The material on the Website is not intended to be, or construed as being, investment advice or services or any offer or solicitation in respect thereof, nor a recommendation of any particular security or investment. Nothing in the Website is, or should be construed as, an offer to, or a solicitation of, any person to sell or buy any security or investment. You should obtain independent professional advice if you intend to buy or sell any security or investment.
United States
Houlihan Lokey Capital, Inc., and Houlihan Lokey Advisory, Inc., members of FINRA and SIPC, each provide investment banking, restructuring advisory, cross-border advisory, private placement, merger, acquisition, and divestiture services; Waller Helms Securities, LLC a member of FINRA, provides M&A, capital and strategic advisory services, special committee and fairness opinions; each is registered as a broker-dealer with the Securities and Exchange Commission; and each is regulated by the Financial Industry Regulatory Authority, Inc., as a FINRA Member Firm. Houlihan Lokey Financial Advisors, Inc., provides financial advisory services.
The information and services provided on the Website are not provided to and may not be used by any person or entity in any jurisdiction where the provision or use thereof would be contrary to applicable laws, rules, or regulations of any governmental authority, or regulatory or self-regulatory organization or clearing organization, or where we are not authorized to provide such information or services.
Europe
The contents of the Website have not been reviewed by the U.K. Financial Conduct Authority (the “FCA”), German Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht or “BaFin”), or any other regulatory authority in Europe. The material on the Website is provided for informational purposes only, for intended recipients comprising professional investors, high-net-worth companies, and other institutional investors, but is not directed at, or intended for distribution or publication to or use by, any person or entity who is a citizen or resident of or located in any jurisdiction where such direction, distribution, publication, or use would be contrary to applicable law or regulation or which would subject Houlihan Lokey to any additional registration or licensing requirements with such jurisdiction.
The GDPR Article 27 Representative of Houlihan Lokey in the EU is
SECUWING GmbH & Co. KG
Frauenstraße 9
86152 Augsburg Germany
Email: GDPR_Article_27_Representative@secuwing.com
United Kingdom
Houlihan Lokey UK Limited
Houlihan Lokey UK Limited is a limited company incorporated in England and Wales, with its registered office at One Curzon Street, London, W1J 5HD, United Kingdom. It is registered with the Registrar of Companies for England and Wales with registered number 09536762 and is authorised and regulated by the Financial Conduct Authority with Firm Reference Number 792919.
Houlihan Lokey Advisory Limited
Houlihan Lokey Advisory Limited is a limited company incorporated in England and Wales, with its registered office at One Curzon Street, London, W1J 5HD, United Kingdom. It is registered with the Registrar of Companies for England and Wales with registered number 01072627 and is authorised and regulated by the Financial Conduct Authority with Firm Reference Number 116310.
Houlihan Lokey PFG Advisory Limited
Houlihan Lokey PFG Advisory Limited is a limited company incorporated in England and Wales, with its registered office at One Curzon Street, London, W1J 5HD, United Kingdom. It is registered with the Registrar of Companies for England and Wales with registered number 09806514 and is authorised and regulated by the Financial Conduct Authority with Firm Reference Number 725267.
Where the material on the Website constitutes a financial promotion, it is issued and approved for distribution in the U.K. by Houlihan Lokey UK Limited, Houlihan Lokey Advisory Limited, and Houlihan Lokey PFG Advisory Limited only to and directed at (a) persons who have professional experience in matters relating to investments falling within Article 19(1) of the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005 (the “Order”) or (b) high-net-worth entities and other persons to whom it may otherwise lawfully be communicated, falling within Article 49(1) of the Order (all such persons together being referred to as “relevant persons”). Any material on the Website that constitutes a financial promotion must not be acted on or relied on by persons who are not relevant persons, and any investment activity to which the Website relates is only available to relevant persons and will be engaged in only with relevant persons.
For Houlihan Lokey UK Limited’s, Houlihan Lokey Advisory Limited’s, and Houlihan Lokey PFG Advisory Limited’s statement setting out a General Description of the Nature and Risks of Financial Instruments, please click here.
