Vivek Stalam

Founded in 1958, Merrill Lynch Piece Fenner & Smith, Inc. is an SEC registered broker/dealer located in New York City. The firm is a subsidiary of BAC North America Holding Co. and their ultimate parent is Bank of America Corp. (NYSE BAC).

Guggenheim Partners Investment Management LLC (GPIM) is a SEC-registered investment advisor headquartered in Santa Monica, California. The firm was founded by Mark Walter in 2005 and is a direct subsidiary of Guggenheim Partners Investment Management Holdings LLC, ultimately owned by Guggenheim Partners LLC. GPIM provides investment advisory and supervisory services to a variety of institutional clients through separately managed accounts (SMAs) and registered and unregistered pooled investment vehicles.

Breakaway Ventures LLC (Breakaway Ventures) is a venture capital firm founded in 2006 by Dennis Baldwin. The firm is headquartered in Boston, Massachusetts.

UBS Securities LLC is an investment bank and registered broker/dealer headquartered in New York City. The firm was founded in 1998 as UBS Warburg LLC. They are a subsidiary of UBS Americas Holding LLC, ultimately held by UBS Group AG (SWX: UBSG, NYSE: UBS) in Switzerland. UBS Securities is a primary dealer in US Government securities and provides a full range of investment banking services which includes corporate finance, mergers and acquisitions, capital markets, trading and sales, fixed-income, equity research, private banking, underwriting and prime brokerage operations. The firm also provides advisory services and access to capital markets for corporate, institutional, intermediary and alternative asset management clients.

Harding Loevner LP is a SEC-registered investment advisor headquartered in Bridgewater, New Jersey. The firm was founded in 1989 by former managers for the Rockefeller family. They are a direct subsidiary of Titan NJ LP Holdings LLC, which is owned by Affiliated Managers Group, Inc. (NYSE: AMG). Harding Loevner provides investment management services to a variety of types of clients in the US such as retirement plans, foundations and endowments, sovereign wealth funds, religious institutions, individuals, trusts, broker-dealers, banks, investment advisers, insurance companies, mutual funds, collective investment trust funds, and offshore funds.

Carnegie Corp. of New York (Carnegie) is a philanthropic grantmaking foundation headquartered in New York City. The foundation was founded in 1911 by Andrew Carnegie. Carnegie promotes the advancement and diffusion of knowledge and understanding for the benefit of the people of the United States.

Fresche Solutions, Inc. provides legacy management and IT modernization services. It designs, develops, markets and supports software solutions. The firm also designs application portfolio management, business intelligence and enterprise application development solutions. The company was founded in 1976 and is headquartered in Montreal, Canada.

RIA in a Box LLC provides compliance business consulting services. The firm focuses on registration and ongoing compliance for registered investment advisory firms at both the state and SEC levels. Its services include distinction and loss statements, change sheets, broad ledgers and contract journals using QuickBooks to emanate and sustain the inner books vital to encounter state and SEC correspondence standards. The company was founded in 2005 and is headquartered in New York, NY.

Concisys LLC is a high-tech electronic assembly company that specializes in handling complex circuit card assembly technologies using state-of-the-art equipment and manufacturing processes. The company is based in San Diego, CA and was founded in 2000 by Giao Huu Nguyen. The company offers test engineering and support for their customers' products and use their long-term supplier network and purchasing power to minimize lead times and hold down costs.

Dominari Securities LLC (DS) is a dually registered investment advisor and securities broker-dealer headquartered in New York City. The firm was founded in 1986 and formerly known as Fieldpoint Private Securities LLC. They were acquired by Dominari Holdings, Inc. (NASDAQ: DOMH) in 2023. As a result of the ownership change the new name of the firm has been changed to Dominari Securities LLC, a subsidiary of Dominari Financial, Inc. DS typically acts as the introducing broker for transactions effected for clients’ advisory accounts.

Keefe, Bruyette & Woods, Inc. (KBW) is a full-service investment bank and broker/dealer headquartered in New York City. The firm was founded in 1962 and is a subsidiary of Stifel Financial Corp. (NYSE: SF). KBW offers sales and trading in equities securities of financial services companies.

