Equity Brokerage

Gardner Rich, is a duly owned registered broker-dealer with the FINRA, provides trade execution services in the equity markets in both listed and over-the-counter securities.

Our traders have expertise in technical, fundamental, and quantitative analysis – experience garnered while working at Firms such as Goldman Sachs, Salomon Brothers and Bear Stearns to name a few.

Benefiting from the most sophisticated technology available and the intellectual capital to back it up, our equity traders bring an average of 20+ years experience to the desk. In addition, to utilizing the latest in algorithms to ensure minimal price impact while meeting our best execution mandate, we will attempt to minimize the transaction cost (both implicit and explicit) to you as well. Furthermore, Gardner Rich has numerous contacts on the street allowing us to see a great deal of order flow should you desire us to solicit indications of interest. However, if anonymity is the primary concern, we are also able to access dark pools.

Fixed-Income Brokerage

Gardner Rich, as a duly registered broker-dealer with the FINRA, underwrites, trades and sells fixed-income products.

The trading desk also engages in agency transactions in U.S. Government and agency obligations (including all discount notes), municipal bonds, mortgage and asset-backed securities.

Our trading activities are directed to both domestic and international institutional clients, including bond and mutual funds, insurance companies, corporations, banks, retirement funds and investment advisors.

Our fixed-income traders bring an average of 30+ years experience to the desk.

International Trading

In the fourth quarter of 2009, we will have the capability of trading in Global Equity Markets. Our 24-hour desk will handle orders electronically or traditionally (phone and email), we will provide algorithmic trading, settle trades in USD or local currency and even deliver ADR’s when necessary. Benefiting from the most sophisticated technology available and the intellectual property of our global affiliates, Gardner Rich will help you trade out of your most demanding international positions.

Transition Management

Gardner Rich has strategic alliances in place with top-tier transition management facilitators. Our Transition Management Services group helps our clients by controlling risk and protecting returns during the transition of portfolios. We also provide valuable oversight throughout the transition process, from pre-trade planning to post-trade analysis.

Gardner Rich has deep expertise in transition trading with an extensive global network - delivering customized solutions to meet client needs and flexible strategies to respond to changing market environments.

Since 2002, Gardner Rich has participated in approximately 20 transitions, with a combined dollar value of nearly $1 Billion.

Corporate Repurchase

As part of our initiative to continually expand our service offerings and meet client needs, Gardner Rich also provides corporate repurchase execution (During a corporate repurchase, a company actively buys its own stock in the marketplace through a broker-dealer for any number of reasons including: putting idle cash to use, raising EPS, creating support for a stock price, increasing internal control – to ward off a hostile takeover -, or stock for ESOP or pension plans).

Corporate repurchases are subject to SEC Rule 10b-18 requirements and require special handling. Gardner Rich has experienced traders with the expertise to meet these requirements who utilize the latest in algorithmic technology to actively manage repurchase programs while adhering to regulatory guidelines. We welcome the opportunity to service your repurchase needs.

Corporate Underwriting

In the past few years, there has been a movement by large corporations toward increasing the participation of minority-owned firms in their underwriting syndicates. To better compete for this business, Gardner Rich has differentiated itself with the development of its non-traditional distribution product. NTD assists equity and debt issuers in reaching non-traditional investors and provide more broad-based distribution of their securities.

Our firm was able to underwrite such IPO’s such as VISA, Kraft, Heidrick & Struggles.

Municipal Bond Underwriting

Gardner Rich, is a duly registered member of the FINRA and the MSRB, has served as a senior manager or co-manager in underwriting syndicates that bid on new issues nationwide. Our areas of expertise include: education, transportation, housing, state and local government and public municipalities.

The municipal bond underwriting team has the capability and resources to become fully involved in all phases of a municipality's finances, from budgeting to debt issuance, providing consistent and reliable service. We also provide financing recommendations and present these recommendations to the clients' governing bodies.

2008

Chicago Water Reclamation
$549,915,000
Revenue Bonds
Co-Manager

2005-2006

City of Chicago
$143,000,000
General Obligation
Co-Selling Agent

Chicago Park District
$72,270,000
Co-Manager

2004

Chicago Board of Education
$56,000,000
Co-Manager

Chicago Midway Airport
$77,565,000
Co-Manager

2003

City of Chicago
$202,500,000
Co-Manager