We offer fixed income securities sales and trading services to financial institutional investors, including banks, bank holding companies, insurance companies, money managers, public funds, finance companies, foreign banks, and specialty lenders. We are eager to help institutional portfolio managers increase the financial and operating performance of their companies and are committed to finding solutions to some of their most challenging financial management problems. We realize that helping to solve these problems is rewarding for our clients and our firm.

Our ability to understand an institution’s strategic plan and assist in delivering and executing a successful capital markets roadmap has been our greatest strength. We understand that incorporating all aspects of investment portfolio management, balance sheet management, capital formation objectives and regulatory satisfaction into an overall strategy and doing this while focusing on the increased profitability of our client is paramount to our success. In other words, it is not just investment execution that makes for a successful relationship, but well thought out strategies based on funding and capital needs, liquidity and interest rate risk exposure, and long term profitability and growth objectives that lay the framework for an enduring, trusted and significantly more rewarding relationship.

Creating and executing these strategies is our primary role. We work in partnership with our clients and ensure that these strategies fit your business objectives, and just as importantly, receive “best execution” pricing from the street. We become a member of your team and bring an intense skill level in portfolio and interest rate risk management, as well as deposit and leverage strategies. We draw upon our experience as well as the experience of many of your peers that we have assisted and apply that knowledge to facilitate trouble free implementation of these strategies.

We offer a range of products including:

  • Taxable Fixed Income
  • Treasury Securities
  • Federal Agencies
  • Corporate Bonds
  • Mortgage-Backed Pass-Throughs
  • Whole Loan and Agency CMO’s
  • Asset-Backed Securities
  • Tax Exempt Securities
  • Bank Qualified Bonds
  • Trust and General Market Paper bonds
  • Municipal Leases

Community Bank Market
We have cultivated a core competency in serving community banks and bank holding companies. We fully comprehend the many strict parameters of these markets and the corresponding regulatory requirements and policies that must be followed. Our success in forging long lasting relationships is based on our commitment to educate, evaluate, and execute sound, logical transactions. The majority of our relationships are counted in years, not months.

Our involvement with clients is multi-dimensional. As a firm, we are positioned to assist our clients with investment portfolio accounting and interest rate risk management tools. In addition to these services, we are equipped to assist our clients with policy formation and implementation in the areas of investments and funds management.

In addition to institutional bond sales and trading, we are positioned to augment, not replace, community bank loan portfolios. We provide the added benefit of structuring credit products to enhance and diversify bank credit portfolios and loan interest income. We also work cooperatively with community bankers to assist them with placing large or complex relationships.

Insurance, Money Managers and REITs

These institutional clients have asked us to provide strategic value-added investment securities and private placement portfolio solutions. Based on our expertise, we have chosen to focus on taxable fixed income securities and proprietary private placement products.

Our process begins by first gaining an in-depth understanding of your situation. We know that each client has unique needs and we work closely with each one to develop appropriate trading strategies. Because of our exclusive focus on the fixed income markets, we can adapt to market changes quickly. We provide ample resources to execute your trading strategies with a current staffing ratio of one trader to every two salespeople.

Public Funds

We have extensive knowledge of local government finance regulations. We do not take a “cookie cutter” approach to public funds. We are flexible to each municipality’s needs and preferences. Our clients range from smaller, out-state governmental entities to the largest metropolitan municipalities. We have extensive access and knowledge of the various fixed income securities sectors including treasury instruments, agency notes, mortgage-backed issues, certificates of deposit and commercial paper. We provide proper attention to your transactions while allowing access to our trading staff for product knowledge and market insight. Our professionals have extensive experience in working with and managing the unique portfolio needs and parameters of public funds officials.

Financial Institutions | Investment Banking