James Rowen

Goldman Sachs & Co. LLC (GS&Co.) is a securities brokerage firm headquartered in New York City. Founded in 1927, the firm is a subsidiary of The Goldman Sachs Group, Inc. (NYSE: GS). GS&Co. provides services to help hedge funds manage risk, monitor portfolios, maintain liquidity and build their businesses. They offer clients access to global equity and derivatives markets, as well as foreign exchange, commodities, European Lefts, rates and credit across the Americas, Europe and Asia. The firm proactively monitors capital markets, searching for pockets of liquidity and news that may require changes to those strategies. Integration with the Goldman Sachs network gives clients access to the firm's sectored block trades and their insights into price discovery. Their electronic trading program provides clients with tools to manage their trades from pre-trade analytics to post-trade analysis.

Credit Suisse Securities (USA) LLC (Credit Suisse Securities USA) is the broker/dealer division of Credit Suisse Securities (USA) LLC, an investment banking company headquartered in New York City. The firm was founded in 1998 and is a wholly owned subsidiary of Credit Suisse (USA), Inc., ultimately owned by Credit Suisse Group AG (SWX: CSGN) in Switzerland. Credit Suisse Securities USA offers a suite of equities, solutions and credit products and services which includes global securities sales, trading and execution, prime brokerage and comprehensive investment research. Their clients include financial institutions, corporations, governments, institutional investors, such as pension funds and hedge funds, and private individuals around the world.

Founded in 1958, Merrill Lynch Piece Fenner & Smith, Inc. is an SEC registered broker/dealer located in New York City. The firm is a subsidiary of BAC North America Holding Co. and their ultimate parent is Bank of America Corp. (NYSE BAC).

Morgan Stanley & Co. LLC is a registered broker-dealer subsidiary of Morgan Stanley Domestic Holdings, Inc., ultimately owned by Morgan Stanley (NYSE: MS) in the US. Headquartered in New York City, the firm was founded in 1987 and provides debt and equity services including underwriting, M&A advice, securities dealing and brokerage and trade execution. Their client base ranges from large global institutional investors to hedge funds at the cutting edge of innovation in the industry.

Barclays Capital, Inc. is a registered broker/dealer headquartered in New York City. The firm was founded in 1997 and is a subsidiary of Barclays Group US, Inc., ultimately owned by Barclays plc (LON: BARC) in Great Britain. Barclays Capital provides large corporate, government and institutional clients a full spectrum of prime brokerage services which includes equities and fixed income financing, OTC Clearing, Futures and Foreign Exchange Prime Brokerage and access to industry insights and analytics from their Strategic Consulting team.

Deutsche Bank Securities, Inc. (DBSI) is a SEC-registered broker/dealer headquartered in New York City. The firm was founded in 1971 and is a wholly-owned investment banking and brokerage arm of DB U.S. Financial Markets Holding Corp., ultimately held by Deutsche Bank AG (NYSE: DB, FRA: DBK) in Germany. DBSI provides securities brokerage and investment advisory services to domestic and international private clients and institutions. They are also a primary dealer in US government securities as designated by the Federal Reserve.

Truist Securities, Inc. is a registered broker-dealer headquartered in Atlanta, Georgia. The firm was founded in 1894 as SunTrust Robinson Humphrey, Inc. In 2020, the firm was renamed following the integration of SunTrust Robinson Humphrey and BB&T Capital Markets. The firm is a subsidiary of Truist Financial Corp. (NYSE: TFC) and is an active market maker in equity and fixed-income products. Truist Securities delivers a comprehensive range of strategic advisory, capital raising, risk management, and financing solutions, as well as a dynamic suite of sales, trading, and research services in both fixed-income and equity. Their strategies are carefully tailored to meet the needs and vision of their clients.

Citigroup Global Markets, Inc. (Broker) (CGMI-Broker) is the broker/dealer division of Citigroup Global Markets, Inc., an investment bank headquartered in New York City with additional offices across the US. The firm was founded in 2004 and is a subsidiary of Citigroup Financial Products, Inc., ultimately held by Citigroup, Inc. (NYSE: C). CGMI-Broker covers all market capitalizations of the major global indices and provides macro and quantitative analysis of global markets and sector trends. Their core focus of the group is to help investing clients make informed decisions by providing value-added, independent, insightful analysis.

