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RCS Capital Corporation, Inc.


About RCS Capital

RCS Capital Corporation (NYSE: RCAP) is a full-service investment firm expressly focused on the individual retail investor.

With operating subsidiaries including retail advice services, wholesale distribution, investment banking, capital markets, investment research, investment management and crowdfunding, RCS Capital's business is designed to capitalize, support, grow and maximize value for the investment programs it distributes and the independent advisors and clients it serves.

Additional information about RCS Capital can be found on its website at www.rcscapital.com. RCS Capital may disseminate information about itself, including the results of its operations and financial information, via social media platforms such as Facebook, LinkedIn and Twitter.


http://rcscapital.com/

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RCAP family of 16 Companies

Home to the second largest retail financial advisor network in the U.S.,1 and with over 9,505 representatives and investment advisors across all 50 states, RCS Capital is dedicated to helping America's mass affluent investors receive professional, independent, unbiased investment advice.

rcap


A) RCAP's INDEPENDENT RETAIL ADVICE companies

Cetera Financial Group: https://www.cetera.com/

RCAP Acquired Cetera Financial Group, Creating Second Largest Independent Financial Advisor Network in USA from Lightyear Capital for $1.15 billion in cash last year.



http://www.prnewswire.com/news-releases/rcs-capital-corporation-agrees-to-acquire-cetera-financial-group-creating-second-largest-independent-financial-advisor-network-in-america-240525571.html


First Allied: http://www.firstallied.com/

Investors Capital https://www.investorscapital.com/

Jp Turner: http://www.jpturner.com/

The Legend Group: www.legendgroup.com.

Summit Brokerage: https://www.summitbrokerage.com/

Girard Securities: http://joingirard.com/

Vsr Group: www.vsrfinancial.com/

http://rcscapital.com/retail-advice.html
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B) RCAP's INVESTMENT RESEARCH company

SK Research http://www.skre.com/
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C) RCAP's INVESTMENT MANAGEMENT company

Hatteras Funds: http://hatterasfunds.com/
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D) RCAP's INVESTMENT BANKING AND CAPITAL MARKETS section

http://rcscapital.com/investment-banking.html
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E) RCAP's TECHNOLOGY companies

Trupoly: https://www.trupoly.com/

Docupace Technologies: http://www.docupace.com/

DirectVest: https://www.directinvestments.com/
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 RCAP's Most Recent Financials

Gross Revenue: $678.4 Million
Adjusted EBITDA: $26.9 Million
Assets Under Administration: $238.7 Billion
Financial Advisors: 9,505
Retail Clients: 2.5M


http://www.snl.com/Cache/1001201137.PDF?Y=&O=PDF&D=&FID=1001201137&T=&IID=4378143

https://www.sec.gov/Archives/edgar/data/1568832/000156883215000021/rcap-2015630x10q.htm
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 RCAP share structure

Authorized Shares: 100 million

Outstanding shares: 85 million


Public Float: 30 million

http://finance.yahoo.com/q/ks?s=RCAP+Key+Statistics

https://www.sec.gov/Archives/edgar/data/1568832/000156883215000021/rcap-2015630x10q.htm
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 RCAP's 92% of shares held by Insider and Institutions

RCAP's biggest shareholder Billionaire Nicholas S. Schorsch holds 21,090,475 (24.5% of outstanding shares)

https://www.sec.gov/Archives/edgar/data/1248577/000114420415057949/v420666_sc13da.htm

Nicholas S. Schorsch NET WORTH: 1.6 Billion https://en.wikipedia.org/wiki/Nicholas_Schorsch
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Luxor Capital Partners, LP holds 9,290,503 (11.2% )

https://www.sec.gov/Archives/edgar/data/1316580/000101359415000470/rcap13da8_081915.htm
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MPAP Holdings, LLC. holds 6.40% of shares

https://www.sec.gov/Archives/edgar/data/1568832/000114420415055513/v420497_sc13d.htm
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Apollo Principal Holdings holds 5.7% of shares

https://www.sec.gov/Archives/edgar/data/1413407/000110465915062483/a15-18655_1sc13d.htm
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Billionaire Cohen's Rubric Capital Management holds 5,523,646
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THE OTHER HOLDERS

Millennium Management LLC 2,550,488

Citadel Advisors Llc 2,460,886

Nokota Management LP 2,295,000

BlackRock Fund Advisors 1,789,792

Robeco Investment Management, Inc. 1,480,655

Vanguard Group, Inc. (The) 1,245,746


RCAP CEO Weil, Edward M., Jr. holds 1,239,669


CEO paid $2.30 per share on August 12, 2015.

