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.

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

  • 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.

Digital Media

  • Norm Farra, Managing Director, EGAdvisory LLC 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.

Generalist

  • Zvi Ben-Zvi, Managing Director view details

    Areas of Expertise: Generalist

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

    Mr. Ben-Zvi has considerable experience in the financial industry over the past 15 years in advising private and public companies, working on a wide range of corporate transactions including mergers, acquisitions, capital raising and sourcing transactions. Most recently Mr. Ben- Zvi was a partner at RoundRoc Capital where he focused on mergers and acquisitions in the Technology and Life Sciences sectors. Previous to that Mr. Ben-Zvi was at Paramount BioCapital, where he focused on mergers and acquisitions for the fund’s portfolio companies as well as capital raising. Prior to Paramount, Mr. Ben-Zvi worked at Rodman & Renshaw. Mr. Ben-Zvi began his career at UBS (Paine Webber) where he advised a diverse mix of clients in the Private Banking Group. Mr. Ben-Zvi received a B.S., Economics from New York University, where he graduated with highest honors. He currently holds FINRA Series 7 and 63 licenses.

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.

  • Michael Higgins, Managing Director, Senior Life Sciences Analyst view details

    Areas of Expertise: Healthcare

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

    Michael Higgins is a Managing Director, Senior Life Sciences Analyst at Highline Research Advisors. Michael has significant experience working with and covering life sciences companies. Prior to joining Highline, Mr. Higgins was most recently a Managing Director of Equity Research at Brinson Patrick Securities and prior, a Managing Director and Senior Specialty Pharmaceuticals Analyst at Rodman & Renshaw, LLC. Mr. Higgins’ decade of industry experience was gained in a drug marketing capacity with Procter & Gamble Pharmaceuticals, followed by ten years as an equity research analyst. He has worked as an analyst with DAFNA Capital Management, Wedbush Morgan Securities and an independent research firm he founded, 4sight Research Partners, LLP.

    Mr. Higgins has earned a four-star rating from StarMine for stock recommendation performance. He is most recognized for his coverage of “drug launch” companies as well as drug delivery technologies and drug delivery patents. He received his BS in Finance from the University of Wisconsin and his MBA focused on equity analysis from Marquette University.

  • 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.

Internet/Mobile

  • Norm Farra, Managing Director, EGAdvisory LLC 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).

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.

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.

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.

SAS

  • Norm Farra, Managing Director, EGAdvisory LLC 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).

Special Situations

  • 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.