Members | Tribeca Early Stage Partners | Tribeca Early Stage Partners
The New York City based Tribeca Angels has a group of 30-plus members who are fintech experts.
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Tribeca Early Stage Partners

JOHN MCEVOY, Managing Partner and Investment Committee Member

John is a passionate, serial entrepreneur who, since 1999, has started three companies focused on using technology to alter the traditional rhythms of the institutional finance space. His first venture, Creditex – a hybrid electronic and voice brokerage trading platform for the credit derivatives market – was acquired by IntercontinentalExchange (ICE) in 2008 for over $600mm. More recently, he has been a founder and operating partner of eBond Advisors, which is bringing financial technology to the product level of corporate bonds – creating a more liquid corporate bond for investors while lowering financing costs for large issuers. Prior to his entrepreneurial pursuits, John spent 13 years on Wall St at PaineWebber, Bankers Trust, and Deutsche Bank in derivative structuring and sales. He has been an active angel investor, board member, and advisor to many young companies. He loves the entrepreneurial environment and process, and is always willing to lend a hand or advice when asked.

Areas of Expertise
Institutional markets, fixed income and credit derivatives, corporate bonds, electronic trading, consortiums, interdealer brokerage, capital markets and disruptive technology.

Education
University of Texas, BBA
Columbia University, MBA

MIKE RUSHMORE, Investment Committee Member

Mike is an experienced entrepreneur who has been instrumental in the creation of three successful financial technology companies and has recently launched his fourth venture. He was the Founder and CEO of LoanX, a web-enabled data platform focused on syndicated bank loans. He merged LoanX with Markit Group to attract strategic investments from 13 dealers that led ultimately to an exit at a valuation exceeding $4 billion. He was also a founding investor and former board member for Black Mountain Systems, a business intelligence software firm serving institutional investors. Most recently, he is the Co-Founder of Send Sites, a technology company seeking to enhance sales engagement processes with personalized digital technology. Prior to joining the ranks of fellow entrepreneurs, Mike spent 15 years in various capital market roles with Continental Bank and Bank of America, and prior to that was a professional engineer. He has been an active angel investor, board member, and advisor supporting entrepreneurs since 2000.

Areas of Expertise
Fixed income, consortiums, sales and marketing.

Education
University of Oklahoma, BS
American Graduate School of International Management (Thunderbird), MIM

KUMAR DORAISWAMI, Investment Committee Member

Kumar is an entrepreneurial executive with strong interest in technology, data and finance. He has over twenty-five years financial services experience and brings expert knowledge of exchange structures, hedge fund strategies, risk mitigation, structured products and quantitative finance. His experience includes derivatives research at Salomon Brothers; followed by sales & trading and strategic, executive management experience at Bankers Trust/Deutsche Bank and Natixis Capital Markets. Kumar also ran a quantitative hedge fund for several years and helped the electronic swap trading start-up TrueEX gain significant market share in the competitive SEF market. Kumar is an active angel investor with a portfolio spread across fintech, technology, biomedical and natural foods spaces. He loves the public equity markets and spends significant time on research and analysis of finance and technology companies. He also serves as the Chair of the Investment Committee of the IIT Madras Foundation, an endowment dedicated to making his alma mater in Chennai, India a world-class institution.

Areas of Expertise
Institutional markets, technology, quantitative finance, alternative and traditional data

Education
Indian Institute of Technology, Madras, B.Tech. Mechanical Engineering
University of Rochester, MS Mechanical & Aerospace Science
University of Pennsylvania, MBA Finance
PETER FEENEY, Investment Committee Member

Peter spent 25 years with various Wall Street firms, primarily in various corporate treasury roles. In late 2014 he retired after 15 years at Credit Suisse where he held dual roles as Americas Head of Treasury (since 2005) and Global Co-Head of Liquidity Management (since 2008). His responsibilities in these roles included liquidity, funding and capital management. Since the beginning of the financial crisis in 2007, Peter spent much of his time focused on the impact of regulatory changes on financial institutions requiring frequent interactions with regulators, debt investors, peer institutions and hedge fund clients. Prior to Credit Suisse, Peter held various treasury roles in London with Bankers Trust, Lehman Brothers and Salomon Brothers. Peter began his career by qualifying in public accounting with
Price Waterhouse in Dublin Ireland.

Areas of Expertise
Bank and Broker/Dealer treasury management, evaluation of structured transactions and new businesses, financial regulation, investor and creditor communications, corporate governance

Education
Trinity College Dublin, BS Management
Chartered Accountants Ireland, Fellow

STEPHEN SALVADORE, Investment Committee Member

Stephen has 29 years of experience in global capital markets. Most recently, he ran the Rates Trading and Sales business at Mitsubishi UFJ Securities, USA, where he also served as a member of the Management Committee, Asset Liability Committee and Risk Committee. Prior to Mitsubishi, he was the head of the Municipal Derivative and Municipal Cash Trading businesses at Bear Stearns. Steve began his career at Bankers Trust, where he spent 12 years in trading and management roles in the bank’s fixed income & interest rate derivatives businesses. He spent four of these years working overseas in London, Tokyo and Auckland.