For Houlihan Lokey UK Limited’s, Houlihan Lokey Advisory Limited’s, and Houlihan Lokey PFG Advisory Limited’s Summary Conflicts of Interest Policy, please click here.
For disclosure relating to UK MIFIDPRU 8, please click here.
For disclosure relating to the UK Modern Slavery Act 2015, please click here.
For disclosure relating to the Gender Pay Gap, please click here.
For disclosures relating to the UK Financial Services Compensation Scheme, please click here.
For disclosures relating to the UK tax strategy, please click here.
Germany
Houlihan Lokey (Europe) GmbH
Houlihan Lokey (Europe) GmbH (“HLE GmbH”) is a limited liability company incorporated under German law, with its registered office at Marienturm, Taunusanlage 9-10, 60329 Frankfurt am Main, Germany (t: +49 (0) 69 204 34 6410, email: FF-Reception@HL.com). It is registered in the Commercial Register of the Local Court of Frankfurt am Main under the register number HRB 113808 (VAT number: DE 323844951). HLE GmbH is authorized and regulated by the Federal Financial Supervisory Authority (BaFin), Graurheindorfer Straße 108, 53117 Bonn, and Marie-Curie-Straße 24-28, 60439 Frankfurt am Main and may provide services in certain European countries in accordance with the Markets in Financial Instruments Directive ‘passporting’ regime. Legal representatives (Geschäftsführer) are: Andreas Bauer, Joseph Swanson, and Simon Woolton. Responsible for content as per section 18(2) German State Media Treaty (MStV): Andreas Bauer, Marienturm, Taunusanlage 9-10, 60329, Frankfurt am Main, Germany.
For HLE GmbH’s statement setting out a General Description of the Nature and Risks of Financial Instruments, please click here.
For HLE GmbH’s Summary Conflicts of Interest Policy, please click here.
HLE GmbH is a member of the Compensatory Fund of Securities Trading Companies (Entschädigungseinrichtung der Wertpapierhandelsunternehmen - EdW), 10865 Berlin, Germany, an unincorporated special fund of the German Federal Government established at the Kreditanstalt für Wiederaufbau (t: +49 30 203699-5626, f: +49 30 203699-5630, email: mail@e-d-w.de, Internet: www.e-d-w.de. For further information according to §23a KWG, please click here.
HLE GmbH has a complaints management process. In case of dissatisfaction related to a service provided by HLE GmbH, please send your complaint to the following email address: FF-Reception@HL.com. After receiving your complaint, we will (i) send you a written (email) acknowledgement within five days informing you that the complaint has been received and is being dealt with and (ii) ensure that you are kept up to date with progress in resolving your complaint. If you do not receive a final response within four weeks, you will be provided with a written statement explaining why and when we expect to be able to provide a response.
For HLE GmbH’s statements on sustainability-related disclosure requirements under Art. 3, Art. 4 and Art. 5 of EU Regulation 2019/2088 of 27 November 2019 on sustainability‐related disclosures in the financial services sector, please click here. For HLE GmbH’s information according to Art. 6 of EU Regulation 2019/2088 of 27 November 2019 on how HLE GmbH incorporates sustainability risks into investment advisory services, please click here.
Houlihan Lokey GmbH
Houlihan Lokey GmbH is a limited liability company under German law, with its registered office at Marienturm, Taunusanlage 9-10, 60329, Frankfurt am Main, Germany (t: +49 (0) 69 204 34 6410, email: FF-Reception@HL.com). It is registered in the Commercial Register of the Local Court of Frankfurt am Main under the register number HRB 92611 (VAT number: DE 282141226). It is a corporate finance advisor that does not provide regulated banking business or financial services, i.e., it does not hold a banking or financial services license. Legal representatives (Geschäftsführer) are: Martin Bastian, Christian Keller, and Simon Woolton. Responsible for content as per section 18(2) German State Media Treaty (MStV): Christian Keller, Marienturm, Taunusanlage 9-10, 60329 Frankfurt am Main, Germany.
