International Limited; COWEN GROUP INC Cowen Latitude Advisors Limited; COWEN GROUP INC Craegmoor Health; ADVENT INTERNATIONAL CORPORATION Credit Agricole Asset Management; CREDIT AGRICOLE SA Credit Agricole, S.A.; CREDIT AGRICOLE SA Credit Communal de Belgique; DEXIA GROUP Credit du Nord; SOCIETE GENERALE GROUP Credit Local de France; DEXIA GROUP Credit Suisse; CREDIT SUISSE GROUP Credit Suisse First Boston; CREDIT SUISSE (USA) Credit Suisse Group; CREDIT SUISSE (USA) Credit Suisse Group; CREDIT SUISSE ASSET MANAGEMENT Credit Suisse Group; ABERDEEN ASSET MANAGEMENT PLC CreditMatch; GFI GROUP INC Crescent Real Estate Equities LP; BARCLAYS CAPITAL CSFB; CREDIT SUISSE (USA) Cundill; MACKENZIE FINANCIAL CORPORATION CyberTrader, Inc.; CHARLES SCHWAB CORP (THE) CyberTrails; REPUBLIC FINANCIAL CORPORATION CYBOS I; DAISHIN SECURITIES CO LTD CYBOS Oneclick Pro; DAISHIN SECURITIES CO LTD CYBOS Plus; DAISHIN SECURITIES CO LTD CYBOS Trader; DAISHIN SECURITIES CO LTD Cypress Group LLC (The); FINANCIAL GUARANTY INSURANCE COMPANY DAB Bank Group; HYPO VEREINSBANK AG (HVB GROUP)

DAB Bank Bayerische Hypo und Vereinsbank AG (HVB); UNICREDIT SPA (UNICREDIT GROUP) Dai-Ichi Frontier Life Insurance Co. Ltd.; DAI-ICHI MUTUAL LIFE INSURANCE COMPANY Daishin Securities Asia (Hong Kong) Limited; DAISHIN SECURITIES CO LTD Daiwa Asset Management Company; DAIWA SECURITIES GROUP INC Daiwa Institute of Research Ltd.; DAIWA SECURITIES GROUP INC Daiwa Property Co. Ltd.; DAIWA SECURITIES GROUP INC Daiwa SB Investments Ltd.; DAIWA SECURITIES GROUP INC Daiwa Securities America, Inc.; DAIWA SECURITIES GROUP INC Daiwa Securities Business Center Co. Ltd.; DAIWA SECURITIES GROUP INC Daiwa Securities Co. Ltd.; DAIWA SECURITIES GROUP INC Daiwa Securities SMBC Co. Ltd.; DAIWA SECURITIES GROUP INC Danica Link; DANSKE BANK AKTIESELSKAB Danica Pension; DANSKE BANK AKTIESELSKAB Danske Bank; DANSKE BANK AKTIESELSKAB Danske Ejendomme; DANSKE BANK AKTIESELSKAB Danske Markets Equitie; DANSKE BANK AKTIESELSKAB Darby; FRANKLIN RESOURCES INC (FRANKLIN TEMPLETON) Davis Appreciation & Income Fund; DAVIS SELECTED ADVISORS LP Davis Financial Fund; DAVIS SELECTED ADVISORS LP Davis Government Bond Fund; DAVIS SELECTED ADVISORS LP Davis Government Money Market Fund; DAVIS SELECTED ADVISORS LP Davis New York Venture Fund; DAVIS SELECTED ADVISORS LP Davis Opportunity Fund; DAVIS SELECTED ADVISORS LP Davis Real Estate Fund; DAVIS SELECTED ADVISORS LP DAX; DEUTSCHE BORSE AG DE Shaw Re (Bermuda) Ltd; DE SHAW & CO LP DE Shaw Research LLC; DE SHAW & CO LP Deerbrook; ALLSTATE CORPORATION (THE) Delaware Management Holdings, Inc.; LINCOLN NATIONAL CORPORATION DenizBank Financial Services Group; DEXIA GROUP Depfa First Albany Securities LLC; JEFFERIES GROUP INC



INDEX OF SUBSIDIARIES, BRAND NAMES AND AFFILIATIONS, CONT. Depository Trust & Clearing Corporation (The); LCH CLEARNET GROUP LTD Depository Trust Company, (The); DEPOSITORY TRUST & CLEARING CORPORATION (THE) Deutsche Asset Management; DWS INVESTMENTS Deutsche Bank (Peru) S.A.; DEUTSCHE BANK AG Deutsche Bank AG; DWS INVESTMENTS Deutsche Bank DBU; DEUTSCHE BANK AG Deutsche Post AG; DEUTSCHE BANK AG Deutsche Schiffsbank; COMMERZBANK AG Devin AD; ADVENT INTERNATIONAL CORPORATION Dexia Asset Management; DEXIA GROUP Dexia Insurance & Pension Services; DEXIA GROUP DI@Work; GUARDIAN LIFE INSURANCE COMPANY OF AMERICA Direct Edge Holdings; INTERNATIONAL SECURITIES EXCHANGE (ISE) Direct Line; ROYAL BANK OF SCOTLAND GROUP PLC (THE, RBS) direktanlage.at AG; UNICREDIT SPA (UNICREDIT GROUP) Discovery Americas I, L.P.; EVERCORE PARTNERS INC Dodge & Cox Balanced Fund; DODGE & COX Dodge & Cox Global Stock Fund; DODGE & COX Dodge & Cox Income Fund; DODGE & COX Dodge & Cox International Stock Fund; DODGE & COX Dodge & Cox Stock Fund; DODGE & COX Dollar General Corp.; KKR & CO LP (KOHLBERG KRAVIS ROBERTS & CO) Dow Jones Factiva; DOW JONES & CO INC Dow Jones Newswires; DOW JONES & CO INC Dow Jones VentureSource; DOW JONES & CO INC Dresdner Bank; COMMERZBANK AG Dreyfus Corporation (The); FAYEZ SAROFIM & CO Dreyfus Corporation (The); BANK OF NEW YORK MELLON CORP Dreyfus Diversified Global Fund; DREYFUS CORPORATION (THE) Dreyfus Funds; DREYFUS CORPORATION (THE) Dreyfus Premier Funds; DREYFUS CORPORATION (THE) Dreyfus Satellite Alpha Fund; DREYFUS CORPORATION (THE) DST Health Solutions; DST SYSTEMS INC DST International Output; DST SYSTEMS INC DST Output; DST SYSTEMS INC DST Output Canada; DST SYSTEMS INC DST Realty; DST SYSTEMS INC DTCC Deriv/SERV LLC; DEPOSITORY TRUST & CLEARING CORPORATION (THE) DTCC Solutions LLC; DEPOSITORY TRUST & CLEARING CORPORATION (THE)

Duff & Phelps Investment Management; VIRTUS INVESTMENT PARTNERS INC Dunkin’ Brands, Inc; CARLYLE GROUP (THE) Dwight Asset Management Company; OLD MUTUAL ASSET MANAGEMENT CORP US DWS Scudder; DWS INVESTMENTS E*TRADE Bank; E*TRADE FINANCIAL CORPORATION E*TRADE Capital Markets, LLC; E*TRADE FINANCIAL CORPORATION E*TRADE Clearing, LLC; E*TRADE FINANCIAL CORPORATION E*TRADE Mobile Pro; E*TRADE FINANCIAL CORPORATION E*TRADE Securities, LLC; E*TRADE FINANCIAL CORPORATION EasyLanguage; TRADESTATION GROUP INC Eaton Vance Distributors, Inc.; EATON VANCE CORP Eaton Vance Investment Counsel; EATON VANCE CORP Eaton Vance Management; EATON VANCE CORP Eaton Vance Management International, Ltd.; EATON VANCE CORP Economy.com; MOODY'S CORPORATION EdgeTrade, Inc.; KNIGHT CAPITAL GROUP INC Edward D. Jones & Co., L.P.; JONES FINANCIAL COMPANIES LLP (EDWARD JONES) Edward Jones; JONES FINANCIAL COMPANIES LLP (EDWARD JONES) EDX London; LONDON STOCK EXCHANGE PLC (LSE) Egg Banking PLC; PRUDENTIAL PLC eHorizon; STATE STREET CORP Elan; US BANCORP Elavon Information Systems; US BANCORP eLearning Solutions; S1 CORPORATION Electronic Trading Community; ICAP PLC Elements Advantage; AGF MANAGEMENT LIMITED EMAR Group (The); WELLS FARGO & CO Emergency Medical Services; ONEX CORPORATION Employees' Retirement System; NEW YORK STATE AND LOCAL RETIREMENT SYSTEM Enb Consulting; MOODY'S CORPORATION Encompass; ALLSTATE CORPORATION (THE) Energy Futureholdings Corp (TXU); TPG INC EnergyMatch; GFI GROUP INC Enhanced Investment Technologies, LLC; JANUS CAPITAL GROUP INC Enstar Group; J C FLOWERS & CO LLC Enterprise; S1 CORPORATION EPICOR Inc; MADISON DEARBORN PARTNERS LLC Equilibrium; MOODY'S CORPORATION Equity Team; SINOPIA ASSET MANAGEMENT EquityClear; LCH CLEARNET GROUP LTD



INDEX OF SUBSIDIARIES, BRAND NAMES AND AFFILIATIONS, CONT. eSignal; INTERACTIVE DATA CORPORATION EULAV Securities, Inc.; VALUE LINE INC Eurex; DEUTSCHE BORSE AG Eurex F; INTERNATIONAL SECURITIES EXCHANGE (ISE) Eurizon Capital; INTESA SANPAOLO SPA euroConex; US BANCORP Eurohypo; COMMERZBANK AG Euronext NV; NYSE EURONEXT INC European Central Counterparty Ltd.; DEPOSITORY TRUST & CLEARING CORPORATION (THE) Evare, LLC; SS&C TECHNOLOGIES INC Evercore Asset Management L.L.C. (EAM); EVERCORE PARTNERS INC Evercore Capital Partners L.P; EVERCORE PARTNERS INC Evercore Mexico Capital Partners II; EVERCORE PARTNERS INC Evercore Pan-Asset Capital Management (Pan); EVERCORE PARTNERS INC Evercore Partners, Inc.; CITIC SECURITIES INTERNATIONAL COMPANY LIMITED Evercore Venture Partners L.P.; EVERCORE PARTNERS INC Evercore Wealth Management (EWM); EVERCORE PARTNERS INC Evergreen Global Opportunities Fund; EVERGREEN INVESTMENT MANAGEMENT CO LLC Evergreen Investment Management, LLC.; WACHOVIA CORP Exotix Limited; ICAP PLC EZ Pack Manufacturing, LLC; REPUBLIC FINANCIAL CORPORATION EZIssueLife.com; CONSECO INC FactNET; R R DONNELLEY GLOBAL INVESTMENT MARKETS FactSet Estimates & Research Connect; FACTSET RESEARCH SYSTEMS INC FactSet Fundamentals; FACTSET RESEARCH SYSTEMS INC FactSet Global Prices; FACTSET RESEARCH SYSTEMS INC FactSet Market Aggregates; FACTSET RESEARCH SYSTEMS INC FactSet People; FACTSET RESEARCH SYSTEMS INC Fairbairn Private Bank; OLD MUTUAL PLC Farmers Group Inc; ZURICH FINANCIAL SERVICES GROUP Farmers Management Services; ZURICH FINANCIAL SERVICES GROUP Fazoli's Restaurants; SUN CAPITAL PARTNERS INC FCIG Group; PMI GROUP INC (THE) FENICS; GFI GROUP INC FENICS Credit; GFI GROUP INC

