2020 Investment Banks

24 LOS ANGELES BUSINESS JOURNAL

APRIL 6, 2020

THE LIST

INVESTMENT BANKS

Ranked by number of FINRA-licensed investment bankers in L.A. County

Rank

1

Investment Bank

? name ? address ? website

Houlihan Lokey Inc. 10250 Constellation Blvd., Fifth Floor Los Angeles 90067

L.A.

Deal Volume Services Offered

County ? 2019 $ volume (partial list)

Employees (in millions)

? licensed ? 2019 # of deals

bankers

119

NA M&A, fairness opinions, solvency opinions,

261 private debt and equity placements, due

diligence, restructuring

Industry Focus (partial list)

Profile

? headquarters ? offices (L.A./total)

Top Local Executive

? name ? title ? phone

aerospace, business services,

Los Angeles Scott Beiser

consumer, energy, media, finance 1 / 22

CEO

(310) 553-8871

Moelis & Co.

56

NA M&A, restructuring, financial institutions

consumer, retail, technology,

New York Kenneth Moelis

2

1999 Avenue of the Stars, Suite 1900

advisory, capital solutions, risk advisory,

financial, energy, media, industrial 1 / 20

CEO

Los Angeles 90067

capital markets, private funds advisory,

(310) 443-2300



sovereign advisory, shareholder advisory

Duff & Phelps

30

NA M&A, fairness opinions, solvency opinions, aerospace and defense,

New York Sherry Cefali

3

10100 Santa Monica Blvd., Suite 1100

private debt and equity placements, due

consumer, technology, health

1 / 70

Managing Director

Los Angeles 90067

diligence, restructuring

care, industrial

(424) 249-1650



Intrepid Investment Bankers 11755 Wilshire Blvd., 22nd Floor Los Angeles 90025

30

NA M&A, fairness opinions, solvency opinions, business services, apparel and Los Angeles Eduard Bagdasarian

private debt and equity placements, due

lifestyle brands, beauty and

1 / 1

CEO, Managing

diligence, restructuring

personal care, food, beverage and

Director

agriculture, digital media

(310) 478-9000

Growthink Capital 10250 Constellation Blvd., Suite 2300 Los Angeles 90067

30

300 M&A, fairness opinions, private debt and

computer hardware and software, Los Angeles Jay Turo

15 equity placements, due diligence,

consumer products, distribution 4 / 7

David Lavinsky

restructuring

and logistics, financial services,

Jeff Jones

gaming, health care

Managing Directors

(310) 846-5004

FocalPoint Partners

271

NA M&A, private debt and equity placements, consumer, industrial, health care, Los Angeles Duane Stullich

6

11150 Santa Monica Blvd., Suite 1550

restructuring

technology, media and

1 / 3

Nishen Radia

Los Angeles 90025

entertainment, business services,

Rajesh Sood



aerospace and defense

Managing Partners

(310) 405-7000

Imperial Capital

26

NA M&A, fairness opinions, solvency opinions, aerospace and defense, business Los Angeles Randall Wooster

7

10100 Santa Monica Blvd., Suite 2400

private debt and equity placements, due

services, consumer, energy,

1 / 11

CEO

Los Angeles 90067

diligence, restructuring, IPO underwriting, financial services, gaming, lodging

(310) 246-3700



PIPE financing

and leisure, industrial

Cappello Global

24

NA M&A, fairness opinions, solvency opinions, business services, consumer

Los Angeles Alexander Cappello

8

10990 Wilshire Blvd., Suite 1200

private debt and equity placements, due

products, energy, financial

1 / 6

CEO, Chairman

Los Angeles 90024

diligence, restructuring, PIPE financing,

services, health care, industrial,

(310) 393-6632



cross-border advisory

agriculture, technology, media

Rothschild & Co.

