Merriman Capital, Inc. - Financial Entrepreneur Platform

Financial Entrepreneur Platform

Providing Growth Support for Independent Financial Professionals

Merriman Capital’s Financial Entrepreneur Platform (FEP) exclusively supports highly ethical, independent investment bankers, respected research professionals, wealth managers, and the clients they work with.

Through contractual service agreements, FEP members can obtain access to Merriman Capital’s business services such as:

  • Compliance and security licensing
  • Equity distribution and placement
  • Facilities
  • Legal advice and document review
  • Technology infrastructure
  • Investor conferences and deal or non-deal road shows

Transaction Services:

  • Public Offerings
  • Private Placements
  • PIPEs & Registered Directs
  • M&A / Corporate Finance Advisory
  • Confidentially Marketed Public Officers
  • Debt
  • Research

Securities offered through Merriman Capital, Inc. Member FINRA and SIPC.

FEP Team Principals

Agribusiness

  • Edward Sugar, Founder and Principal, EAS Advisors LLC view details

    Areas of Expertise: Agribusiness, Mining & Metals, Oil & Gas

    Transactions Services: IPOs, Secondary Offerings, Private Equity, Seed-funding, M & A

    Edward A. Sugar is the Founder and Principal of EAS Advisors LLC. Mr. Sugar has more than 25 years of experience in commodities and related sectors. From 1999-2007 Mr. Sugar worked for Jefferies & Co. in New York City. He was hired to develop the company’s Australia trading desk, and prior to his departure in 2007 he was the Managing Director responsible for international equity sales and trading. Prior to joining Jefferies, Mr. Sugar was a Managing Director for Marc Rich & Co. in Melbourne, Australia (1998-99). He focused on identifying investment and purchase candidates in the resource sector, as well as commodity trading opportunities. In 1992, Mr. Sugar formed E.A.S. Consulting in Melbourne, Australia. His sole client was the Chairman of Coles Myer, Ltd., for whom he identified investment opportunities and provided advice on a variety of Coles Myer business matters (until 1998). From 1988 to 1992, Mr. Sugar was Vice President on the Asian equities sales and trading desk at Barclays de Zoete Wedd in New York City. Prior to this, Mr. Sugar was employed by Potts West Trumball & Co. in Sydney, Australia, as an Analyst covering Australian resource companies. He was also one of four floor brokers representing the firm on the Australian Stock Exchange (1985‐1988).

  • Eric Dyer, Vice President, EAS Advisors LLC view details

    Areas of Expertise: Agribusiness, Mining & Metals, Oil & Gas

    Transactions Services: IPOs, Secondary Offerings, Private Equity, Seed-funding, M & A

    Mr. Dyer’s has dedicated his career to the oil & gas, power/infrastructure, & natural resource sectors.  Previously, he served as Vice President of Investment Banking at Execution Noble Ltd. (acquired by Espirito Santo Investment Bank).  Prior to that he served at Atlantic-Pacific Capital, the global private equity placement agent raising capital for alternative asset managers.  Mr. Dyer worked for oil & gas equity research firm I.H.S. Herold, Inc.  He worked in the Fixed Income Capital Markets Group for the Royal Bank of Canada.  Mr. Dyer holds a B.S. in Finance & Economics from the University of Minnesota and holds the Series 7 and Series 63 security licenses.

Energy

  • Frederick M. Hanish, Managing Partner, Partner Solutions Capital view details

    Areas of Expertise: Energy, Financial Services

    Transactions Services: Private Equity, Strategic Advisory, M&A, Private Placements, Debt

    Frederick M. Hanish is a Managing Partner and previously served as Director with Partner Solutions at Avalon Advisors, an RIA overseeing approximately $6 billion dollars in assets and a portfolio company of The Carlyle Group. Prior to joining Avalon, Fred founded H.I.P. Wealth Advisors, a Texas and Florida RIA. Fred was also a Managing Director of the U.S. Private Client Group for Russell Fund Distributors, Inc., part of the global asset management business of Russell Investment Group and was a member of the firm’s executive, committee.  Fred led 125 people in the firm’s capital raise division, a group regularly recognized a one of the industry’s best. At its peak, Fred’s division raised over $5 billion dollars annually for the firm. Prior to Russell Fred worked with a large middle market M&A firm that was eventually acquired by Citigroup.

     

  • John L. Langston, Managing Partner, Partner Solutions Capital view details

    Areas of Expertise: Energy, Financial Services

    Transactions Services: Private Equity, Strategic Advisory, M&A, Private Placements, Debt

    John L. Langston, CAIA is a Managing Partner and previously served as Managing Director of Partner Solutions at Avalon Advisors, an RIA overseeing approximately $6 billion dollars in assets and a portfolio company of The Carlyle Group. John previously served as Director of Global Platform Distribution for SkyBridge Capital. Prior to joining SkyBridge, John was a Director for Salient Partners, an RIA overseeing approximately $16 billion dollars in assets and a portfolio company of Summit Partners.  John has utilized his experience and training as a Chartered Alternative Investment Advisor (CAIA) to advise the nation leading asset managers, RIA’s, and family offices on the development and application of alternative investments.

