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.

  • Joe Wilamowski, 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. Wilamowski is the former Co-Manager of the LeBow family’s public equity and fixed income portfolios at BSL Capital, Inc. Prior to working at BSL Capital, Mr. Wilamowski worked in the private equity group at Cerberus Capital Management where he ran several due diligence processes on prospective investments and was responsible for financial modeling, LBO investment, analysis and presentations to the Cerberus Investment Committee. Mr Wilamowski holds a B.S. in Economics from the Wharton School of the University of Pennsylvania and the Series 79 securities license.

  • Colin Williams, Head of Trading and Equity Distribution, 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. Williams is the former Head of Asian Equity Sales & Distribution for BNP Paribas in the US. With more than eight years working for a number of different investment firms focusing on international equity trading and portfolio management, he has also served as Partner and Head of Asia for Blackstone’s $3.5bn long/short equity fund Kailix. Mr. Williams served as an associate at Ospraie Management and initially as an analyst/trader for Indus Capital Partners, a $4bn Asia focused fund formed by ex-Soros portfolio managers.  Mr. Williams holds a B.S. Finance from the University of Virginia and holds the Series 7 and Series 63 licenses.

Alternative Asset

  • Joseph McGonagle, Chief Operating Officer, Resource Select Marketplace view details

    Areas of Expertise: Alternative Asset

    Transactions Services: MLP, Equity, Debt, Private Equity, M&A

    Mr. McGonagle is a trading exchange and operations executive with trading and energy sector experience and relationships. He created a remote trading specialist operation for DA Davidson and was a lead specialist in one of the first market makers on the Archipelago Exchange. Mr. McGonagle also was an international and domestic institutional sales trader for Moors & Cabot and ICAP. He also rebuilt the institutional trading platform and operations for Doley Securities in New Orleans following Hurricane Katrina and developed a wide network of Gulf Coast energy sector relationships. Mr. McGonagle holds a Bachelor of Science degree from the University of Massachusetts, a Masters Degree from Anna Maria College, and Series 7, 24, 55, 63 and 65 licenses.

  • Robert Ward, Co-Founder, Chairman & CEO, Resource Select Marketplace view details

    Areas of Expertise: Alternative Asset

    Transactions Services: MLP, Equity, Debt, Private Equity , M&A

    Resource Select Marketplace (“RSM”) is an innovative on-line trading platform that directly matches cash-producing hard asset alternative investments and institutional investors. RSM provides asset sponsors with reliable, accelerated access to capital, and offers investors screened investments where they control participation, amount, diversification and liquidity decisions, all at a lower cost than existing platforms. RSM aggregates all the required investor due diligence into an on-line “virtual data room” and provides performance updates through its investor portal. RSM, in partnership with a global custodian bank, will provide global custody, asset servicing and data management.

    RSM was incorporated as a Delaware limited liability company in June 2012. The Company is headquartered in Boston, Massachusetts.

    Management: The management team offers significant experience in wealth management, building and managing trading platforms, the energy industry and capital markets.

Chinese Technology

  • Gina Chen, Equity Research Analyst, TH Capital view details

    Areas of Expertise: Chinese Technology

    Transactions Services: Research/Trading

    Gina Chen, Equity Research Analyst of T.H. Capital, LLC, is responsible for research of China’s new media advertising sector and the Macau gaming industry. She also handles client liaison with the firm. Prior to joining T.H. Capital, Ms. Chen was an Associate Analyst at Auriga USA, where she covered the TMT space in China including new media advertising and the online game sector. Before Auriga, Ms. Chen was at Pali Capital for 2 years covering the same TMT space and she also has experience with non-China ADR stocks. For 3 years, she was an Associate Analyst at C.E. Unterberg, Towbin/Collins Stewart covering the communications equipment industry. Ms. Chen received a BS in business management from Stony Brook University.

  • Tian Hou, Chief Executive Officer, TH Capital view details

    Areas of Expertise: Chinese Technology

    Transactions Services: Research/Trading

    T. H.  Capital, LLC is an independent research and investment advisory firm specializing in China.  It is a highly regarded research firm. It offers real-time, on-the-ground, grass roots research across a wide spectrum from macro and industry analysis to company specific projects; from China ADRs to international names that have meaningful exposure to China market. The company delivers relevant, comprehensive and data driven research adding immense value to clients. For more information, please go to http://www.thcapital-china.com or contact gchen@thcapital-china.com.