231

NA M&A, growth capital raising, equity and debt automotive, business services, New York / David Baron

9

10100 Santa Monica Blvd., Suite 1250

advisory, restructuring

consumer, financial services,

London

Head of Western

Los Angeles 90067

industrial, technology

1 / 52

Region



(310) 432-4310

Hamilton Grant

21

NA M&A, fairness opinions, private debt and

middle-market companies

Pasadena Donald Bizub

10

70 S. Lake Ave, Seventh Floor

equity placements, restructuring, capital

3 / 5

CEO

Pasadena 91101

structuring, leveraged buyouts, business

(310) 846-3800



strategy consulting

Lincoln International

11

633 W. 5th St., 66th Floor

Los Angeles 90071



20

NA M&A, fairness opinions, private debt and

business services, consumer,

Chicago

Christopher

equity placements, restructuring, capital

energy, power and infrastructure, 1 / 21

Petrossian

advisory, joint ventures and partnering,

health care, industrial, technology,

Managing Director

valuations and opinions

media and telecom

(213) 283-3700

New Century Capital Partners

161

NA M&A, fairness opinions, private debt and

technology, internet/digital media, Santa

Mark Salter

12

1510 11th St., Suite 203

equity placements

health care, clean technology

Monica

CEO, President

Santa Monica 90401

1 / 4

(310) 451-9073



Montminy & Co.

14

NA M&A, fairness opinions, private debt and

business and financial; consumer, Los Angeles Joel Montminy

13

12100 Wilshire Blvd., Suite 150

equity placements, due diligence,

retail and restaurants; health care 1 / 1

CEO, President

Los Angeles 90025

restructuring, financing advisory services, and life sciences; industrial and

(310) 230-8600



merchant banking, valuation services

manufacturing; real estate

Greif & Co. 633 W. 5th St., 65th Floor Los Angeles 90071

14

NA M&A, fairness opinions, private debt and

consumer and retail, industrial

Los Angeles Lloyd Greif

equity placements, restructuring, PIPE

manufacturing and distribution, 1 / 1

CEO, President

financing, strategic advisory

technology, health care, food,

(213) 346-9250

business services

CriticalPoint Partners 1230 Rosecrans Ave., Suite 170 Manhattan Beach 90266

14

NA M&A, private debt and equity placements, consumer, industrial, aerospace Los Angeles Matt Young

due diligence, restructuring

and defense, manufacturing,

1 / 1

CEO

business services, apparel,

(310) 321-4400

distribution/logistics, building

products

1 Business Journal estimate. NA - Not Available Note: Information was provided by representatives of the companies and public filings. Investment banks are ranked by the number of FINRA-licensed bankers in L.A. County offices. Goldman Sachs Group Inc., Hadley Partners Inc., Covert & Co., Lionfish Advisors and other firms may have qualified for this list but declined to provide number of local FINRA-licensed bankers. To the best of our knowledge, this information is accurate as of press time.

While every effort is made to ensure the accuracy and thoroughness of the list, omissions and typographical errors sometimes occur. Please send corrections or additions on company letterhead to the Research Department, Los Angeles Business Journal, 11150 Santa Monica Blvd., Suite 350, Los Angeles 90025. ?2020 Los Angeles Business Journal. This list may not be reprinted in whole or in part without prior written permission from the editor. Reprints are available from Wright's Media (877) 652-5295.

Researched by Joshua Niv

Continued on page 26

26 LOS ANGELES BUSINESS JOURNAL

THE LIST

APRIL 6, 2020

INVESTMENT BANKS Continued from page 24

Rank

Investment Bank

? name ? address ? website

Salem Partners 11111 Santa Monica Blvd., Suite 2250 Los Angeles 90025

L.A.

Deal Volume Services Offered

County ? 2019 $ volume (partial list)

Employees (in millions)

? licensed ? 2019 # of deals

bankers

14

NA M&A, fairness opinions, solvency opinions,

private debt and equity placements, due

diligence

Industry Focus (partial list)

aerospace and defense, life sciences, media and entertainment

B. Riley FBR

12

NA M&A, fairness opinions, solvency opinions, all industries

17

11100 Santa Monica Blvd., Suite 800

private debt and equity placements, due

Los Angeles 90025

diligence



Profile

? headquarters ? offices (L.A./total)

Top Local Executive

? name ? title ? phone

Los Angeles 1 / 2

Los Angeles 1 / 10

John Dyett Stephen Prough Managing Directors, Founders (310) 806-4200

Andy Moore CEO, B. Riley FBR (310) 966-1444

Stout Risius Ross

121

10100 Santa Monica Blvd., Suite 1050

Los Angeles 90067



NA M&A, fairness opinions, solvency opinions, private debt and equity placements, restructuring, valuations

aerospace and defense, automotive, business services, consumer, retail, food, industrial, energy, health care, life sciences

