Leila B. Heckman

Provides investment banking, securities trading and brokerage Services

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Functions as a College/University

AB is a research-driven investment adviser that is global in scope and client-centered in their approach. The firm’s global team of research professionals, whose disciplines include economics, fundamental equity, fixed income and quantitative research, gives them a competitive advantage in achieving investment success for their clients. Within these research disciplines, they also have investment professionals that focus on multi-asset, wealth management and alternative investment strategies.

Roosevelt Investments manages several equity, fixed income, balanced and customized strategies. The firm offers actively managed domestic equity strategies that break away from the traditional mold of style box investing and pursue a flexible approach. They look for both stocks that are out-of-favor and considered undervalued (Value), as well as stocks with under-appreciated growth potential (Growth). These strategies typically employ the firm's thematic process, which is a synthesis of top-down and bottom-up methods. Their fixed income strategies include both global and domestic actively managed multi-sector fixed income strategies across the risk/return spectrum. Roosevelt Investments’ active risk management and thematic processes may be used in their global fixed income strategy but is not typically employed in their domestic fixed income strategies.

Lebenthal Asset Management's (LAM) equity strategy focuses on a broad range of equity investment styles including growth, core, and value, as well as portfolios designed to be style-neutral. Some client accounts focus on specific ranges on the capitalization scale, from micro-cap through mega-cap. Others focus on investment opportunities in more than one capitalization category or across all capitalization levels. In addition, LAM manages client accounts that are global, multi-national, or focused on particular geographic regions or specific countries. LAM engages in a buy and hold investment strategy in which they buy securities and hold them for a relatively longer period of time, regardless of short-term factors such as market fluctuations or volatile stock prices. They employ a fundamental value strategy that seeks to invest in asset-oriented securities believed to be undervalued by the market. The firm engages in a global macro investing strategy that attempts to anticipate global macroeconomic events using discretionary selection, pre-determined mathematical trading models or a combination of both. LAM's capital growth investment strategy seeks to invest in securities of companies whose earnings are expected to grow at an above-average rate as compared to their specific industry or the overall market. LAM utilizes a variety of financial instruments such as derivatives, options, interest rate swaps, caps and floors, ETFs, futures and forward contracts for risk management purposes. They occasionally employ the use of leverage. The firm engages in various option trading investment strategies including writing covered calls, buying calls and buying naked puts. LAM also engages in short selling strategies as a form of hedging to offset potential declines in long positions in similar securities, to maintain flexibility and for profit.

Functions as a College/University

Provides equity investment research services

Mesirow Financial invests in companies located in North America and Western Europe. The firm focuses on a broad range of sectors and industries. It provides financing for later stage, buyout, growth and secondaries transactions. The firm makes co-investments.