Private Equity Investments

Industry : Securities & Investments, Specialty Finance, Financial Technology Geography : United States and Canada Deal Structure : All Deal Structures Private Equity Activity : Private Equity Investments Portfolio Status : All Investment Status : Announced, Completed Investment Date : 10/21/2010 - 10/20/2011 Investment Date Investment Status Portfolio Company Name 10/4/2011 Completed H.D. Vest Inc. 9/27/2011 Completed Cortview Capital Secs LLC 9/26/2011 9/23/2011 8/31/2011 8/30/2011 8/27/2011 8/22/2011 8/17/2011 8/12/2011 8/8/2011 8/5/2011 8/4/2011 Announced Announced Completed Completed Announced Announced Completed Completed Announced Completed Completed Deutsche Bk Berkshire Mrtg Inc Trade & risk mgmt bus CAP XG LLC Avalon Advisors LLC Real estate loan portfolio First Allied SNL Financial LC Exeter Finance Corp. Comm loans & leases portfolio Ipreo Holdings LLC US payment solutions business PE Investor / Sponsor Parthenon Capital Partners Warburg Pincus LLC WL Ross & Co. LLC Vista Equity Partners Revolution Capital Group LLC Platform Partners, LLC TC Group, LLC (d/b/a Carlyle Group LLC) Lone Star Funds Lovell Minnick Partners LLC New Mountain Capital, LLC Blackstone Group L.P. Navigation Capital Partners, Inc. Vulcan, Inc. Kohlberg Kravis Roberts & Co. L.P. Veronis Suhler Stevenson Gores Group LLC Blackstone Group L.P. General Atlantic LLC Hellman & Friedman LLC Warburg Pincus LLC Stone Point Capital LLC Lovell Minnick Equity Partners II, LP Rosemont Investment Partners, LLC Silver Lake Partners LP Apollo Global Management, LLC ComVest Group TC Group, LLC (d/b/a Carlyle Group LLC) Centerbridge Partners L.P. TA Associates, Inc. Clarion Partners, LLC Lightyear Capital, LLC Cerberus Capital Management, L.P. F.N.B. Capital Corporation, LLC BV Investment Partners Diamond Castle Holdings LLC Golden Gate Capital Welsh, Carson, Anderson & Stowe Forsyth Capital Investors, LLC Cerberus Capital Management, L.P. Rosemont Investment Partners, LLC Stonehenge Partners, Inc. Apollo Global Management, LLC GTCR Golder Rauner, LLC J.C. Flowers & Co. LLC Red Mountain Capital Partners LLC Pine Brook Road Partners, LLC Metropolitan Equity Partners, LLC Arsenal Capital Partners, Inc. Silver Lake Partners LP Larsen MacColl Partners, L.P. Bluff Point Associates Corp. Lovell Minnick Partners LLC Twin Bridge Capital Partners TA Associates, Inc. Stone Point Capital LLC TC Group, LLC (d/b/a Carlyle Group LLC) Auctus Private Equity Fund, LLC Auctus Private Equity Management, Inc. Portfolio Status PE Activity Current Entry Current Stake Increase/Decrease Historical Current Current Current Current Historical Historical Current Current Historical Entry Entry Entry Stake Increase/Decrease Entry Entry Entry Stake Increase/Decrease Entry Exit Deal Amount ($M) NA NA NA NA NA NA 9,500.0 NA NA 277.0 NA 425.0 NA

Industry Broker-Dealer Broker-Dealer Specialty Lender Financial Technology Financial Technology Asset Manager Specialty Lender Asset Manager Financial Technology Specialty Lender Specialty Lender Financial Technology Financial Technology