Chicago 1 / 21

John Calcagnini Managing Partner (310) 601-2300

Diamond Capital Advisors 1875 Century Park East, Suite 1220 Los Angeles 90067

12

NA M&A, fairness opinions, solvency opinions, manufacturing, distribution,

Los Angeles David Herman

private debt and equity placements,

business services, media, health 1 / 1

Managing Partner

consulting for exit strategies, liquidity

care, technology, consumer

(310) 432-8575

analysis

products, aerospace, digital media

Janas Associates 141 S. Lake Ave., Suite 102 Pasadena 91101

121

NA M&A, fairness opinions, private debt and middle-market manufacturing, Pasadena R. Carter Freeman

equity placements, management consulting business services, distributors, 1 / 5

CEO, Chairman

aerospace

(626) 432-7000

Sage Group

10

NA M&A, fairness opinions, solvency opinions, Branded consumer, including

Los Angeles Mark Vidergauz

21

11111 Santa Monica Blvd., Suite 2200

private debt and equity placements, due

apparel, retail, accessories,

1 / 2

CEO

Los Angeles 90025

diligence, restructuring

beauty/personal care, location-

(310) 478-7899



based entertainment, ecommerce

Solganick & Co. Inc. 1240 Rosecrans Ave., Suite 120 Manhattan Beach 90266

10

400 M&A

12

software, health care IT, ecommerce and digital media, IT services, technology-enabled services, artificial intelligence

Los Angeles Aaron Solganick

1 / 4

CEO

(310) 684-3130

Xnergy Financial 5125 Lankershim Blvd. Los Angeles 91601

101

NA M&A, private debt and equity placements, technology, software, retail,

Los Angeles Nia Stefani

PIPE financing, corporate finance

energy, financial services, health 1 / 3

Managing Partner

care, life sciences, aerospace,

(310) 552-0000

manufacturing, blockchain

Trinity Capital, a division Citizens

91

NA M&A, private debt and equity placements, restaurants, food/agriculture,

Los Angeles Kevin Burke

24

Capital Markets Inc.

restructuring, valuations

generalist

1 / 1

Managing Director

11755 Wilshire Blvd., Suite 2450

(310) 268-8330

Los Angeles 90025



Deloitte Corporate Finance

25

555 W. 5th St., Suite 2700

8

522 M&A, fairness opinions, private debt and business services, consumer

Charlotte, Kevan Flanigan

5 equity placements, restructuring, ESOP

products, energy and resources, N.C.

Managing Director

Los Angeles 90013

corporate finance, capital advisory services, financial services, life sciences 1 / 114

(213) 688-0800

investmentbanking.

board and strategic advisory services

and health care, industrial

Synergy Advisors 840 Apollo St., Suite 213 El Segundo 90245

8

NA M&A, private debt and equity placements, health care, health care IT, life

El Segundo Robert Maggiacomo

restructuring

sciences, technology, business 1 / 2

CEO, Managing

services

Partner

(310) 414-3200

WestPark Capital Inc. 1900 Avenue of the Stars, Third Floor Los Angeles 90067

81

NA M&A, fairness opinions, private debt and health care, life sciences, energy, Los Angeles Richard Rappaport

equity placements, IPO underwriting, PIPE retail, technology

1 / 8

CEO

financing

(310) 843-9300

Cascadia Capital

7

NA M&A, private debt and equity placements, food, beverage and agribusiness, Seattle

Nicole Nugent Fry

28

707 Wilshire Blvd., Suite 4350

recapitalizations

technology, health care, aerospace 1 / 4

Managing Director

Los Angeles 90017

and defense, consumer and retail

(323) 486-8112



Spartan Group 16 N. Marengo Ave., Suite 307 Pasadena 91101

71

NA M&A, fairness opinions, private debt and metals/transportation, food and Pasadena John Johnson

equity placements, PIPE financing

beverage, retail

1 / 2

Managing Director

(626) 204-6380

Columbia Capital Advisors 1999 Avenue of the Stars, Suite 1100 Los Angeles 90067

71

NA M&A, private debt and equity placements, middle-market companies

Los Angeles Michael Donahue

PIPE financing

1 / 1

Chairman, President

(310) 883-4686

1 Business Journal estimate. NA - Not Available Note: Information was provided by representatives of the companies and public filings. Investment banks are ranked by the number of FINRA-licensed bankers in L.A. County offices. Goldman Sachs Group Inc., Hadley Partners Inc., Covert & Co., Lionfish Advisors and other firms may have qualified for this list but declined to provide number of local FINRA-licensed bankers. To the best of our knowledge, this information is accurate as of press time.

