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Prime Brokerage Ranking 2012 (Contacts)

Prime Brokerage Ranking 2012 (Contacts)

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Prime Brokerage Ranking 2012

Ranking and Interviews Prime Brokerage Contacts

Bank of America Merrill Lynch Global head(s) Stu Hendel stu.hendel@baml.com (646) 855-0770 Custody Yes Regional head(s) Jon Yalmokas (Americas) jon.yalmokas@baml.com (646) 855-0770 Specialties Heavily multistrategy. Most equity long short strategies. Staffing 400-500 Cap Intro head(s) Mike Terry mterry@baml.com (646) 855-0770 Tri-party swaps Selectively

No. of clients Not provided

Offices 11

Barclays Global head(s) Ajay Nagpal ajay.nagpal@barclayscapit al.com (212) 526-6546 Sales head(s) Marty Malloy Marty.malloy@barcap.com (212) 528-7543 Cap Intro head(s) Lou Molinari louis.molinari@barclayscapital. com (212) 526-0742

Custody Yes as part of normal prime brokerage operation. No separate entity to custody excess long positions.

Specialties Specializes in multistrategy, but services all types. Now has a dedicated equity division.

Tri-party swaps Yes

No. of clients Not provided

Staffing Approximately 520

Offices 7

BNP Paribas Global head(s) Sales head(s) J.P. Muir (Americas) jp.muir@us.bnpparibas.com (212) 471-6818 Matt Pinnock (International) matt.pinnock@us.bnpparibas.com +44 207-595-1299 Custody Yes Specialties Specializes in long/short equity. Also works closely with arbitrage and multistrategy. Capable of servicing all types. Cap Intro head(s) Emma Sugarman emma.sugarman@us.bnpparib as.com (212) 471-6785

Tri-party swaps Yes. Beginning June 2012.

No. of clients

Staffing

Offices

About 240

Approximately 250

6

Citi Global head(s) Nick Roe (Global) nick.roe@citi.com +44 (20) 7986-6487 Alan Pace (U.S.) alan.pace@citi.com +1 (212) 723-5199 Sales head(s) Keith Gertsen (Head of SFS and Prime Finance Sales) Keith.gertsen@citi.com (212) 723-4661 Mark Aldoroty (Head of Prime Finance Sales in the Americas) mark.j.aldoroty@citi.com (212) 723-5640 Paul Harvey ( Head of Prime Finance Sales in EMEA) paul.andrew.harvey@citi.com +44 207-986-3359 Martin Visairas (Head of Prime Finance Sales in APAC) martin.visairas@citi.com +852 2501-8294 Custody Specialties Cap Intro head(s) Chris Greer (Global Head of Capital Introductions) chris.greer@citi.com (212) 723-9597 Beth Neely (Head of Capital Introduction in the Americas) elizabeth.a.neely@citi.com (212) 723-5791 Christy York (Head of Capital Introduction in EMEA) christy.york@citi.com +44 207-986-0824 Martin Visairas (Head of Capital Introduction in APAC) martin.visairas@citi.com +852 2501-8294 Tri-party swaps

Yes

Specializes in multistrategy, but services all types. Now has a dedicated equity division. Staffing

Yes

No. of clients

Offices

241 unique to Prime Finance 141 unique to Futures 353 unique to PF&F combined

Client service: 68 US (PF: 31 / OTC: 4 / Futures / ETD: 8) APAC (PF: 11 / OTC: 1) EMEA (PF: 11 / OTC: 2) Operations: 90 Middle Office (US: 25 / EMEA: 48 / APAC: 5) Transitions (US: 12) Cap intro: 20 (US: 11 / APAC-: 5 / EMEA -: 4) Consulting: 9 (US: 7 / APAC: 1 / EMEA: 1) Sales: 29 (US: 17 / APAC: 6 / EMEA: 6)

7 (New York, San Francisco, London, Hong Kong, Singapore, Sydney, Tokyo)

Credit Suisse Global head(s) Philip Vasan philip.vasan@creditsuisse.com (212) 325-2000 Custody Yes Sales head(s) Paul Germain paul.germain@creditsuisse.com (212) 325-2000 Specialties Across the capital spectrum. Particularly strong in equities, futures, swaps, OTC clearing. Cap Intro head(s) Bob Leonard robert.leonard@creditsuisse.com (212) 325-2000 Tri-party swaps Yes

No. of clients 400 to 500

Staffing Not provided

Offices 22

Deutsche Bank Global head(s) Barry Bausano barry.bausano@db.com (212) 250-4792 Sales head(s) Scott Carter scott.carter@db.com (212) 250-4950 Cap Intro head(s) Anita Nemes (Global) anita.nemes@db.com +44 207-545-7845 Marlin Naidoo (Americas) Marlin.naidoo@db.com 212-250-8680 Custody Yes No. of clients Not provided Specialities Everything Staffing Not provided Tri-party swaps Yes Offices 70 globally, including 40 trading rooms.