CEO Edward M. Jr. Weil purchased 50,000 shares of the business’s stock in a transaction dated Wednesday, August 12th. The stock was bought at an average cost of $2.30 per share, for a total transaction of $115,000.00. The purchase was disclosed in a legal filing with the Securities & Exchange Commission, which can be accessed through this hyperlink.

http://www.dakotafinancialnews.com/rcs-capital-corp-given-consensus-recommendation-of-hold-by-brokerages-nasdaqrcap/487359/
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LIST OF THE FUNDS HOLD RCAP SHARES:
https://www.holdingschannel.com/funds/holding-rcap/

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 RCAP's short volume 12 million shares as of September 30, 2015.
About 40% of float short.


public float 30 million

http://finance.yahoo.com/q/ks?s=RCAP+Key+Statistics

http://www.nasdaq.com/symbol/rcap/short-interest
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RCAP book value per share 8.98 dollars

Book value: Total Equity/Outstanding shares

RCAP book value: 763.5 million dollars/ 85 million shares= 8.98 dollars

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 Reuters is expecting 17 cents Earning per share expected for Q3

Earnings Valuation Report out for RCAP as of 10/06/15
Thomson Reuters I/B/E/S Estimates
Earnings Valuation Report
continued
RCS CAPITAL CORP(RCAP)
Stock Price
Price as of 10/06 $1.17
Quarterly EPS Consensus Expectations
Q3 '15: $0.17
RCAP's next earnings announcement is expected on November 9th
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Recent News Link

http://www.snl.com/irweblinkx/News.aspx?IID=4378143&mode=1&type=

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Michael Weil   |   Chief Executive Officer and Director

mike weil rcs capitalMichael Weil is Chief Executive Officer and Director of RCS Capital (NYSE: RCAP). In his role as CEO, he is responsible for leading RCS Capital in developing and implementing business strategy and corporate initiatives across the company and its operating subsidiaries. Prior to being appointed Chief Executive Officer of RCS Capital, Mr. Weil served as President, Treasurer, Secretary and Director of RCS Capital. He is also a founding partner in AR Capital.  Read More >

Brian D. Jones   |   Chief Financial Officer

Brian D. Jones RCS CapitalBrian D. Jones has been the Chief Financial Officer, Assistant Secretary and Manager of RCS Capital since December 2013. Mr. Jones has served as head of the investment banking division of Realty Capital Securities since February 2013. Mr. Jones served as chief operating officer of ARCP from February 2013 until November 2013. Mr. Jones served as chief financial officer and treasurer of ARCT from its internalization in March 2012 until the close of its merger with Realty Income Corporation in January 2013. Prior to ARCT’s internalization, Mr. Jones served as senior vice president, managing director and head of investment banking at Realty Capital Securities and ARC Advisory Services, LLC, or ARC from September 2010 through February 2012.   Read More >

James A. Tanaka   |   General Counsel

james tanaka rcs capitalJames A. Tanaka, now General Counsel for RCS Capital and Executive Vice President for American Realty Capital, leads RCS Capital’s multi-disciplinary legal department, specializing in securities and general corporate matters. In addition to overseeing regulatory matters and strategic merger and acquisition transactions, he focuses on real estate securities matters involving publicly-offered traded and non-traded REITs and BDCs, general capital markets concerns, corporate governance, compliance, and SEC and Blue Sky regulations. He joined the company in January 2011 as Assistant General Counsel, served as Chief Securities Counsel—Deputy General Counsel for American Realty Capital, and was most recently employed by Proskauer Rose LLP as a corporate associate in their real estate capital markets group, capital markets group, and Latin American practice group.   Read More >