BofA Securities, Inc. is a registered broker-dealer subsidiary of NB Holdings Corp., ultimately held by Bank of America Corp. (NYSE: BAC). Headquartered in New York, the firm was founded in 2015 and offers trade execution, trading or brokerage services to institutional clients.

UBS Securities LLC is an investment bank and registered broker/dealer headquartered in New York City. The firm was founded in 1998 as UBS Warburg LLC. They are a subsidiary of UBS Americas Holding LLC, ultimately held by UBS Group AG (SWX: UBSG, NYSE: UBS) in Switzerland. UBS Securities is a primary dealer in US Government securities and provides a full range of investment banking services which includes corporate finance, mergers and acquisitions, capital markets, trading and sales, fixed-income, equity research, private banking, underwriting and prime brokerage operations. The firm also provides advisory services and access to capital markets for corporate, institutional, intermediary and alternative asset management clients.

Founded in 1999 by the late Thomas Watson, Janney Montgomery Scott LLC (JMS) is a full-service financial services firm and registered broker/dealer headquartered in Philadelphia, Pennsylvania. The firm is a subsidiary of Independence Square Properties LLC, itself a subsidiary of Penn Mutual Insurance Co. Their ultimate parent is Harleysville Mutual Insurance Co. JMS is a member of the NYSE, the SIPC and FINRA. The firm provides comprehensive financial advice and services to individual, corporate and institutional investors. Their primary coverage verticals include the consumer, technology, financials and infrastructure sectors.

Wolfe Research LLC is a FINRA-registered sell-side research firm headquartered in New York City. The firm was founded by Edward Wolfe in 2008 and is a subsidiary of Wolfe Holdco LLC. Wolfe Research provides bespoke research of various stocks in every major GIC sector for institutional clients. The firm has established a reputation for macro research underpinning coverage in Industrials, Utilities/Energy, Consumer/Retail, Financials/REITS, Healthcare and TMT.

Northwestern University is a private institution founded in 1851 to serve the Northwest Territory, an area that now includes the states of Ohio, Indiana, Illinois, Michigan, Wisconsin and parts of Minnesota. Northwestern has three campuses

Kidder, Peabody & Co., Inc. provides security brokerage services. The private company is based in Buffalo, NY and has subsidiaries in Switzerland. The company was founded by Thomas W. Ostrander.

Fordham University provides college and university. It offers undergraduate colleges and graduate & professional schools. The company was founded in 1841 and is headquartered in Bronx, NY.

Needham & Co. LLC (Needham) is a registered investment advisor and broker/dealer headquartered in New York City. The firm was founded in 1985 and is a wholly-owned indirect subsidiary of The Needham Group, Inc. Needham provides corporate and institutional clients with high quality research, corporate access, capital markets and trading execution services in both the public and private markets, with an emphasis on growth companies.

Sidoti & Co. LLC (S&C) is a registered broker and equity research firm headquartered in New York City. The firm is a subsidiary of Sidoti Holding Co. LLC and was founded in 1999. S&C provides research exclusively to institutional investors. The firm covers the following sectors: housing, retail, basic industries, technology, business services, capital goods, automotive, computer software, regional banking, telecommunications, entertainment, healthcare and consumer products. Their analysts conduct their own due diligence which includes visiting companies and meeting with operating and financial management. In addition, the firm's analysts focus on fundamentals, particularly cash flow from operations and EPS.

NM Incite was established with the vision that real-time, authentic consumer expression in social media transforms how marketers build strong brands, create passionate and engaged brand communities, and ultimately achieve superior sales outcomes. NM Incite customers are innovative, global marketing executives in brand management, consumer insights and market research at leading Consumer Packaged Goods (CPG), Financial Services, Healthcare, TV and Technology companies. They understand that winning in today's social world hinges on developing deeper and more provocative consumer and market insights to create superior marketing strategies, boost brand strength, develop new products, innovate in customer care and maximize the impact of marketing campaigns. NM Incite is a joint venture between Nielsen and McKinsey & Company, bringing to bear deep expertise in measurement science and management consulting. As one of the largest global leaders in applying social media to solve marketing problems, NM Incite operates in over 30 markets, including the United States, Canada, United Kingdom, Germany, China, India, Japan and Australia.