Houlihan Lokey Germany AG
Houlihan Lokey Germany AG is a public limited company incorporated under German Law, with its registered office at Taunusanlage 9-10, 60329 Frankfurt am Main, Germany (t: +49 (0) 69 204 34 6410, email: FF-Reception@HL.com). It is registered in the Commercial Register of the Local Court of Frankfurt am Main under the register number HRB 132863 (VAT number: DE 129274501). It is a corporate finance advisor that does not provide regulated banking business or financial services, i.e., it does not hold a banking or financial services license. Legal representatives (Vorstand) are: Sascha Pfeiffer (Vorstandsvorsitzender), Moritz Freiherr von Bodman, Frank Merkel, Dr. Johannes Schmittat, and Tobias Schultheiß. Members of the Supervisory Board (Aufsichtsrat) are: Alexander Grünwald (Aufsichtsratsvorsitzender), Simon Woolton, and John Cowan. Responsible for content as per section 18(2) German State Media Treaty (MStV): Moritz Freiherr von Bodmann, Prannerstraße 4, 80333 Munich, Germany.
France
Houlihan Lokey (Europe) GmbH, Paris Branch
Houlihan Lokey (Europe) GmbH, Paris Branch, is a branch of Houlihan Lokey (Europe) GmbH, established under the ‘passporting’ regime as provided for by the EU Markets in Financial Instruments Directive, with its business address at 40 rue La Pérouse, 75016 Paris, France – 830 371 589 RCS Paris. Phone number: +33.1.53.43.38.00.
Houlihan Lokey France SAS
Houlihan Lokey France SAS is incorporated under French law with its business address at 40 rue la Pérouse, 75016 Paris, France, and with a registration number 847 712 791. It is a corporate finance advisor which does not provide regulated banking business or financial services in France, i.e., it does not hold a French banking or financial services license.
Houlihan Lokey Private Funds Advisory S.A.
Houlihan Lokey Private Funds Advisory S.A. is incorporated under French law with its business address at 5, rue Scribe 75009 Paris, France, and with a registration number 387 680 648. It is a corporate finance advisor which does not provide regulated banking business or financial services in France. Houlihan Lokey Private Funds Advisory S.A. is a member of the Chambre Nationale des Conseils Experts Financiers (CNCEF) Patrimoine and is registered with the ORIAS.
Hosting Provider: Houlihan Lokey, Inc., 10250 Constellation Boulevard, Los Angeles, CA 90067, United States. Phone number: +1 310-553-8871.
Italy
Houlihan Lokey S.p.A.
Houlihan Lokey S.p.A. is registered in the trade register of Milan (Registro Imprese di Milano) under number 04917520969, with its business address at Corso Matteotti, 5, 20121 Milano, Italy. It is a corporate finance advisor which does not provide regulated banking business or financial services, i.e., it does not hold a banking or financial services license.
Houlihan Lokey Italy s.r.l.
Houlihan Lokey Italy s.r.l. is registered in the trade register of Milan (Registro Imprese di Milano) under number 12566920158, with its business address at Via Marco de Marchi, 7, 20121 Milano, Italy. It is a corporate finance advisor which does not provide regulated banking business or financial services, i.e., it does not hold a banking or financial services license.
For disclosures relating to the whistleblowing regulatory framework (Italian Law n. 24/2023), please click here.
Netherlands and Belgium
Houlihan Lokey (Netherlands) B.V. is registered in the trade register of Amsterdam under number 343 07 885 with its business address at Roemer Visscherstraat 43-45, 1054 EW Amsterdam, Netherlands. Houlihan Lokey (Netherlands) B.V. has a branch office in Belgium, Houlihan Lokey (Netherlands) B.V. Belgisch bijkantoor, which is registered in the Belgian Crossroads Bank for Enterprises under enterprise number 0800.566.437, with its business address at Greenhouse Collection at the Singel, Desguinlei 100, 2018 Antwerp, Belgium. Houlihan Lokey (Netherlands) B.V. is a corporate finance advisor which does not provide regulated banking business or financial services, i.e., it does not hold a banking or financial services license.
