Ramius operates through several subsidiaries in several jurisdictions. In keeping with Ramius' philosophy of embracing operational transparency and regulation, Ramius has multiple licenses and registrations in such jurisdictions. The following is a list of licenses and registrations held by Ramius and its subsidiaries:
Ramius LLC
Ramius LLC, a U.S. limited liability company, acts as an investment manager for various hedge funds and is the parent and main operating company. It is a registered Investment Advisor with the U.S. Securities and Exchange Commission (IARD# 107993).
Ramius Securities LLC
Ramius Securities LLC, a U.S. limited liability company, acts primarily as a broker-dealer. It is a registered Investment Advisor with the U.S. Securities and Exchange Commission; a registered Broker Dealer with the Financial Industry Regulatory Authority (CRD# 41076) and with the states of Arizona, California, Connecticut, Delaware, the District of Columbia, Georgia, Louisiana, Maryland, New Jersey, New York, North Carolina, Oklahoma, Pennsylvania, Utah and Virginia and a registered member of the Municipal Securities Rulemaking Board.
Ramius Advisors, LLC
Ramius Advisors LLC, a U.S. limited liability company, acts as an investment manager for various multi-strategy hedge funds. It is a registered Investment Advisor with the U.S. Securities and Exchange Commission (IARD# 110806) and is a registered Commodity Pool Operator with the National Futures Association (# 0325396).
Ramius Asia LLC
Ramius Asia LLC, a U.S. limited liability company, acts as an investment manager for hedge funds. It is a registered Investment Advisor with the U.S. Securities and Exchange Commission (IARD# 137358).
Ramius Asia Ltd
Ramius Asia Ltd, a Cayman Islands exempted company, acts as an investment manager for business and institutional clients. It is a Type 9 license holder with the Securities and Futures Commission of Hong Kong (Asset Management).
Ramius Alternative Solutions LLC
Ramius Alternative Solutions LLC, a U.S. limited liability company, acts as an investment manager for various fund of hedge funds and managed accounts. It is a registered Investment Advisor with the U.S. Securities and Exchange Commission (IARD# 110879), a registered Commodity Pool Advisor and Commodity Pool Operator with the National Futures Association (#0283704) and an approved Investment Manager and Promoter with the Luxembourg Commission de Surveillance du Secteur Financier (CSSF).
Ramius Japan Ltd
Ramius Japan Ltd, a Cayman Islands exempted company, acts as an investment manager with a focus on opportunities in Asia. It holds a Type II Financial Instrument Trading Business registration with the Financial Services Agency of Japan.
Ramius Structured Credit Group LLC
Ramius Structured Credit Group LLC, a U.S. limited liability company, acts as an investment manager primarily focused on providing advice with respect to structured credit products. It is a registered Investment Advisor with the U.S. Securities and Exchange Commission (IARD# 135564).
Ramius UK Ltd
Ramius UK Ltd., a United Kingdom limited company with registered office at 10 Bruton Street, London W1J 6PX, U.K., (Company Number 04382500), mainly acts as (1) an investment manger, primarily with respect to investment opportunities in Europe and (2) investment advisor to financial instruments under the Markets in Financial Instruments Directive (MiFiD). Ramius UK Ltd. is authorized and regulated by the Financial Services Authority (FSA) in the United Kingdom (FSA Reference Number: 217702). Ramius UK Ltd. has established a branch in Germany (Munich) subject to the supervision by the Federal Supervisory Authority in Germany (BaFin) for the conduct of business in Germany.
RCG Starboard Advisors, LLC
RCG Starboard Advisors, LLC, a U.S. limited liability company, acts as an investment manager primarily focused on providing advice with respect to activist opportunities. It is a registered Investment Advisor with the U.S. Securities and Exchange Commission (IARD# 137350).