• Pioneer Investment Management in its acquisition of a portion of the business of Morgan Asset Management, a subsidiary of Regions Financial, relating to the management of 11 Regions Morgan Keegan Select mutual funds, with approximately $2 billion in assets under management, and the reorganization of such funds into Pioneer funds
• HighMark Capital Management in its acquisition of a portion of the business of Ziegler Capital Management, relating to the management of eight North Track Funds, with approximately $614 million in assets under management, and the reorganization of such funds into HighMark funds
• Bingham Legg Advisers, a wealth management firm with approximately $1.5 billion in assets under management and another $887 million in assets under supervision, and its global asset management firm and global law firm owners in the sale of Bingham Legg Advisers to Wilmington Trust FSB, a federally chartered savings bank and an affiliate of Wilmington Trust Corporation
• Wilmington Trust FSB in its acquisition of AST Capital Trust Company of Delaware, a provider of retirement plan and personal trust services with more than $28 billion in assets under administration
• A robo-adviser in its acquisition of a portion of the business of an asset management firm
• Rosemont Partners II, L.P. in its acquisition of a minority stake in Riverview Alternative Investment Advisors LLC
• Certain employee members of Amherst Holdings, a financial services holding company, in an investment in Amherst Holdings by a group of investors led by Stone Point Capital
• The chief executive (primary founding partner) in the formation with Evercore Partners of Evercore Wealth Management, a registered investment adviser that delivers customized investment management, financial planning, and trust and estate services
• The sponsor of a business development company (BDC), as regulatory counsel, in the sale of the BDC’s investment adviser to a private equity firm
• Several substantial financial institution creditors in the Lehman Brothers bankruptcy in the filing, trading and settlement of claims

Insurance

• The Penn Mutual Life Insurance Company in its acquisition of Vantis Life Insurance Company, a provider of affordable life insurance and annuity products
• Capitol Insurance Company, a provider of competitively priced personal motor vehicle insurance, in its sale to Reservoir Capital Group, L.L.C., a privately held investment firm, and Tuscarora Wayne Mutual Group Inc., a specialty property & casualty mutual insurance company
• NTP Acquisition, North America’s leading independent provider of extended warranty and service contracts to the trucking industry, in leveraged dividend recapitalizations, the equity and debt financings of which were provided by Fidus Mezzanine Capital, Saratoga Investment Corp. and Brookside Mezzanine Fund
• The financial guarantors of Special Revenue Obligation bonds in the restructuring of over $2 billion of debt of the Mashantucket (Western) Pequot Tribe relating to the Foxwoods Resort Casino

Health Care / Research, Technology & Consulting

• The Advisory Board Company in several acquisitions, including:
  • Care Team Connect, a web-based comprehensive care-management solution provider
  • HealthPost, a provider of cloud-based software that enables seamless appointment scheduling across multiple care settings
  • Clinovations, a provider of strategic, clinical and health IT advisory and management consulting services
  • Zeumo, a provider of mobile enterprise communication management solutions
• The Advisory Board Company in the establishment of its cost-consulting business and the acquisition of a provider of cost-consulting services         
• The Johns Hopkins Health System Corporation and its subsidiary, Sleep Services of America, a provider of sleep diagnostic services, in the merger of Sleep Services of America with MedBridge Acquisition Corporation, the second-largest provider of sleep diagnostic services and respiratory therapy services in the U.S.
• Synapsys Limited, a consulting firm whose stockholders were the founders and executives of MobileMD, a health care technology firm, in the sale of MobileMD to Siemens Medical Solutions USA, one of the world’s largest health care suppliers
• The physician and therapist founders in the formation of a comprehensive physical medicine, physical therapy and rehabilitation center
• Sofinnova Ventures; OrbiMed Advisors; Thomas, McNerney & Partners; Panorama Capital; and Longitude Capital in the acquisition of American Depository Shares of Amarin Corporation, a biopharmaceutical company