Truven Health Analytics, Inc. provides cloud-based healthcare data, analytics, and consulting services. It offer brands in healthcare such as MarketScan, 100 Top Hospitals, Advantage Suite, Micromedex, Simpler, ActionOI, and JWA. The company is headquartered in Ann Arbor, MI.

The Wall Street Journal, Inc. publishes newspapers and periodicals. It covers international business, financial news, and issues of the United States. The company was established in 1889 and is headquartered in New York, NY.

NYU Elaine A. & Kenneth G. Langone Medical Center provides health care services. It offers treatments for bone, joint, and muscle disorders; brain and nervous system disorders cancers, tumors and blood disorders; genetic and chromosomal disorders and immune system disorders. The company was founded in 1841 and is headquartered in New York, NY.

Graham Partners, Inc (Graham Partners) is a private equity subsidiary of The Graham Group Inc founded in 1988 by Steve C. Graham. The firm is headquartered in Newtown Square, Pennsylvania.

National Securities Corp., a subsidiary of National Holdings Corp., is an international, full-service, independent brokerage firm with a diverse base of retail and institutional clients. National Securities was founded in 1947 in Seattle, Washington with the goal of providing a full suite of financial products and services to its registered representatives and clients. The firm and their subsidiaries are headquartered in New York City and Seattle and have a multitude of domestic and international offices that provide a broad range of securities brokerage, financial planning, and investment services, as well as corporate finance and investment banking services to corporations and businesses. National Securities' representatives are primarily independent contractors who operate their business with freedom and flexibility in advising their clients. The firm is a member FINRA/SIPC.

Wells Fargo Securities LLC (WFS) is the broker/dealer subsidiary of EVEREN Capital Corp., ultimately owned by Wells Fargo & Co. (NYSE: WFC). Headquartered in New York, WFS delivers a comprehensive suite of banking, capital markets and advisory solutions, such as a full complement of sales, trading and research capabilities, to corporate, government and institutional clients.

AllianceBernstein LP (AB) is a SEC-registered investment advisor and mutual fund manager headquartered in Nashville, Tennessee. Founded in 2000, the firm is owned by Equitable Financial Life Insurance Co., ultimately held by Equitable Holdings, Inc. (NYSE: EQH). AB provides investment advice to investment companies, pension and profit-sharing plans, banks and thrift institutions, trusts, estates, government agencies, charitable organizations, individuals, corporations and other business entities.

Founded in 2007, Quad Capital Management LLC is a hedge fund manager located in New York City.

Consumer Edge Research LLC, dba Consumer Edge (CE), is an equity research holding firm headquartered in New York City. The firm was founded by Bill Pecoriello in 2009. They offer consumer data solutions for everyone from public and private investors to corporate decision makers and strategists. CE focuses on the global consumer sector such as the beverages, food, cosmetics, household/personal care and tobacco industries. Data is gathered both from global syndicated sources as well as primary research surveys, channel checks and other proprietary data collection.

BNP Paribas Asset Management USA, Inc. (BNPP AM USA) is a SEC-registered investment advisor headquartered in New York City. The firm was founded in 1972 as Fischer Francis Trees & Watts, Inc. (FFTW). In 2015, FFTW’s affiliated US registered investment advisor, BNP Paribas Asset Management Inc., was merged into FFTW. FFTW was re-branded as BNP Paribas Asset Management USA, Inc. in 2017. The firm is a wholly-owned subsidiary of BNP Paribas Asset Management USA Holdings, Inc. (BNPP AM), part of the International Financial Services division of BNP Paribas SA (EPA: BNP) (BNPP) in France. BNPP AM USA provides customized investment management services to institutional clients. The firm also provides non-discretionary investment management activities and/or acts as collateral manager for structured products such as CDOs and CLOs.

CRISIL Irevna US LLC provides research and analytics outsourcing services. The company is headquartered in New York, NY.

Headquartered in Fort Lauderdale, Florida, Newbridge Securities Corp. is a full-service securities brokerage and investment bank. They provide services to a broad based group of individuals and corporate clients. The core focus of their institutional research department is to identify companies with substantial, but realistic growth potential and whose shares are attractively valued. It is this attention to high-growth segments of the market that lead them to identify nanotechnology as an emerging trend that is spawning innovation in a range of industrial sectors. Newbridge is a member of the NASD and the SIPC. They are a subsidiary of Pershing LLC. Their ultimate parent is The Bank of New York Mellon Corp. (NYSE: BK).