Stephen Pollock Joins as a Managing Director in New York

Houlihan Lokey, Inc. (NYSE: HLI), the global investment bank, announced today that Stephen Pollock has joined as a Managing Director in its Capital Solutions Group. He is based in New York and will strengthen the firm’s directs and secondaries advisory capabilities in its Equity Capital Solutions practice.

Mr. Pollock joins following more than two decades at Keefe, Bruyette & Woods, where he was most recently a Managing Director in the Investment Banking Group, advising on a broad range of M&A transactions in the financial services and FinTech sectors for broker-dealers, placement firms, mortgage REITs, alternative asset managers, and other specialty finance companies. He also has extensive capital markets financing experience, advising on both public and private capital offerings. Prior experience includes roles at the Federal Reserve Bank of New York and Juniper Partners.

“Stephen’s depth and breadth of expertise advising clients and his long track record of delivering superior outcomes represent an excellent cultural fit with Houlihan Lokey’s ethos and mission. We are delighted that he has joined the team, and we are confident that Stephen will meaningfully contribute to the growth of the Equity Capital Solutions practice and our clients’ success,” said Chris Dunlop, Global Co-Head of the Capital Solutions Group.

“As the market appetite for directs and secondaries continues to grow apace and sees new entrants from the financial services sector, adding an individual of Stephen’s caliber with sector-specific expertise is a critical step in maintaining our exceptional advisory capabilities in Equity Capital Solutions. I’m excited to work with Stephen and continue our strong growth trajectory in these segments of the market,” said Matt Swain, Global Co-Head of Equity Capital Solutions.

“Having advised on Triago’s sale to Houlihan Lokey in 2024, I was able to witness firsthand the creation of a truly comprehensive, market-leading Capital Solutions platform. I am grateful and honored for the opportunity to now join one of the largest private capital advisory teams in financial services, and I look forward to partnering with my new colleagues to deliver outstanding results to our clients,” said Mr. Pollock.

Houlihan Lokey’s Capital Solutions Group comprises more than 170 dedicated professionals across 16 offices in seven countries, including Atlanta, Boston, Chicago, Dallas, Dubai, Frankfurt, Houston, London, Los Angeles, Manchester, Miami, Milan, New York, Paris, San Francisco, and Zurich. The group has raised ~$28 billion in capital in the past 12 months.*

*As of June 30, 2025.

About Houlihan Lokey

Houlihan Lokey, Inc. (NYSE: HLI) is a global investment bank with expertise in mergers and acquisitions, capital solutions, financial restructuring, and financial and valuation advisory. Houlihan Lokey serves corporations, institutions, and governments worldwide with offices in the Americas, Europe, the Middle East, and the Asia-Pacific region. Independent advice and intellectual rigor are hallmarks of the firm’s commitment to client success across its advisory services. The firm is the No. 1 investment bank for all global M&A transactions for the past two years, the No. 1 M&A advisor for the past 10 years in the U.S., the No. 1 global restructuring advisor for the past 11 years, and the No. 1 global M&A fairness opinion advisor over the past 25 years, all based on number of transactions and according to data provided by LSEG.

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