Prime Brokerage Ranking 2012Ranking and Interviews                 Prime Brokerage Contacts

Bank of America Merrill Lynch

Global head(s) Regional head(s) Cap Intro head(s)

Stu Hendelstu.hendel@baml.com(646) 855-0770

Jon Yalmokas (Americas)jon.yalmokas@baml.com(646) 855-0770

Mike Terrymterry@baml.com(646) 855-0770

Custody Specialties Tri-party swaps

Yes Heavily multistrategy. Most equity long short strategies.

Selectively

No. of clients Staffing Offices

Not provided 400-500 11

Barclays

Global head(s) Sales head(s) Cap Intro head(s)

Ajay Nagpalajay.nagpal@barclayscapital.com(212) 526-6546

Marty MalloyMarty.malloy@barcap.com(212) 528-7543

Lou Molinarilouis.molinari@barclayscapital.com(212) 526-0742

Custody Specialties Tri-party swaps

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

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

Yes

No. of clients Staffing Offices

Not provided Approximately 520 7

BNP Paribas

Global head(s) Sales head(s) Cap Intro 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

Emma Sugarmanemma.sugarman@us.bnpparibas.com(212) 471-6785

Custody Specialties Tri-party swaps

Yes Specializes in long/short equity. Also works closely with arbitrage and multistrategy. Capable of servicing all types.

Yes. Beginning June 2012.

No. of clients Staffing Offices

About 240 Approximately 250 6

Citi

Global head(s) Sales head(s) Cap Intro 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

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

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

Custody Specialties Tri-party swaps

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

Yes

No. of clients Staffing Offices

241 unique to Prime Finance141 unique to Futures 353 unique to PF&F combined

Client service: 68US (PF: 31 / OTC: 4 / Futures / ETD: 8)APAC (PF: 11 / OTC: 1)EMEA (PF: 11 / OTC: 2)

Operations: 90Middle 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) Sales head(s) Cap Intro head(s)

Philip Vasanphilip.vasan@credit-suisse.com(212) 325-2000

Paul Germainpaul.germain@credit-suisse.com(212) 325-2000

Bob Leonardrobert.leonard@credit-suisse.com(212) 325-2000

Custody Specialties Tri-party swaps

Yes Across the capital spectrum. Particularly strong in equities, futures, swaps, OTC clearing.

Yes

No. of clients Staffing Offices

400 to 500 Not provided 22

Deutsche Bank

Global head(s) Sales head(s) Cap Intro head(s)

Barry Bausanobarry.bausano@db.com(212) 250-4792

Scott Carterscott.carter@db.com(212) 250-4950

Anita Nemes (Global)anita.nemes@db.com+44 207-545-7845

Marlin Naidoo (Americas)Marlin.naidoo@db.com212-250-8680

Custody Specialities Tri-party swaps

Yes Everything Yes

No. of clients Staffing Offices

Not provided Not provided 70 globally, including 40 trading rooms.

Goldman Sachs

Global head(s) Sales head(s) Cap Intro head(s)

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

Dean Backer (Global)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 (Global) 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 Specialties Tri-party swaps

Yes Everything (equities, credit, foreign exchange, options) except mortgage-backed securities.

Yes

No. of clients Staffing Offices

Not provided Not provided HQ in New York. All locations: http://www.goldmansachs.com/who-we-are/locations/inde

x.html

J.P. Morgan

Global head(s) Sales head(s) Cap Intro head(s)

Lou Lebedinlouis.lebedin@jpmorgan.com

Paul Brannanpaul.brannan@jpmorgan.com(212) 622-0503

Alessandra Toccoalessandra.tocco@jpmorgan.com(212) 272-9132

Custody Specialties Tri-party swaps

Yes Everything. Expanding quickly in fixed income.

On a case-by-case basis.

No. of clients Staffing Offices

Not provided Not provided 8

Morgan Stanley

Global head(s) Regional head(s) Cap Intro head(s)

Alex EhrlichAlex.Ehrlich@morganstanley.com(212) 761-1115

Ed Keller (Americas)Ed.Keller@morganstanley.com(212) 761-5555

Warren Holmes (EMEA)

Darren Levy (Americas)(212) 761-1047Darren.Levy@morganstanley.com

Will Smith (EMEA)

Warren.Holmes@morganstanley.com+44 20 7425-8132

Mehdee Reza (Asia/Pacific)Mehdee.Reza@morganstanley.com+852 2848-6940

+44 207-425-4843William.J.Smith@morganstanley.com

Hugh Abdullah (Asia/Pacific)Hugh.Abdullah@morganstanley.com+852 2239-7377

Custody Specialties Tri-party swaps

Not provided Not provided Not provided

No. of clients Staffing Offices

Not provided Not provided Hong Kong, Tokyo, Sydney, London, Dubai, New York, Boston, Chicago, San Francisco, Dallas, Toronto, Sao Paolo

Newedge

Global head(s) Sales head(s) Cap Intro head(s)

Brian Wallsbrian.walls@newedge.com312-762-1129

Jonathan Ganejonathan.gane@newedge.com(646) 557-7966

Duncan Crawfordduncan.crawford@newedge.com+44 207-676 8504

Custody Specialties Tri-party swaps

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

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

No. of clients Staffing Offices

Not provided Approximately 150 23

UBS

Global head(s) Regional head(s) Cap Intro head(s)

Jason Barronjason.barron@ubs.com+44 207-568-9536

Reinhardt Olsen (Americas)(212) 713-1415reinhardt.olsen@ubs.com

Christopher Hagstrom (Americas sales)christopher.hagstrom@ubs.com(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

Robert Sachs (Global)robert.sachs@ubs.com(212) 713-9276

Tamera Hodges (Asia Pacific sales)Tamera.Hodges@ubs.com+65 64955102

Custody Specialties Tri-party swaps

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

Yes

No. of clients Staffing Offices

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

Offices in 75 countries