American Pacific Group LP (American Pacific Group) is a private equity firm founded by Fraser Preston in 2019. The firm is headquartered in Larkspur, California.

Safanad, Inc (Safanad) is a private equity firm founded in 2009 by Kamal Abdullah Bahamdan. The firm is headquartered in New York with additional offices in London and Dubai.

Silver Lake Management Co. LLC (Silver Lake Management) is a private equity firm, a subsidiary of Silver Lake Group LLC founded in 1999 by Jim Davidson and David Roux. The firm is headquartered in Menlo Park, California with offices in San Francisco, New York, London, Hong Kong and Singapore.

Midas Management Corp. is a SEC-registered investment advisor headquartered in Rochester, New York. The firm was founded in 1995 and is a subsidiary of Winmill & Co., Inc. (OTCMKTS: WNMLA). Midas Management serves as the investment manager of the Midas family of mutual funds.

Compass Therapeutics LLC operates as a healthcare industry focusing on biotechnology. It offers drug discovery, development, biologics, oncology and immuno-oncology. The company was founded by Errik B. Anderson and Thomas J. Schuetz in 2014 and is headquartered in Cambridge, MA.

Cowen Investment Management LLC (Cowen Investment Management) is a venture capital subsidiary of Cowen, Inc. founded in 1997. The firm is headquartered in New York.

Lycia Therapeutics, Inc. is a biotechnology company, which engages in the developing technology that utilizes lysosome-targeting chimeras. It uses LYTACs platform to discover and provide therapeutics that degrade extracellular and membrane-bound proteins that drive a range of difficult-to treat diseases, including cancers and autoimmune conditions. The company was founded by Carolyn R. Bertozzi in 2019 and is headquartered in San Diego, CA.

F2G Ltd. provides novel drugs for the treatment of life-threatening systemic fungal diseases. It primarily focuses on developing an F3 series of anti mould compound, which is an antifungal agent that acts through a mechanism different from marketed drugs. The company was founded in 1998 and is headquartered in Manchester, the United Kingdom.

Anaveon AG engages in the development of immune therapies against cancer. Its compounds promote effector T-cell functions to enhance a patient?s immune system to respond to tumors. The company was founded on December 11, 2017 by Onur Boyman and Andreas Katopodis and is headquartered in Bottmingen, Switzerland.

Fellers, Inc. is a company based in Tulsa, OK. Fellers, Inc. specializes in vinyl products and offers a vinyl superstore accessible through their website. The company was founded in 1986 by Frank Fellers and is currently led by CEO Tom Brophy.

League Park Advisors LLC provides investment banking services. The firm assists the middle market companies with transactions that generate value through mergers and acquisitions, recapitalizations, capital raising and outsourced corporate development. The firm also offers tailored programs for acquisitive corporations, including strategic guidance, targeted marketing and sophisticated deal-closing capabilities. The company was founded by J. W. Sean Dorsey in 2010 and is headquartered in Cleveland, OH.

JPMorgan Securities LLC (JPMS) is a securities brokerage firm headquartered in New York City. The firm was founded in 1985 and is a subsidiary of JPMorgan Broker-Dealer Holdings, Inc., ultimately held by JPMorgan Chase & Co., Inc. (NYSE: JPM). JPMS provides research on fixed income, credit, derivatives, emerging markets, foreign exchange, structured finance, technical analysis and bond indices. Their equity analysts cover equities throughout North America, EMEA, Asia/Pacific and the emerging markets. The firm's fixed income team formulates trading and portfolio recommendations for investors in global bonds and other fixed-income markets based on valuations, analytics and market dynamics.

Moody's Investors Service, Inc. is a credit rating and investment research firm headquartered in New York City. They are a subsidiary of Moody's Corp. (NYSE: MCO). The firm performs international financial research and analysis on commercial and government entities and provides a variety of analytic tools for assessing credit risk. Their clients include creditors, investment banks and commercial banks.