Geography Deal Structure Buyout (LBO) TX Growth Capital VA Buyout (LBO), Other MA Buyout (LBO) USA Buyout (LBO) CA Growth Capital, Recapitalization TX Buyout (LBO) USA Buyout (LBO), Management Buy-out (MBO) USA Buyout (LBO) VA Buyout (LBO), Secondary Transaction (PE) TX Buyout (LBO), Corporate Divestiture USA Buyout (LBO), Secondary Transaction (PE) NY Buyout (LBO), Other USA Buyout (LBO), Public to Private Growth Capital Acquisition Financing Corporate Acquisition Growth Capital, Recapitalization Add-on, Buyout (LBO) Buyout (LBO) Acquisition Financing, Debt Financing Corporate Acquisition Corporate Acquisition Buyout (LBO) Buyout (LBO), Management Buy-out (MBO) Buyout (LBO), Public to Private Management Buy-out (MBO), Other Buyout (LBO), Merger Add-on, Buyout (LBO) Growth Capital Buyout (LBO), Recapitalization Corporate Acquisition Growth Capital Buyout (LBO), Public to Private Acquisition Financing Acquisition Financing Follow-on Offering Buyout (LBO), Public to Private Debt Financing Growth Capital Other Buyout (LBO), Public to Private Corporate Acquisition Growth Capital, Secondary Transaction (PE) Growth Capital Buyout (LBO) Buyout (LBO), Secondary Transaction (PE) Growth Capital Buyout (LBO), Debt Financing, Secondary Transaction (PE) Debt Financing Debt Financing Private Placement Debt Financing Acquisition Financing Corporate Acquisition

Current Entry Current Portfolio Company Activity Historical Stake Increase/Decrease Current Historical Current Current Current Current Current Entry Entry Exit Exit Entry Stake Increase/Decrease Exit

8/3/2011 7/29/2011 7/27/2011 7/19/2011 7/18/2011 7/11/2011 7/8/2011 7/6/2011 7/1/2011 7/1/2011 6/30/2011 6/9/2011 5/16/2011 5/12/2011 5/3/2011 4/29/2011 4/25/2011 4/4/2011 4/1/2011 4/1/2011 3/21/2011 3/15/2011 3/1/2011 3/1/2011 2/25/2011 2/19/2011 2/10/2011 2/8/2011 2/1/2011 1/7/2011 1/5/2011 1/4/2011 1/1/2011

Announced Completed Completed Announced Completed Completed Announced Announced Completed Completed Completed Completed Completed Completed Completed Completed Completed Completed Completed Completed Completed Completed Completed Completed Completed Completed Completed Completed Completed Completed Completed Completed Completed

Emdeon Inc. Mutual Fund Store LLC Access Point Financial Inc. ALPS Holdings Inc. Westmount Asset Mgmt Inc Madison Tyler Holdings LLC Gulf Stream Asset Mgmt LLC Integrated Oncology Ntwrk LLC Emerging Sovereign Group LLC GTCS Holdings LLC Stadion Money Management ING Clarion Partners LLC Silverleaf Resorts Inc Paragon Holding Corp Butterfield Fulcrum Grp Ltd CCCS Corporate Holdings Inc. Oxford Finance LLC Engle Martin & Associates Inc. Chrysler Financial Corp. Piedmont Investment Advs LLC National Investment Managers Apollo Residential Mortgage Assured Agencies LLC Encore Capital Group Inc. United PanAm Financial Corp. ProMAC KGS-Alpha Capital Markets L.P. NASDAQ OMX Group Inc. City Loan Matrix Financial Solutions Inc Matthews Intl Capital Mgmt LLC Evanston Capital Mgmt LLC Prima Capital Advisors LLC Claren Road Asset Mgmt Monster Offers

Financial Technology Asset Manager Specialty Lender Financial Technology Asset Manager Broker-Dealer Asset Manager Financial Technology Asset Manager Specialty Lender Asset Manager Asset Manager Specialty Lender

TN KS GA CO CA CA NC CA NY MN GA NY TX

2,231.6 NA 100.0 250.0 NA 1,000.0 NA 15.0 NA 1,065.0 NA 100.0 95.3 NA NA NA 460.0 NA 6,481.5 NA 42.5 NA NA 73.4 110.4 2.0 75.0 267.7 NA 201.0 NA NA NA 561.8 10.0