John H. Grady   |   Chief Strategy and Risk Officer

john h gradyJohn H. Grady is Chief Strategy and Risk Officer for RCS Capital Corporation (RCAP), and is President of National Fund Advisors and its investment company complex, the ARC Income Funds. He previously held management positions with various operating subsidiaries of RCAP, including Realty Capital Securities LLC. Prior to joining Realty Capital in October 2012, Mr. Grady was Chief Operating Officer and General Counsel of Steben & Company (2009 – 2012); Senior Adviser, Coil Investment Group (2008 – 2009); and CEO and President, Nationwide Funds Group (2006 -2008).   Read More >

Business Line Leadership

R. Lawrence Roth   |   Chief Executive Officer of Cetera Financial Group

Lawrence Roth RCS CapitalR. Lawrence “Larry” Roth was appointed Chief Executive Officer of Cetera Financial Group, RCAP’s retail advice platform, in May of 2014. As CEO, Mr. Roth assumes overall executive responsibility for Cetera Financial Group, which includes: the four legacy Cetera branded firms (Cetera Advisors, Cetera Advisor Networks, Cetera Financial Institutions, and Cetera Financial Specialists) along with First Allied Securities, Investors Capital, J.P. Turner and Company, The Legend Group and Summit Brokerage Services. VSR Financial and Girard Securities will join Cetera Financial Group following the close of their acquisitions by RCAP. Prior to his appointment with RCS Capital, Larry Roth served as Chief Executive Officer of Realty Capital Securities.  Read More >

Brian Nygaard   |   Executive Vice President and Chief Financial Officer of Cetera Financial Group

Brian Nygaard RCS Capital

Brian Nygaard serves as Executive Vice President and Chief Operating Officer of Cetera Financial Group. Mr. Nygaard is an experienced organizational and sales leader with a focus on creativity and profitable revenue growth, and brings a broad based background in the business development continuum, including sales management and offering economic. Prior to RCS Capital, he held roles as Managing Director at Atticus Advisers, LLC, Managing Director at Pershing BNYM, CEO and President of Financial Advisors at H&R Block, President of ING Advisors Network and Vice President of Strategic Development at Principal Financial Group. Brian received his BA from Drake University, and holds his CPA, CFP and FINRA license.

Adam Antoniades   |   President, Cetera Financial Group

adam antoniadesAdam Antoniades was appointed President of Cetera Financial in May of 2014. In his capacity as President, he also focuses on building out a world-class retail investment advice platform for advisors and their clients. Mr. Antoniades has spent over twenty years in the independent financial advice channel. As a proven leader in the industry, he brings a rich history in providing independent financial advisors with the tools and resources necessary to deliver exceptionally high value in the marketplace.  Read More >

Bill Dwyer   |   Chief Executive Officer, Realty Capital Securities

bill dwyerBill Dwyer serves as the Chief Executive Officer of Realty Capital Securities, LLC (“RCS”). Prior to joining RCS in September 2014, Mr. Dwyer served as President of LPL Financial Independent Advisor Services, where he was responsible for setting strategic direction for the management, satisfaction, retention and recruitment of the firm’s independent advisors. During his over 20 years at LPL Financial, Mr. Dwyer managed numerous business units including Business Development, Branch Development, Marketing, Advisory Services, Sponsor Relations, Product Marketing, Compliance, Research, Advisor Facing Technology, Financial Institution Services, Retirement Partners and Registered Investment Advisor Services.  Read More >

Louisa Quarto   |   President, Realty Capital Securities

louisa quartoLouisa Quarto joined Realty Capital Securities and AR Capital in April of 2008, and currently serves as President of Realty Capital Securities, member FINRA, SIPC and Senior Vice President of AR Capital. Ms. Quarto has over 17 years’ experience in the direct investment industry. Her current responsibilities with the company include overseeing national accounts, operations, due diligence and compliance activities for Realty Capital Securities. From February 1996 through April 2008 Ms. Quarto was with W. P. Carey & Co. LLC, most recently as Executive Director and Chief Management Officer of Carey Financial, LLC, the broker-dealer subsidiary of W. P. Carey, where she managed relationships with the broker-dealers that were part of the CPA® REIT selling groups.   Read More >

