Esposito Capital Management, LLC, Featured in “Hedge Fund Alert” Regarding Strategic Lending Fund

March 31st, 2014

The Esposito Capital Management LLC asset management team takes a unique approach to providing institutions, individuals, and businesses with unprecedented investment services to achieve higher returns on short-term investment opportunities. Esposito Capital works diligently with qualified investors to provide them with the highest quality services possible and strives to maintain their trust through dedication to its core values of integrity, commitment, respect and innovation.

Esposito Capital Management was featured in Hedge Fund Alert on March 26th, 2014. The fund offers an opportunity for qualified investors to participate in the funding of short-term bridge loan financing. The fund focuses on raising capital to provide secured bridge loans for residential properties throughout Texas and targets an annualized return between 7-8%.

To view the article and to find out more information regarding Esposito Capital Management and the Esposito Strategic Lending Fund, please click here.

 

Esposito Global Announces Proposal to acquire SWS Group, Inc. (NYSE: SWS) at $8.00 a Share in Cash

Esposito Global notified the Special Committee of Board of Directors of SWS Group, Inc. (NYSE: SWS) on February 12, 2014, that it is prepared to make a proposal, subject to certain conditions, to acquire all the outstanding common shares of SWS in a business combination at a price of $8.00 a share in cash.  Esposito Global is a rapidly growing, fast-paced, technology-driven firm whose mission is to provide exemplary products and services to their clients. Esposito Global strives to earn and maintain the trust of clients and employees through dedication to their core values of integrity, commitment, respect, and innovation. Esposito is in the midst of expansion in virtually every segment of the company to accommodate the rapid organic growth of its client base and acquisition strategy.

The proposal from Esposito Global represents a 32% premium above the closing price of SWS common stock of $6.06 on January 9, 2014, the last business day prior to the public announcement that Hilltop Holdings Inc. had made an offer to acquire SWS on January 10, 2014.   In addition, Esposito Global’s proposal represents a 14.3% premium above the price currently offered by Hilltop, as set forth in its Schedule 13D filed with the Securities and Exchange Commission. Esposito believes its proposal clearly represents an attractive value realization event for the shareholders of SWS.  Moreover, the consideration offered under the proposal would be payable entirely in cash at the closing of the business combination.

The proposal from Esposito Global is subject to certain conditions, including completion of customary due diligence, arranging for outside financing, negotiation of definitive agreements and receipt of required governmental and third party approvals.

About Esposito Global

Esposito Global is the corporate brand for the Esposito family of financial services companies. Its affiliates include Esposito Securities, Esposito Partners, and Esposito Private Equity Group.  Esposito Securities was founded in 2006 and serves institutional investment clients worldwide.  Mr. Mark A. Esposito leads Esposito Global and we believe that the businesses of Esposito and SWS have significant overlap and offer tremendous opportunity for further growth.  Mr. Esposito previously served a five-year tenure at SWS and originally came to Dallas to start the SWS portfolio trading business.  We believe that he has a deep knowledge of SWS and the industry in which it participates and knowledge would facilitate the structuring and consummation of this transaction and be a catalyst to effect positive change for both companies and their employees.  To experience the Esposito commitment to customer service and for further information on our products and services, please contact us at info@espoglobal.com or visit www.espositoglobal.com.

About SWS Group, Inc.

As described in its public filings, SWS Group, Inc. is a publicly traded, Dallas based company that was originally established as a broker-dealer in 1972. Since its inception, SWS has expanded its business segments and currently functions in the areas of retail brokerage, securities clearing, institutional brokerage, and banking and has provided industry leading services for RIAs and other broker-dealers throughout its existence. These subsidiary companies exist as Southwest Securities, Inc., SWS Financial Services, Inc., and Southwest Securities, FSB. Collectively, they make up one of the region’s leading securities firms.

Forward-Looking Statements

This press release contains forward-looking statements within the meaning of the Private Securities Litigation Reform Act of 1995, which may be may be identified by the context in which the statements are made and generally arise when Esposito Global is discussing its beliefs, estimates or expectations regarding future events.  Forward-looking statements include, but are not limited to, statements regarding proposals, plans and intentions of Esposito Global, the steps that would be taken to effect a business combination between Esposito Global and SWS Group, Inc. and the benefits expected to be derived from such a business combination. These statements represent only Esposito Global’s beliefs at the time the statements were made, and are subject to certain risks, uncertainties and other factors. Actual future events and outcomes may differ materially from what is expressed, anticipated or forecast in such forward-looking statements.  Certain factors will could affect the forward-looking statements in this this press release include the nature of any response received from SWS regarding the proposed business combination, the results of any due diligence review that may be undertaken by Esposito Global, the satisfaction of conditions to which the proposal is subject and market and other factors, many of which are outside the control of Esposito Securities.  Except as required by law, Esposito Securities undertakes no duty to update any forward-looking statement to reflect future events, events or developments relating to the subject matter of this press release.

GENCAP Ventures, LLC announces important strategic partnership with Esposito Global, LLC – July 2012

GENCAP Ventures, LLC is revolutionizing the exchange traded marketplace by offering turnkey solutions, value-added services, and a team of seasoned ETF experts unrivaled in the marketplace. GENCAP will help investment managers develop and position products suited to their unique investment styles. The management team, intellectual property, and operational infrastructure will result in significant time and cost savings for clients in getting ETFs to market.

This partnership is the result of clients requesting Esposito’s assistance in delivering the most competitive ETFs to market in one turnkey platform. Sam Masucci, GENCAP CEO, explains; “We are excited about the opportunity to offer a full suite of ETF products, services and market expertise to the investment management community. GENCAP will lead the marketplace by offering a comprehensive ETF development and management platform for its clients. We have already received significant interest from clients wishing to bring 1933 and 1940 act ETF funds to market on our platform. Ultimately GENCAP will offer the broadest range of ETF products and services in the asset management and indexing marketplace.”

