Moelis & Stock

Moelis & Company is a leading global independent investment bank that provides innovative strategic and financial advice to a diverse client base, including corporations, financial sponsors, governments and sovereign wealth funds. The company assists its clients in achieving their strategic goals by offering comprehensive, globally integrated financial advisory services across all major industry sectors. The company's team of experienced professionals advises clients on their most critical decisions, including mergers and acquisitions (M&A), recapitalizations and restructurings, capital markets transactions and other corporate finance matters.

The company creates lasting client relationships by providing focused innovative advice through a highly collaborative and global approach. The company's compensation model fosters its holistic approach to clients by emphasizing quality of advice and is not a commission-based structure where employees are compensated on a defined percentage of the revenues they generate. As of December 31, 2023, the company served its clients with 824 advisory professionals, including 160 Managing Directors, based in over 20 locations around the world.

Advisory Offering

The company offers holistic advisory solutions to clients by integrating its bankers' deep industry knowledge and broad corporate finance experience with its global capabilities. With over 20 locations in North and South America, Europe, the Middle East, Asia and Australia, the company combines local and regional expertise with international market knowledge to provide highly integrated information flow and strong cross border capabilities.

The company combines its global capabilities with expertise in all major industries including Technology; Industrials; Healthcare; Energy; Power; Clean Technology; Consumer & Retail; Business Services; Financial Institutions; Media & Telecommunications; and Real Estate, Gaming, Lodging & Leisure. The company collaborates globally to bring its deep industry knowledge to the local markets where its clients operate.

The company focuses on a wide range of clients, including large public multinational corporations, middle market private companies, financial sponsors, entrepreneurs, governments and sovereign wealth funds, and it delivers the full resources of its firm and the highest level of senior attention to every client, regardless of size or situation.

The company advises its clients through all phases of the business cycle using its strong capabilities in M&A and strategic advisory, capital markets, capital structure advisory and private funds advisory.

The company has a premier M&A and strategic advisory franchise advising clients on mergers, acquisitions, sales and divestitures, special committee assignments and shareholder defense. The company counsels its clients through all stages of the process as it evaluates strategic alternatives, assess potential acquirers and targets, provides valuation analyses and advise on transaction terms including valuation, structuring, timing and potential financing. Additionally, the company has an exclusive sales franchise with a strong track record in achieving maximum value for clients in their sale processes.

The company has substantial expertise in guiding special committees of boards of directors to evaluate strategies and negotiate proposals by leveraging decades of transaction experience. The company executes a rigorous process to help special committees synthesize alternatives and develops an appropriate course of action. The company brings a strong understanding of key deal points and the interplay between deal terms, value and the various stakeholders involved.

The company's shareholder advisory team provides corporate boards with effective solutions to a broad range of contested shareholder situations. The company draws from decades of experience working with both public companies, boards and management to advise clients across every industry on matters of corporate preparedness. The company also provides support during activist campaigns from privately engaging with shareholders to stave off a formal campaign, to defending the company's interests in a proxy fight or hostile media campaign.

For its clients seeking capital market solutions, the company also acts as placement agent, advisor, or bookrunner on a broad range of capital raising mandates and provide general capital markets advice. The company brings expertise on all aspects of public and private debt and equity transactions to provide comprehensive capital structure advice, structure customized financing solutions and raise capital through private placements or underwritten deals.

For its clients in financial distress, the company brings together senior capital structure advisory professionals with its industry, M&A and capital markets experts to provide holistic advice. The company advises both companies and creditors, utilizing its strong relationship network to access capital, identify potential partners and drive support for its transactions. In addition, the company's deep relationships throughout the creditor and recapitalization and restructuring communities provide multiple creditor side origination opportunities and allow it to develop a comprehensive perspective for all constituents. The company understands that in distressed situations, many creditors become temporary equity holders of businesses, and it helps these clients realize value which leads to further M&A activity for it.

The company also provides global strategic advisory and distribution to private fund sponsors including secondary market advisory, tailored capital raise solutions and primary fundraising. The company's private funds advisory team has extensive experience accessing private institutional capital on behalf of sponsors across a variety of fund types and its capabilities are fully integrated with its global platform. Combined with the firm's leading financial sponsor franchise, sector expertise and M&A capabilities, the company delivers a range of strategic, customized solutions to its sponsor clients across a wide spectrum of strategies, including buyout, growth, real assets, special situations and sector specific strategies.

In addition, the company provides a broad range of other financial advisory services tailored to the specific circumstances and needs of its clients. For example, the company has substantial experience in advising clients on complex risk exposures, it acts as expert witness for clients in major litigation and it assists private clients and governments in negotiations of significant commercial matters.

The company seeks to generate repeat business from its clients by becoming long term partners with them as opposed to being solely transaction focused. The company is also committed to developing new client relationships, and it maintains an active dialogue with a large number of potential clients, as well as with their financial and legal advisors, on an ongoing basis. The company continues to access new relationships through its business development initiatives, growing its senior team with professionals who bring additional client relationships and through introductions from its strong network of relationships with senior executives, board members, attorneys and other third parties.

Growth Strategy

The key elements of the company's strategy are to deepen and expand its client relationships; and broaden its areas of expertise based on client needs.

Strategic Alliances

The company has a strategic alliance with Alfaro, Dávila y Scherer, S.C. (ADS), an independent strategic and financial advisory firm in Mexico, to provide advisory services to its global client base with a focus on cross-border transactions.

Regulation

As a matter of public policy, regulatory bodies in the U.S. and the rest of the world are charged with safeguarding the integrity of the securities and other financial markets and with protecting the interests of customers participating in those markets, not with protecting the interests of the company's stockholders or creditors. In the U.S., the Securities and Exchange Commission (the SEC) is the federal agency responsible for the administration of the federal securities laws. Moelis & Company LLC, the company's wholly owned subsidiary through which it conducts its financial advisory business in the U.S., is registered as a broker dealer with the SEC. Moelis & Company LLC is subject to regulation and oversight by the SEC. In addition, the Financial Industry Regulatory Authority, Inc. (FINRA), a self regulatory organization that is subject to oversight by the Securities and Exchange Commission (the SEC), adopts and enforces rules governing the conduct, and examines the activities, of its member firms, including Moelis & Company LLC. State securities regulators also have regulatory or oversight authority over Moelis & Company LLC.

In addition to the regulation, the company is subject to in the United States, it is also subject to regulation internationally by the Financial Conduct Authority in the United Kingdom, the Securities and Futures Commission in Hong Kong, the Dubai Financial Services Authority, the Dutch Authority for the Financial Markets, and the Securities and Exchange Board of India.

Federal anti money laundering laws make it a criminal offense to own or operate a money transmitting business without the appropriate state licenses, which the company maintains, and registration with the U.S. Department of the Treasury's Financial Crimes Enforcement Network (FinCEN). In addition, the Bank Secrecy Act, USA PATRIOT Act of 2001 and the Treasury Department's implementing federal regulations require the company, as a financial institution, to establish and maintain an anti money laundering program.

Similarly, the UK Bribery Act prohibits the company from bribing, being bribed or making other prohibited payments to government officials or other persons to obtain or retain business or gain some other business advantage.

History

Moelis & Company was founded in 2007. The company was incorporated in Delaware in 2014.