Richard F. Williamson   |   Chief Counsel – Strategic Transactions

james tanaka rcs capitalRichard F. Williamson serves as Chief Counsel of Strategic Transactions for RCS Capital. A seasoned attorney with over 35 years of experience executing real estate merger and acquisition transactions, prior to joining RCS Capital, Mr. Williamson was a partner at Blank Rome, LLP. He has been recognized as one of the "Top Rated Lawyers in Real Estate Law" for 2013 and 2014 by American Lawyer Media and Martindale-Hubbell. He has served on the board of directors of a national bank, mortgage company, life insurance company and private school and as an adjunct professor at the University of Virginia Law School where he earned a J.D.

Andrew Melnick   |   Chief Litigation Counsel, RCS Capital Corporation

andrew melnickAndrew Melnick joined AR Capital in July 2014 as Chief Litigation Counsel for RCS Capital Corporation, reporting to James Tanaka. Prior to joining, he was a Partner at Schindler Cohen & Hochman LLP in New York. Mr. Melnick previous experience includes, Senior Legal Counsel, Group Legal & Compliance Risk Assessment and Strategy at UBS AG in New York and Zurick; Deputy General Counsel and Head of Retail Litigation at UBS Financial Services in New York and Weehawken, NJ; and Litigation Associate and Counsel at Kaye Scholer LLP in New York. Mr. Melnick received his Bachelors of Arts in History from Hamilton College and JD from Boston University School of Law, graduating Cum Laude.

Kenneth Jaffe   |   President, American National Stock Transfer, LLC

kenneth jaffeKenneth Jaffe joined RCS Capital in August, 2014 through the acquisition of Strategic Capital Advisory Services and currently serves as President of American National Stock Transfer. Prior to co-founding Strategic Capital Advisory Services and serving as its President from its inception in 2009, Mr. Jaffe served as the Chief Operating Officer of KBS Capital Markets Group, starting from the Company’s inception in 2005. Before joining KBS, Mr. Jaffe founded and served as President of Jaffe Technologies, a technology consulting firm servicing large financial institutions such as the John Hancock Financial Network.   Read More >

Maureen Maloney   |   Executive Vice President and Chief Compliance Officer, American National Stock Transfer, LLC

maureen maloneyMaureen Maloney joined RCS Capital in February of 2013 as Executive Vice President and Chief Compliance Officer for American National Stock Transfer as well as Vice President of Realty Capital Securities’ compliance department. She has worked as General Counsel and Chief Compliance Officer for Lucia Securities, LLC in San Diego, CA. Prior to that Maureen served as President and Chief Compliance Officer for Grubb & Ellis Equity Advisors, in addition to working as a transfer agent for their broker dealer.  Read More >

Curtis Parker   |   Senior Vice President, American National Stock Transfer, LLC

curtis parkerCurtis Parker serves as Senior Vice President of American National Stock Transfer, RCS Capital’s transfer agent. Mr. Parker oversees investor relations, account set-up and purchase, and back-office function for all offerings associated with all Realty Capital Securities offerings. Mr. Parker also assists with technology development and reporting. He began working with Realty Capital Securities in November 2006 as a senior analyst. Previously, Mr. Parker was an asset manager at GF Capital Advisors, LLC. He received a Bachelor of Science degree in business administration from The University of Tulsa in 2006.

Todd Snyder   |   President, SK Research

todd snyderTodd D. Snyder, Co-President. Todd has over 25 years of legal, financial and due diligence experience. Prior to joining SK Research, Todd’s prior experience includes practicing corporate and securities law. Todd was the founder of Snyder Kearney LLC, a law firm providing due diligence services to broker-dealers., and acting as the Vice President of Due Diligence for a registered broker- dealer. Todd is admitted to practice law in the State of Maryland and the District of Columbia and is licensed as a Certified Public Accountant in the State of Maryland. Todd holds a JD, a BA in Economics and a BS in Business.

