Financial Institutions Topical Research Series
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1 Financial Institutions Topical Research Series Financial Services Industry Investment Opportunities: Venture Capital, Public Offerings, Public Stocks, & Private Equity Trends (Table of Contents) August 31, 2017
2 TABLE OF CONTENTS Financial Services Industry Investment Opportunities Evolution... Early Phase... Glass Steagall Phase... Post Glass Steagall Phase... Private Equity Phase Firms... Funds... Assets Under Management... Net Flows... Investments, Offerings, &/or Public Stocks... Investments, Offerings, &/or Market Capitalization... Market Defintion... Financial Services Industry Venture Capital... Financial Services Industry Public Offerings... Financial Services Industry Public Stock Investing... Financial Services Industry Public Private Equity... Financial Services Industry Market Background Financial Services Industry Planning & Documents... Financial Services Industry Planning & Documents Evolution... History... Building a Great Business through Planning & Documents... Financial Services Industry States of Incorporation... Financial Services Industry Articles of Incorporation... Financial Services Industry By Laws... Financial Services Industry Stock & Bond Exchange Listings... Financial Services Industry Corporate Taxes... Financial Services Industry Financial Statements... Financial Services Industry SEC Filings... Financial Services Industry Shareholders Meetings & Proxy Firm Relations... Financial Services Industry Corporate Governance... Financial Services Industry Planning & Documents Conclusions Increasingly Complex Articles of Incorporation & By Laws... Increasingly Complicated Corporate Taxes... Increasing Importance of Proxy Firm Relationships... Financial Services Industry Benchmarking (Profitability)... Financial Services Industry Benchmarking (Profitability) Evolution... Key Profitability Measures... Most Profitable Financial Services Industry Firms... Retail Bank Profitability... Insurance Company Profitability Financial Services Industry Investment Opportunities 2
3 Brokerage Firm Profitability... Investment Management Firm Profitability... Financial Services Industry Benchmarking (Profitability) Future Predictions... Moderate Overall Growth in Financial Services Industry Profitability... Relative Increase in Brokerage Firm & Investment Management Firm Profitability... Financial Services Industry Investment Returns... Financial Services Industry Investment Returns Evolution... Key Investment Returns... Leading Financial Services Industry Firm Investment Returns... Retail Bank Investment Returns... Insurance Company Investment Returns... Brokerage Firm Investment Returns... Investment Management Firm Investment Returns... Financial Services Industry Investment Returns Future Predictions... Moderate Overall Financial Services Industry Investment Returns... Highest Investment Returns for Interest Rate Sensitive Retail Banks & Discount Brokerage Firms... Financial Services Industry Firm Current Valuations... Financial Services Industry Firm Current Valuations Evolution... Context Setting... Key Valuation Measures... Most Valuable Financial Services Industry Firms... Retail Bank Current Valuations... Insurance Company Current Valuations... Brokerage Firm Current Valuations... Investment Management Firm Current Valuations... Financial Services Industry Firm Current Valuations Future Predictions... Growing Financial Services Industry Firm Current Valuations... Relative Increase in Brokerage Firm & Investment Management Firm Current Valuations Versus Retail Bank & Insurance Company Current Valuations... Financial Services Industry Investment Opportunities Financial Services Industry Venture Capital... Financial Services Industry Venture Capital Opportunities Evolution Leading Financial Services Industry Venture Capital Investors... Technology Companies... Other Companies... Financial Services Industry Venture Capital Opportunities Future Predictions Financial Services Industry Investment Opportunities 3
4 Inrease Growth in Financial Services Industry Venture Capital Opportunities... Increase Opportunities in Financial Advisor Technology... Financial Services Industry Public Offerings... Financial Services Industry Public Offerings (IPOs) Evolution Leading Financial Services Industry Public Offerings... Financial Services Industry Initial Public Offerings... Financial Services Industry Initial Public Offerings (IPOs) Evolution... Leading Financial Services Industry Initial Public Offerings (IPOs)... Market Segments... Retail Banks... Insurance Companies... Brokerage Firms... Investment Management Firms... Financial Services Industry Initial Public Offerings (IPOs) Future Predictions... Modest Financial Services Industry Initialy Public Offerings (IPOs) Market Growth... Prediction #2... Financial