company provides its advice to senior executives and boards of directors of client companies in connection with transactions that are of strategic and financial importance to these companies. Sales and Trading The company’s sales and trading operation distributes its equity research product and communicates its proprietary investment recommendations to its institutional investors. In addition, the company’s sales and trading staff executes equity trades on behalf of its institutional clients and markets the securities of companies for which the company acts as an underwriter. The company’s sales and trading professionals work with its equity research staff to provide insight and differentiated investment advice to approximately 500 institutional clients nationwide. Its equity research features proprietary themes and actionable ideas about industries and companies that are not evaluated by various other research providers. The company’s sales and trading personnel are also central to its ability to market equity offerings and provide after-market support. Its capital markets group manages the syndication, marketing, execution, and distribution of the security offerings that it manages. The company’s syndicate activities include coordinating the marketing and order-taking process for underwritten transactions and conducting after-market stabilization and initial market-making. Its syndicate staff is also responsible for developing and maintaining relationships with the syndicate departments of other investment banks. Equity Research The company’s research department is charged with developing proprietary investment themes, anticipating sector and cyclical changes, and producing action-oriented reports that would assist its clients with their investment decisions. The company’s analysts cultivate primary sources of information to refine their quantitative and qualitative assessments. The company’s equity research focuses on its four target industries—financial services, healthcare, real estate, and technology—and on the following sectors underlying each industry: Financial Services: Asset managers, commercial finance, consumer finance, financial processing and outsourcing, insurance, investment banks and brokers, mortgage finance, and specialty finance. Healthcare: Biotechnology, healthcare facilities, healthcare services, life science tools and diagnostics, medical devices and supplies, and specialty pharmaceuticals. Real Estate: Housing, land development, leisure, lodging, property services, REITs, and residential services. Technology: Cloud computing technologies, communications equipment, digital media, Internet, Internet security, software, and wireless technologies. As of December 31, 2014, the company’s research department included 23 publishing research analysts providing investment recommendations on 448 public companies. Asset Management The company, through HCS and HCAP Advisors, manages a family of five hedge funds, one hedge fund of funds, two private equity funds, and one entity, formed to provide loans to small to mid-size U.S. companies. Corporate Credit JMP Credit Advisors serves as the investment manager to CLO I, CLO II and CLO III which had a diversified portfolio of 566 corporate loans. HCAP Advisors manages HCC for the purpose of making investments in the form of subordinated debt and senior debt and minority equity investments, primarily in privately-held small to mid-size U.S. companies. As of December 31, 2014, the HCC portfolio consisted of 29 loans. HCAP Advisors acts as its investment advisor. Regulation JMP Securities is a U.S. registered broker-dealer under the Securities Exchange Act of 1934, as amended, and is a member of Financial Industry Regulatory Authority. JMP Securities is also subject to the U.S. Securities and Exchange Commission’s Uniform Net Capital Rule, Rule 15c3-1, which might limit its ability to make withdrawals of capital from its broker-dealer subsidiary. The company is also subject to the USA PATRIOT Act of 2001, which imposes obligations regarding the prevention and detection of money-laundering activities, includ
jmp group llc (JMP:New York)
600 Montgomery Street
San Francisco, CA 94111
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