John Kearney   |   President, SK Research

john kearneyJohn F. Kearney, Co-President. John has 30 years of legal and financial experience. Before joining SK Research, John was a partner with Snyder Kearney LLC, a law firm providing due diligence services to broker-dealers. Prior to joining Snyder Kearney, John was a partner with the law firms of Blank Rome LLP and Dyer Ellis & Joseph PC and an associate with Venable LLP. Before becoming an attorney, John was a Branch Chief and financial analyst in the SEC’s Division of Corporation Finance, where he was primarily responsible for filings made by REITs, other real estate programs, and equipment leasing programs. John holds a JD, MBA and BA in Economics.



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RCAP RCS Capital Corporation weekly Stock Chart
RCAP [NYSE]
RCS Capital Corporation
Financial | Investment Brokerage - National | USA
Index - P/E - EPS (ttm) -3.25 Insider Own 41.50% Shs Outstand 77.28M Perf Week -32.21%
Market Cap 78.05M Forward P/E 0.97 EPS next Y 1.04 Insider Trans -0.05% Shs Float 39.70M Perf Month -49.75%
Income -221.80M PEG - EPS next Q 0.18 Inst Own 50.90% Short Float 29.56% Perf Quarter -83.11%
Sales 2.49B P/S 0.03 EPS this Y -51.70% Inst Trans -4.76% Short Ratio 9.90 Perf Half Y -90.18%
Book/sh 6.71 P/B 0.15 EPS next Y 49.35% ROA -9.00% Target Price 5.00 Perf Year -95.71%
Cash/sh 2.52 P/C 0.40 EPS next 5Y 22.60% ROE -41.20% 52W Range 0.98 - 24.69 Perf YTD -91.75%
Dividend - P/FCF - EPS past 5Y 0.00% ROI -5.20% 52W High -96.59% Beta -
Dividend % - Quick Ratio - Sales past 5Y - Gross Margin 19.90% 52W Low -14.06% ATR 0.17
Employees 1942 Current Ratio - Sales Q/Q 5.20% Oper. Margin -3.10% RSI (14) 14.90 Volatility 11.67% 10.90%
Optionable Yes Debt/Eq 1.62 EPS Q/Q 72.10% Profit Margin -8.90% Rel Volume 1.54 Prev Close 1.01
Shortable Yes LT Debt/Eq 1.62 Earnings Aug 06 BMO Payout - Avg Volume 1.19M Price 0.84
Recom 2.50 SMA20 -45.72% SMA50 -71.29% SMA200 -89.01% Volume 1,824,557 Change -16.61%