Fermat International; MOODY'S CORPORATION Fidelity Brokerage Services; FMR CORP (FIDELITY INVESTMENTS) Fidelity Employer Services Co.; FMR CORP (FIDELITY INVESTMENTS) Fidelity International, Ltd.; FMR CORP (FIDELITY INVESTMENTS) Fidelity Investments; FMR CORP (FIDELITY INVESTMENTS) Fidelity Investments Canada, Ltd.; FMR CORP (FIDELITY INVESTMENTS) Fidelity Management & Research Company (FMR Co.); FMR CORP (FIDELITY INVESTMENTS) Fidelity National Information Services, Inc.; METAVANTE CORPORATION Fiduciary; FRANKLIN RESOURCES INC (FRANKLIN TEMPLETON) Fiduciary Asset Management LLC; PIPER JAFFRAY COMPANIES FIDUCIARYdirect; SCHWAB RETIREMENT PLAN SERVICES COMPANY Fifth Third Company (The); FIFTH THIRD BANCORP Fifth Third Mauritius Holdings Limited; FIFTH THIRD BANCORP Fifth Third Processing Solutions LLC; FIFTH THIRD BANCORP Fimat; SOCIETE GENERALE GROUP Financial Security Assurance (U.K.) Ltd; FINANCIAL SECURITY ASSURANCE HOLDINGS LTD Financial Security Assurance Holdings Ltd; ASSURED GUARANTY LTD Financial Security Assurance Inc; FINANCIAL SECURITY ASSURANCE HOLDINGS LTD Financial Security Assurance International Ltd; FINANCIAL SECURITY ASSURANCE HOLDINGS LTD FINRA International; FINRA (FINANCIAL INDUSTRY REGULATORY AUTHORITY) First American Money Market Funds; FIRST AMERICAN FUNDS First Charter Corporation (FCTR); FIFTH THIRD BANCORP First Data Corp.; KKR & CO LP (KOHLBERG KRAVIS ROBERTS & CO) First Eagle Fund of America; FIRST EAGLE INVESTMENT MANAGEMENT First Eagle Global Fund; FIRST EAGLE INVESTMENT MANAGEMENT First Eagle Gold Fund; FIRST EAGLE INVESTMENT MANAGEMENT First Eagle Overseas Fund; FIRST EAGLE INVESTMENT MANAGEMENT First Eagle U.S. Value Fund; FIRST EAGLE INVESTMENT MANAGEMENT First Horizon National Corporation; US BANCORP



INDEX OF SUBSIDIARIES, BRAND NAMES AND AFFILIATIONS, CONT. First Mercantile Trust Company; MASSACHUSETTS MUTUAL LIFE INSURANCE CO First Republic Bank; MERRILL LYNCH & CO INC First SunAmerica Life Insurance Company; AIG SUNAMERICA INC First Trust Bank; ALLIED IRISH BANKS PLC Firstar Bank; US BANCORP Fixed Income Clearing Corporation; DEPOSITORY TRUST & CLEARING CORPORATION (THE) Fixed Income Portfolio Solutions; PERSHING LLC Fixed Income Team; SINOPIA ASSET MANAGEMENT FleetBoston; BANK OF AMERICA CORP Fleming, Perry & Cox; WEBSTER FINANCIAL CORP Florida East Coast Industries Inc; FORTRESS INVESTMENT GROUP LLC Flow Traders; SUMMIT PARTNERS Foreign General; AMERICAN INTERNATIONAL GROUP (AIG) Foremost; ZURICH FINANCIAL SERVICES GROUP ForexMatch; GFI GROUP INC Fortis Bank; BNP PARIBAS Fortress Value Recovery Funds I; FORTRESS INVESTMENT GROUP LLC Fox Asset Management; EATON VANCE CORP Fox Factory, Inc.; COMPASS DIVERSIFIED HOLDINGS Fox-Pitt Kelton Cochran Caronia Waller LLC (FPK); MACQUARIE GROUP LIMITED Frankfurt Stock Exchange; DEUTSCHE BORSE AG Franklin; FRANKLIN RESOURCES INC (FRANKLIN TEMPLETON) Franklin Templeton Asset Management Mexico S.A.; FRANKLIN RESOURCES INC (FRANKLIN TEMPLETON) Franklin Templeton Investments; FRANKLIN RESOURCES INC (FRANKLIN TEMPLETON) Freedom International Brokerage Co.; BGC PARTNERS INC Freedom Investments Inc; OPPENHEIMER HOLDINGS INC FreightClear; LCH CLEARNET GROUP LTD FSA Global Funding Limited; FINANCIAL SECURITY ASSURANCE HOLDINGS LTD FSB Development LLC; SWS GROUP INC FSB Solutions; S1 CORPORATION FT Interactive Data; INTERACTIVE DATA CORPORATION FTPS Partners, LLC; FIFTH THIRD BANCORP Gabelli Funds LLC; GAMCO INVESTORS INC Gabelli Securities, Inc.; GAMCO INVESTORS INC GAIN Capital Group; 3I GROUP PLC GAMCO Asset Management, Inc.; GAMCO INVESTORS INC

Gamesa Energia, S.A.; FIRST RESERVE CORPORATION Gartmore Group; NATIONWIDE MUTUAL INSURANCE CO Gate Gourmet Inc; TPG INC GB&T Bancshared, Inc.; SUNTRUST BANKS INC GE Healthcare Financial Services; WELLS FARGO & CO GEICO Corporation; BERKSHIRE HATHAWAY INC Generac Power Systems, Inc..; UNITAS CAPITAL General Nutrition Companies Inc; MADISON DEARBORN PARTNERS LLC General Re Corporation; BERKSHIRE HATHAWAY INC Generali Group; ASSICURAZIONI GENERALI SPA Generali PPF; ASSICURAZIONI GENERALI SPA Generali USA Life Reassurance Company; ASSICURAZIONI GENERALI SPA Generate, Inc.; DOW JONES & CO INC Genix Systems AG; SUNGARD DATA SYSTEMS INC GenSpring Family Offices LLC; SUNTRUST BANKS INC Genworth Seguros Mexico, S.A de C.V.; GENWORTH FINANCIAL INC GFI Energy Ventures LLC; OAKTREE CAPITAL MANAGEMENT LP GFXL Financial Services AG; ADVENT INTERNATIONAL CORPORATION Gibraltar Life; PRUDENTIAL FINANCIAL INC GL Trade; SUNGARD DATA SYSTEMS INC Gleacher Partners, LLC; BROADPOINT GLEACHER SECURITIES GROUP INC Glenwood; MAN GROUP PLC GLG Inc; GLG PARTNERS INC Global Bond Market Neutral; SINOPIA ASSET MANAGEMENT Global Carbon Index; BARCLAYS CAPITAL Global Securities & Economics Group; MERRILL LYNCH & CO INC Global Transaction Banking; BANK OF NOVA SCOTIA (SCOTIABANK) GMAC Financial Services; CERBERUS CAPITAL MANAGEMENT LP Goober Drilling; LEUCADIA NATIONAL CORP Goodbody; ALLIED IRISH BANKS PLC Goodwin Capital Advisors; VIRTUS INVESTMENT PARTNERS INC Graham Packaging Holdings Company; BLACKSTONE GROUP LP (THE) Granville Baird; ROBERT W BAIRD & CO INC Graystone Consulting; MORGAN STANLEY Great Western Bancorporation; NATIONAL AUSTRALIA BANK LTD Great Western Bank; NATIONAL AUSTRALIA BANK LTD



INDEX OF SUBSIDIARIES, BRAND NAMES AND AFFILIATIONS, CONT. GreatBanc, Inc.; CITIZENS FINANCIAL GROUP INC Great-West Lifeco Inc; PUTNAM LLC Green Growth Fund; KLEINER PERKINS CAUFIELD & BYERS Greenhill Capital Partners; GREENHILL & COMPANY INC Greenhill Capital Partners Europe; GREENHILL & COMPANY INC Greenhill SAV Partners; GREENHILL & COMPANY INC Grupo Financiero Santander Mexicano; BANCO SANTANDER CENTRAL HISPANO SA GTBA Holdings, Inc.; WILMINGTON TRUST CORP Guaranty Bank; BBVA (BANCO BILBAO VIZCAYA ARGENTARIA) Guardian Life Insurance Company of America; RS INVESTMENT MANAGEMENT INC Guggenheim Advisors; BANK OF IRELAND Guided Portfolio Solutions; FIRST ALLIED SECURITIES INC Guotai AMC; ASSICURAZIONI GENERALI SPA Guy Carpenter & Company, LLC; MARSH & MCLENNAN COMPANIES INC H&R Block Bank; H&R BLOCK INC H&R Block Financial Advisors; AMERIPRISE FINANCIAL SERVICES INC Haitai Confectionery & Foods Co.; UNITAS CAPITAL Halo Holdings; COMPASS DIVERSIFIED HOLDINGS HALO Lee Wayne LLC; COMPASS DIVERSIFIED HOLDINGS Hanwha Dream & Green Fund; HANWHA SECURITIES CO LTD Hanwha Financial Plaza; HANWHA SECURITIES CO LTD Hanwha Investment & Consulting; HANWHA SECURITIES CO LTD Hanwha Non-Life Insurance; HANWHA SECURITIES CO LTD Harbour Advisors; CI FINANCIAL INCOME FUND Harrah's Entertainment; APOLLO GLOBAL MANAGEMENT LLC Harris; BANK OF MONTREAL (BMO FINANCIAL GROUP) Harris Associates, L.P.; OAKMARK Harris Bankcorp Inc; BANK OF MONTREAL (BMO FINANCIAL GROUP) Harris Investment Management, Inc.; HARRIS BANKCORP INC Harris Investor Services, Inc.; HARRIS BANKCORP INC Harris myCFO Inc.; HARRIS BANKCORP INC Harris Nesbitt; BANK OF MONTREAL (BMO FINANCIAL GROUP) Harris Private Bank; HARRIS BANKCORP INC

Hartford Financial Services Group Inc (The); PUTNAM LLC Hartford International Management Services Company; HARTFORD FINANCIAL SERVICES GROUP INC (THE) Hartford Investment Financial Services, LLC; HARTFORD FINANCIAL SERVICES GROUP INC (THE) Hartford Life and Accident; HARTFORD FINANCIAL SERVICES GROUP INC (THE) Hartford Life and Annuity; HARTFORD FINANCIAL SERVICES GROUP INC (THE) Hartford Life Group Insurance Company; HARTFORD FINANCIAL SERVICES GROUP INC (THE) Hartford Mutual Funds, Inc. (The); HARTFORD FINANCIAL SERVICES GROUP INC (THE) Hawker Beechcraft; ONEX CORPORATION HBOS plc; LLOYDS BANKING GROUP PLC HD Supply; CLAYTON DUBILIER & RICE INC HD Vest, Inc.; WELLS FARGO & CO HDB Financial Services Limited; HDFC BANK LTD HDFC Securities Limited; HDFC BANK LTD Hemospan; LEUCADIA NATIONAL CORP Heritage Bank; US BANCORP Hexion Chemicals; APOLLO GLOBAL MANAGEMENT LLC Hickory Farms; SUN CAPITAL PARTNERS INC Highstreet Partners Ltd.; AGF MANAGEMENT LIMITED Hillross Financial Services; AMP LIMITED Hilton Hotels Corp; BLACKSTONE GROUP LP (THE) Hoenig; INVESTMENT TECHNOLOGY GROUP INC (ITG) Hong Kong Futures Exchange Limited; HONG KONG EXCHANGES & CLEARING LIMITED Hong Kong Securities Clearing Company Limited; HONG KONG EXCHANGES & CLEARING LIMITED Hospital (The); VULCAN INC Hotspot FX holdings; KNIGHT CAPITAL GROUP INC Housing Development Finance Corp Ltd; HDFC BANK LTD HSBC Asset Management (Americas), Inc.; HSBC USA HSBC Asset Management (Americas), Inc.; HSBC NORTH AMERICA HOLDINGS INC HSBC Bank Canada; HSBC NORTH AMERICA HOLDINGS INC HSBC Bank USA; HSBC NORTH AMERICA HOLDINGS INC HSBC Bank USA, NA; HSBC USA HSBC Business Credit (USA), Inc.; HSBC USA HSBC Finance Corporation; HSBC NORTH AMERICA HOLDINGS INC HSBC France; SINOPIA ASSET MANAGEMENT HSBC Group; SINOPIA ASSET MANAGEMENT



