RESEARCH & ADVISORY SERVICES
We provide customized, insightful and actionable reports for small to mid-size hedge funds and financial firms, which cover:
(1) businesses with unique and independent catalysts, such as time line events, or corporate events, such as an acquisition, spin-off or litigation, which will unlock or destroy value in the business; and
(2) special situations such as merger arbitrage deals with expected closing dates.
The analysis we provide is comprehensive, impartial, and institutional-level, and is backed by award-winning financial and legal expertise, coupled with a strong trading background. ach of our analysts has over 10 years experience in this space, providing research for hundreds of hedge fund clients (Series 86 & 87 licensed). At Morgan Stanley, our head analyst (J.D., MBA) tracked legal, policy, and event driven situations -- his two-person team voted No. 1 by Institutional Investor as well as No. 1 by Greenwich Poll.
Analysis and insights are geared to creating excellent risk/reward opportunities, as well as a unique competitive edge. Clients benefit from the extensive physical checks and due diligence we conduct with attorneys, government officials, company management, competitors, and other industry experts.
Detailed Research Coverage:
The strategies our research specializes in involve investment, long or short, in the stocks of companies with tangible catalysts (with a 3-9 month timelines) by which the client should be able to realize the expected change in the value in the underlying stock. Substantial profits may be generated by those who correctly analyze the impact of the anticipated event.
Our equity research clients rely on detailed primary research (with a focus on less efficiently priced small cap and micro cap stocks), we do not rely on the markets, sentiment, valuation, earnings or multiple expansion to drive performance in a stock. Instead, our event driven specialization focuses on a strategy unaffected by the general direction of markets. We analyze businesses with a unique and independent catalyst or corporate event such as an acquisition, litigation, or key regulatory event, which will unlock or destroy value in the business and the corresponding underlying security.
Much of the value of our research lies in the extensive physical checks and due diligence we conduct with attorneys, government officials, company management, competitors, and other industry experts.
DIRECTOR OF EQUITY RESEARCH:, David Kaplan, Former Morgan Stanley Analyst / Trader / Instructor
David Kaplan is a seasoned analyst, investor, and trader with a keen expertise and knowledge of capital markets as well as over 20 years of investing and trading experience.
Mr. Kaplan relies on fundamental and technical analysis in trading and investing, including advanced principles of behavioral science. He has experience across all time frames of investing and trading and prides himself for his discipline and consistency of positive results in all market conditions.
Starting at Morgan Stanley as a Research Associate, Mr. Kaplan worked for over 6 years in the Institutional Equity Division at Morgan’s Global Headquarters in New York City. During the last four years, his team was ranked #1 in its market performance by the prestigious Institutional Investor All America Poll rankings, an honor which means asset management analysts and portfolio managers voted the research as the best on the Street.
Following Morgan Stanley, Mr. Kaplan worked at UBS and several boutique buy-side and sell-side firms in an institutional capacity focusing on small cap, special situations, and event driven strategies.
With his passion for investment and ability to convey complex financial principles to a diverse audience, Mr. Kaplan has also taught fundamental and technical investing in classroom and consulting settings.
Most recently, Mr. Kaplan worked at Invest Academy, a classroom and investment training center based in New York, where he taught classes on technical analysis in investment strategies. His classes received a very high number of positive and enthusiastic reviews from students, who credited him for breaking down complex technical concepts to teach practical investment and shorter term investment entry and risk management skills.
Mr. Kaplan holds an MBA in Finance and a Juris Doctor from Hofstra University and has earned his BA degree magna cum laude from the University at Albany. He holds Series 6, 7, 63, 86, 87 licenses.
Rasim Sozen works at Ascend Financial Education as part of the equity research team, focusing on micro-cap companies.
Rasim brings a passion for the financial industry together with a research-oriented skill set and an international background and perspective. He worked for four years in the retail and logistics space in finance research, honing his skills on a variety of workstations and platforms, including Bloomberg and Money.Net.
After studying economics at Anadolu University in Turkey, Rasim emigrated to the U.S., enrolling in Hofstra University in Long Island. He is currently pursuing an MBA with a concentration in Accounting & Finance. He is Vice President of the Hofstra Investment Banking Association and the Hofstra coordinator of the Institute of Management Accountants.
Rasim is passionate about community involvement, and has been active in such outreach through a number of government and academic groups. He has taught financial literacy to 4th grade students at elementary schools in Long Island and processed tax returns for lower income individuals in Long Island through the IRS’s VITA (Voluntary Income Tax Assistance) program.