 
PostSubject
#4725   http://www.wsj.com/articles/former-american-realty-capital-cfo-arrested-on-secur cents2ks 09/13/16 04:16:03 PM
#4724   Bummer 4ward 05/24/16 03:47:52 PM
#4723   RCAPQ BK PLAN effective. All shares cancelled at Renee 05/24/16 02:41:39 PM
#4722   The lights have been turned off... ...[blink blink] ouch! cents2ks 05/24/16 02:33:02 PM
#4721   No, not at all. Just wanted to point Surgex 05/20/16 12:24:10 PM
#4720   I don't get your point... Are you saying the cents2ks 05/20/16 10:25:30 AM
#4719   9019 rule in 10.2 intercreditor issues.and 10.6 release Surgex 05/20/16 07:54:08 AM
#4718   Yes, everyone compromised to expedite the bk...compromise included cents2ks 05/19/16 04:22:40 PM
#4717   Rule 9019 definition https://www.law.cornell.edu/rules/frbp/rule_9019 Surgex 05/19/16 04:12:30 PM
#4716   ...well...that was cute... ...market manipulators, be aware... ...I'll hold i cents2ks 05/19/16 04:08:45 PM
#4715   Just so we are clear...the reference to litigation cents2ks 05/19/16 03:10:01 PM
#4714   769 Order (I) Approving The Cetera Debtors' Solicitation And cents2ks 05/19/16 12:13:51 PM
#4713   (ii) RCS Plan’s 9019 Settlements. The RCS 4ward 05/19/16 10:53:26 AM
#4712   Thanks Cents2ks I think we're great bankruptcy Surgex 05/19/16 10:26:41 AM
#4711   http://www.investmentnews.com/article/20160518/FREE/160519918/robert-moore-to-re cents2ks 05/19/16 01:30:03 AM
#4710   768 Certification of Counsel Regarding Proposed (I) Order cents2ks 05/18/16 05:33:18 PM
#4709   The Creditor Trust, under direction from the Creditor cents2ks 05/12/16 06:05:18 PM
#4708   Oh yes I see the creditor committee is marc1p 05/12/16 05:30:30 PM
#4707   In the litigation? ...i'm not sure, if cents2ks 05/12/16 05:05:03 PM
#4706   The US Trustee plays a role in this marc1p 05/12/16 08:42:05 AM
#4705   The Creditor Trust is tasked with pursuing the cents2ks 05/11/16 05:03:28 PM
#4704   Thank you!!! Cents what odds do we have Surgex 05/11/16 04:32:39 PM
#4703   Oh and Yes, release changes. That is correct. cents2ks 05/11/16 04:03:06 PM
#4702   Not really, just the final plan...which I want cents2ks 05/11/16 04:00:07 PM
#4701   Release language changes correct. Is this something of Surgex 05/11/16 03:45:50 PM
#4700   747 Exhibit(s) //Notice of Filing by the RCS Debtors cents2ks 05/11/16 03:05:49 PM
#4699   release related changes due by end of the cents2ks 05/10/16 01:39:25 PM
#4698   clarifying release language...barclay's counsel says ok but, they cents2ks 05/10/16 01:30:56 PM
#4697   might in the future if we sue him! cents2ks 05/10/16 01:09:00 PM
#4696   ...still arguing about releases...Barclay's not happy unless they cents2ks 05/10/16 01:07:38 PM
#4695   But might in the future if this unravels? marc1p 05/10/16 01:07:22 PM
#4694   certain parties have asserted a breach of fiduciary cents2ks 05/10/16 12:35:12 PM
#4693   Does Nick have any obligations to pay anything Surgex 05/10/16 12:28:57 PM
#4692   ARC is still complaining about the releases... cents2ks 05/10/16 12:20:08 PM
#4691   debtors are proposing a 7 day objection window cents2ks 05/10/16 12:17:09 PM
#4690   That's nothing new, commons are always last and cents2ks 05/10/16 11:09:49 AM
#4689   Don't look good in Docket 735 details of Surgex 05/09/16 11:19:26 PM
#4688   It kind of looks that way to me Surgex 05/09/16 08:29:11 PM
#4687   "Litigation issues in OUR favor"? Does it marc1p 05/09/16 07:31:36 PM
#4686   Thanks cents not much different. Litigation issues Surgex 05/09/16 03:16:56 PM
#4685   Blacklines at 729, 730 cents2ks 05/09/16 02:22:52 PM
#4684   727 and 728 new plans on prime clerk... cents2ks 05/09/16 02:03:01 PM
#4683   No matter, that can be googled. As you marc1p 05/09/16 07:24:43 AM
#4682   Thanks Cents for the detailed and frank assessment. marc1p 05/07/16 03:24:21 PM
#4681   It means they will try again to pass cents2ks 05/07/16 02:34:12 PM
#4680   DJ RCS Fails to Win Court Approval of 4ward 05/07/16 02:31:09 PM
#4679   Cents, you can almost hear crickets in here. marc1p 05/07/16 12:16:55 AM
#4678   ok, here is what they said... cents2ks 05/06/16 01:57:59 PM
#4677   I will be "attending".....begins in 30 minutes... cents2ks 05/06/16 01:01:00 PM
#4676   720 Notice of Hearing Notice of Telephonic Hearing Filed cents2ks 05/06/16 12:38:59 PM
PostSubject