INDEX OF SUBSIDIARIES, BRAND NAMES AND AFFILIATIONS, CONT. HSBC Holdings plc; HSBC NORTH AMERICA HOLDINGS INC HSBC Holdings plc; SINOPIA ASSET MANAGEMENT HSBC Holdings PLC; HSBC USA HSBC Insurance Agency (USA), Inc.; HSBC NORTH AMERICA HOLDINGS INC HSBC Insurance Agency (USA), Inc.; HSBC USA HSBC Life Insurance Company Limited; HSBC HOLDINGS PLC HSBC Mortgage Corporation (USA); HSBC USA HSBC Mortgage Corporation (USA); HSBC NORTH AMERICA HOLDINGS INC HSBC Securities (USA), Inc.; HSBC USA HSBC Securities (USA), Inc.; HSBC NORTH AMERICA HOLDINGS INC HSH Nordbank AG; J C FLOWERS & CO LLC Huaneng Invesco WLR Investment Consulting Co Ltd; INVESCO LTD HUB International; APAX PARTNERS LLP HVB Bank; HYPO VEREINSBANK AG (HVB GROUP) HVB Luxembourg Private Banking; HYPO VEREINSBANK AG (HVB GROUP) HVB Wealth Management; HYPO VEREINSBANK AG (HVB GROUP) HydePark; NUVEEN INVESTMENTS INC Hyperion; 3I GROUP PLC Ibbotson Associates; MORNINGSTAR INC IBI Corporate Finance; BANK OF IRELAND ICAP Energy; ICAP PLC ICE Clear; INTERCONTINENTALEXCHANGE INC (ICE) ICE Data; INTERCONTINENTALEXCHANGE INC (ICE) ICE eConfirm; INTERCONTINENTALEXCHANGE INC (ICE) ICE Futures; INTERCONTINENTALEXCHANGE INC (ICE) ICE Markets; INTERCONTINENTALEXCHANGE INC (ICE) ICE Risk Solution; SUNGARD DATA SYSTEMS INC ICE Services; INTERCONTINENTALEXCHANGE INC (ICE) ICEMaker; INTERCONTINENTALEXCHANGE INC (ICE) ICS Building Society; BANK OF IRELAND ICT Insurance; REGIONS FINANCIAL CORP Idaho Timber Corporation; LEUCADIA NATIONAL CORP i-Free; BOC HONG KONG (HOLDINGS) LTD iFund; KLEINER PERKINS CAUFIELD & BYERS IGM Financial Inc; MACKENZIE FINANCIAL CORPORATION IL&FS Investsmart Limited; HSBC HOLDINGS PLC

IMMIT Immobili Italiani S.p.A.; INTESA SANPAOLO SPA iNautix USA; PERSHING LLC Indiana Life Sciences Forum; BURRILL & COMPANY Indigenous Customer Assistance Line; COMMONWEALTH BANK OF AUSTRALIA Individual Client Group; NATIONAL FINANCIAL PARTNERS CORP ING Americas; ING GROUP (ING GROEP NV) ING Clarion; ING NORTH AMERICA INSURANCE CORP ING Direct; ING GROUP (ING GROEP NV) ING Direct; SHAREBUILDER CORP ING Direct; ING NORTH AMERICA INSURANCE CORP ING Group; ING NORTH AMERICA INSURANCE CORP ING Group (ING Groep NV); SHAREBUILDER CORP ING Investment Management Americas; ING NORTH AMERICA INSURANCE CORP ING U.S. Financial Services; ING NORTH AMERICA INSURANCE CORP INNO-BIZ IB Center; KYOBO SECURITIES CO LTD InSight Health Services Corp; CARLYLE GROUP (THE) Instinet Access; INSTINET INC Instinet Group Inc; NOMURA HOLDINGS INC Instinet Group, Inc.; INSTINET INC Instinet LLC; INSTINET INC Institutional Portal; GOLDMAN SACHS GROUP INC INTECH Investment Management LLC; JANUS CAPITAL GROUP INC Interac; BANK OF NOVA SCOTIA (SCOTIABANK) Interactive Brokers Group Inc; INTERACTIVE BROKERS GROUP INC Interactive Data Fixed Income Analytics; INTERACTIVE DATA CORPORATION Interactive Data Pricing and Reference Data; INTERACTIVE DATA CORPORATION Interactive Data Real-Time Services; INTERACTIVE DATA CORPORATION Intergraph Corp; TPG INC Intergraph Corporation; TPG INC International Dairy Queen; BERKSHIRE HATHAWAY INC International Derivatives Clearing Group; NASDAQ OMX InterRisk Research Institute & Consulting, Inc.; MITSUI SUMITOMO INSURANCE GROUP HOLDINGS INC Intesa Vita; INTESA SANPAOLO SPA Intrawest Corporation; FORTRESS INVESTMENT GROUP LLC Invesco AIM Advisors, Inc.; INVESCO AIM MANAGEMENT GROUP INC



INDEX OF SUBSIDIARIES, BRAND NAMES AND AFFILIATIONS, CONT. Invesco Aim Advisors, Inc.; INVESCO AIM MANAGEMENT GROUP INC Invesco AIM Capital Management, Inc.; INVESCO AIM MANAGEMENT GROUP INC Invesco AIM Private Asset Management, Inc.; INVESCO AIM MANAGEMENT GROUP INC Invesco Ltd.; INVESCO AIM MANAGEMENT GROUP INC Invesco Perpetual; INVESCO LTD Invesco PowerShares; INVESCO LTD Invesco Powershares Capital Management LLC; INVESCO AIM MANAGEMENT GROUP INC Invesco Trimark; INVESCO LTD Investacorp Inc; LADENBURG THALMANN FINANCIAL SERVICES Investec Bank (UK) Limited; INVESTEC LIMITED Investec Bank Limited; INVESTEC LIMITED Investec plc; INVESTEC LIMITED Investment Planning Counsel Inc; IGM FINANCIAL INC Investools, Inc.; TD AMERITRADE HOLDING CORP Investors Canadian Money Market Fund; IGM FINANCIAL INC Investors Group Corporate Class Inc Funds; IGM FINANCIAL INC Investors Group, Inc.; IGM FINANCIAL INC Investors Masterseries Funds; IGM FINANCIAL INC Iridian Asset Management; BANK OF IRELAND Iridium Communications, Inc.; GREENHILL & COMPANY INC Iridium Holdings LLC; GREENHILL & COMPANY INC ISM Capital; BROADPOINT GLEACHER SECURITIES GROUP INC Istro Asset Management; KBC GROUP NV Istrobanka; KBC GROUP NV ITF Access; DEPOSITORY TRUST & CLEARING CORPORATION (THE) ITG Analytics, Inc.; INVESTMENT TECHNOLOGY GROUP INC (ITG) ITG Software Solutions, Inc.; INVESTMENT TECHNOLOGY GROUP INC (ITG) ITG Solutions Network, Inc.; INVESTMENT TECHNOLOGY GROUP INC (ITG) Ivy; MACKENZIE FINANCIAL CORPORATION Ivy Funds; WADDELL & REED FINANCIAL INC Ivy Funds Distributors Inc; WADDELL & REED FINANCIAL INC J. & W. Seligman & Co.; AMERIPRISE FINANCIAL SERVICES INC J. Bush & Co.; WEBSTER FINANCIAL CORP J.B. Hanauer & Co; ROYAL BANK OF CANADA (RBC) J.C. Flowers I L.P.; J C FLOWERS & CO LLC J.C. Flowers II L.P.; J C FLOWERS & CO LLC

J.P. Morgan Securities; JP MORGAN CHASE & CO INC Jackson National Life Insurance Company; PRUDENTIAL PLC Jacuzzi Brands; APOLLO GLOBAL MANAGEMENT LLC Janus Capital Management, LLC; JANUS CAPITAL GROUP INC Japan Research Institute, Ltd. (The); SUMITOMO MITSUI FINANCIAL GROUP INC (SMFG) Japan Securities Clearing Corporation; TOKYO STOCK EXCHANGE (TSE) Japan Securities Settlement & Custody, Inc.; TOKYO STOCK EXCHANGE (TSE) Jefferies & Company Inc; JEFFERIES GROUP INC Jefferies Asset Management; JEFFERIES GROUP INC Jefferies Capital Markets; JEFFERIES GROUP INC Jefferies Execution Services; JEFFERIES GROUP INC Jefferies Group Inc; JEFFERIES BROADVIEW Jefferies International Ltd; JEFFERIES GROUP INC JH Essential Income; JOHN HANCOCK FINANCIAL SERVICES INC JH Signature; JOHN HANCOCK FINANCIAL SERVICES INC J-Net Global Indexes; JANNEY MONTGOMERY SCOTT LLC JohnsonDiversey Inc; CLAYTON DUBILIER & RICE INC JP Morgan Commodities Canada Corp.; JP MORGAN CHASE & CO INC JPMorgan Chase Vastera Inc; JP MORGAN CHASE & CO INC JPMorgan Partners; JP MORGAN CHASE & CO INC JRI Solutions, Ltd.; SUMITOMO MITSUI FINANCIAL GROUP INC (SMFG) Juniper Financial Corporation; BARCLAYS PLC Kayne Anderson Rudnick Investment Management; VIRTUS INVESTMENT PARTNERS INC KBC Bank NV; KBC GROUP NV KBC Insurance NV; KBC GROUP NV KBL European Private Bankers; KBC GROUP NV KBSH Capital Management Inc.; CI FINANCIAL INCOME FUND KBW Asset Management, Inc.; KBW INC KBW Inc; KEEFE BRUYETTE & WOODS INC Keefe Bruyette & Woods Limited; KBW INC Keefe, Bruyette & Woods Limited; KEEFE BRUYETTE & WOODS INC Keefe, Bruyette & Woods, Inc.; KBW INC Kenersys; FIRST RESERVE CORPORATION KeyBank National Association; KEYCORP KEYSTONE; MACKENZIE FINANCIAL CORPORATION Kissinger Financial Services; SANDERS MORRIS HARRIS GROUP



INDEX OF SUBSIDIARIES, BRAND NAMES AND AFFILIATIONS, CONT. KKR Private Equity Investors; KKR & CO LP (KOHLBERG KRAVIS ROBERTS & CO) Klockner Pentaplast GMBH & CO KG; BLACKSTONE GROUP LP (THE) Knight Bondpoint, Inc.; KNIGHT CAPITAL GROUP INC Knight Capital Europe Limited; KNIGHT CAPITAL GROUP INC Knight Capital Markets LLC; KNIGHT CAPITAL GROUP INC Knight Direct LLC; KNIGHT CAPITAL GROUP INC Knight Equity Markets L.P.; KNIGHT CAPITAL GROUP INC Knight Libertas Holdings, LLC; KNIGHT CAPITAL GROUP INC Kohlberg Kravis Roberts & Co.; KKR & CO LP (KOHLBERG KRAVIS ROBERTS & CO) Korea Life Insurance; HANWHA SECURITIES CO LTD KPCB XIII; KLEINER PERKINS CAUFIELD & BYERS Kroll Inc; MARSH & MCLENNAN COMPANIES INC Kyobo Best Club; KYOBO SECURITIES CO LTD Kyobo Book Center; KYOBO SECURITIES CO LTD Kyobo Information and Communication; KYOBO SECURITIES CO LTD Kyobo Investment Trust Management; KYOBO SECURITIES CO LTD Kyobo Life Insurance Co., Ltd.; KYOBO SECURITIES CO LTD Kyobo Realco; KYOBO SECURITIES CO LTD La Tour; COLONY CAPITAL LLC LaBranche & Co. LLC; LABRANCHE & CO INC LaBranche Financial Services, LLC; LABRANCHE & CO INC Labranche Structured Holdings, Inc.; LABRANCHE & CO INC LaBranche Structured Products Direct, Inc.; LABRANCHE & CO INC LaBranche Structured Products Europe Limited; LABRANCHE & CO INC LaBranche Structured Products Hong Kong Limited; LABRANCHE & CO INC LaBranche Structured Products, LLC; LABRANCHE & CO INC Ladenburg Thalmann & Co.; LADENBURG THALMANN FINANCIAL SERVICES LAMP Technologies LLC; BANK OF NEW YORK MELLON CORP Lane, Berry & Co. International, LLC; RAYMOND JAMES FINANCIAL INC LCH.Clearnet SA; LCH CLEARNET GROUP LTD LCH.Clearnet, Ltd.; LCH CLEARNET GROUP LTD LCL Credit Lyonnais; CREDIT AGRICOLE SA Legend Natural Gas; CARLYLE GROUP (THE)

