Advised Westwood Holdings Group on its acquisition of McCarthy Group Advisors, a leading wealth manager in the Omaha market with over $1.0bn in private wealth and institutional client assets at June 30, 2010. In addition to Westwood’s stated goal of acquiring fold-in mutual funds, the acquisition expands the platform of Westwood Trust, a wholly-owned subsidiary of Westwood Holdings, into new geographies. The transaction will provide McCarthy clients with access to a larger selection of investment opportunities.

Advised Aviva Investors North America on its acquisition of River Road Asset Management, a value-oriented US equity manager with $3.6bn of assets as of November 30, 2009. The acquisition of the Louisville, KY-based company fulfills Aviva’s strategic objective of adding US equities to its established fixed income capabilities and accelerates its drive into the US institutional marketplace while providing River Road with global distribution benefits. River Road serves domestic and international clients through institutional separate accounts and mutual fund sub-advisory contracts. Its management team and the autonomy and integrity of its investment process will remain intact.

Advised Fortis Investment Management USA, Inc. on the sale to management of its 75% equity interest in Cadogan Management, LLC. New York-based Cadogan manages $3.6 billion in multi-manager hedge fund assets for institutions and high net worth individuals.

Advised Mead, Adam & Co. on its sale to Johnson Investment Counsel, Ohio’s largest independent wealth management firm. Mead, Adam & Co., headquartered in Dayton, Ohio, manages balanced portfolios on a discretionary basis for individuals, trusts, pension and profit sharing plans, charitable organizations, foundations, endowments and corporations. Mead, Adam & Co. currently manages $350 million in clients assets. The transaction will provide Mead Adam & Co.'s clients with a broader array of investment products and wealth management solutions.

As part of its program to divest certain former ABN AMRO investment management affiliates in the US, Fortis has sold its 50% stake in Veredus to the firm's management team.

Sun Life Financial has sold its 37.6% interest in CI Financial Income Fund to Scotiabank for a total consideration of C$2.3 billion. While Sun Life frees up capital and gains additional flexibility to pursue growth opportunities, its successful distribution relationship with CI will continue. Scotiabank expands its footprint in Canada’s mutual fund industry, and CI gains further access to this important distribution partner.

Advised Winslow Capital Management on its sale to Nuveen Investments. Winslow currently manages more than $4bn of domestic large cap growth equities for institutions and high net worth investors. The Minneapolis-based firm has enjoyed a period of strong growth due, in part, to its superior investment performance. Winslow's investment team will continue to operate independently, as a boutique affiliate, but Nuveen will support the firm's operations and leverage Winslow's product across its distribution network.

Advised Wentworth, Hauser and Violich, Inc. in connection with establishing a joint venture with Hirayama Investments, LLC, a newly formed SEC registered investment adviser. As part of the joint venture, Hirayama Investments has entered into a long-term sub-advisory agreement to provide international and global equity to WHV clients. The International Equity Portfolio has consistently outperformed both its peers and the MSCI EAFE index and is ranked in the 1st percentile for the last 1, 3, 5 and 10 year periods ending June 30, 2008 in the PSN EAFE Universe database.

Advised Lakepoint Investment Partners on its sale to Northern Trust Bank, a leading provider of wealth management solutions. Lakepoint Investment Partners, based in Cleveland, Ohio, provides money management to individuals, corporations, ERISA, trust, and foundations and endowments. Lakepoint currently manages over $580 million in clients assets. The transaction will provide Lakepoint's clients with a broader array of investment products and wealth management solutions.

Advised Mercer Advisors on its sale of a majority stake to Lovell Minnick Partners, a private equity firm focused on the financial services industry. Mercer is the leading provider of financial planning, asset management, and practice management consulting services to dental and medical professionals. Mercer manages over $3.6 billion of client assets and provides consulting services to over 3,000 dental practitioners from its satellite offices across the US. This transaction will provide Mercer with the capital needed to expand its market share and to develop its client service offerings.

Advised Sanders Morris Harris Group Inc. (SMHG) on its acquisition of a majority interest in Leonetti & Associates, Inc. Located in Buffalo Grove, a Chicago suburb, Leonetti & Associates is an independent wealth-manager with approximately $400 million under management. The transaction deepens SMHG’s penetration in the Midwest and will provide Leonetti & Associates with access to SMHG’s array of wealth management products and services.

Advised Stratton Holding Company Inc. on its sale to Susquehanna Bancshares, Inc. Stratton is a value equity investment advisor that manages $3 billion in assets for high net worth, mutual fund, and institutional clients. The company operates through its wholly-owned subsidiaries, Stratton Management Company and Semper Trust Company. With the completion of this transaction, Susquehanna's wealth management group will gain access to Stratton's investment expertise while Stratton will receive Susquehanna's operational support as well as new banking products for high net worth clients.