     

Financial Services

  • Frederick M. Hanish, Managing Partner, Partner Solutions Capital view details

    Areas of Expertise: Energy, Financial Services

    Transactions Services: Private Equity, Strategic Advisory, M&A, Private Placements, Debt

    Frederick M. Hanish is a Managing Partner and previously served as Director with Partner Solutions at Avalon Advisors, an RIA overseeing approximately $6 billion dollars in assets and a portfolio company of The Carlyle Group. Prior to joining Avalon, Fred founded H.I.P. Wealth Advisors, a Texas and Florida RIA. Fred was also a Managing Director of the U.S. Private Client Group for Russell Fund Distributors, Inc., part of the global asset management business of Russell Investment Group and was a member of the firm’s executive, committee.  Fred led 125 people in the firm’s capital raise division, a group regularly recognized a one of the industry’s best. At its peak, Fred’s division raised over $5 billion dollars annually for the firm. Prior to Russell Fred worked with a large middle market M&A firm that was eventually acquired by Citigroup.

     

  • John L. Langston, Managing Partner, Partner Solutions Capital view details

    Areas of Expertise: Energy, Financial Services

    Transactions Services: Private Equity, Strategic Advisory, M&A, Private Placements, Debt

    John L. Langston, CAIA is a Managing Partner and previously served as Managing Director of Partner Solutions at Avalon Advisors, an RIA overseeing approximately $6 billion dollars in assets and a portfolio company of The Carlyle Group. John previously served as Director of Global Platform Distribution for SkyBridge Capital. Prior to joining SkyBridge, John was a Director for Salient Partners, an RIA overseeing approximately $16 billion dollars in assets and a portfolio company of Summit Partners.  John has utilized his experience and training as a Chartered Alternative Investment Advisor (CAIA) to advise the nation leading asset managers, RIA’s, and family offices on the development and application of alternative investments.

     

Healthcare

  • Jainal Bhuiyan, Managing Director view details

    Areas of Expertise: Healthcare

    Transactions Services: M&A, Public offerings, Private Placements, PIPEs, Registered Directs, Debt

    Prior to Highline, Mr. Bhuiyan was a Senior Vice President at Rodman & Renshaw, LLC in their Healthcare and Life Sciences Investment Banking group where he also headed up the healthcare equity capital markets effort. Early in his career he worked as a Senior Analyst at Provident Healthcare Partners, a Boston-based boutique M&A shop focused on healthcare services. Prior to Provident he worked as a Management Analyst with BearingPoint, consulting to the Department of Defense. Mr. Bhuiyan has a Bachelor of Science degree from Cornell University’s Charles H. Dyson School of Applied Economics and Management. He currently holds FINRA Series 7, Series 63 and Series 79 licenses.

  • Theodore E. Kalem, President view details

    Areas of Expertise: Healthcare

    Transactions Services: M&A, Public offerings, Private Placements, PIPEs, Registered Directs, Debt

    Prior to forming Highline Research Advisors, Mr. Kalem was Head of Investment Banking at Summer Street Research and, prior to that, was a Co-founder of the Healthcare Investment Banking group at Gilford Securities. He began his career in corporate finance at Bear Stearns in 1991 and joined the Lehman Brothers Healthcare Investment Banking group in 1994. In 2000, he joined the JP Morgan Healthcare Investment Banking group. In 2004, he joined Array Capital, a healthcare-focused hedge fund and acted as portfolio manager.  He has a BSE in Chemical Engineering and a BA from the Woodrow Wilson School of Public and International Affairs from Princeton University.

  • Nickolay V. Kukekov, Managing Director view details

    Areas of Expertise: Healthcare

    Transactions Services: M&A, Public offerings, Private Placements, PIPEs, Registered Directs, Debt

    Prior to forming Highline Research Advisors, Dr. Kukekov was Managing Director of Healthcare Investment Banking at Summer Street Research and, prior to that, was a Co-founder of the Healthcare Investment Banking group at Gilford Securities. Prior to joining Gilford, Dr. Kukekov was a Managing Director at Paramount BioCapital, where he ran the advisory, M&A and capital raising services for in-house private and public portfolio companies. Before that, he was a senior healthcare investment banker at Rodman & Renshaw.  His scientific background includes a bachelor degree in Molecular, Cellular and Developmental Biology from the University of Colorado at Boulder and a Ph.D. in Neuroscience from Columbia University, College of Physicians and Surgeons in New York. Dr. Kukekov holds a number of research scholarship awards and peer review publications.