Lehman Brothers Holdings, Inc.; NEUBERGER BERMAN GROUP LLC Lehman Brothers Trust Company of Delaware; NEUBERGER BERMAN GROUP LLC Lehman Brothers Trust Company, N.A.; NEUBERGER BERMAN GROUP LLC Les Cent Jalois; ALLIANZ SE LexNet; CANTOR FITZGERALD LP Liberty Insurance Company, Ltd.; LIBERTY MUTUAL GROUP INC Liberty International; LIBERTY MUTUAL GROUP INC Liberty International Underwriters; LIBERTY MUTUAL GROUP INC Liberty Mutual Property; LIBERTY MUTUAL GROUP INC Liberty Mutual Reinsurance; LIBERTY MUTUAL GROUP INC Lifecore Biomedical Inc.; WARBURG PINCUS LLC Limited Stores; SUN CAPITAL PARTNERS INC Lincoln LifeReserve IUL; LINCOLN NATIONAL CORPORATION Lincoln LifeReserve UL; LINCOLN NATIONAL CORPORATION Lincoln UK; LINCOLN NATIONAL CORPORATION Linsco, Inc.; LINSCO/PRIVATE LEDGER CORP Liquidity DIRECT; BANK OF NEW YORK MELLON CORP Live Oak Health Sciences Fund; OAK ASSOCIATES LTD Lloyd's; TRAVELERS COMPANIES INC (THE) Lloyds TSB Bank; LLOYDS BANKING GROUP PLC Lloyds TSB Scotland plc; LLOYDS BANKING GROUP PLC Lockwood Advisors, Inc.; PERSHING LLC Loews Corporation; CNA FINANCIAL CORP Lombard; ROYAL BANK OF SCOTLAND GROUP PLC (THE, RBS) Longleaf Partners Fund; LONGLEAF PARTNERS Longleaf Partners International Fund; LONGLEAF PARTNERS Longleaf Partners Small Cap Fund; LONGLEAF PARTNERS Longview Fibre Company; BROOKFIELD ASSET MANAGEMENT INC LordAbbett.com/Advisor; LORD ABBETT & CO LLC Lyndon Property Insurance; PROTECTIVE LIFE CORP M&G Investments; PRUDENTIAL PLC M&I Brokerage Services, Inc.; MARSHALL & ILSLEY CORP M&I Institutional Real Estate Group; MARSHALL & ILSLEY CORP M&I Investment Management Corp.; MARSHALL & ILSLEY CORP



INDEX OF SUBSIDIARIES, BRAND NAMES AND AFFILIATIONS, CONT. M&I Marshall & Ilsley Bank; MARSHALL & ILSLEY CORP M&I Mortgage Corp.; MARSHALL & ILSLEY CORP MacKenzie Financial Corporation; IGM FINANCIAL INC Madison Dearborn ARTNERS LLC; NUVEEN INVESTMENTS INC Man ECO; MAN GROUP PLC Man Global Strategies; MAN GROUP PLC Man Investments; MAN GROUP PLC Manager Select Portfolios; OPPENHEIMERFUNDS INC Manulife Financial Corporation; JOHN HANCOCK FINANCIAL SERVICES INC Maritima Seguros S.A.; SOMPO JAPAN INSURANCE INC Marken, Ltd.; APAX PARTNERS LLP MarketWatch.com; DOW JONES & CO INC Marsh & McLennan Companies Inc; PUTNAM LLC Marsh, Inc.; MARSH & MCLENNAN COMPANIES INC Marshall & Ilsley Corp; METAVANTE CORPORATION Massachusetts Investors Trust; MASSACHUSETTS FINANCIAL SERVICES COMPANY (MFS) Massachusetts Mutual Life Insurance Co; OPPENHEIMERFUNDS INC MassMutual Global Funding, LLC; MASSACHUSETTS MUTUAL LIFE INSURANCE CO MassMutual Holding Company, Inc.; MASSACHUSETTS MUTUAL LIFE INSURANCE CO MAXIMIS Software; SS&C TECHNOLOGIES INC MBIA Asset Management LLC; MBIA INC MBIA Corp; MBIA INC MBIA Insurance Corp; MBIA INC MBNA Corp.; BANK OF AMERICA CORP McGraw Hill Cos Inc; STANDARD & POORS (S&P) McGraw-Hill Broadcasting; MCGRAW HILL COS INC McGraw-Hill Construction; MCGRAW HILL COS INC McGraw-Hill Education; MCGRAW HILL COS INC Meadowlands Xanadu; COLONY CAPITAL LLC MediaMath Inc; SAFEGUARD SCIENTIFICS INC Medical Park; CARLYLE GROUP (THE) Meiji Life Insurance Company; MEIJI YASUDA LIFE INSURANCE COMPANY Meiji Yasuda America, Inc.; MEIJI YASUDA LIFE INSURANCE COMPANY Meiji Yasuda Asia Limited; MEIJI YASUDA LIFE INSURANCE COMPANY Meiji Yasuda Europe Ltd.; MEIJI YASUDA LIFE INSURANCE COMPANY Mellon Financial Corp.; BANK OF NEW YORK MELLON CORP

Mercer Inc; MARSH & MCLENNAN COMPANIES INC Mercer Specialty Consulting; MARSH & MCLENNAN COMPANIES INC Merrill Lynch; BLACKROCK INC Merrill Lynch & Co.; BANK OF AMERICA CORP Merrill Lynch Bank & Trust Co; MERRILL LYNCH & CO INC Merrill Lynch Investment Managers; BLACKROCK INC Mesirow Advanced Strategies; MESIROW FINANCIAL HOLDINGS INC Mesirow Financial Consulting, LLC; MESIROW FINANCIAL HOLDINGS INC Mesirow Real Estate, Inc; MESIROW FINANCIAL HOLDINGS INC Metavante Corporation; MARSHALL & ILSLEY CORP MetLife Bank; METLIFE INC MFS Institutional Advisors, Inc.; MASSACHUSETTS FINANCIAL SERVICES COMPANY (MFS) MFS International Ltd.; MASSACHUSETTS FINANCIAL SERVICES COMPANY (MFS) MFS Investment Services Group; MASSACHUSETTS FINANCIAL SERVICES COMPANY (MFS) MFS Lifetime Funds; MASSACHUSETTS FINANCIAL SERVICES COMPANY (MFS) MG Financial LLC; ROSENTHAL COLLINS GROUP LLC Midwest Air Group Inc; TPG INC Miller-Green Financial Group; SANDERS MORRIS HARRIS GROUP Minas Brasil Vida e Previdencia; ZURICH FINANCIAL SERVICES GROUP Mitsubishi UFJ Financial Group (MUFJ); ABERDEEN ASSET MANAGEMENT PLC Mitsubishi UFJ Financial Group Inc; MORGAN STANLEY Mitsui Direct General Insurance; MITSUI SUMITOMO INSURANCE GROUP HOLDINGS INC Mitsui Sumitomo Insurance Asset Management Co.; MITSUI SUMITOMO INSURANCE GROUP HOLDINGS INC Mitsui Sumitomo Insurance Co., Ltd.; MITSUI SUMITOMO INSURANCE GROUP HOLDINGS INC Mitsui Sumitomo Insurance Venture Capital Co.; MITSUI SUMITOMO INSURANCE GROUP HOLDINGS INC Mitsui Sumitomo Kirameki Life Insurance Co., Ltd.; MITSUI SUMITOMO INSURANCE GROUP HOLDINGS INC Mitsui Sumitomo MetLife Insurance; MITSUI SUMITOMO INSURANCE GROUP HOLDINGS INC Mizuho Bank, Ltd.; MIZUHO FINANCIAL GROUP INC Mizuho Capital Co., Ltd.; MIZUHO FINANCIAL GROUP INC



INDEX OF SUBSIDIARIES, BRAND NAMES AND AFFILIATIONS, CONT. Mizuho Corporate Bank, Ltd.; MIZUHO FINANCIAL GROUP INC Mizuho Holdings, Inc.; MIZUHO FINANCIAL GROUP INC Mizuho Securities Co., Ltd.; MIZUHO FINANCIAL GROUP INC Mizuho Trust & Banking Co., Ltd.; MIZUHO FINANCIAL GROUP INC ML Stern & Co LLC; SWS GROUP INC MLC; NATIONAL AUSTRALIA BANK LTD MobileBanking; HDFC BANK LTD Momentive Performance Materials, Inc; APOLLO GLOBAL MANAGEMENT LLC MoneyGuard; LINCOLN NATIONAL CORPORATION Montreal Exchange Inc.; TMX GROUP INC MONY Group; AXA FINANCIAL INC MONY Life Insurance Company; AXA FINANCIAL INC MONY Life Insurance Company of America; AXA FINANCIAL INC Moody’s Investors Service; MOODY'S CORPORATION Moody’s KMV; MOODY'S CORPORATION Moody's Economy.com; MOODY'S CORPORATION Morgan Keegan Financial Advisors; MORGAN KEEGAN & CO INC Morgan Keenan & Company; REGIONS FINANCIAL CORP Morgan Stanley; VAN KAMPEN INVESTMENTS INC Morgan Stanley Private Equity; MORGAN STANLEY Morgan Stanley Smith Barney; CITIGROUP INC Morgan Stanley Smith Barney; MORGAN STANLEY MorganMarkets; JP MORGAN CHASE & CO INC Morningstar Rating; MORNINGSTAR INC Morningstar Research, Inc.; MORNINGSTAR INC Morningstar Style Box; MORNINGSTAR INC MRS Group of Companies; MACKENZIE FINANCIAL CORPORATION MRS Securities Services, Inc.; MACKENZIE FINANCIAL CORPORATION MRS Trust Company; MACKENZIE FINANCIAL CORPORATION Multi Asset Class Solutions; CREDIT SUISSE ASSET MANAGEMENT Multiple Retirement Services, Inc.; MACKENZIE FINANCIAL CORPORATION Muriel Siebert & Co., Inc.; SIEBERT FINANCIAL CORP Mutual Care Plus; MUTUAL OF OMAHA COMPANIES (THE) Mutual of Omaha Investors Services, Inc.; MUTUAL OF OMAHA COMPANIES (THE) Mutual Series; FRANKLIN RESOURCES INC (FRANKLIN TEMPLETON)

Mutual Service Corporation; LINSCO/PRIVATE LEDGER CORP nabCapital; NATIONAL AUSTRALIA BANK LTD Nanyang Commercial Bank Ltd; BOC HONG KONG (HOLDINGS) LTD NASD (National Association of Securities Dealers); FINRA (FINANCIAL INDUSTRY REGULATORY AUTHORITY) NASDAQ; SILVER LAKE PARTNERS NASDAQ OMX Baltic; NASDAQ OMX NASDAQ OMX BX; NASDAQ OMX NASDAQ OMX Futures Exchange; NASDAQ OMX NASDAQ OMX Nordic; NASDAQ OMX NASDAQ OMX PHLX; NASDAQ OMX NASDAQ Options Market; NASDAQ OMX NASDAQ Stock Market (The); NASDAQ OMX National City Corporation; PNC FINANCIAL SERVICES GROUP INC National Public Finance Guarantee; MBIA INC National Securities Clearing Corporation; DEPOSITORY TRUST & CLEARING CORPORATION (THE) Nationwide Bank; NATIONWIDE FINANCIAL SERVICES INC Nationwide Corporation; NATIONWIDE FINANCIAL SERVICES INC Nationwide Financial Network; NATIONWIDE FINANCIAL SERVICES INC Nationwide Financial Services Inc; NATIONWIDE FINANCIAL NETWORK Nationwide Financial Services, Inc.; NATIONWIDE MUTUAL INSURANCE CO Nationwide Funds Group; NATIONWIDE FINANCIAL SERVICES INC Nationwide Insurance; NATIONWIDE MUTUAL INSURANCE CO Nationwide Insurance Company; NATIONWIDE FINANCIAL SERVICES INC Nationwide Insurance Company; NATIONWIDE FINANCIAL SERVICES INC Nationwide Life and Annuity Company of America; NATIONWIDE FINANCIAL NETWORK Nationwide Life Insurance Company; NATIONWIDE FINANCIAL SERVICES INC Nationwide Life Insurance Company; NATIONWIDE MUTUAL INSURANCE CO Nationwide Life Insurance Company of America; NATIONWIDE FINANCIAL NETWORK Nationwide Mutual Insurance Co.; NATIONWIDE FINANCIAL SERVICES INC Nationwide Mutual Insurance Company; NATIONWIDE MUTUAL INSURANCE CO Natixis Global Asset Management, L.P; OAKMARK Natural Gas Exchange, Inc. (NGX); TMX GROUP INC NatWest; ROYAL BANK OF SCOTLAND GROUP PLC (THE, RBS)