While every effort is made to ensure the accuracy and thoroughness of the list, omissions and typographical errors sometimes occur. Please send corrections or additions on company letterhead to the Research Department, Los Angeles Business Journal, 11150 Santa Monica Blvd., Suite 350, Los Angeles 90025. ?2020 Los Angeles Business Journal. This list may not be reprinted in whole or in part without prior written permission from the editor. Reprints are available from Wright's Media (877) 652-5295.

Researched by Joshua Niv

Continued on page 28

28 LOS ANGELES BUSINESS JOURNAL

THE LIST

APRIL 6, 2020

INVESTMENT BANKS Continued from page 26

Rank

Investment Bank

? name ? address ? website

L.A.

Deal Volume Services Offered

County ? 2019 $ volume (partial list)

Employees (in millions)

? licensed ? 2019 # of deals

bankers

Industry Focus (partial list)

Profile

? headquarters ? offices (L.A./total)

Top Local Executive

? name ? title ? phone

Clear Capital Advisors

6

NA M&A, private debt and equity placements, business services, technology, Sherman Bruce Pompan

31

1801 Century Park East, Suite 450

5 recapitalizations, strategic advisory, ESOPs digital media, health care services Oaks

Managing Director

Los Angeles 90067

1 / 2

(310) 405-5838



McCafferty & Co. 2029 Century Park East, Suite 1140 Los Angeles 90067

6

NA M&A, restructuring, research

media, entertainment, technology

Los Angeles 1 / 1

Colin McCafferty Managing Partner (310) 551-4040

Park Lane 2029 Century Park East, Suite 437 Los Angeles 90067

61

NA M&A, fairness opinions, solvency opinions, sports teams, leagues, businesses Los Angeles Andrew Kline

private debt and equity placements, due

1 / 5

Managing Director

diligence

(310) 201-8496

American Discovery Capital

61

NA M&A, corporate sales, divestitures, joint family-owned and middle-market Los Angeles Brian Webber

11150 Santa Monica Blvd., Suite 1425

venture/partnership, private capital solutions companies in selected high-

1 / 1

John Joliet

Los Angeles 90025

growth sectors

Co-Founders,



Partners

(310) 481-8700

35

William and Henry Associates

5

300 M&A, strategic and financial advisory

manufacturing, technology,

Los Angeles David Iannini

1901 Avenue of the Stars, Second Floor

6

distribution, B to B, B to C,

1 / 2

CEO, President,

Los Angeles 90067

consumer products, health care,

Chairman



food, financial services, hospitality

(310) 461-1355

1 Business Journal estimate. NA - Not Available Note: Information was provided by representatives of the companies and public filings. Investment banks are ranked by the number of FINRA-licensed bankers in L.A. County offices. Goldman Sachs Group Inc., Hadley Partners Inc., Covert & Co., Lionfish Advisors and other firms may have qualified for this list but declined to provide number of local FINRA-licensed bankers. To the best of our knowledge, this information is accurate as of press time.

While every effort is made to ensure the accuracy and thoroughness of the list, omissions and typographical errors sometimes occur. Please send corrections or additions on company letterhead to the Research Department, Los Angeles Business Journal, 11150 Santa Monica Blvd., Suite 350, Los Angeles 90025. ?2020 Los Angeles Business Journal. This list may not be reprinted in whole or in part without prior written permission from the editor. Reprints are available from Wright's Media (877) 652-5295.

Researched by Joshua Niv

APRIL 6, 2020

THE LIST

LOS ANGELES BUSINESS JOURNAL 29

INVESTMENT BANKS

Rank

Investment Bank

? name ? address ? website

DelMorgan & Co. 100 Wilshire Blvd., Suite 750 Santa Monica 90401

L.A.

