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Profile 20191
CompanyProfile
2019
Profile 2019 2
CorPorate values
innovation east afriCa
sharing suCCess Customer Care
We offer innovative investment strategies and products to help you grow
your capital.
We will always be fair, share in our company’s
success with stakeholders, and acknowledge effort
accordingly.
We plan and act for the future. Crested Capital will
grow as Uganda and the region grows.
We care about you. Offering outstanding customer care is not just a statement for
Crested Capital, it’s our mission.
Profile 20193
• Annual ReportPublishing• Economist Magazine• Company Coverage
• Market Reports• Bloomberg• Revinitiv
Crested Capital is an independent, Ugandan financial services company, licensed to participate in the capital markets.
What We Do
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Brokerage for retail and institutional investors
investment advisory
fixed income (t-Bills, t-Bonds, and Corporate Bonds)
investment Banking
Private equity
non-discretionary Portfolio management
research & Publications
new Business
• Market Advisory for companies• Corporate governance• Independent company valuation• Transaction advisory
• Sponsoring broker• Rights issues• Cross-listings
• Fixed Income Trading• Agency Banking• Microfinance
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nabakka ruth ManagerFinance & Treasury; Joined: 2006Bs OIM (MUBS)Pursuing Msc HR. (MUBS)
henry tamaleManager Institutional Dealing; Joined: 2010BCom - Finance (MUBS) Pursuing an Msc Banking and Investment Management (MUBS)
martin echobuHead Retail Trading;Joined: 2011BBA - Finance (MUBS)
Catherine n. sebunyaHead Customer RelationsCompliance & Risk;Joined: 2013 Bachelor of MicrofinancePursuing an Msc Banking and Investment Management (MUBS)
manaGEmEnT TEam BIoS
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manaGEmEnT TEam BIoS
susan namagandaHead Operations;Joined: 2013BBA (UCU)Pursuing an Msc Banking and Investment Management (MUBS)
evelyn KabarangiraExecutive Co-ordinator;Joined: 2013BDS (MUK)
robert BaldwinCEO;Joined: 2004BSBA Georgetown University (WDC)MSc Finance and Financial Law (SOAS)
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Market Leaders for Active Retail Investors in 2014 by the Uganda Capital Markets Authority
Best Brokerage Organization Financial Industry Reporting Excellence(FIRE) Awards 2017
Market Leader for Active Institutional Investors 2014 KCMA Awards
Best Brokerage Organization Financial Industry Reporting Excellence (FiRe) Awards 2018
Award for Most Client Origination during the 20th anniversary of the USE
Best Brokerage Organization Financial Industry Reporting Excellence(FIRE) Awards 2016
Best Broker 2017 by the Uganda Securities Exchange during 20th anniversary of the USE.
2014 2014 2016
2017 2017 2018
aWarD Winning
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Crested are also the Economist subscription agents since 2010.
Crested regularly publishes daily, weekly, and quarterly research reports and real-time investment alerts about developments in the Uganda market. In 2010 we established a Crested local companies index which has since evolved to the C9. The C9 tracks the performance of all the locally listed companies including BATU, BOBU, DFCU, NVL, NIC, SBU, UCL, UMEM and CQCIL. Our weekly equities and money market reports are sent to more than 6,000 investors each week.Our research is published and available through multiple international platforms including: Bloomberg, Thompson Reuters (now Refinitiv), FactSet, and AGCO.
researCh anD PuBliCations
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Lead Selling Agent; Britam IPO.Crested Capital also offers its advisory services to many companies in UGANDA, Kenya, Tanzania and Rwanda including Britam, Kenya Airways, Tanzania Breweries, National Insurance Corporation, Payment Solutions and Transportation Company.