Montefiore Medical Center engages in the provision of healthcare, clinical and surgical services. It offers treatments including cardiology and cardiac surgery, cancer care, tissue and organ transplantation, children’s health, women’s health, surgery and the surgical subspecialties. The company was founded in 1884 and is headquartered in Bronx, NY.

ABRY Partners LLC (ABRY Partners) a private equity subsidiary of John F. Stafford Insurance Agency, Inc. founded in 1989 by Samuel Andrew Banks and Royce G. Yudkoff. The firm is headquartered in Boston, Massachusetts.

Brookstone Partners (Brookstone Partners) is a private equity firm founded by Michael Toporek in 2002. The firm is headquartered in New York.

Millennium Trust Co. LLC engages in the provision of alternative custody solutions to institutions, advisors, and individuals. It offers rollover and self-directed individual retirement account, and retirement and custody services. The company was founded in 2000 and is headquartered in Oak Brook, IL.

TAP Investors LLC (TAP Investors) is a venture capital subsidiary of TAP Advisors LLC founded in 2009 by Karim Fouad Tabet and F. Davis Terry. The firm is headquartered in New York.

Truist Securities, Inc. is a registered broker-dealer headquartered in Atlanta, Georgia. The firm was founded in 1894 as SunTrust Robinson Humphrey, Inc. In 2020, the firm was renamed following the integration of SunTrust Robinson Humphrey and BB&T Capital Markets. The firm is a subsidiary of Truist Financial Corp. (NYSE: TFC) and is an active market maker in equity and fixed-income products. Truist Securities delivers a comprehensive range of strategic advisory, capital raising, risk management, and financing solutions, as well as a dynamic suite of sales, trading, and research services in both fixed-income and equity. Their strategies are carefully tailored to meet the needs and vision of their clients.

BofA Securities, Inc. is a registered broker-dealer subsidiary of NB Holdings Corp., ultimately held by Bank of America Corp. (NYSE: BAC). Headquartered in New York, the firm was founded in 2015 and offers trade execution, trading or brokerage services to institutional clients.

Evercore Group LLC is a SEC-registered broker/dealer headquartered in New York City. The firm was founded in 1995 and is a subsidiary of Evercore BD Investco LLC, which is owned by Evercore, Inc. (NYSE: EVR). Evercore Group delivers equity research and equity sales and agency trading execution, in addition to providing wealth and investment management services to high net worth and institutional investors.

Lombard Odier Asset Management (USA) Corp. (LOAM) is a SEC-registered investment advisor and hedge fund manager headquartered in New York City. The firm was founded in 2000 and do-business-as Lombard Odier Investment Managers. The firm is a subsidiary of LO Holding SA and their ultimate parent is Switzerland-based Compagnie Lombard Odier SCmA. LOAM provides investment advisory services on a discretionary basis to private pooled investment vehicles (Funds) and investment advisory accounts. The investors in the Funds consist of endowments, foundations, insurance companies, high net-worth individuals, funds of funds, public and corporate pensions, and other sophisticated investors.

Riverside Partners LLC /New York/ (Riverside Partners) is a private equity firm founded in 1988 by Bela Szigethy. The firm is headquartered in Boston, Massachusetts with additional offices across the globe.

Autobahn Therapeutics, Inc. is a thyromimetics drug discovery company. It serves patients with neurodegenerative disorders. The company is headquartered in San Diego, CA.

Cadent Therapeutics, Inc. develops novel small molecule therapeutics to treat schizophrenia and other cognitive disorders. It focuses on modulating synaptic plasticity, the mechanism through which the brain builds and evolves the synaptic networks that carry out cognitive functions such as learning and memory. The company was founded by Kollol Pal, Frank S. Menniti, and Bertrand Leo Chenard in 2010 and is headquartered in Cambridge, MA.

Founded by Susan Eldridge in 1992, Eldridge Investment Advisors, Inc. is an independent registered investment advisory firm located in Manchester, New Hampshire. They provide comprehensive investment management services to fiduciaries, investment committees, trustees and high net-worth individuals