Deal Volume Services Offered

County ? 2019 $ volume (partial list)

Employees (in millions)

? licensed ? 2019 # of deals

bankers

51

NA M&A, fairness opinions, solvency opinions,

private debt and equity placements, due

diligence

Industry Focus (partial list)

all industries

Profile

? headquarters ? offices (L.A./total)

Top Local Executive

? name ? title ? phone

Santa Monica 1 / 5

Neil Morganbesser CEO, President (310) 319-2000

Evolution Media Capital 100 Wilshire Blvd., Suite 1200 Santa Monica 90401

51

NA M&A

entertainment, sports, media

Los Angeles 1 / 2

Rick Hess Bob Stanley Co-Managing Partners (424) 288-2000

Ocean Park 5200 W. Century Blvd., Suite 420 Los Angeles 90045

5

NA M&A, fairness opinions, private debt and renewable fuels, cleantech,

Los Angeles Bruce Comer

equity placements, due diligence,

chemicals, agtech, food and

1 / 5

Mark Fisler

restructuring

agribusiness

Managing Directors

(310) 670-2093

Echelon Partners

4

NA M&A, fairness opinions, due diligence,

asset and wealth management Manhattan Dan Seivert

39

1500 Rosecrans Ave., Suite 416

restructuring, valuations, expert witness, firms

Beach

CEO, Managing

Manhattan Beach 90266

management consulting in strategy,

1 / 1

Partner

echelon-

compensation design, equity sharing

Carolyn Armitage

Managing Director

(888) 560-9027

Kerlin Capital Group 624 S. Grand Ave., Suite 2410 Los Angeles 90017

4

NA M&A, private debt and equity placements, manufacturing, distribution,

Los Angeles William Doyle

strategic planning, family ownership

services, food, technology

1 / 1

Managing Partner

planning

(213) 627-3300

1 Business Journal estimate. NA - Not Available Note: Information was provided by representatives of the companies and public filings. Investment banks are ranked by the number of FINRA-licensed bankers in L.A. County offices. Goldman Sachs Group Inc., Hadley Partners Inc., Covert & Co., Lionfish Advisors and other firms may have qualified for this list but declined to provide number of local FINRA-licensed bankers. To the best of our knowledge, this information is accurate as of press time.

While every effort is made to ensure the accuracy and thoroughness of the list, omissions and typographical errors sometimes occur. Please send corrections or additions on company letterhead to the Research Department, Los Angeles Business Journal, 11150 Santa Monica Blvd., Suite 350, Los Angeles 90025. ?2020 Los Angeles Business Journal. This list may not be reprinted in whole or in part without prior written permission from the editor. Reprints are available from Wright's Media (877) 652-5295.

Researched by Joshua Niv

Continued on page 30

30 LOS ANGELES BUSINESS JOURNAL

THE LIST

APRIL 6, 2020

INVESTMENT BANKS Continued from page 29

Rank

Investment Bank

? name ? address ? website

L.A.

Deal Volume Services Offered

County ? 2019 $ volume (partial list)

Employees (in millions)

? licensed ? 2019 # of deals

bankers

NewCap Partners Inc. 5777 W. Century Blvd., Suite 1135 Los Angeles 90045

4

NA M&A, private debt and equity placements,

strategic advisory

Industry Focus (partial list)

technology, aerospace, manufacturing, software, health care

Profile

? headquarters ? offices (L.A./total)

Top Local Executive

? name ? title ? phone

Los Angeles Tom Turney

1 / 3

Managing Principal

(310) 645-7900

42

Innovation Capital 222 N. Sepulveda Blvd., Suite 1300

3

NA M&A, fairness opinions, solvency opinions, gaming, leisure, restaurants and El Segundo Matt Sodl

private debt and equity placements, due

retail

1 / 1

Founding Partner,

El Segundo 90245

diligence, restructuring

President, Managing

innovation-

Director

(310) 335-9333

Calabasas Capital 26610 Agoura Road, Suite 120 Calabasas 91302

3

85 M&A, private debt and equity placements, consumer products and services, Calabasas David Bonrouhi

5 restructuring

business services, aerospace and 1 / 1

Managing Director

defense, software and digital

(818) 657-6130

media

First|Bev 1800 Avenue of the Stars, Suite 650 Los Angeles 90067

31

NA M&A, capital raising

beverage and beverage-related companies

Los Angeles William Anderson

1 / 2

CEO

(310) 481-5100

KAL Capital Markets 100 W. Broadway, Suite 205 Long Beach 90802

3

NA M&A, private debt and equity placements, aerospace and defense, industrial Long Beach Trevor Bohn