INDEX OF SUBSIDIARIES, BRAND NAMES AND AFFILIATIONS, CONT. NCI Building Systems Inc; CLAYTON DUBILIER & RICE INC Nedbank Group Limited; OLD MUTUAL PLC NetBank; COMMONWEALTH BANK OF AUSTRALIA NetBanking; HDFC BANK LTD Netjets Inc; BERKSHIRE HATHAWAY INC NetScout Systems, Inc.; SILVER LAKE PARTNERS Neuberger Berman Management, Inc.; NEUBERGER BERMAN GROUP LLC New York Life International LLC; NEW YORK LIFE INSURANCE CO New York Life Investment Management; NEW YORK LIFE INSURANCE CO New York Mercantile Exchange Inc; NEW YORK MERCANTILE EXCHANGE INC NewPage Corp.; CERBERUS CAPITAL MANAGEMENT LP News Corporation Limited (The); DOW JONES & CO INC Nexus Loans; PERSHING LLC NFJ Investment Group; ALLIANZ GLOBAL INVESTORS OF AMERICA LP NFP Securities, Inc.; NATIONAL FINANCIAL PARTNERS CORP NIBC Bank N.V.; J C FLOWERS & CO LLC Nicholas-Applegate Capital Management; ALLIANZ GLOBAL INVESTORS OF AMERICA LP Nikko Citi Business Services, Inc.; CITIGROUP JAPAN HOLDINGS CORP Nikko Citi Holdings Inc.; CITIGROUP JAPAN HOLDINGS CORP Nikko Citigroup Limited; CITIGROUP JAPAN HOLDINGS CORP Nikko Principal Finance Japan G.K.; CITIGROUP JAPAN HOLDINGS CORP NikkoCiti Trust & Banking Corporation; NOMURA HOLDINGS INC Nippon Life Insurance Company; NORTHWESTERN MUTUAL LIFE INSURANCE CO Nippon Life Insurance Company of America; NIPPON LIFE INSURANCE COMPANY NIPPONKOA Insurance Co., Ltd.; SOMPO JAPAN INSURANCE INC Nissay Asset Management Corporation; NIPPON LIFE INSURANCE COMPANY Nissay Dowa General Insurance Co., Ltd.; NIPPON LIFE INSURANCE COMPANY Nissay Great Wall Insurance Co., Ltd.; NIPPON LIFE INSURANCE COMPANY Nissay Insurance Accounts; NIPPON LIFE INSURANCE COMPANY Nissay-SVA Life Insurance Co., Ltd.; NIPPON LIFE INSURANCE COMPANY

Nomura Asia Holding N.V.; NOMURA HOLDINGS INC Nomura Asset Management Co., Ltd.; NOMURA HOLDINGS INC Nomura Europe Holdings plc; NOMURA HOLDINGS INC Nomura Holding America, Inc.; NOMURA HOLDINGS INC Nomura Holdings Inc.; INSTINET INC Nomura Securities Co., Ltd.; NOMURA HOLDINGS INC Nomura Trust & Banking Co., Ltd.; NOMURA HOLDINGS INC Noranda Aluminum; APOLLO GLOBAL MANAGEMENT LLC Norbord, Inc.; BROOKFIELD ASSET MANAGEMENT INC Nordania Leasing; DANSKE BANK AKTIESELSKAB North American Bus Industries; CERBERUS CAPITAL MANAGEMENT LP North Star Deferred Exchange Corp; MARSHALL & ILSLEY CORP Northwest Mutual Life Insurance Company; FRANK RUSSELL COMPANY Northwestern Long Term Care Insurance Company; NORTHWESTERN MUTUAL LIFE INSURANCE CO Northwestern Mutual Financial Network; NORTHWESTERN MUTUAL LIFE INSURANCE CO Northwestern Mutual Investment Services, LLC; NORTHWESTERN MUTUAL LIFE INSURANCE CO Northwestern Mutual Trust Company; NORTHWESTERN MUTUAL LIFE INSURANCE CO Norwegian Cruise Lines; APOLLO GLOBAL MANAGEMENT LLC Nuveen Asset Management; NUVEEN INVESTMENTS INC Nuveen Investments Inc; MADISON DEARBORN PARTNERS LLC Nuveen John Company; NUVEEN INVESTMENTS INC NXP; SILVER LAKE PARTNERS NYSE Amex; NYSE EURONEXT INC NYSE Arca, Inc.; NYSE EURONEXT INC NYSE Euronext Inc; NYSE AMEX LLC NYSE Liffe; NYSE EURONEXT INC NYSE Regulation Inc; FINRA (FINANCIAL INDUSTRY REGULATORY AUTHORITY) NYSE Technologies; NYSE EURONEXT INC Oakhurst Asset Managers; VIRTUS INVESTMENT PARTNERS INC Oakmark Equity and Income Fund (The); OAKMARK Oakmark Fund (The); OAKMARK



INDEX OF SUBSIDIARIES, BRAND NAMES AND AFFILIATIONS, CONT. Oakmark Global Fund (The); OAKMARK Oakmark International Fund (The); OAKMARK Oakmark Select Fund (The); OAKMARK Ocean Life Insurance Co.; DAI-ICHI MUTUAL LIFE INSURANCE COMPANY OCM Investments; OAKTREE CAPITAL MANAGEMENT LP OFI Institutional Asset Management, Inc.; OPPENHEIMERFUNDS INC OFI Private Investments, Inc.; OPPENHEIMERFUNDS INC Ohio Casualty Insurance Company; LIBERTY MUTUAL GROUP INC Old Kent Mortgage Services, Inc.; FIFTH THIRD BANCORP Old Mutual Asset Management; OLD MUTUAL PLC Old Mutual Capital, Inc.; OLD MUTUAL ASSET MANAGEMENT CORP US Old Mutual Fund Managers; OLD MUTUAL PLC Old Mutual plc; OLD MUTUAL ASSET MANAGEMENT CORP US Oliver Wyman Group; MARSH & MCLENNAN COMPANIES INC OM Financial Life Insurance Company; OLD MUTUAL PLC OM Financial Life Insurance Company of New York; OLD MUTUAL PLC Omaha Information Services Company; MUTUAL OF OMAHA COMPANIES (THE) Omego LLC; DEPOSITORY TRUST & CLEARING CORPORATION (THE) Omnium; CITADEL INVESTMENT GROUP LLC One Kings Land; KLEINER PERKINS CAUFIELD & BYERS OneChicago; CHICAGO BOARD OPTIONS EXCHANGE INC (CBOE) OneWest Bank; J C FLOWERS & CO LLC OpenheimerFunds Legacy Program; OPPENHEIMERFUNDS INC OPERS Academy; OHIO PUBLIC EMPLOYEES RETIREMENT SYSTEM Oppenheimer & Co Inc; OPPENHEIMER HOLDINGS INC Oppenheimer Asset Management Inc; OPPENHEIMER HOLDINGS INC Oppenheimer Funds, Inc.; MASSACHUSETTS MUTUAL LIFE INSURANCE CO Oppenheimer Holdings Inc; ALLIANZ GLOBAL INVESTORS OF AMERICA LP Oppenheimer Planning Group; OPPENHEIMER HOLDINGS INC Oppenheimer Trust Company; OPPENHEIMER HOLDINGS INC OppenheimerFunds; TREMONT CAPITAL MANAGEMENT INC

OppenheimerFunds Services; OPPENHEIMERFUNDS INC OPRA; INTERNATIONAL SECURITIES EXCHANGE (ISE) Options Institute (The); CHICAGO BOARD OPTIONS EXCHANGE INC (CBOE) Ore Hill; MAN GROUP PLC Orix Corporation; HOULIHAN LOKEY HOWARD & ZUKIN INC (HOULIHAN LOKEY) Orix USA Corp.; HOULIHAN LOKEY HOWARD & ZUKIN INC (HOULIHAN LOKEY) Osage Bio Energy; FIRST RESERVE CORPORATION Ownership Zones; MORNINGSTAR INC Oyak Bank of Turkey; ING GROUP (ING GROEP NV) Oyak Emeklilik; ING GROUP (ING GROEP NV) Pacific Asset Funding; PACIFIC MUTUAL HOLDING CO Pacific Century Group; PINEBRIDGE GLOBAL INVESTMENTS LLC Pacific Guardian Life Insurance Company, Limited; MEIJI YASUDA LIFE INSURANCE COMPANY Pacific Investment Management Company (PIMCO); ALLIANZ GLOBAL INVESTORS OF AMERICA LP Pacific Life Insurance Co.; PACIFIC MUTUAL HOLDING CO Pacific Life Re; PACIFIC MUTUAL HOLDING CO Pacific LifeCorp; PACIFIC MUTUAL HOLDING CO Parallen Petroleum Corp.; APOLLO GLOBAL MANAGEMENT LLC Parametric Portfolio Associates; EATON VANCE CORP Partnership Marketing Group; ALLSTATE CORPORATION (THE) PBF Energy Partners LP; FIRST RESERVE CORPORATION PCA; PRUDENTIAL PLC Pembra Credit Advisors; MAN GROUP PLC Penn Mutual Life Insurance Company; JANNEY MONTGOMERY SCOTT LLC PeopleAdmin, Inc.; SUMMIT PARTNERS Performance Pathways, Inc.; SUNGARD DATA SYSTEMS INC Perkins Investment Management LLC; JANUS CAPITAL GROUP INC Perkins, Wolf, McDonnell and Company, LLC; JANUS CAPITAL GROUP INC Pershin Advisor Solutions LLC; PERSHING LLC Pershing Limited; PERSHING LLC Pershing LLC; BANK OF NEW YORK MELLON CORP Pershing Prime Services; PERSHING LLC Petco Animal Supplies Inc; TPG INC PFPC; PNC FINANCIAL SERVICES GROUP INC Philadelphia Financial Group; PHOENIX COMPANIES INC (THE)



INDEX OF SUBSIDIARIES, BRAND NAMES AND AFFILIATIONS, CONT. Philanthropic Management; US TRUST BANK OF AMERICA PRIVATE WEALTH MANAGEMENT PHL Variable Insurance Company; PHOENIX COMPANIES INC (THE) Phoenix Companies (The); SCM ADVISORS LLC Phoenix Investment Partners, Ltd; PIONEER INVESTMENT MANAGEMENT USA INC Phoenix Joint Advantage Universal Life; PHOENIX COMPANIES INC (THE) Phoenix Life and Pensions Limited; PRUDENTIAL PLC Phoenix Life Insurance Company; PHOENIX COMPANIES INC (THE) Physicians’ Desk Reference, Inc.; THOMSON REUTERS PIMCO Managed Funds; PACIFIC INVESTMENT MANAGEMENT COMPANY (PIMCO) PIMCO Total Return Fund; PACIFIC INVESTMENT MANAGEMENT COMPANY (PIMCO) PIMCO Variable Insurance Trust; PACIFIC INVESTMENT MANAGEMENT COMPANY (PIMCO) PIMPCO Global Advantage Bond Index; PACIFIC INVESTMENT MANAGEMENT COMPANY (PIMCO) Pin Oak Aggressive Fund; OAK ASSOCIATES LTD Pine Ridge Winery; LEUCADIA NATIONAL CORP PineBridge Global Investments LLC; PINEBRIDGE GLOBAL INVESTMENTS LLC Pioneer Global Investments; PIONEER INVESTMENT MANAGEMENT USA INC Pioneer International Financial Services; PIONEER INVESTMENT MANAGEMENT USA INC Pioneer Investment Management; PIONEER INVESTMENT MANAGEMENT USA INC Piper Jaffray Investment Management LLC; PIPER JAFFRAY COMPANIES Piper Jaffray Private Capital LLC; PIPER JAFFRAY COMPANIES Plexus Plan Sponsor Group, Inc.; INVESTMENT TECHNOLOGY GROUP INC (ITG) PlusBook; INTERACTIVE DATA CORPORATION PMI Canada; PMI GROUP INC (THE) PMI Europe; PMI GROUP INC (THE) PMI Group Inc; FINANCIAL GUARANTY INSURANCE COMPANY PMI Mortgage Insurance Co.; PMI GROUP INC (THE) PNC Financial Services Group, Inc.; BLACKROCK INC Police & Fire Retirement System; NEW YORK STATE AND LOCAL RETIREMENT SYSTEM Portfolio Analytics; FACTSET RESEARCH SYSTEMS INC Portfolio Builder; OPPENHEIMERFUNDS INC Portfolio X-Ray; MORNINGSTAR INC Portland Trailblazers; VULCAN INC