  • Marta Zylka, Managing Director view details

    Areas of Expertise: Healthcare

    Transactions Services: M&A, Public offerings, Private Placements, PIPEs, Registered Directs, Debt

    Before joining Highline Research in 2012, Mrs. Zylka was a Senior Vice President at Rodman & Renshaw, LLC where she fostered relationships between corporate clients and the investment community and led the Corporate Access and Corporate Marketing program.  Mrs. Zylka holds a Bachelor of Science in Corporate Finance and a Masters of Science in Management and Marketing from Nicolaus Copernicus University in Poland. She currently holds FINRA Series 24, Series 7, Series 79 and Series 63 licenses.

Media & Telecom

  • Brad R. Busse, President, Busse Ventures view details

    Areas of Expertise: Media & Telecom

    Transactions Services: M&A, Corporate Finance & Strategic Advisory

    Brad Busse is President of Busse Ventures LLC.  Busse Ventures is an entity Mr. Busse formed to manage his personal investments and investment banking. Mr. Busse joined the Merriman Financial Entrepreneurs Platform in February 2016. Previously, Mr. Busse provided senior industry coverage across all industry groups for RBC Capital Markets, which is a wholly-owned subsidiary of the Royal Bank of Canada, from April 2012 to February 2014. Prior to that, Mr. Busse was Co-Head of the U.S. Communications, Media & Entertainment (“CME”) Group for RBC Capital Markets from January 2007 to April 2012, where he was responsible for the management and strategic development of the CME Group’s business, which includes mergers & acquisitions, equity and debt capital formation and financial advisory engagements.

    Mr. Busse joined Daniels & Associates in 1985 after receiving broad experience in finance and accounting.  After briefly serving in the Cable Television Group, he took responsibility for building the Telecommunications Group, which completed more transactions in the wireline, wireless and telecom infrastructure sectors than any other investment bank during his tenure.  Mr. Busse was President and one of two lead principals at Daniels & Associates when it was acquired by RBC Capital Markets in January 2007.

    Mr. Busse began his professional career at Arthur Anderson & Co. in 1980 and, subsequently, became a financial manager for a $1 billion energy concern.  He received a  bachelor’s degree in accounting from the University of Denver and an MBA from Regis College.

Microcap Companies

  • James S. Allsopp, Partner, PBC Advisors LLC view details

    Areas of Expertise: Microcap Companies

    Transactions Services: M&A, Corporate Finance & Strategic Advisory, Public Offerings, Private Placements, Debt

    James Allsopp is a Partner at PBC Advisors LLC. PBC Advisors concentrates entirely on the opportunity of emerging growth companies, by understanding both their potential as well as the specific limitations of public and private companies with enterprise values less than $250 million. The shared experience of the partners at PBC Advisors provides financing and advisory guidance for microcap Boards, management and investors.

    Mr. Allsopp has broad experience in advising issuers on structuring and financing equity and debt offerings, as well as advising companies on mergers and acquisitions, and strategic advisory including fairness opinions. Prior to founding PBC Advisors, Mr. Allsopp was a Vice President for Corporate Finance at Philadelphia Brokerage Corporation, where he completed in excess of a hundred transactions for a wide range of microcap public and private companies. Previously Mr. Allsopp worked at Pennsylvania Merchant Group as a Vice President, and as a rated sell-side small cap equity analyst for SG Securities in Asia. Mr. Allsopp received a Bachelor’s degree in Political Science from the University of Newcastle, and holds FINRA Series 7, Series 63 and Series 79 licenses.

  • Robert A. Fisk, Partner, PBC Advisors LLC view details

    Areas of Expertise: Microcap Companies

    Transactions Services: M&A, Corporate Finance & Strategic Advisory, Public Offerings, Private Placements, Debt,

    Bob Fisk is a Partner at PBC Advisors LLC. PBC Advisors concentrates entirely on the opportunity of emerging growth companies, by understanding both their potential as well as the specific limitations of public and private companies with enterprise values less than $250 million. The shared experience of the partners at PBC Advisors provides financing and advisory guidance for microcap Boards, management and investors.

    Mr. Fisk has deep relationships with a number of funding sources for microcap companies. He has over 25 years of experience in advising issuers on structuring and financing transactions. He started his career selling corporate bonds, and also has a background in the reorganization and workout divisions of larger investment banks. Prior to founding PBC Advisors, Mr. Fisk founded and was Head of Investment Banking at Philadelphia Brokerage Corporation, where he had responsibility for the investment banking relationship for over 50 clients, for which he completed over a billion dollars in equity, equity-linked and debt capital formation. Mr. Fisk has previously held positions at Lehman Brothers, Advest, Smith Barney, and Prudential Securities.  Mr. Fisk graduated from Susquehanna University, and holds FINRA Series 7, Series 24, Series 63 and Series 79 licenses.