Goldman Sachs Global head(s) John Willian Sales head(s) Dean Backer (Global) Cap Intro head(s) David Z. Solomon (Global)

John.willian@gs.com (212) 902-1000

dean.backer@gs.com (212) 902-1000 John Levene (U.S.) john.levene@gs.com (212) 902-1000 Aidan Dunn (Europe) aidan.dunn@gs.com +44 207-774-1000 Shane Bolton (Asia) shane.bolton@gs.com +852-2978-1000

david.z.solomon@gs.com (212) 902-1000 Marc Gilly (Global) marc.gilly@gs.com (212) 902-1000 Diana Dieckman (U.S.) Diana.dieckman@gs.com +44-20-7774-1000 Nick Guano (Europe) nick.guano@gs.com +44 207-774-1000 Laurianne Curtil (Asia) laurianne.curtil@gs.com +852-2978-1000

Custody Yes

Specialties Everything (equities, credit, foreign exchange, options) except mortgage-backed securities. Staffing Not provided

Tri-party swaps Yes

No. of clients Not provided

Offices HQ in New York. All locations: http://www.goldmansachs.com/ who-weare/locations/index.html

J.P. Morgan

Global head(s) Lou Lebedin louis.lebedin@jpmorgan.co m

Sales head(s) Paul Brannan paul.brannan@jpmorgan.com (212) 622-0503

Cap Intro head(s) Alessandra Tocco alessandra.tocco@jpmorgan.co m (212) 272-9132 Tri-party swaps On a case-by-case basis.

Custody Yes

Specialties Everything. Expanding quickly in fixed income. Staffing Not provided

No. of clients Not provided

Offices 8

Morgan Stanley Global head(s) Alex Ehrlich Alex.Ehrlich@morganstanle y.com (212) 761-1115 Regional head(s) Ed Keller (Americas) Ed.Keller@morganstanley.com (212) 761-5555 Warren Holmes (EMEA) Warren.Holmes@morganstanl ey.com +44 20 7425-8132 Mehdee Reza (Asia/Pacific) Mehdee.Reza@morganstanley .com Cap Intro head(s) Darren Levy (Americas) (212) 761-1047 Darren.Levy@morganstanley.c om Will Smith (EMEA) +44 207-425-4843 William.J.Smith@morganstanle y.com Hugh Abdullah (Asia/Pacific) Hugh.Abdullah@morganstanle y.com

+852 2848-6940 Custody Not provided No. of clients Not provided Specialties Not provided Staffing Not provided

+852 2239-7377 Tri-party swaps Not provided Offices Hong Kong, Tokyo, Sydney, London, Dubai, New York, Boston, Chicago, San Francisco, Dallas, Toronto, Sao Paolo

Newedge Global head(s) Brian Walls brian.walls@newedge.com 312-762-1129 Sales head(s) Jonathan Gane jonathan.gane@newedge.com (646) 557-7966 Cap Intro head(s) Duncan Crawford duncan.crawford@newedge.co m +44 207-676 8504 Tri-party swaps

Custody

Specialties

Yes

Traditionally CTA and global macro. Expanding into other liquid strategies. Staffing

On a case-by-case basis, in Europe.

No. of clients

Offices

Not provided

Approximately 150

23

UBS Global head(s) Jason Barron jason.barron@ubs.com +44 207-568-9536 Regional head(s) Reinhardt Olsen (Americas) (212) 713-1415 reinhardt.olsen@ubs.com Christopher Hagstrom (Americas sales) christopher.hagstrom@ubs.co m (212) 713-9924 Ashley McLucas (Europe) ashley.mclucas@ubs.com +44 207-567-4397 Richard Heyes (Europe sales) richard.heyes@ubs.com +44 207-567-9210 Tim Wannenmacher (Asia Pacific) tim.wannenmacher@ubs.com +852 2971-8823 Tamera Hodges (Asia Pacific sales) Tamera.Hodges@ubs.com +65 64955102 Custody Specialties Tri-party swaps Cap Intro head(s) Robert Sachs (Global) robert.sachs@ubs.com (212) 713-9276

Yes

Cover all products. Equity, foreign exchange and credit. Staffing

Yes

No. of clients

Offices

500+

Client service: 70 Cap intro: 25 Consulting: 10 Sales: 50

Offices in 75 countries

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