Spain
Houlihan Lokey (Europe) GmbH, Sucursal en España, is a branch of Houlihan Lokey (Europe) GmbH, and is registered in the Commercial Register of Madrid under Volume 41639, Book 0, Sheet 1 and Page number M-737710, with registered offices at Edificio Torre Serrano, Marqués de Villamagna, 3 28001, Madrid, Spain and with Spanish Tax ID number (NIF) W-0078766-C. Houlihan Lokey (Europe) GmbH, Sucursal en España is an investment services company registered with the BaFin under number 10156087 and with the Comisión Nacional del Mercado de Valores under number 145.
Houlihan Lokey (Europe) GmbH, Sucursal en España has a Customer Care Service, for Customer Care information please click here. If you need to contact the Customer Care Service please contact Customer Care Service (SpanishBranchCustomerCare@HL.com), Edificio Torre Serrano, Marqués de Villamagna, 3 28001, Madrid, Spain.
Houlihan Lokey (España), S.A. is registered in the Commercial Register of Madrid under Volume 26315, Sheet 66 and Page number M-474177, with registered offices at Edificio Torre Serrano, Marqués de Villamagna, 3 28001, Madrid, Spain and with Spanish Tax ID number (NIF) A-85598407. The company is a corporate finance advisor and does not render any regulated services.
Sweden
Houlihan Lokey Sweden AB is registered in the Swedish Companies Registration Office with a registration number 559448-6150, and with business address at Biblioteksgatan 8, 111 46 Stockholm, Sweden. It does not provide regulated banking business or financial services, i.e., it does not hold a banking or financial services license.
Switzerland
Houlihan Lokey Switzerland AG is registered in the Commercial register of canton Zurich with a registration number CHE-103.822.128, and with business address at Klausstrasse 4, 8008 Zürich, Switzerland. It does not provide regulated banking business or financial services, i.e., it does not hold a banking or financial services license.
** Houlihan Lokey Switzerland AG does not provide bank or securities brokerage services and is not subject to FINMA supervision. **
Middle East
Dubai, United Arab Emirates
Houlihan Lokey (MEA Financial Advisory) Ltd.
Houlihan Lokey (MEA Financial Advisory) Ltd. is a company established in the Dubai International Financial Centre (DIFC) pursuant to the DIFC Companies Law, with registration number CL2471, and with a registered office at P.O. Box 507303, Level 17, ICD Brookfield Place, Al Mustaqbal St., Dubai International Financial Centre, Dubai. Houlihan Lokey (MEA Financial Advisory) Ltd. is regulated by the Dubai Financial Services Authority for the provision of advising on financial products, arranging deals in investments, and arranging credit and advising on credit with DFSA Reference Number F002414.
All communications and services are directed at professional clients only. Persons other than professional clients, such as retail clients, are NOT the intended recipients of our communications or services.
For disclosures relating to the DIFC Privacy Policy please click here.
Israel
Houlihan Lokey Israel Ltd., Israel branch, is a branch of Houlihan Lokey Israel Ltd., a limited company registered with the Registrar of Companies for England and Wales with registered number 09564954 and registered office at One Curzon Street, London, W1J 5HD, United Kingdom. The branch is registered with the Israeli Corporations Authority – Registrar of Companies, under corporation number 560031700, and with a registered office at 94 Yigal Alon St., 16th Floor, 6789156 Tel Aviv, Israel.
Asia Pacific
Australia
Houlihan Lokey (Australia) Pty Limited (ABN 74 601 825 227), a company incorporated in Australia, holds an Australian Financial Services Licence (“AFSL”) issued by the Australian Securities and Investments Commission (AFSL number 474953). The financial services are only provided to “wholesale clients” within the meaning of the Corporations Act 2001 (Cth). Nothing in this disclaimer excludes, restricts, or modifies a warranty, guarantee, right, or liability to the extent that to do so would be in breach of Australian law.