POSIT Alert LLC; INVESTMENT TECHNOLOGY GROUP INC (ITG) Postilion; S1 CORPORATION PPF Group; ASSICURAZIONI GENERALI SPA Predica; CREDIT AGRICOLE SA Premier Entertainment Biloxi; LEUCADIA NATIONAL CORP Premier Foods plc; WARBURG PINCUS LLC Prime Hospitality Corp; BLACKSTONE GROUP LP (THE) PrimeAccess; GOLDMAN SACHS GROUP INC Primerica; CITIGROUP INC PrimeVest Financial Services, Inc.; ING NORTH AMERICA INSURANCE CORP Princeton Retirement Group; HARTFORD FINANCIAL SERVICES GROUP INC (THE) Principal Financial Services, Inc.; PRINCIPAL FINANCIAL GROUP (THE) Principal Healthcare Group; AMP LIMITED Principal International, Inc.; PRINCIPAL FINANCIAL GROUP (THE) Principal Life Insurance Co.; PRINCIPAL FINANCIAL GROUP (THE) Private Bank (The); US TRUST BANK OF AMERICA PRIVATE WEALTH MANAGEMENT Private Equity Partner and Fund Finance Service; INVESTEC LIMITED Private Ledger Corporation; LINSCO/PRIVATE LEDGER CORP Protection SUL-G; JOHN HANCOCK FINANCIAL SERVICES INC Protection UL-G; JOHN HANCOCK FINANCIAL SERVICES INC Protection VUL; JOHN HANCOCK FINANCIAL SERVICES INC Protective Life & Annuity Insurance Company; PROTECTIVE LIFE CORP Protective Life Insurance Company; PROTECTIVE LIFE CORP Protego Casa de Bolsa (PCB); EVERCORE PARTNERS INC Provident Investment Counsel LLC; OLD MUTUAL ASSET MANAGEMENT CORP US Prudent Bear Fund; FEDERATED INVESTORS INC Prudent Global Income Fund; FEDERATED INVESTORS INC Prudential Insurance Company of America; NIPPON LIFE INSURANCE COMPANY Prudential Insurance Company of America (The); PRUDENTIAL FINANCIAL INC Prudential Real Estate Affiliates, Inc.; PRUDENTIAL FINANCIAL INC Prudential Real Estate and Relocation Services; PRUDENTIAL FINANCIAL INC Psagot Investment House Ltd.; APAX PARTNERS LLP



INDEX OF SUBSIDIARIES, BRAND NAMES AND AFFILIATIONS, CONT. PT Bank Ekonomi Raharja Tbk; HSBC HOLDINGS PLC Pure Alpha; BRIDGEWATER ASSOCIATES INC Pure Alpha II; BRIDGEWATER ASSOCIATES INC Putnam LLC; MARSH & MCLENNAN COMPANIES INC Pyramis Global Advisors; FMR CORP (FIDELITY INVESTMENTS) Qatar Investment Authority; LONDON STOCK EXCHANGE PLC (LSE) Quellos Group LLC; BLACKROCK INC Quero-Quero; ADVENT INTERNATIONAL CORPORATION Quitzow Wind Farm; ALLIANZ SE Quiznos; UNITAS CAPITAL RAAL; RADIAN GROUP INC Radian Asset Assurance; RADIAN GROUP INC Radian Guaranty, Inc.; RADIAN GROUP INC Radian Insurance, Inc.; RADIAN GROUP INC Radical; INVESTMENT TECHNOLOGY GROUP INC (ITG) Rai Insurance; ASSICURAZIONI GENERALI SPA Ramius LLC; COWEN GROUP INC RatingsDirect; STANDARD & POORS (S&P) Raymond James & Associates, Inc.; RAYMOND JAMES FINANCIAL INC Raymond James Bank, FSB; RAYMOND JAMES FINANCIAL INC Raymond James Capital, Inc.; RAYMOND JAMES FINANCIAL INC Raymond James Financial Services, Inc.; RAYMOND JAMES FINANCIAL INC Raymond James International Holdings, Inc.; RAYMOND JAMES FINANCIAL INC Raymond James Investment Services, Ltd.; RAYMOND JAMES FINANCIAL INC Raymond James, Ltd.; RAYMOND JAMES FINANCIAL INC RBC Bank (USA); ROYAL BANK OF CANADA (RBC) RBC Builder Finance; ROYAL BANK OF CANADA (RBC) RBC Capital Markets; RBC DOMINION SECURITIES INC RBC Capital Markets; ROYAL BANK OF CANADA (RBC) RBC Capital Markets Corporation; RBC WEALTH MANAGEMENT RBC Capital Partners; RBC CAPITAL MARKETS CORP RBC Dain Rauscher, Inc.; RBC WEALTH MANAGEMENT RBC Dexia Investor Services; DEXIA GROUP RBC Direct Investing; ROYAL BANK OF CANADA (RBC)

RBC Global Prime Services; RBC CAPITAL MARKETS CORP RBC Liberty Insurance; ROYAL BANK OF CANADA (RBC) RBC Royal Bank; ROYAL BANK OF CANADA (RBC) RBC Wealth Management; RBC CAPITAL MARKETS CORP RBS Asset Finance; CITIZENS FINANCIAL GROUP INC RBS Business Capital; CITIZENS FINANCIAL GROUP INC RBS Citizens; CITIZENS FINANCIAL GROUP INC RCG fxtrader; ROSENTHAL COLLINS GROUP LLC RCG Onyx; ROSENTHAL COLLINS GROUP LLC RCG Passport; ROSENTHAL COLLINS GROUP LLC RCG RiskHunter; ROSENTHAL COLLINS GROUP LLC RCM Capital Management; ALLIANZ GLOBAL INVESTORS OF AMERICA LP Realkredit Danmark; DANSKE BANK AKTIESELSKAB Realogy; APOLLO GLOBAL MANAGEMENT LLC Rebsamen Insurance Services; REGIONS FINANCIAL CORP Red Oak Technology Select Fund; OAK ASSOCIATES LTD Regions Agency; REGIONS FINANCIAL CORP Regions Bank; MORGAN KEEGAN & CO INC Regions Bank; REGIONS FINANCIAL CORP Regions Equipment Finance Corporation; REGIONS FINANCIAL CORP Regions Financial Corporation; MORGAN KEEGAN & CO INC Regions Mortgage, Inc.; REGIONS FINANCIAL CORP Reliance Asset Reconstruction Company Ltd; RELIANCE CAPITAL LIMITED Reliance Capital Asset Management Ltd; RELIANCE CAPITAL LIMITED Reliance Capital Markets Pvt Ltd; RELIANCE CAPITAL LIMITED Reliance Capital Research Pvt Ltd; RELIANCE CAPITAL LIMITED Reliance Capital Trustee Co Ltd; RELIANCE CAPITAL LIMITED Reliance General Insurance Company Ltd; RELIANCE CAPITAL LIMITED Reliance Money Ltd; RELIANCE CAPITAL LIMITED Reliance Technology Ventures Pvt Ltd; RELIANCE CAPITAL LIMITED Renesas Technology Corp.; ADVENT INTERNATIONAL CORPORATION RepoClear; LCH CLEARNET GROUP LTD Republic International Bank (Miami); HSBC USA Research Institute for Safety; LIBERTY MUTUAL GROUP INC



INDEX OF SUBSIDIARIES, BRAND NAMES AND AFFILIATIONS, CONT. Retirement Planning Center; CAPITAL GROUP COMPANIES INC (THE, AMERICAN FUNDS) Reuters; THOMSON REUTERS Reuters Group PLC; THOMSON REUTERS Revolution Partners LLC; MORGAN KEEGAN & CO INC R-G Financial Corp; FIFTH THIRD BANCORP RIA Services, Inc.; NATIONWIDE MUTUAL INSURANCE CO Richelieu Finance; KBC GROUP NV River Oak Discovery Fund; OAK ASSOCIATES LTD RiverSource Investments LLC; AMERIPRISE FINANCIAL SERVICES INC RiverSource Life Insurance Company; AMERIPRISE FINANCIAL SERVICES INC RJO Commercial Agri-Business; RJ O'BRIEN & ASSOCIATES RJO Fixed Income; RJ O'BRIEN & ASSOCIATES RJO Individual; RJ O'BRIEN & ASSOCIATES RJO Institutional; RJ O'BRIEN & ASSOCIATES RJO Introducing Broker; RJ O'BRIEN & ASSOCIATES RMF; MAN GROUP PLC Robert W. Baird Group Ltd; ROBERT W BAIRD & CO INC Rock Oak Core Growth Fund; OAK ASSOCIATES LTD Rodney Square Management Corp.; WILMINGTON TRUST CORP Rosbank; SOCIETE GENERALE GROUP Rosenthal Collins Capital Management LLC; ROSENTHAL COLLINS GROUP LLC Rosenthal Collins Global Funds LLC; ROSENTHAL COLLINS GROUP LLC Rosenthal Global Securities LLC; ROSENTHAL COLLINS GROUP LLC Rothschild Bank International Limited; N M ROTHSCHILD & SONS Rothschild Bank Zurich; N M ROTHSCHILD & SONS Rothschild Private Management; N M ROTHSCHILD & SONS Rothschild Trust; N M ROTHSCHILD & SONS Royal Ahold; KKR & CO LP (KOHLBERG KRAVIS ROBERTS & CO) Royal Bank of Canada; RBC CAPITAL MARKETS CORP Royal Bank of Canada; RBC WEALTH MANAGEMENT Royal Bank of Canada; RBC DOMINION SECURITIES INC Royal Bank of Scotland; CITIZENS FINANCIAL GROUP INC Royal Bank Wealth Management; RBC DOMINION SECURITIES INC Royal Philips Electronics; KKR & CO LP (KOHLBERG KRAVIS ROBERTS & CO) Royce & Associates; LEGG MASON INC

RR Donnelley & Sons Co; R R DONNELLEY GLOBAL INVESTMENT MARKETS RR Donnelley & Sons Co.; R R DONNELLEY CAPITAL MARKETS RS Diversified Growth Fund; RS INVESTMENT MANAGEMENT INC RS Global Natural Resources Fund; RS INVESTMENT MANAGEMENT INC RS Growth Fund; RS INVESTMENT MANAGEMENT INC RS Mid Cap Growth Fund; RS INVESTMENT MANAGEMENT INC RS Partners Fund; RS INVESTMENT MANAGEMENT INC RS Smaller Company Growth Fund; RS INVESTMENT MANAGEMENT INC RS Value Fund; RS INVESTMENT MANAGEMENT INC RSM McGladrey, Inc.; H&R BLOCK INC Rundle Energy Partners; RBC CAPITAL MARKETS CORP Rundle Energy Partners Ltd; RBC DOMINION SECURITIES INC Russell 2000; FRANK RUSSELL COMPANY Russell 20-20; FRANK RUSSELL COMPANY Russell EMPulse; FRANK RUSSELL COMPANY Russell Global Indexes; FRANK RUSSELL COMPANY Russell Investment Group; FRANK RUSSELL COMPANY Russell Investments; NORTHWESTERN MUTUAL LIFE INSURANCE CO Rydex Investments; SECURITY BENEFITS GROUP OF COMPANIES S&P 500; STANDARD & POORS (S&P) S&P Global 1200; STANDARD & POORS (S&P) Safeco Insurance Company of America; LIBERTY MUTUAL GROUP INC Safetykleen Europe; WARBURG PINCUS LLC Sakura Card Co., Ltd.; SUMITOMO MITSUI FINANCIAL GROUP INC (SMFG) Sammons Enterprises Inc; MIDLAND NATIONAL LIFE INSURANCE COMPANY Sammons Financial Group; MIDLAND NATIONAL LIFE INSURANCE COMPANY Sanders Morris Harris; SANDERS MORRIS HARRIS GROUP Sanford C. Bernstein & Co., LLC.; ALLIANCEBERNSTEIN HOLDING LP Sangart; LEUCADIA NATIONAL CORP Sankaty Advisors; BAIN CAPITAL LLC Sanpaolo IMI S.p.A.; INTESA SANPAOLO SPA Santa Barbara; NUVEEN INVESTMENTS INC Santander BanCorp; BANCO SANTANDER CENTRAL HISPANO SA