Services Industry Secondary Offerings... Financial Services Industry Secondary Offerings Evolution... Leading Financial Services Industry Secondary Offerings... Market Segmentation... Retail Banks... Insurance Companies... Brokerage Firms... Investment Management Firms... Financial Services Industry Secondary Offerings Future Predictions... Reasonable Financial Services Industry Secondary Offerings... Prediction #2... Financial Services Industry Public Offerings Industry Future Predictions... Reasonable Financial Services Industry Public Offerings... Financial Services Industry Secondary Offerings to Remain Dominant... Financial Services Industry Public Stock Investing... Financial Services Industry Public Stock Investing Evolution Financial Services Industry Investment Opportunities 4
5 ... Leading Financial Services Industry Public Stock Investing Firms... Financial Services Industry Mutual Funds & Exchange Traded Funds (ETFs)... Financial Services Industry Mutual Funds & Exchange Traded Funds (ETFs) Evolution... Leading Financial Services Industry Mutual Funds & Exchange Traded Funds (ETFs)... Market Segments... Open-End Mutual Funds... Extrange Traded Funds (ETFs)... Financial Services Industry Mutual Funds & Exchange Traded Funds (ETFs) Future Predictions... Substantial Financial Services Industry Mutual Funds & Exchange Traded Funds (ETFs) Market Growth... Relative Faster Growth of Financial Services Industry Exchange Traded Funds (ETFs) Versus Financial Services Industry Mutual Funds... Financial Services Industry Hedge Funds... Financial Services Industry Hedge Funds Evolution... Leading Financial Services Industry Hedge Funds Firms Market Segments... Long-Only Managers... Short Managers... Activists... Future Predictions for Financial Services Industry Hedge Funds... Moderate Growth in Financial Services Industry Hedge Fund Investing Opportunities... Relatively Faster Growth of Financial Services Industry Activists Hedge Funds versus Long-Only and Short Managers... Financial Services Industry Public Stock Investing Future Predictions... Substantial Financial Service Industry Public Stock Investing Growth... Growing Importance of Financial Services Industry Hedge Fund Opportunities... Financial Services Industry Private Equity Opportunities... Financial Services Industry Private Equity Opportunities Evolution Leading Financial Services Industry Private Equity Investors... Retail Banks... Insurance Companies Financial Services Industry Investment Opportunities 5
6 Brokerage Firms... Investment Management Firms... Financial Services Industry Private Equity Opportunities Future Predictions... Increased Growth in Financial Services Industry Private Equity Opportunities... Increased Opportunities in Brokerage Firms & Investment Management Firms versus Retail Banks & Insurance Companies... Financial Services Industry Mergers & Acquistions Financial Services Industry Mergers & Acquisitions Evolution Leading Financial Services Industry Acquirers... Retail Bank Acquisitions... Insurance Company Acquisitions... Brokerage Firm Acquisitions... Investment Management Firm Acquisitions... Other Market Segment Acquisitions... Financial Services Industry Mergers & Acquisitions Future Predictions... Increase in Financial Services Industry Mergers & Acquisitions Activity... Dominance of the Retail Bank, Insurance Company, & Foreign Financial Institution Acquirer Models... Increasing Transaction Values... Increasing Formalized Terms & Conditions... Financial Services Industry Investment Opportunities Future Predictions Rapidly Expanding Financial Services Industry Investment Opportunities... Firms... Funds... Assets Under Management... Net Flows... Investments, Offerings, &/or Public Stocks... Investments, Offerings, &/or Market Capitalization... Financial Services Industry Venture Capital & Financial Services Industry Private Equity Opportunities to Outpace Financial Services Industry Public Offerings & Financial Services Industry Public Stock Investing... Firms by Investment Opportunity... Funds by Investment Opportunity... Assets Under Management by Investment Opportunity... Investments, Offerings, &/or Public Stocks by Investment Opportunity... Investments, Offerings, &/or Market Capitalization by Investment Opportunity... Financial Technology to be Key Investment Opportunity Across Financial Services Industry Investment Opportunities... Financial Services Industry Venture Capital... Financial Services Industry Public Offerings... Financial Services Industry Public Stock Investing... Financial Services Industry Private Equity Financial Services Industry Investment Opportunities 6
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Oppenheimer Holdings Inc. Reports Fourth Quarter and Full Year 2017 Earnings and Announces Quarterly Dividend New York, February 1, 2018 Oppenheimer Holdings Inc. (NYSE: OPY) today reported net income