  • Tony Tian, Managing Director view details

    Areas of Expertise: Chinese Technology

    Transactions Services: Research/Trading

    Tony is a seasoned sell-side research analyst with experience covering multiple industries/sectors since 2008. Prior to joining the Merriman Capital platform as an independent contractor, Tony was a principal of Weitian Group LLC, a boutique investor relations consultancy which he founded in 2012. Previously, Tony was an Executive Director and Senior Research Analyst covering China Industrials and IT Services at Oppenheimer & Co. Prior to joining Oppenheimer, Tony was a Vice President and Senior Research Analyst at Ladenburg Thalmann & Co. where he spearheaded the company’s China equity research effort. Before Ladenburg, Tony worked at Ticonderoga Securities on the research team covering the Technology Supply Chain, Networking, and IT Hardware Sectors, and also at Pacific Crest Securities on the award-winning Semiconductors team. Prior to Wall Street, Tony was a finance manager at Virgin Mobile USA and at AT&T specializing in corporate planning/budgeting and marketing analytics. Prior to moving to the United States,Tony worked in mainland China, both at the Ministry of Land & Resources as a Manager of IPO Valuation Services and later as a Director of Real Estate Consulting at the Zhongshi Accounting Company. Tony holds a B.S. in Land Management from China Agricultural University in Beijing; a M.A. in Economics from the University of Connecticut; and a M.B.A. in Finance from NYU Stern School of Business. Tony has been a Chartered Financial Analyst (CFA) and a member of NYSSA since 2005 as well as a Financial Risk Manager (FRM) since 2002.

Consumer Goods

  • Jon Buttles, Founder and Managing Director, Core Equity Group LLC view details

    Areas of Expertise: Consumer Goods, Internet/Mobile, Medical Devices, Software

    Transactions Services: Private placements, PIPEs, SPVs

    Mr. Buttles is the Founder and Managing Partner of Core Equity Group LLC, a venture banking boutique formed in 2004 that seeks to identify, accelerate and provide funding for earlier stage public and private companies.  Core Equity Group seeks to fill a gap in the marketplace where compelling and fast growing companies reside, but are just outside the client criteria of traditional investment banks. Prior to forming Core Equity Group, Mr. Buttles’ career has spanned the financial fields of technology investment banking, middle market private equity and corporate lending.

Digital Media

  • Norm Farra, Managing Director, Althia Capital view details

    Areas of Expertise: Digital Media, Internet/Mobile, SAS

    Transactions Services: Preferred Equity, Convertible Debt Financing, Registered Directs, IPOS, Secondary Offerings, SPACs, PIPES

    Norm Farra has over 23 years of experience in retail, deal marketing, management, investment banking, and retail brokerage. Norm has directly funded or facilitated retail distribution for over $2 Billion in various investments. Prior to joining Aegis in January 2012, Norm had raised capital and advised for public Internet, New Media, Health Care, Real Estate, Media, Biotech, and Resource companies. He has expertise in product structuring for Preferred Equity, Convertible Debt Financing, Registered Directs, IPOS, Secondary Offerings, SPACs, and PIPES. Prior to joining Aegis, Norm was a Managing Director of Investment Banking for several regional firms, where he raised capital in a multitude of industries and assisted clients in both short term bridge needs, as well as long term capital fundraising. Norm has served as Board Advisor and Director of several companies over the years, is a Certified Member of the National Association of Corporate Directors, and is currently Lead Director for Local.com (Nasdaq: LOCM).

Early Stage Tech (CA)

  • Wade Diebner, Managing Director view details

    Areas of Expertise: Early Stage Tech (CA)

    Transactions Services: Private placements, PIPEs, SPVs

    Wade Diebner has a had a successful investment career for over 15 years, starting as an equities/derivatives trader on the Pacific Coast Stock Exchange with Charles Schwab.  He has been a partner in two different hedge funds in San Francisco for over 10 years and has helped raise over $200MM over the course of his career.  He has raised over $35 Million in past year for startup companies, helped finance a $30 Million sale lease back transaction, invested in four startup companies, raised money for the Angel Fund and is a Board of Director and an Investor in technology startups.

    He specializes in investment advice, capital raising, top line and operational strategic implementation, and maximizing shareholder value for both private and public companies.