INDEX OF SUBSIDIARIES, BRAND NAMES AND AFFILIATIONS, CONT. Santander Consumer Finance; BANCO SANTANDER CENTRAL HISPANO SA Santander Global Bankng & Markets; BANCO SANTANDER CENTRAL HISPANO SA SASCO Capital; VIRTUS INVESTMENT PARTNERS INC Saxon Financial Inc; IGM FINANCIAL INC SBI Capital Markets Limited; STATE BANK OF INDIA SBI Life Insurance Company Limited; STATE BANK OF INDIA SBS Financial Products Company, LLC; SIEBERT FINANCIAL CORP Scarborough Community Bank underwriting team (The); CNA FINANCIAL CORP Schoellerbank; UNICREDIT SPA (UNICREDIT GROUP) Schroder & Co. Limited; SCHRODERS PLC Schroder Ventures Life Sciences; SCHRODERS PLC Schwab Retirement Plan Service Company; CHARLES SCHWAB CORP (THE) Science Fiction Museum & Hall of Fame; VULCAN INC SCM Advisors; VIRTUS INVESTMENT PARTNERS INC Scotia Capital, Inc.; BANK OF NOVA SCOTIA (SCOTIABANK) Scotia Online Financial Services; BANK OF NOVA SCOTIA (SCOTIABANK) Scotiabank; BANK OF NOVA SCOTIA (SCOTIABANK) Scotsman Industries Inc; WARBURG PINCUS LLC Scottish Widows; LLOYDS BANKING GROUP PLC Scottish Widows Investment Partnership; LLOYDS BANKING GROUP PLC Scottrade OptionsFirst; SCOTTRADE INC scottrade.com; SCOTTRADE INC ScottradeELITE; SCOTTRADE INC Scottsdale Insurance; NATIONWIDE MUTUAL INSURANCE CO se2 (service end2end); SECURITY BENEFITS GROUP OF COMPANIES Seattle Seahawks; VULCAN INC Security Benefit Life Insurance Company; SECURITY BENEFITS GROUP OF COMPANIES Security Distributors, Inc.; SECURITY BENEFITS GROUP OF COMPANIES Seguros ING; AXA GROUP Seguros ING SA de CV; ING GROUP (ING GROEP NV) SEI Investments Distribution Company; SEI INVESTMENTS CO SEI Investments Management Corp.; SEI INVESTMENTS CO SEI Private Trust Company; SEI INVESTMENTS CO SEI Wealth Network; SEI INVESTMENTS CO

Sejong Securities Co., Ltd.; NH INVESTMENT & SECURITIES CO LTD Select Sports Group Holdings LLC; SANDERS MORRIS HARRIS GROUP SELFTRADE; BOURSORAMA Seneca Capital Management LLC; SCM ADVISORS LLC Sensata Technologies; UNITAS CAPITAL Sequoia Capital China; SEQUOIA CAPITAL Sequoia Capital India; SEQUOIA CAPITAL Sequoia Capital Israel; SEQUOIA CAPITAL SET Sqx; LONDON STOCK EXCHANGE PLC (LSE) SETS; LONDON STOCK EXCHANGE PLC (LSE) Seven Network Limited; KKR & CO LP (KOHLBERG KRAVIS ROBERTS & CO) Seven River Capital (SRC); HANWHA SECURITIES CO LTD ShareBuilder; SHAREBUILDER CORP ShareBuilder Corp.; ING GROUP (ING GROEP NV) ShareBuilder Securities Corporation; SHAREBUILDER CORP Shattuck Hammond Partners LLC; MORGAN KEEGAN & CO INC Sherman Financial Services Group LLC; RADIAN GROUP INC Shinko Securities Co., Ltd.; MIZUHO FINANCIAL GROUP INC Shinsei Bank Ltd.; J C FLOWERS & CO LLC Shorcan Brokers Limited; TMX GROUP INC Siam City Bank Pcl; SIAM CITY SECURITIES CO LTD Siebert Women's Financial Network, Inc.; SIEBERT FINANCIAL CORP Siebert, Brandford, Shank & Co., LLC; SIEBERT FINANCIAL CORP SiebertNet; SIEBERT FINANCIAL CORP Signature Advisors; CI FINANCIAL INCOME FUND Silicon Valley Bank; SVB FINANCIAL GROUP Silver Lake Financial; SILVER LAKE PARTNERS Simple Solutions Variable Annuity; METLIFE INC SJA Insurance Agency LLC; SOMPO JAPAN INSURANCE INC Skandia; OLD MUTUAL PLC Skandia Wealth Management; OLD MUTUAL PLC Smart CMA; HANWHA SECURITIES CO LTD SMBC Consulting Co., Ltd.; SUMITOMO MITSUI FINANCIAL GROUP INC (SMFG) SMBC Friend Securities; SUMITOMO MITSUI FINANCIAL GROUP INC (SMFG) SMH Capital Advisors; SANDERS MORRIS HARRIS GROUP SMH Capital Inc; SANDERS MORRIS HARRIS GROUP SMH Private Equity Funds; SANDERS MORRIS HARRIS GROUP



INDEX OF SUBSIDIARIES, BRAND NAMES AND AFFILIATIONS, CONT. Snap Fitness, Inc.; SUMMIT PARTNERS Societe Generale Asset Management; SOCIETE GENERALE GROUP Societe Generale Asset Management UK; GLG PARTNERS INC Societe Generale Group; BOURSORAMA Solitaire; DE LA RUE PLC Sompo Japan Asia Holdings Pte Ltd; SOMPO JAPAN INSURANCE INC Sompo Japan Insurance (China) Co., Ltd.; SOMPO JAPAN INSURANCE INC Sompo Japan Insurance Company of America; SOMPO JAPAN INSURANCE INC Sompo Japan Insurance Company of Europe Limited; SOMPO JAPAN INSURANCE INC Sompo Japan Insurance, Inc.; DAI-ICHI MUTUAL LIFE INSURANCE COMPANY Southeastern Asset Management, Inc; LONGLEAF PARTNERS Southwest Investment Advisors Inc; SWS GROUP INC Southwest Securities FSB; SWS GROUP INC Southwest Securities Inc; SWS GROUP INC Soya Concept; 3I GROUP PLC Spirit Aerosystems, Inc.; ONEX CORPORATION Sports Authority Inc (The); MADISON DEARBORN PARTNERS LLC Spyglass Entertainment; CERBERUS CAPITAL MANAGEMENT LP SS&C Technologies Holdings, Inc.; SS&C TECHNOLOGIES INC St. Andrews Australia Pty Ltd; COMMONWEALTH BANK OF AUSTRALIA St. Paul Companies Inc.; TRAVELERS COMPANIES INC (THE) St. Paul Fire and Marine Insurance Company; TRAVELERS COMPANIES INC (THE) Stable Asset Advisor Fund (The); FIRST AMERICAN FUNDS Staffmark; COMPASS DIVERSIFIED HOLDINGS Standard & Poor's; MCGRAW HILL COS INC Standard Chartered; PRUDENTIAL PLC Star Union Dai-Ichi Life Insurance Company Limited; DAI-ICHI MUTUAL LIFE INSURANCE COMPANY STARTUP Gallery; VULCAN INC State Bank of Bikaner and Jaipur; STATE BANK OF INDIA State Bank of Hyderabad; STATE BANK OF INDIA State Bank of Indore; STATE BANK OF INDIA State Bank of Mysore; STATE BANK OF INDIA State Bank of Patiala; STATE BANK OF INDIA State Bank of Travancore; STATE BANK OF INDIA State Farm Associate and Retail Mutual Funds; STATE FARM INSURANCE COMPANIES State Farm Automobile Insurance Company; STATE FARM INSURANCE COMPANIES

State Farm Bank, F.S.B.; STATE FARM INSURANCE COMPANIES State Farm Fire & Casualty Co.; STATE FARM INSURANCE COMPANIES State Farm General Insurance Company; STATE FARM INSURANCE COMPANIES State Farm Guaranty Insurance Company; STATE FARM INSURANCE COMPANIES State Farm Life & Accident Assurance Co.; STATE FARM INSURANCE COMPANIES State Street Bank and Trust Company; STATE STREET CORP State Street Global Advisors; STATE STREET CORP State Street Investment Analytics Dashboard; STATE STREET CORP Station Casinos Inc; COLONY CAPITAL LLC Stifel Bank & Trust; STIFEL FINANCIAL CORP Stifel Nicolaus & Company Inc; STIFEL FINANCIAL CORP Stifel Nicolaus Ltd; STIFEL FINANCIAL CORP Stock Exchange of Hong Kong Limited (The); HONG KONG EXCHANGES & CLEARING LIMITED Stowers Innovations; AMERICAN CENTURY COMPANIES INC STOXX; DEUTSCHE BORSE AG Structured & Guaranteed Team; SINOPIA ASSET MANAGEMENT Sturm Foods, Inc.; HM CAPITAL PARTNERS LLC Sumitomo Mitsui Banking Corporation; SUMITOMO MITSUI FINANCIAL GROUP INC (SMFG) Sumitomo Mitsui Card Co., Ltd.; SUMITOMO MITSUI FINANCIAL GROUP INC (SMFG) Sumitomo Mitsui Finance and Leasing Company, Ltd.; SUMITOMO MITSUI FINANCIAL GROUP INC (SMFG) Sun Capital Partner Japan K.K.; SUN CAPITAL PARTNERS INC Sun Capital Securities Fund; SUN CAPITAL PARTNERS INC Sun Capital Sourcing (Shenzhen); SUN CAPITAL PARTNERS INC Sun European Partners, LLP; SUN CAPITAL PARTNERS INC Sun Life Financial; MASSACHUSETTS FINANCIAL SERVICES COMPANY (MFS) SunAmerica Annuity and Life Assurance Company; AIG SUNAMERICA INC SunAmerica Capital Services, Inc.; AIG SUNAMERICA INC SunAmerica Life Companies; AIG SUNAMERICA INC SunAmerica Retarment Markets, Inc.; AIG SUNAMERICA INC SunGuard; SILVER LAKE PARTNERS SunTrust Bank; SUNTRUST BANKS INC SunTrust Mortgage, Inc.; SUNTRUST BANKS INC



INDEX OF SUBSIDIARIES, BRAND NAMES AND AFFILIATIONS, CONT. SunTrust Robinson Humphrey; SUNTRUST BANKS INC SVB Analytics; SVB FINANCIAL GROUP SVB Analytics; SVB FINANCIAL GROUP SVB Global; SVB FINANCIAL GROUP SVB India Advisors Pvt. Ltd.; SVB FINANCIAL GROUP SVB Private Client Services; SVB FINANCIAL GROUP SVB Wine Div.; SVB FINANCIAL GROUP SVBeConnect; SVB FINANCIAL GROUP SwapClear; LCH CLEARNET GROUP LTD Swett & Crawford; HM CAPITAL PARTNERS LLC SWS Capital Corporation; SWS GROUP INC SWS Financial Services Inc; SWS GROUP INC Symphony; NUVEEN INVESTMENTS INC T Rowe Price Associates Inc; T ROWE PRICE GROUP INC T Rowe Price Global Asset Management Limited; T ROWE PRICE GROUP INC T Rowe Price Global Investment Services Limited; T ROWE PRICE GROUP INC T Rowe Price International Inc; T ROWE PRICE GROUP INC Tax Services; H&R BLOCK INC TCW Group; SOCIETE GENERALE GROUP TD Ameritrade; TORONTO-DOMINION BANK (TD BANK) TD Ameritrade Corporate Services; TD AMERITRADE HOLDING CORP TD Ameritrade Institutional; TD AMERITRADE HOLDING CORP TD Bank Financial Group; TORONTO-DOMINION BANK (TD BANK) TD Bank NA; TORONTO-DOMINION BANK (TD BANK) TD Canada Trust; TORONTO-DOMINION BANK (TD BANK) TD Meloche Monnex; TORONTO-DOMINION BANK (TD BANK) TD Securities Inc; TORONTO-DOMINION BANK (TD BANK) TD Waterhouse; TORONTO-DOMINION BANK (TD BANK) tdameritrade.com; TD AMERITRADE HOLDING CORP TelecityGroup Plc; 3I GROUP PLC Telerik; SUMMIT PARTNERS Templeton; FRANKLIN RESOURCES INC (FRANKLIN TEMPLETON) Teton Advisors, Inc.; GAMCO INVESTORS INC Tetrem Capital Partners Ltd; CI FINANCIAL INCOME FUND TheNextRound, Inc.; SS&C TECHNOLOGIES INC thinkorswim Group, Inc.; TD AMERITRADE HOLDING CORP