merchant banking

1 / 1

Ryan Murphy

Partners

(949) 404-4201

1 Business Journal estimate. NA - Not Available Note: Information was provided by representatives of the companies and public filings. Investment banks are ranked by the number of FINRA-licensed bankers in L.A. County offices. Goldman Sachs Group Inc., Hadley Partners Inc., Covert & Co., Lionfish Advisors and other firms may have qualified for this list but declined to provide number of local FINRA-licensed bankers. To the best of our knowledge, this information is accurate as of press time.

While every effort is made to ensure the accuracy and thoroughness of the list, omissions and typographical errors sometimes occur. Please send corrections or additions on company letterhead to the Research Department, Los Angeles Business Journal, 11150 Santa Monica Blvd., Suite 350, Los Angeles 90025. ?2020 Los Angeles Business Journal. This list may not be reprinted in whole or in part without prior written permission from the editor. Reprints are available from Wright's Media (877) 652-5295.

Researched by Joshua Niv

APRIL 6, 2020

THE LIST

LOS ANGELES BUSINESS JOURNAL 31

INVESTMENT BANKS

Rank

Investment Bank

? name ? address ? website

Reynolds Advisory Partners 5900 Wilshire Blvd., Suite 920 Los Angeles 90036

L.A.

Deal Volume Services Offered

County ? 2019 $ volume (partial list)

Employees (in millions)

? licensed ? 2019 # of deals

bankers

3

NA M&A, fairness opinions, private debt and

equity placements

Industry Focus (partial list)

middle-market companies

Profile

? headquarters ? offices (L.A./total)

Top Local Executive

? name ? title ? phone

Los Angeles 1 / 2

Douglas Reynolds Managing Director (626) 316-6100

Roth Capital Partners 11150 Santa Monica Blvd., Suite 300 Los Angeles 90025

3

NA IPO underwriting, PIPE financing

business services, consumer, health care, clean technology, technology

Newport Beach 1 / 7

David Enzer Managing Director (800) 991-2788

Wedbush Securities

48

1000 Wilshire Blvd.

Los Angeles 90017



2

NA M&A, fairness opinions, private debt and

consumer, health care, financial Los Angeles Gary Wedbush

equity placements, restructuring, IPO

institutions, technology

18 / 100

Co-President

underwriting, PIPE financing

(213) 688-8000

Hilltop Securities Inc. 8350 Wilshire Blvd., Suite 300 Beverly Hills 90211

2

NA IPO underwriting, government investment capital market

pools

Dallas 2 / 53

Alan Lennick Regional Director (323) 658-4400

Craft Partners 16133 Ventura Blvd., Suite 1080 Encino 91436

2

NA M&A, private debt and equity placements, middle-market

restructuring

Western International Securities Inc.

2

NA M&A

70 S. Lake Ave, Seventh Floor

Pasadena 91101



middle market

Encino 1 / 1

Daniel Conway Managing Partner (818) 272-8890

Pasadena 46 / 176

Donald Bizub CEO (888) 793-7717

NA - Not Available Note: Information was provided by representatives of the companies and public filings. Investment banks are ranked by the number of FINRA-licensed bankers in L.A. County offices. Goldman Sachs Group Inc., Hadley Partners Inc., Covert & Co., Lionfish Advisors and other firms may have qualified for this list but declined to provide number of local FINRA-licensed bankers. To the best of our knowledge, this information is accurate as of press time.

While every effort is made to ensure the accuracy and thoroughness of the list, omissions and typographical errors sometimes occur. Please send corrections or additions on company letterhead to the Research Department, Los Angeles Business Journal, 11150 Santa Monica Blvd., Suite 350, Los Angeles 90025. ?2020 Los Angeles Business Journal. This list may not be reprinted in whole or in part without prior written permission from the editor. Reprints are available from Wright's Media (877) 652-5295.

Researched by Joshua Niv

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