Emerging Markets

  • Chika Okereke, Founding Principal of Tenbrook Management LLC view details

    Areas of Expertise: Emerging Markets

    Transactions Services: Equity, Debt, Private Equity, M&A

    Chika Okereke is a Founding Principal of Tenbrook Management LLC. Prior to Tenbrook, he was senior Vice President and co-head of Fortress Investment Group‘s special situations investment business in Emerging Markets. Prior to Fortress, Mr. Okereke worked in the Energy Group at Banc of America Securities where he arranged debt and equity financings for exploration & production, midstream, refining and utility clients. Before Banc of America, Mr. Okereke worked in the Mergers & Acquisitions Department of Goldman, Sachs & Co. where he executed various domestic and international transactions in the industrial, service and manufacturing sectors.

    Mr. Okereke has served on various creditor steering committees and fund Advisory Boards. Mr. Okereke graduated from Imperial College of Science, Technology and Medicine with an Honors Degree in Mechanical Engineering and received an MBA from the Harvard Business School.

Internet/Mobile

  • Jon Buttles, Founder and Managing Director, Core Equity Group LLC view details

    Areas of Expertise: Consumer Goods, Internet/Mobile, Medical Devices, Software

    Transactions Services: Private placements, PIPEs, SPVs

    Mr. Buttles is the Founder and Managing Partner of Core Equity Group LLC, a venture banking boutique formed in 2004 that seeks to identify, accelerate and provide funding for earlier stage public and private companies.  Core Equity Group seeks to fill a gap in the marketplace where compelling and fast growing companies reside, but are just outside the client criteria of traditional investment banks. Prior to forming Core Equity Group, Mr. Buttles’ career has spanned the financial fields of technology investment banking, middle market private equity and corporate lending.

  • Norm Farra, Managing Director, Althia Capital view details

    Areas of Expertise: Digital Media, Internet/Mobile, SAS

    Transactions Services: Preferred Equity, Convertible Debt Financing, Registered Directs, IPOS, Secondary Offerings, SPACs, PIPES

    Norm Farra has over 23 years of experience in retail, deal marketing, management, investment banking, and retail brokerage. Norm has directly funded or facilitated retail distribution for over $2 Billion in various investments. Prior to joining Aegis in January 2012, Norm had raised capital and advised for public Internet, New Media, Health Care, Real Estate, Media, Biotech, and Resource companies. He has expertise in product structuring for Preferred Equity, Convertible Debt Financing, Registered Directs, IPOS, Secondary Offerings, SPACs, and PIPES. Prior to joining Aegis, Norm was a Managing Director of Investment Banking for several regional firms, where he raised capital in a multitude of industries and assisted clients in both short term bridge needs, as well as long term capital fundraising. Norm has served as Board Advisor and Director of several companies over the years, is a Certified Member of the National Association of Corporate Directors, and is currently Lead Director for Local.com (Nasdaq: LOCM).

Medical Devices

  • Jon Buttles, Founder and Managing Director, Core Equity Group LLC view details

    Areas of Expertise: Consumer Goods, Internet/Mobile, Medical Devices, Software

    Transactions Services: Private placements, PIPEs, SPVs

    Mr. Buttles is the Founder and Managing Partner of Core Equity Group LLC, a venture banking boutique formed in 2004 that seeks to identify, accelerate and provide funding for earlier stage public and private companies.  Core Equity Group seeks to fill a gap in the marketplace where compelling and fast growing companies reside, but are just outside the client criteria of traditional investment banks. Prior to forming Core Equity Group, Mr. Buttles’ career has spanned the financial fields of technology investment banking, middle market private equity and corporate lending.

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.

  • Joe Wilamowski, 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. Wilamowski is the former Co-Manager of the LeBow family’s public equity and fixed income portfolios at BSL Capital, Inc. Prior to working at BSL Capital, Mr. Wilamowski worked in the private equity group at Cerberus Capital Management where he ran several due diligence processes on prospective investments and was responsible for financial modeling, LBO investment, analysis and presentations to the Cerberus Investment Committee. Mr Wilamowski holds a B.S. in Economics from the Wharton School of the University of Pennsylvania and the Series 79 securities license.

