| Date Announced |
Seller |
Buyer |
Type |
AUM ($mm) |
|
May 2013
|
MGPA
|
BlackRock, Inc.
|
RE
|
|
|
May 2013
|
Crowell, Weedon & Co.
|
D.A. Davidson & Co.
|
SEC
|
|
|
April 2013
|
17 Equity and Bond Mutual Funds (HighMark Capital Management, Inc.)
|
Nationwide Funds (Nationwide Mutual Insurance Company)
|
MF
|
|
|
April 2013
|
Five Money Market Mutual Funds (HighMark Capital Management, Inc.)
|
Reich & Tang Asset Management, LLC
|
MF
|
|
|
January 2013
|
Crescent Capital Group LP
|
Allied World Financial Services, Inc. (Allied World Assurance Company Holdings, AG)
|
HF
|
|
|
December 2012
|
Aeolus Capital Management Ltd. (ACM Holdings L.P.)
|
Allied World Financial Services, Inc. (Allied World Assurance Company Holdings, AG)
|
O
|
|
|
December 2012
|
STW Fixed Income Management LLC
|
Schroder U.S. Holdings Inc. (Schroders plc)
|
IA / MF
|
|
|
December 2012
|
Undisclosed (equity transaction)
|
Two Sigma Investments, LLC
|
HF
|
|
|
October 2012
|
The Legend Group (Waddell & Reed Financial, Inc.)
|
First Allied Holdings Inc.
|
SEC
|
|
|
October 2012
|
Landmark CLO Funds (Aladdin Capital Holdings LLC)
|
Sound Harbor Partners LLC
|
O
|
|
|
October 2012
|
MatlinPatterson Asset Management L.P.
|
Allied World Financial Services, Inc. (Allied World Assurance Company Holdings, AG)
|
HF
|
|
|
September 2012
|
Cornerstone Capital Management, Inc.
|
New York Life Investments
|
IA
|
|
|
August 2012
|
Moody Aldrich Partners LLC
|
Anchor Capital Advisors LLC
|
IA
|
|
|
August 2012
|
WCAS Fraser Sullivan
|
3i
|
O
|
|
|
July 2012
|
GE Capital Debt Advisors LLC (General Electric Capital Corporation)
|
CIFC Corp.
|
O
|
|
|
June 2012
|
Aspiriant Investment Advisors, LLC (minority stake owned by AIA employees)
|
Aspiriant, LLC
|
WM
|
|
|
June 2012
|
FBR Funds (FBR Fund Advisers, Inc.)
|
Hennessy Advisors, Inc.
|
MF
|
|
|
April 2012
|
Rochdale Investment Management
|
City National Bank
|
WM
|
|
|
February 2012
|
McGladrey Capital Markets LLC
|
D.A. Davidson & Co.
|
SEC
|
|
|
November 2011
|
PCG Asset Management Advisory and Fund Management Business
|
Mitsubishi Corporation (TorreyCove Capital Partners LLC)
|
PEFoF
|
|