Esposito Global, headquartered in Dallas, Texas will be a cost effective and value added partner to GENCAP. Esposito Securities LLC (a FINRA broker-dealer) will offer GENCAP’s clients a cost efficient statutory distributor; including a full compliance and marketing suite of products, FINRA licensing and worldwide trading across multiple asset classes. Esposito Partners LLC (a registered investment advisor) will offer value added sub-advisory services across all asset classes using customized technology.

Esposito provides across the board services to its clients that create a valuable resource to the Portfolio Managers’ investment decisions. Esposito Securities, LLC is a FINRA registered broker dealer and part of the Esposito Global family and provides global equity trading services. Esposito Partners, LLC is a SEC registered Investment Advisor offering Sub-Advisory and ETF solutions. A growing list of clients use our services, including registered investment advisors, mutual funds, hedge funds, ETFs, closed end funds and unit investment trusts with trillions of dollars in assets. To experience the Esposito commitment to customer service and for further information on their products and services, please contact Charlie Daniel on our ETF desk at 214-855-2157 or etf@espoglobal.com.

Anyone interested in learning more about the GENCAP advantage should contact Sam Masucci at 212-786-7513 orsmasucci@GENCAPV.com. Experience GENCAP’s unique approach to furthering your financial reach and our premium customer service and care.

Esposito Global CEO Mark Esposito to be Featured in May Issue of The Suit Magazine

Dallas, TX – Dallas-based Esposito Global CEO and Founder Mark Esposito will be featured in The Suit Magazine’s May issue. The May issue will cover new emerging business trends, corporate sustainability, innovation, and team success.

A graduate of the University of Connecticut, Mark Esposito began his career on Wall Street with JP Morgan. With over 20 years of experience, he is now CEO of Esposito Global, which he continues to grow and innovate. “Human capital is always a challenge and something we work on everyday – getting the best people. In our business, it’s about intelligence. It’s about your market experiences, who you know, and how you operate,” explains Esposito. “You have to do that with integrity, dignity, and hard work in order to be successful.”

Esposito Securities, the firm’s core business, is an institutional broker-dealer which trades securities for institutional investors. Competing with bulge-bracket multi-faceted financial services firms such as Goldman Sachs and JP Morgan, the firm is able to distinguish itself through its service and innovation. Clients of Esposito Securities seek second-to-none service and custom-built products and offerings tailored specifically to their needs, something that competitors many times fail to offer.

In May’s issue of The Suit Magazine, Mark Esposito will comment on how the world of finance is changing rapidly through hard-hitting legislation such as the Dodd-Frank Wall Street Reform and Consumer Protection Act and how to adapt to the changing environment. He will also reveal his philosophy on how to successfully build a brand, such as the value of operating with integrity and planning for future demands.

About Esposito Global

Esposito Global is the corporate brand for the Esposito family of financial services companies. Its businesses include Esposito Securities, Esposito Partners, and Esposito Private Equity Group. The firm’s mission is to be the leading financial services provider through outperformance of competitors and exemplary service to its clients.

In addition to its portfolio of companies, Esposito Global operates its own non-profit organization: the Esposito Foundation, which distributes funds annually charitable to a group of non-profit organizations. For more information, visit www.espositoglobal.com.

About The Suit Magazine

The Suit Magazine is a business publication that provides a voice for small to medium-sized companies which form the backbone of the American economy. The magazine provides in-depth analyses of successful corporate executives, business owners, and professionals, along with topical investigative news reporting, combining a trade approach with a journalistic emphasis. For more information, visit www.thesuitmagazine.com.

Esposito Global Announces Corporate Bond Trading Desk to its Securities Business

Dallas, TX – Esposito Global has recently announced the addition of five new trading and sales professionals to the company’s newly-formed Corporate Bond Group. The group will execute fixed income trade orders on behalf of its core business Esposito Securities. The addition is one of many the firm has made in the past month, as Esposito recently launched their Investment Banking Group.

Peter Wooldridge has been named Head of the Corporate Bond Group. Joining him is Robert Montero, who was named Senior Vice President and Trader, as well as Yvette Espinoza-Engh, John Shelburne, and David Dix. Mr. Wooldridge and Mr. Montero bring over 15 years of experience in the fixed income field to Esposito Securities while the rest of the team has over 30 years of combined experience in sales and trading.

“We are excited to add the Corporate Bond group to our growing list of services,” said Mark Esposito, President and CEO of Esposito Securities. “The team has tremendous experience and proven success within the fixed income industry and their addition is an integral part of our vision for this business. This new addition is an important step in our continued growth and efforts in strengthening our client relationships.”

Most recently, Peter Wooldridge served as Managing Director of the Corporate Bond Division at Tejas Securities. Prior to this role, he was the Head of Retail Taxable Fixed Income Trading at Southwest Securities. Robert Montero formerly served as Senior Vice President at Tejas Securities, Southwest Securities, and Ferris Baker Watts. He brings a wealth of experience and knowledge in the broad spectrum of fixed income securities. The firm continues to expand product offerings to both its institutional and retail networks by leveraging Esposito’s expertise as an innovative broker.

About Esposito Global

Esposito Global is the corporate brand for the Esposito family of financial services companies. Its businesses include Esposito Securities, Esposito Partners, and Esposito Private Equity Group. The firm’s mission is to be the leading financial services provider through outperformance of competitors and exemplary service to its clients.

In addition to its portfolio of companies, Esposito Global operates its own non-profit organization: the Esposito Foundation, which distributes funds annually charitable to a group of non-profit organizations. For more information, visit www.espositoglobal.com.