Lead Transaction Advisor; • Fettan• UmemeLead Sponsoring Broker; Kenya Airways Rights Issue
Co-lead Transaction Advisor and Lead Sponsoring Broker; National Insurance Corporation Bonus Issue
Co-lead Transaction Advisor and Lead Sponsoring Broker; National InsuranceCorporation Rights Issue
Co-Lead Transaction Advisor;Insurance Company Rwanda
Lead Sponsoring Broker; CiplaQCILIpo
2011
2012
2014
2016
2018
Since 2006, Crested Capital has participated in several regional offers and all public listings in Uganda as a lead transaction broker, co-transaction advisor, co-sponsoring broker, selling agent and investment advisor to retail clients.
traCK reCorD
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Crested has participated in 17 primary market transactions on the Uganda Securities Exchange, Nairobi Securities Exchange, and Rwanda Securities Exchange as well as private equity transactions since 2006. A sample of these are included below:
In the past three years Crested has completed mandates as Lead transaction advisors and Lead Sponsoring Broker for four transactions for listed companies. These are: NIC Bonus Issue 2014 (Ushs 16.39 Billion), NIC Rights Issue 2013 (Ushs 8.4 Billion), Kenya Airways Rights Issue 2012 in Uganda (USD 275 Million) and UMEME ESOP 2012 (USD 1.5 Million).
TRANSACTION ADVISORy SERVICES
US $ 62.2 mmIpo
Lead Selling AgentUganda, 2011
US $ 3.2 mmRights Issue
Joint Lead & SponsoringBrokers, 2013
US $ 6.0 mmBonus Issue
Joint Lead & SponsoringBrokers, 2014
Major Bank TradingPension & Fund Manager
US $ 46MnLead Sponsoring
Broker 2018
US $ 500,0002019
US $ 7Mn2019
Corporate Broker 2018
transportationCompany
ConstructionCompany
US $ 1.5 mm ESOPStock Brokers 2012
Placing Agent 2014, 2016
US $ 275.0 mmRights Issue
Lead Sponsoring BrokerUganda, 2012
US $ 76.0 mmIpo
Selling Agent2011
Profile 2019 10
legal statusCrested Capital (a trade name of Crested Stocks and Securities) is a private limited company, incorporated and fully registered in 2004 by the Registrar of Companies in Uganda under the Companies Act (Cap 110). Our office is located at Impala House First Floor, Plot 13/15 Kimathi Avenue, (opposite KCCA) P. O. Box 31736. Tel: +256 414 230900 / +256 758 230900 Kampala, Uganda.
Our URL is: www.crestedcapital.com and Email inquiries: [email protected]. On Facebook: [email protected]. For market updates: [email protected]. For the ECONOMIST Magazine: [email protected].
Capital requirementsCrested Capital exceeds CMA requirements and is in full compliance with USE capital requirements for Member firms.
BankersCrested Capital maintains bank accounts with:• DFCU Bank, Impala House Branch, Kampala• Stanbic Bank Uganda, Corporate Branch, Crested Towers, Kampala.
auditorsOur current auditor is Ernst & young from 2018 and we hve previously been audited by KPMG from 2015. Crested Capital publishes a summary of its annual audited financial statements in the national print media and also here: http://crestedcapital.com/about-us/financial-reports/
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First Floor, Impala House, Plot 13/15 Kimathi AvenueP. O. Box 31736, Kampala, UgandaTel: +256 312 230 900 / +256 758 230 [email protected] | www.crestedcapital.com
ComPany information
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Crested Capital was founded in 2004. We are licensed investment advisors, dealers and stockbrokers by the Capital Markets Authority of Uganda since 2005 and Members of the Uganda Securities Exchange since 2008. We are the market leaders in both retail and institutional dealings.
As an independent investment advisor, dealer and broker in Uganda, we have a unique focus on developing the country’s capital market. We also provide periodic reports, company coverage and fixed income reports to investors and to several wider media platforms including Bloomberg, FactSet, Thompson Reuters (now Refinitiv), and AGCO.
Crested continues to extend awareness of the Ugandan Capital market and spread its reach to the rest of the world. Our relationships include leading regional and international investment banks and brokerage firms in East, West, Southern Africa, the Middle East, Europe and United States..
OUR HISTORY
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First Floor, Impala House, Plot 13/15 Kimathi AvenueP. O. Box 31736, Kampala, Uganda
Tel: +256 312 230 900 / +256 758 230 [email protected] | www.crestedcapital.com
