I.   Introduction 

Scarsdale Equities LLC is an institutional FINRA-member broker/dealer and SIPC member located in New York City, U.S.A., with offices at 30 Rockefeller Plaza in midtown Manhattan. The founding partners of Scarsdale Equities LLC are respected veterans of the U.S. financial services industry with solid track records as investors, analysts, and investment bankers.

The firm’s main services are: institutional equity brokerage, discretionary account management, investment banking, and start-up consulting and advisory services for money managers. The firm does not publish buy/sell/hold recommendations on securities as a matter of policy.

Scarsdale Equities LLC is a Wall Street ‘boutique’ firm offering institutional financial services. The firm is intensely focused on providing high quality service to a small network of investment professionals. The firm does not let bureaucracy or conflicts of interest interfere with client interests.

II.  Our Name and History

Scarsdale Equities LLC was named in honor of Robert H. Brimberg who passed away in 1993. He was known on Wall Street as ‘Scarsdale Fats’, a nickname given by a Boston banker and immortalized in the classic book The Money Game by ‘Adam Smith’, which was first published in 1967, and is still in print.

Starting in the 1960s he developed a close network of investment professionals by hosting regular luncheons where guests could air their ideas in a neutral forum on various investment subjects for comment and criticism by their peers. A description of his luncheons can be found in Chapter 16 titled “Lunch At Scarsdale Fats’” in the book.

The author concluded that Bob’s “corned-beef luncheons are buying the best research in the country.” Scarsdale Equities LLC was founded to continue Bob’s tradition of dedication to client interests, innovative thinking, and hospitality, by Frank Mlynarczyk, Tony Low-Beer, Wade Black, Rudy Beutell, and Anne M. Brimberg, Bob’s wife, who played an important role in developing Bob’s business over more than thirty years.

III.  Services (to page: Services)

• Institutional Equity Trading

• Discretionary Account Management

• Investment Banking

• Start-Up Services for Money Managers

 IV. Clients

Our network of investment professionals consists of money managers who manage individual accounts, hedge funds and mutual funds. The size of our clients measured by funds under management ranges from the smallest in the below $10MM area to the largest mutual fund complexes. Investors who are looking to have their funds managed by Scarsdale Equities LLC or by managers within the network have to fall within the definition of the rules for “accredited investors” as defined by the Securities Act of 1933, as amended, Rule 506 of Regulation D, or as a “qualified client” as defined by the Investment Advisers Act of 1940, as amended.