Historical Entry Historical Exit Historical Entry Current Current Historical Current Current Current Current Current Current Current Current Current Entry Entry Exit Entry Portfolio Company Activity Entry Entry Entry Stake Increase/Decrease Portfolio Company Activity Stake Increase/Decrease Entry

Financial Technology PA Financial Technology Bermuda Specialty Lender Specialty Lender CA VA

Financial Technology GA Specialty Lender MI Asset Manager NC Asset Manager OH Investment Company NY Specialty Lender FL Specialty Lender Specialty Lender Specialty Lender Broker-Dealer Broker-Dealer CA CA NY NY NY

Current Entry Historical Exit Current Entry Current Current Current Current Current Current Current Current Historical Current Historical Current Current Current Current Current Current Current Entry Entry Entry Stake Increase/Decrease Stake Increase/Decrease Entry Entry Stake Increase/Decrease Exit Entry Exit Entry Entry Entry Entry Entry Entry Portfolio Company Activity

Specialty Lender CA Financial Technology CO Asset Manager Asset Manager Asset Manager Asset Manager CA IL NY NY

12/31/2010 Completed 12/29/2010 Completed

Financial Technology CA

12/28/2010 Completed 12/23/2010 Completed 12/23/2010 Completed 12/23/2010 Completed 12/15/2010 Completed 12/15/2010 Completed 12/14/2010 Completed

York Insurance Holding, Inc. Consumer Portfolio Services Consumer Portfolio Services Consumer Portfolio Services Cadence Capital Mgmt LLC Keane Organization Inc. Crowe Paradis Services Corp.

Financial Technology NJ Specialty Lender CA Specialty Lender Specialty Lender Asset Manager CA CA MA

Financial Technology NY Financial Technology MA

12/14/2010 Completed 12/10/2010 Completed 12/1/2010 11/3/2010 11/1/2010 11/1/2010 11/1/2010 Completed Completed Completed Completed Completed

GAIN Capital Holdings Inc. R.J. O'Brien and Associates Sandler O'Neill & Partners LP National Processing Co. LLC CORE Bus. Credit LLC Highline Financial LLC NXT Capital LLC Oak Street Funding LLC Financial Pacific Lsg LLC

Broker-Dealer Broker-Dealer Broker-Dealer

NJ IL NY

IPO Management Buy-out (MBO) Growth Capital Add-on, Buyout (LBO) Corporate Acquisition Buyout (LBO), Corporate Acquisition Growth Capital Buyout (LBO), Secondary Transaction (PE) Buyout (LBO), Secondary Transaction (PE)

ABRY Partners, LLC Fortress Investment Group LLC Fortress Investment Group LLC Levine Leichtman Capital Partners, Inc. Levine Leichtman Capital Partners, Inc. F.N.B. Capital Corporation, LLC DFW Capital Partners Inc. Praesidian Capital Clarion Capital Partners LLC Cross Atlantic Capital Partners L.L.C. Edison Venture Fund, L.P. VantagePoint Venture Partners Spectrum Equity Investors, L.P. Technology Crossover Ventures Kelso & Companies, Inc. TC Group, LLC (d/b/a Carlyle Group LLC) GTCR Golder Rauner, LLC American Capital, Ltd. Spire Capital Partners, LLC Stone Point Capital LLC Angelo, Gordon & Co., L.P. Flexpoint Ford, LLC

Current Current Current Current Current Current Current Historical Historical Current Current Current Historical Historical Current Current

Stake Increase/Decrease Stake Increase/Decrease Portfolio Company Activity Entry Entry Entry Portfolio Company Activity Exit Exit Stake Increase/Decrease Stake Increase/Decrease Stake Increase/Decrease Exit Exit Entry Entry

500.0 100.0 NA 1.6 3.0 NA 90.3

81.7 NA 250.0 NA 25.3 NA 75.0 NA NA

Financial Technology KY Specialty Lender TX Financial Technology TX Specialty Lender IL Specialty Lender Specialty Lender IN WA

Historical Exit Historical Exit Historical Exit Current Stake Increase/Decrease Current Current Entry Entry

10/28/2010 Completed 10/26/2010 Completed

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