** Houlihan Lokey operates in Australia through its subsidiary, Houlihan Lokey (Australia) Pty Limited. Houlihan Lokey does not otherwise act through a branch, office or permanent establishment in Australia and does not provide banking services, securities brokerage services or accept deposits from or offer investment products to retail clients in Australia. Furthermore, Houlihan Lokey (Australia) Pty Limited is not authorised as an authorised deposit-taking institution (ADI) in Australia with the Australian Prudential Regulation Authority (APRA). **
China
HLHZ Investment Consulting (Beijing) Co., Ltd., and Houlihan Lokey (Shanghai) Co., Ltd., are companies incorporated in the People’s Republic of China which provide financial advisory services. They are not registered with the China Securities Regulatory Commission or other regulatory authorities in the People’s Republic of China to conduct any regulated activities.
The contents of the Website have not been reviewed by any regulatory authority in the People’s Republic of China. The material on the Website is provided for informational purposes only, for intended recipients comprising professional investors, high-net-worth companies, and other institutional investors, but is not directed at, or intended for distribution or publication to or use by, any person or entity who is a citizen or resident of or located in any jurisdiction where such direction, distribution, publication, or use would be contrary to applicable law or regulation or which would subject Houlihan Lokey to any additional registration or licensing requirements with such jurisdiction.
The material on the Website is not intended to be, or construed as being, investment advice or services or any offer or solicitation in respect thereof, nor is anything contained herein a recommendation of any particular security or investment. Nothing in the Website is, or should be construed as, an offer to, or a solicitation of, any person to sell or buy any security or investment. You should obtain independent professional advice if you intend to buy or sell any security or investment.
You are advised to exercise caution in relation to the information contained in the Website.
Hong Kong SAR
Houlihan Lokey (China) Limited is registered in Hong Kong with registered number 1176730 and is licensed by the Securities and Futures Commission (“SFC”) in Hong Kong (with CE No. ARC069) to engage in Types 1, 4, and 6 regulated activities for clients who are professional investors only.
The contents of the Website have not been reviewed by the SFC or any other regulatory authority in Hong Kong. The material on the Website is provided for informational purposes only, for intended recipients who are professional investors, but is not directed at, or intended for distribution or publication to or use by, any person or entity who is a citizen or resident of or located in any jurisdiction where such direction, distribution, publication, or use would be contrary to applicable law or regulation or which would subject Houlihan Lokey to any additional registration or licensing requirements with such jurisdiction.
India
Houlihan Lokey Advisory (India) Private Limited is registered in India with registration number U74900MH2011PTC215146 with business address Level 9, Platina, C-59, G Block, Bandra Kurla Complex, Bandra (East), Mumbai, Maharashtra, 400051 and is licensed by the Securities and Exchange Board of India (“SEBI”) (with Registration No. INA000001217) as an Investment Adviser.
For Investor Charter, please click here.
For Complaint Data, please click here.
Japan
Houlihan Lokey Corporation and HL Succession Corporation provide financial advisory services in Japan.
The material on the Website is provided for informational purposes only and is not directed at, or intended for distribution to or use by, any person or entity who is a citizen or resident of or located in Japan or any other jurisdiction where such distribution, publication, availability, or use would be contrary to applicable law or regulation or which would subject Houlihan Lokey or its subsidiaries or affiliates to any registration or licensing requirements with such jurisdiction. Neither this Website nor any information or opinion on this website constitutes a solicitation, offer, or recommendation by Houlihan Lokey or its affiliates to buy or sell any securities, futures, options, or other financial product or offer to provide or solicitation to obtain any advisory or other service to any person or entity who is a citizen or resident of or located in Japan.
Singapore
Houlihan Lokey (Singapore) Private Limited is registered in Singapore with the unique entity number 201701198C and is an ‘exempt corporate finance adviser’, able to provide exempt corporate finance advisory services to accredited investors only. Its registered business address is 12 Marina Boulevard, #22-02 MBFC Tower 3, Singapore 018982.
South America
Brazil
Houlihan Lokey Assessoria Financeira Limitada is registered as a limited liability company with the Board of Trade of the State of São Paulo (Registration Number 35260335427), with its business address at R. Leopoldo Couto de Magalhães Jr. 822, CJ. 111/112 – 11th Fl. – Ed. Union Faria Lima, São Paulo, SP 04542-011, Brazil. It is a financial advisor which does not provide regulated banking business or financial services, i.e., it does not hold a banking or financial services license.