Mining & Metals

  • Edward Sugar, Founder and Principal, EAS Advisors LLC view details

    Areas of Expertise: Agribusiness, Mining & Metals, Oil & Gas

    Transactions Services: IPOs, Secondary Offerings, Private Equity, Seed-funding, M & A

    Edward A. Sugar is the Founder and Principal of EAS Advisors LLC. Mr. Sugar has more than 25 years of experience in commodities and related sectors. From 1999-2007 Mr. Sugar worked for Jefferies & Co. in New York City. He was hired to develop the company’s Australia trading desk, and prior to his departure in 2007 he was the Managing Director responsible for international equity sales and trading. Prior to joining Jefferies, Mr. Sugar was a Managing Director for Marc Rich & Co. in Melbourne, Australia (1998-99). He focused on identifying investment and purchase candidates in the resource sector, as well as commodity trading opportunities. In 1992, Mr. Sugar formed E.A.S. Consulting in Melbourne, Australia. His sole client was the Chairman of Coles Myer, Ltd., for whom he identified investment opportunities and provided advice on a variety of Coles Myer business matters (until 1998). From 1988 to 1992, Mr. Sugar was Vice President on the Asian equities sales and trading desk at Barclays de Zoete Wedd in New York City. Prior to this, Mr. Sugar was employed by Potts West Trumball & Co. in Sydney, Australia, as an Analyst covering Australian resource companies. He was also one of four floor brokers representing the firm on the Australian Stock Exchange (1985‐1988).

  • Eric Dyer, Vice President, EAS Advisors LLC view details

    Areas of Expertise: Agribusiness, Mining & Metals, Oil & Gas

    Transactions Services: IPOs, Secondary Offerings, Private Equity, Seed-funding, M & A

    Mr. Dyer’s has dedicated his career to the oil & gas, power/infrastructure, & natural resource sectors.  Previously, he served as Vice President of Investment Banking at Execution Noble Ltd. (acquired by Espirito Santo Investment Bank).  Prior to that he served at Atlantic-Pacific Capital, the global private equity placement agent raising capital for alternative asset managers.  Mr. Dyer worked for oil & gas equity research firm I.H.S. Herold, Inc.  He worked in the Fixed Income Capital Markets Group for the Royal Bank of Canada.  Mr. Dyer holds a B.S. in Finance & Economics from the University of Minnesota and holds the Series 7 and Series 63 security licenses.

Oil & Gas

  • Edward Sugar, Founder and Principal, EAS Advisors LLC view details

    Areas of Expertise: Agribusiness, Mining & Metals, Oil & Gas

    Transactions Services: IPOs, Secondary Offerings, Private Equity, Seed-funding, M & A

    Edward A. Sugar is the Founder and Principal of EAS Advisors LLC. Mr. Sugar has more than 25 years of experience in commodities and related sectors. From 1999-2007 Mr. Sugar worked for Jefferies & Co. in New York City. He was hired to develop the company’s Australia trading desk, and prior to his departure in 2007 he was the Managing Director responsible for international equity sales and trading. Prior to joining Jefferies, Mr. Sugar was a Managing Director for Marc Rich & Co. in Melbourne, Australia (1998-99). He focused on identifying investment and purchase candidates in the resource sector, as well as commodity trading opportunities. In 1992, Mr. Sugar formed E.A.S. Consulting in Melbourne, Australia. His sole client was the Chairman of Coles Myer, Ltd., for whom he identified investment opportunities and provided advice on a variety of Coles Myer business matters (until 1998). From 1988 to 1992, Mr. Sugar was Vice President on the Asian equities sales and trading desk at Barclays de Zoete Wedd in New York City. Prior to this, Mr. Sugar was employed by Potts West Trumball & Co. in Sydney, Australia, as an Analyst covering Australian resource companies. He was also one of four floor brokers representing the firm on the Australian Stock Exchange (1985‐1988).

  • Eric Dyer, Vice President, EAS Advisors LLC view details

    Areas of Expertise: Agribusiness, Mining & Metals, Oil & Gas

    Transactions Services: IPOs, Secondary Offerings, Private Equity, Seed-funding, M & A

    Mr. Dyer’s has dedicated his career to the oil & gas, power/infrastructure, & natural resource sectors.  Previously, he served as Vice President of Investment Banking at Execution Noble Ltd. (acquired by Espirito Santo Investment Bank).  Prior to that he served at Atlantic-Pacific Capital, the global private equity placement agent raising capital for alternative asset managers.  Mr. Dyer worked for oil & gas equity research firm I.H.S. Herold, Inc.  He worked in the Fixed Income Capital Markets Group for the Royal Bank of Canada.  Mr. Dyer holds a B.S. in Finance & Economics from the University of Minnesota and holds the Series 7 and Series 63 security licenses.