  • Colin Williams, Head of Trading and Equity Distribution, 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. Williams is the former Head of Asian Equity Sales & Distribution for BNP Paribas in the US. With more than eight years working for a number of different investment firms focusing on international equity trading and portfolio management, he has also served as Partner and Head of Asia for Blackstone’s $3.5bn long/short equity fund Kailix. Mr. Williams served as an associate at Ospraie Management and initially as an analyst/trader for Indus Capital Partners, a $4bn Asia focused fund formed by ex-Soros portfolio managers.  Mr. Williams holds a B.S. Finance from the University of Virginia and holds the Series 7 and Series 63 licenses.

New Technology

  • Mark Moskowitz, President, Private Launch LLP view details

    Areas of Expertise: New Technology, Special Situations

    Transactions Services: Public Secondaries, IPOs, Pipes, and Private Placements

    Mark Moskowitz has over 30 years of experience in U.S. financial markets involving investment banking, management and retail brokerage.  Mark has raised capital for a variety of emerging  growth industries including, cellular, clean tech and e-commerce companies.  He has worked at a few major Wall Street firms including, Merrill Lynch, CIBC and Bear Stearns in both banking and retail brokerage roles.  More recently, Mark had a significant role in banking and capital raising at Colorado Financial Services. 

    Mark holds a Business degree in Marketing from George Washington University in Washington D.C. and an MBA from Monmouth University in  West Long Branch, New Jersey.

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.

  • Joe Wilamowski, 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. Wilamowski is the former Co-Manager of the LeBow family’s public equity and fixed income portfolios at BSL Capital, Inc. Prior to working at BSL Capital, Mr. Wilamowski worked in the private equity group at Cerberus Capital Management where he ran several due diligence processes on prospective investments and was responsible for financial modeling, LBO investment, analysis and presentations to the Cerberus Investment Committee. Mr Wilamowski holds a B.S. in Economics from the Wharton School of the University of Pennsylvania and the Series 79 securities license.

  • Colin Williams, Head of Trading and Equity Distribution, 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. Williams is the former Head of Asian Equity Sales & Distribution for BNP Paribas in the US. With more than eight years working for a number of different investment firms focusing on international equity trading and portfolio management, he has also served as Partner and Head of Asia for Blackstone’s $3.5bn long/short equity fund Kailix. Mr. Williams served as an associate at Ospraie Management and initially as an analyst/trader for Indus Capital Partners, a $4bn Asia focused fund formed by ex-Soros portfolio managers.  Mr. Williams holds a B.S. Finance from the University of Virginia and holds the Series 7 and Series 63 licenses.

Placement Distribution

  • Solomon James, Augustus Capital Partners, CoFounder, Partner view details

    Areas of Expertise: Placement Distribution, Private Client Management

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

    Solomon James started his financial career on the floor of the NYSE only to advance to become the youngest institutional proprietary trader in the 100 year history of the firm at the time. His experience in banking, both commercial and investment, as well as exposure in retail brokerage, has allowed Solomon to have a unique understanding of public and private finance. Having spent the last 10 years developing private client relationships with high net worth individuals, Solomon cofounded Augustus Capital Partners in order to fully translate his cross section of experience and knowledge of financial markets into successful investment strategies for his clients.

  • Christopher Marnelego, Augustus Capital Partners, CoFounder, Principal view details

    Areas of Expertise: Placement Distribution, Private Client Management

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

    For over a decade Chris Marnelego has successfully managed private client groups. As director of several brokerage offices, Chris has extensive experience in brokerage, investment banking and management, both on the client and broker sides.  He specializes in capital development from early venture capital to the late stage public domain.  After many years in retail brokerage, Chris cofounded Augustus Capital Partners with the express intent of aligning private clients with institutional level valuations. Through his ability to place offerings and finance companies at various stages of their development, Chris brings an in depth knowledge of investment banking.  By focusing on successful exit strategies, Chris provides his private clients, high net worth individuals and various investment groups, with a unique investment perspective.

Private Client Management

  • Solomon James, Augustus Capital Partners, CoFounder, Partner view details

    Areas of Expertise: Placement Distribution, Private Client Management

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

    Solomon James started his financial career on the floor of the NYSE only to advance to become the youngest institutional proprietary trader in the 100 year history of the firm at the time. His experience in banking, both commercial and investment, as well as exposure in retail brokerage, has allowed Solomon to have a unique understanding of public and private finance. Having spent the last 10 years developing private client relationships with high net worth individuals, Solomon cofounded Augustus Capital Partners in order to fully translate his cross section of experience and knowledge of financial markets into successful investment strategies for his clients.