Thomas Weisel Asset Management LLC; THOMAS WEISEL PARTNERS GROUP INC Thomas Weisel Global Growth Partners LLC; THOMAS WEISEL PARTNERS GROUP INC Thomas Weisel Healthcare Venture Partners LLC; THOMAS WEISEL PARTNERS GROUP INC Thomas Weisel Venture Partners LLC; THOMAS WEISEL PARTNERS GROUP INC Thomson; SILVER LAKE PARTNERS Thomson Corporation; THOMSON REUTERS Thomson Elite; THOMSON REUTERS Thomson Reuters Group Limited; THOMSON REUTERS Thomson Reuters Healthcare; THOMSON REUTERS Thomson, Horstmann & Bryant, Inc.; OLD MUTUAL ASSET MANAGEMENT CORP US Threadneedle Asset Management Holdings Sarl; AMERIPRISE FINANCIAL SERVICES INC Thrivent Builds Homes; THRIVENT FINANCIAL FOR LUTHERANS Thrivent Investment Management, Inc.; THRIVENT FINANCIAL FOR LUTHERANS TIAA Traditional Annuity; TIAA-CREF TIAA-CREF Life Insurance Company; TIAA-CREF TIAA-CREF Retirement Systems; TIAA-CREF TIAA-CREF Trust Company; TIAA-CREF TIAA-CREF Tuition Financing, Inc.; TIAA-CREF Timber Hill; INTERACTIVE BROKERS GROUP INC TMX Datalinx; TMX GROUP INC Tommy Hilfiger; APAX PARTNERS LLP TORC Financial LLC; INSTINET INC Toronto Stock Exchange; TMX GROUP INC Tower Asset Management LLC; SWS GROUP INC Tower Australia Group Limited; DAI-ICHI MUTUAL LIFE INSURANCE COMPANY Tower Automotive LLC; CERBERUS CAPITAL MANAGEMENT LP tpEnergyTrade; TULLETT PREBON PLC tpTradeBlade; TULLETT PREBON PLC tpUST; TULLETT PREBON PLC Trade Reporting and Compliance Engine; FINRA (FINANCIAL INDUSTRY REGULATORY AUTHORITY) Tradegate Exchange GmbH; DEUTSCHE BORSE AG Trader Work Station; INTERACTIVE BROKERS GROUP INC TradeStation Europe Ltd; TRADESTATION GROUP INC TradeStation Prime Services; TRADESTATION GROUP INC TradeStation Securities, Inc.; TRADESTATION GROUP INC TradeStation Technologies, Inc.; TRADESTATION GROUP INC



INDEX OF SUBSIDIARIES, BRAND NAMES AND AFFILIATIONS, CONT. Tradewinds Global Investors; NUVEEN INVESTMENTS INC Travelport Limited; BLACKSTONE GROUP LP (THE) Trayport Ltd; GFI GROUP INC Tremont Capital Management, Inc.; OPPENHEIMERFUNDS INC Triad Advisors Inc; LADENBURG THALMANN FINANCIAL SERVICES Triana Energy Investments LLC; MORGAN STANLEY TriOptima; ICAP PLC Triton; INVESTMENT TECHNOLOGY GROUP INC (ITG) TriZetto Group, Inc.; APAX PARTNERS LLP TRUST 3000; SEI INVESTMENTS CO TSX Venture Exchange; TMX GROUP INC Tube City IMS Corp.; ONEX CORPORATION Tuition Management Systems Inc; KEYCORP Tullett Prebon Asia Pacific; TULLETT PREBON PLC Tullett Prebon Electronic Broking; TULLETT PREBON PLC Tullett Prebon Information; TULLETT PREBON PLC U.S. Bancorp; FIRST AMERICAN FUNDS U.S. Bancorp Asset Management; FIRST AMERICAN FUNDS U.S. Bank; US BANCORP UBS AG; UBS INVESTMENT BANK UBS Capital Markets LP; UBS AG UBS Fiduciary Trust Company; WILMINGTON TRUST CORP UBS Investment Bank; UBS AG UBS Securities LLC; UBS INVESTMENT BANK UBS Wealth Management USA; UBS AG U-CYBOS; DAISHIN SECURITIES CO LTD Ulster Bank; ROYAL BANK OF SCOTLAND GROUP PLC (THE, RBS) Ultimate FX; A B WATLEY GROUP INC UltimateTrader; A B WATLEY GROUP INC UniCredit Banca; UNICREDIT SPA (UNICREDIT GROUP) UniCredit Bank Banja Luka; UNICREDIT SPA (UNICREDIT GROUP) UniCredit Bank Russia; UNICREDIT SPA (UNICREDIT GROUP) UniCredit SPA (UniCredit Group); HYPO VEREINSBANK AG (HVB GROUP) UniCredito Italiano SpA; PIONEER INVESTMENT MANAGEMENT USA INC UNIFI, Inc.; CALVERT GROUP LTD Unionamerica Holdings Limited; TRAVELERS COMPANIES INC (THE) United Financial Corp.; US BANCORP United Financial Corporation; CI FINANCIAL INCOME FUND United LTCi Solutions; MUTUAL OF OMAHA COMPANIES (THE)

United of Omaha Life Insurance Company; MUTUAL OF OMAHA COMPANIES (THE) United Road Towing, Inc; CARLYLE GROUP (THE) United World Life Insurance Company; MUTUAL OF OMAHA COMPANIES (THE) Unitek; HM CAPITAL PARTNERS LLC Univision; MADISON DEARBORN PARTNERS LLC US Large-Cap Core Fund (The); T ROWE PRICE GROUP INC US Power Index; BARCLAYS CAPITAL US Trust Corporation; US TRUST BANK OF AMERICA PRIVATE WEALTH MANAGEMENT USAA Alliance Services; USAA USAA Educational Foundation; USAA USAA Investment Management Company; USAA USB Holding Company Inc; KEYCORP USI Holdings Corporation; GOLDMAN SACHS GROUP INC Value Line 600; VALUE LINE INC Value Line Distribution Center, Inc.; VALUE LINE INC Value Line Investment Survey (The); VALUE LINE INC Value Line Publishing, Inc.; VALUE LINE INC ValuTree Real Estate Services LLC; SUNTRUST BANKS INC Van Kampen Funds, Inc.; VAN KAMPEN INVESTMENTS INC Vanderbilt Advertising Agency, Inc.; VALUE LINE INC Vanguard Brokerage Services; VANGUARD GROUP INC (THE) Viasystems; HM CAPITAL PARTNERS LLC Vienna Stock Exchange; DEUTSCHE BORSE AG Virtual Dataroom; R R DONNELLEY CAPITAL MARKETS Virtus Investment Partners Inc; SCM ADVISORS LLC Vista Settlement Services, LLC; FIFTH THIRD BANCORP Vought Aircraft Industries, Inc; CARLYLE GROUP (THE) Vulcan Productions; VULCAN INC W&R Funds Inc; WADDELL & REED FINANCIAL INC W&R Target Funds Inc; WADDELL & REED FINANCIAL INC Wachovia Corp.; WELLS FARGO & CO Wachovia Corporation; WELLS FARGO ADVISORS LLC Wachovia Corporation; WELLS FARGO & CO Wachovia Securities, LLC; WELLS FARGO ADVISORS LLC Waddell & Reed Inc; WADDELL & REED FINANCIAL INC Waddell & Reed InvestEd Plan Inc; WADDELL & REED FINANCIAL INC Waddell & Reed Management Co; WADDELL & REED FINANCIAL INC



INDEX OF SUBSIDIARIES, BRAND NAMES AND AFFILIATIONS, CONT. Wall Street Analytics; MOODY'S CORPORATION Wall Street Journal (The); DOW JONES & CO INC Washington Mutual (WAMU); JP MORGAN CHASE & CO INC Washington National Insurance Company; CONSECO INC Waterstone Financial Group; LINSCO/PRIVATE LEDGER CORP WatleyTrader; A B WATLEY GROUP INC WCI Cable, Inc; CARLYLE GROUP (THE) Wealth Management Capital Holding; HYPO VEREINSBANK AG (HVB GROUP) Web CRD; FINRA (FINANCIAL INDUSTRY REGULATORY AUTHORITY) WebICE; INTERCONTINENTALEXCHANGE INC (ICE) Webster Bank; WEBSTER FINANCIAL CORP Webster Financial Advisors; WEBSTER FINANCIAL CORP Webster Investment Services, Inc.; WEBSTER FINANCIAL CORP Webster Preferred Capital Corporation; WEBSTER FINANCIAL CORP Wells Capital Management; WACHOVIA CORP Wells Capital Management; WELLS FARGO & CO Wells Fargo; WACHOVIA CORP Wells Fargo & Co; EVERGREEN INVESTMENT MANAGEMENT CO LLC Wells Fargo & Company; WELLS CAPITAL MANAGEMENT Wells Fargo & Company; WELLS FARGO ADVISORS LLC Wells Fargo Asset Management Group; EVERGREEN INVESTMENT MANAGEMENT CO LLC Wells Fargo Commercial Electronic Office; WELLS CAPITAL MANAGEMENT Wells Fargo Insurance Services; WELLS FARGO & CO Wells Fargo Securities, LLC.; WACHOVIA CORP West Coast Life Insurance Company; PROTECTIVE LIFE CORP Western Asset Management Company; LEGG MASON INC Westwind Partners; THOMAS WEISEL PARTNERS GROUP INC Westwood; GAMCO INVESTORS INC White Oak Growth Fund; OAK ASSOCIATES LTD Wilmington Trust (UK), Ltd.; WILMINGTON TRUST CORP Wilmington Trust Company; WILMINGTON TRUST CORP Wilmington Trust FSB; WILMINGTON TRUST CORP Wilmington Trust Investment Management, LLC; WILMINGTON TRUST CORP Winslow Capitol Management; NUVEEN INVESTMENTS INC

Wired-World; VULCAN INC WL Ross & Co LLC; INVESCO LTD Woolwich; BARCLAYS PLC Wrightson ICAP; ICAP PLC WT Investments, Inc.; WILMINGTON TRUST CORP Xetra; DEUTSCHE BORSE AG Xiant Filer; VULCAN INC XM Satellite Radio Holdings Inc; MADISON DEARBORN PARTNERS LLC Yamato Life; PRUDENTIAL FINANCIAL INC Yankee Candle Company Inc (The); MADISON DEARBORN PARTNERS LLC Yasuda Mutual Life Insurance Company; MEIJI YASUDA LIFE INSURANCE COMPANY Yasuda Seguros S.A; SOMPO JAPAN INSURANCE INC Yingda Taihe Life Insurance Company; MASSACHUSETTS MUTUAL LIFE INSURANCE CO Yorkshire Bank; NATIONAL AUSTRALIA BANK LTD Young Talents; CREDIT SUISSE GROUP YoungInvestor.com; COLUMBIA MANAGEMENT GROUP INC Zagrebacka Banka; UNICREDIT SPA (UNICREDIT GROUP) Zhong De Securities Company Limited; DEUTSCHE BANK AG Ziegler Equity Funding; ZIEGLER COMPANIES (THE) Ziegler Financing Coroporation; ZIEGLER COMPANIES (THE) Ziegler Healthcare Capital, LLC; ZIEGLER COMPANIES (THE) Ziegler Healthcare Real Estate Fund Management; ZIEGLER COMPANIES (THE) Ziegler HealthVest Management, LLC; ZIEGLER COMPANIES (THE) Ziegler Medical Devices, LLC; ZIEGLER COMPANIES (THE) Zurich Insurance Public Limited Company; ZURICH FINANCIAL SERVICES GROUP Zurich Retail Insurance Ltd; ZURICH FINANCIAL SERVICES GROUP Zurich Sigorta AS; ZURICH FINANCIAL SERVICES GROUP

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