CAPITAL
MARKETS GROUP
As the Executive Vice President of the Capital Markets
Group for GunnAllen Financial, Dean
G. Tanella oversees various sections. The
departments of the Capital Markets Group include:
Investment Banking, Syndicate, Late-Stage Venture
Capital, Institutional and Corporate Trading,
Structured Products, and Financial Products.
The Investment Banking Team functions by identifying,
structuring, and executing diverse and innovative private
and public market transactions for emerging and
growth-oriented corporations across a broad spectrum of
industries including: Health Care, Technology, Media and
Telecommunications, Industrial Products and Services,
Consumer Products and Services, Financial Institutions,
Energy, and Special Products.
The Capital Markets Group’s client-attentive Investment
Banking professionals do all they can to meet the specific
needs of their corporate clients by providing two specific
types of services: Financial Facilitation Services and
Financial Advisory Services.
The Financial Facilitation Services consists of their
active involvement as either agent or underwriter for
private placements or public offerings of equity and debt
securities. Theses services aim to facilitate corporate
client access to the firm’s extensive retail and
up-and-coming institutional distribution networks by
generating high quality corporate finance offerings.
In addition, the Financial Advisory Services includes
strategic advisory assignments with regards to mergers and
acquisitions, divestitures, corporate defense activities,
restructurings and spin-offs. A key objective of the
company’s investment banking practice is to supply quality
strategic advisory solutions to their corporate clients to
help them achieve their goals.
The Investment Banking Team is dedicated to using a
team-based approach to provide their clients with these
essential services. Their goal is to maintain a high level
of quality service and integrity in developing and
executing their clients' transactions.
Another department that is covered by the Capital Markets
Group is the Venture Capital. GunnAllen Venture Partners
(“GAVP”) invests both equity and debt capital in
venture-funded, private emerging growth companies. These
companies usually need private financing to fund growth,
take advantage of market opportunities, fund acquisitions,
or generate shareholder liquidity. GAVP typically provides
late-stage venture capital, strategic expertise, and
resources to help companies realize their exact business
objectives.
The firm's professionals have extensive experience working
with companies in a variety of industries and in executing
transactions employing a wide range of structures. As a
result, GunnAllen Venture Partners is well versed in the
issues exclusive to investing private capital.
The professionals of GunnAllen Venture Partners maintain
outstanding relationships with leading investors at venture
capital firms, hedge funds, specialized investment funds,
and private family offices. Through these relationships,
the firm is able to find the right partners to assist their
corporate clients in meeting their objectives.
A different department that is involved in the Capital
Markets Group is The Syndicate Department. The Syndicate
Department works strenuously to identify investment
opportunities specific to Initial Public Offerings (and/or
secondary offerings) that are lead-managed by other quality
brokerage firms.
The team for the Syndicate Department is dedicated to
continuing establishing strong working relationships and
strategic partnerships with other broker-dealers. The
Syndicate Department of GunnAllen Financial’s Capital
Markets Group has taken part in numerous syndicate
transactions with a wide variety of firms.
This has allowed them to distribute diverse offerings to
their representatives across the U.S. The Syndicate
Department team believes that their established ability to
grow and develop a “syndicate product,” gives a significant
benefit to their strategic allies in the underwriting
community, to issuers who seek broader retail stock
ownership, and to clients who may have chosen from a broad
array of underwritings and offerings.
An additional department that is part of the Capital
Markets Group is The Trading Services section. This
department houses all of the firm's transaction services
departments and is organized into five departments meant to
facilitate the full spectrum of order-handling and
execution for many diverse client needs.
Theses departments include: OTC Principal Trading, Agency
Trading, Institutional Sales and Sales Trading, Fixed
Income Trading, and Corporate Client Services. GunnAllen
Financial has developed these units over the past decade to
concentrate on specific trading disciplines and to provide
these services to their clients and financial
representatives in the field.