  • Christopher Marnelego, Augustus Capital Partners, CoFounder, Principal view details

    Areas of Expertise: Placement Distribution, Private Client Management

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

    For over a decade Chris Marnelego has successfully managed private client groups. As director of several brokerage offices, Chris has extensive experience in brokerage, investment banking and management, both on the client and broker sides.  He specializes in capital development from early venture capital to the late stage public domain.  After many years in retail brokerage, Chris cofounded Augustus Capital Partners with the express intent of aligning private clients with institutional level valuations. Through his ability to place offerings and finance companies at various stages of their development, Chris brings an in depth knowledge of investment banking.  By focusing on successful exit strategies, Chris provides his private clients, high net worth individuals and various investment groups, with a unique investment perspective.

Resources

  • Stephen Stuart, Managing Director view details

    Areas of Expertise: Resources

    Transactions Services: Secondary Offerings, Private Equity, M&A

    Mr. Stuart has over 22 years of experience in the global financial markets, holding various senior roles both on the Asset Management side and the Investment Banking side.  He began his career in 1987 with Anderson & Strudwick covering small regional fixed income clients in the Washington DC/Virginia area.  In 1989 he returned to the Bahamas and joined Templeton International as a global trader for their largest funds. In 1992 he was recruited away and joined Soros Fund Management in New York as the point person for Soros’ non-US debt and equity trading (Latam/Asia/EE/N.A), during this period Mr. Stuart was responsible for all of the firms emerging markets debt and equity transactions. In 1996 Mr. Stuart left Soros and moved to Hong Kong to establish Stuart Capital Management, his own Asia focused hedge fund. In 1999 he returned to the US and joined ABN Amro as Senior VP, Hedge Fund salesperson. Most recently he was Managing Director at Macquarie Securities where he spent the better part of 9 years and subsequently help build out the US based Asia focused hedge fund platform for the organization.

    Mr. Stuart sits on the Board of Directors of Fair China Focus Fund Ltd (HK), Fair Investment Ltd (HK) and also on the Board of Directors of WellChamp Capital where he also served in the past as a Responsible Officer (RO).

SAS

  • Norm Farra, Managing Director, Althia Capital view details

    Areas of Expertise: Digital Media, Internet/Mobile, SAS

    Transactions Services: Preferred Equity, Convertible Debt Financing, Registered Directs, IPOS, Secondary Offerings, SPACs, PIPES

    Norm Farra has over 23 years of experience in retail, deal marketing, management, investment banking, and retail brokerage. Norm has directly funded or facilitated retail distribution for over $2 Billion in various investments. Prior to joining Aegis in January 2012, Norm had raised capital and advised for public Internet, New Media, Health Care, Real Estate, Media, Biotech, and Resource companies. He has expertise in product structuring for Preferred Equity, Convertible Debt Financing, Registered Directs, IPOS, Secondary Offerings, SPACs, and PIPES. Prior to joining Aegis, Norm was a Managing Director of Investment Banking for several regional firms, where he raised capital in a multitude of industries and assisted clients in both short term bridge needs, as well as long term capital fundraising. Norm has served as Board Advisor and Director of several companies over the years, is a Certified Member of the National Association of Corporate Directors, and is currently Lead Director for Local.com (Nasdaq: LOCM).

Software

  • Jon Buttles, Founder and Managing Director, Core Equity Group LLC view details

    Areas of Expertise: Consumer Goods, Internet/Mobile, Medical Devices, Software

    Transactions Services: Private placements, PIPEs, SPVs

    Mr. Buttles is the Founder and Managing Partner of Core Equity Group LLC, a venture banking boutique formed in 2004 that seeks to identify, accelerate and provide funding for earlier stage public and private companies.  Core Equity Group seeks to fill a gap in the marketplace where compelling and fast growing companies reside, but are just outside the client criteria of traditional investment banks. Prior to forming Core Equity Group, Mr. Buttles’ career has spanned the financial fields of technology investment banking, middle market private equity and corporate lending.