Hospitality

• Salamander Hotels & Resorts in its sale of equity to, and joint venture relationship with, Junius Real Estate Partners, a specialized real estate investment unit of J.P. Morgan Asset Management, relating to the development, construction and management of Salamander Resort & Spa, a luxury resort in Middleburg, Virginia
• Salamander Hotels & Resorts in its negotiation and execution of management agreements for the management and operation of:
  • The Henderson, a grand beach resort in Destin, Florida
  • NOPSI New Orleans, a luxury historic hotel conversion in New Orleans
  • Hotel Bennett, a luxury hotel in Charleston, South Carolina
• Salamander Hotels & Resorts in its negotiation and execution of tournament facilities agreements relating to the PGA Tour’s Valspar Championship at Innisbrook, a Salamander Golf and Spa Resort
• A market-leading specialty finance company in its acquisition of a minority stake of a restaurateur which operates restaurants and retail concepts in airports across North America

Technology & Communications

• Sensormatic Security Corporation, a franchisee of Sensormatic Electronics Corporation, the industry-leading provider of retail loss prevention solutions, in the sale of its business to Sensormatic Electronics Corporation
• Pontio Communications Company, a wholesale provider of communications services, in its merger with El Paso Energy Corporation
• America Tower Corporation, and its subsidiary, ATC Teleports, an owner and operator of wireless communications towers, in ATC Teleports’ acquisition of General Telecom, an IT and telecom managed service provider
• Quantum Photonics, a provider of optical components, in its: $27.6 million Series B financing from Kinetic Ventures, Boulder Ventures and Core Capital Partners, Washington Business Forward’s “Deal of the Year” (April 2002); and merger with CODEON Corp., which created Covega Corporation; and Covega Corporation in its $17 million Series A financing from a group of investors led by Kinetic Ventures, Boulder Ventures, Core Capital Partners, Siemens Venture Capital, New Enterprise Associates and Intersouth Partners
• Core Communications Corporation, a provider of data communications and Internet solutions to the hospitality industry, in its: sale to Swisscom Eurospot, a subsidiary of Swisscom, Switzerland’s largest telecommunications service provider; and sales of multiple series of its preferred stock to a group of investors led by Core Capital Partners   
• MVP America, a venture capital firm, in: the sale of its portfolio company, Digital Sandbox, a developer of threat and risk analysis software, to Haystax Technology, a developer of big data and information integration tools for the intelligence, defense and security market; and its acquisitions of the Series A preferred stock of Digital Sandbox, Telverse Communications, EyeTel Imaging and Groupserve
• Cryptek, a provider of secure networking products for the remote administration of IT and telecom systems, in its sales of multiple series of its preferred stock to a group of investors led by Angelo, Gordon

Energy

• Energy Investors Funds (now Ares EIF Group) in its acquisitions of:
  • Northbrook New York LLC, the owner and operator of the Glen Park run-of-river hydroelectric facility, a FERC-regulated public utility
  • The sole owner participant interest in the leasehold of a 55 MW electric cogeneration facility in Boron, California
• Trans-Elect in its recapitalization and merger with GFI Energy Ventures
• A provider of specialist investment advisory and financial services in its joint venture with an integrated energy company for the purpose of acquiring, financing, investing in, operating and disposing of assets used primarily in providing centralized heating and/or cooling services
• Potomac Electric Power Company in the bankruptcy of Mirant Corporation

Manufacturing, Distribution & Specialty Retail

• PennEngineering in its acquisition of Heyco Products, a designer and manufacturer of molded wire protection products, plastic fasteners, molded components and stamped electrical components
• The owner-operator of South American automotive dealerships in its sale of equity to a leading private investment firm
• Stag-Parkway, a leading distributor of parts and accessories for RVs in the U.S., in its purchase of assets from Carter Distributing, a wholesale distributor of RVs and towing products
• A middle-market private equity firm in its acquisitions of the Series C preferred stock and Series D preferred stock of a leading distributor of specialty food items
• The loan trustee, on behalf of the bondholders, in a Section 363 sale, pursuant to U.S. Bankruptcy Court order, of substantially all of the assets of Remedial (Cyprus) Public Company Limited, a builder of elevating support vessels

Securities & Capital Markets

• Banc of America Securities as underwriter of the $414 million initial public offering of NRDC Acquisition Corp., a special purpose acquisition company
• Transforma Acquisition Group, a special purpose acquisition company, in its $100 million initial public offering
• Oppenheimer & Co.; Thomas Weisel Partners; William Blair & Company; Cowen and Company; and Needham & Company as underwriters in the approximately $85 million secondary offering of Constant Contact
• CAIS Internet in its $130 million initial public offering