Special Situations

  • John Cravenho, Senior Director, Strategic Relationships view details

    Areas of Expertise: Special Situations

    John Cravenho is a Senior Director within the Chairman’s Suite at Alvarez & Marsal in New York.  Mr. Cravenho’s career spans more than three decades of executive-level experience on a global scale having conducted business in over 30 countries.  In his role at A&M he is focused on building strategic relationships with leading financial services firms and assisting in delivering firm-wide integrated inter-disciplinary risk mitigation services to A&M’s clients. Prior to joining A&M, Mr. Cravenho was the Director of Hedge Fund Strategies at ING Investment Management, where he focused on expanding its hedge fund platform through business development including joint ventures.  He was also instrumental in restructuring and combining ten ING acquisitions into an integrated investment management business while capturing synergies and Millions in self-funding measurable cost reductions.

    Prior to joining ING, Mr. Cravenho founded Excel Consulting, L.L.C an international financial firm of 30 professionals maximizing profits, free cash flow, quality and customer service at Global 1000 companies.  He was frequently published in that regard.  Before Excel, Mr. Cravenho was the co-founder and President of the Americas Group of REL Consulting (Resource Evaluation Limited) a global firm focused on working capital improvement that was later acquired by the Hackett Group.  He transformed the firm by creating innovative revenue change management methodologies and discrepancy systems.  During eight years under his leadership the Americas Group was globally the fastest growing and most profitable business comprising 50 professionals with offices in NY, SF and Mexico.  Previously Mr. Cravenho was the General Auditor of Dean Witter Financial Services, Head of International Audit then Deputy Head of the International Department of First National Bank of Chicago, Systems Director at Manufactures Hanover and located in Singapore, Head of the Southeast Asia Audit Region for Chase Manhattan Bank. Mr. Cravenho earned a B.S in Management from Providence College, an MBA majoring in accounting from St. John’s University and an Advanced Professional Certificate in finance at the Stern School of Business at New York University.  He graduated from Rutgers Graduate School of Banking and the Executive Finance Program at Harvard.  Mr. Cravenho is a Certified Public Accountant, Certified Information Systems Auditor, Certified Management Consultant, Chartered Bank Auditor, Certified Internal Auditor, a Licensed Real Estate Broker and holds Series 7, 63 & 65 Securities Licenses.

    For a period of five years, Mr. Cravenho was a Special Advisor to the Audit and Finance Committees of the Board of Directors of Jazz at Lincoln Center and a member of the Membership Committee of the Economics Club of New York.

  • Mark Moskowitz, President, Private Launch LLP view details

    Areas of Expertise: New Technology, Special Situations

    Transactions Services: Public Secondaries, IPOs, Pipes, and Private Placements

    Mark Moskowitz has over 30 years of experience in U.S. financial markets involving investment banking, management and retail brokerage.  Mark has raised capital for a variety of emerging  growth industries including, cellular, clean tech and e-commerce companies.  He has worked at a few major Wall Street firms including, Merrill Lynch, CIBC and Bear Stearns in both banking and retail brokerage roles.  More recently, Mark had a significant role in banking and capital raising at Colorado Financial Services. 

    Mark holds a Business degree in Marketing from George Washington University in Washington D.C. and an MBA from Monmouth University in  West Long Branch, New Jersey.

Various Industries

  • Michael Querard, Managing Director view details

    Areas of Expertise: Various Industries

    Transactions Services: Private placements, PIPEs, M&A

    For over 20 years, Michael Querard has been a key advisor to business owners on activities ranging from defining and implementing strategic business plans to capital raises to exit planning and generational transfers.  After earning degrees in Mathematics and Computer Science from the Colorado School of Mines and his J.D. from Georgetown University, Mr. Querard worked as an attorney for pharmaceutical and medical device companies.  Wanting to be closer to the deal, he left the practice of law and moved to the business side.  In the mid-90s, Mr. Querard was recruited to be one of the first internally-housed consultants at Fannie Mae, developing new processes and technologies, defining corporate and information technology strategies, and identifying targets for acquisition.  For several years, Mr. Querard lived in Europe, where he worked for Cap Gemini Ernst & Young developing spin-off technology-based business units internationally and here in the U.S.  Since returning to the United States in 2003, Mr. Querard has worked with small and mid-sized business owners and investors across the country to maximize the return on their investments.

    Most recently, Mr. Querard has focused on mergers and acquisitions involving small- and medium-sized enterprises in a diverse range of industries.  Drawing on his extensive knowledge of the M&A process and an in-depth understanding of why buyers buy, Mr. Querard offers insightful direction to clients looking for growth capital or a structured process designed to maximize their value, including those best served by going to market immediately.