Areas of Expertise
Fixed income, interest rate derivatives, equity derivatives, portfolio management and repo

Education
Brown University, ScB Applied Mathematics & Economics

KENT KURTZ, Partner, Pacific Advantage Capital and Investment Committee Member

Kent is currently a partner at Pacific Advantage Capital, a VC-focused private investment firm, and Board Chairman at Pieces Technologies, an AI/ML predictive analytics medical technology company in Dallas.  Recently, Kent was also Co-President of Flashback Technologies, a med tech company based in Boulder, CO.  He has extensive financial trading experience including a 5.5 year tenure as head of US corporate bond, CDS, and credit trading at HSBC, and 7 years in New York as a senior portfolio manager at Nomura Securities International as head of equity options trading.  Prior to those positions, Kent had an extensive career at Deutsche Bank and Bankers Trust, most recently as co-head of European equity derivative trading, and earlier roles trading fixed-income, and interest rate derivatives in NY, Tokyo and London.

Areas of Expertise
Alternative investments, interest rate derivatives, equity derivatives, credit derivatives, and private equity.

Education
University of Wisconsin-Madison, BS Industrial & Systems Engineering

JOHN BERTON, Managing Partner of Berton Law and General Counsel for Tribeca ESP

John is a solo practitioner. He practiced corporate and securities law on Wall Street for many years, while also developing residential condominium lofts in Soho and Tribeca on the side, before opening his solo practice. Berton Law, formed in 2011, provides general corporate advice to starts up, small companies and individual entrepreneurs. John’s experience advising start-ups has sparked an interest in angel and early round investment. Prior to forming his own firm, John worked as in-house counsel at Jane Street Capital from 2008-2010, Goldman Sachs from 1997-2008, and was an associate at Clear Gottlieb from 1992-1998. A life-long New Yorker, John attended public schools and has never lived above 14th Street. He serves on the Boards of Trustees of the Washington Market School, the pre-eminent preschool in Tribeca, and also serves as trustee and treasurer for two international human rights advocacy groups: the Campaign for International Human Rights in Iran, and Justice Trust, which focuses on rights abuses in Myanmar.

Areas of Expertise
Corporate and securities law, broker-dealer regulation, equities capital markets, hedge funds, venture capital and general corporate advisory work.

Education
Williams College, BA English Literature & Japanese Studies
Harvard Law School, JD Law

RAJ BHATTACHARYYA, Investor

Raj is a 25-year Wall Street professional with extensive fixed income and capital markets experience, who now works with early and mid-stage companies as an investor and advisor. Raj spent 17 years at Deutsche Bank, in both New York and London, in various senior roles. Most recently, he was head of the Markets division for Latin America as well as the Americas head of the Foreign Exchange Franchise.
Previously, he ran Capital Markets and Treasury Solutions for Western Europe, prior to which he ran Debt Capital Markets and Corporate Risk Solutions in North America. Raj also spent 5 years at Merrill Lynch in derivatives sales, and 3 years at Goldman Sachs in Quantitative Research. Raj also serves on the Dean’s Advisory Council at the School of Engineering and Applied Sciences at Harvard University.

Areas of Expertise
Institutional markets, capital markets, fixed income, foreign exchange, and Latin America.

Education
Harvard University, BA

GRANT BIGGAR, Investor

Grant is an active investor and advisor to early stage FinTech companies in New York and London. He also invests outside of FinTech where there is an opportunity for innovation and disruption. Grant has extensive global experience, having run and established businesses in Asia, the UK and New York. Grant was one of the earliest Creditex employees, joining in 2000. Grant led the Creditex team in Europe and Asia as they leveraged technology to introduce transparency and efficiency into previously inefficient and opaque derivative markets. By 2008 the Creditex European business was the market leader and dominant provider of credit derivative execution services to the European interdealer market. In a high profile sale in 2008, Creditex was sold to Intercontinental Exchange (ICE) for more than $600mm. Following the sale, Grant moved to New York and was promoted to President of Creditex and also became a member of the Senior Management team of ICE. In this role, Grant oversaw the integration of Creditex into ICE and navigated the business through the regulatory and market evolution that occurred post the financial crisis. Having been through the life cycle from start-up to sale and integration into a public company, Grant now focuses on using his experience to advise and support early stage businesses at the beginning of that journey.

Areas of Expertise
Electronic trading, fixed income, credit derivatives, interdealer brokerage, capital markets, senior management, strategic planning, generating liquidity in illiquid markets, international strategies.

Education
University of Auckland, BCom
New Zealand Institute of Chartered Accountants (NZICA)

EDNA BOSCHAT, Investor

Edna spent the majority of her career in GE Capital’s Treasury group with primary responsibility for the institutional sales and trading of the global commercial paper programs. She took the programs from $20B to over $115B and managed them thru the financial crisis. During her years at GE she managed global sales forces, electronic trading platforms, IT conversions and relationships with major asset managers and credit analysts around the globe.
Prior to joining GE, Edna worked at Continental Bank on the credit side and in the capital markets group.

Areas of Expertise
Fixed income, institutional sales, trading technology and processes.

Education
Iowa State University, BS
University of Chicago, MBA

MICHAEL J. BOUBLIK, Managing Director and Chairman of Mergers and Acquisitions at Morgan Stanley, Americas

Michael J. Boublik is a Managing Director in Morgan Stanley’s Mergers and Acquisitions Department, based in New York. Mr. Boublik is Chairman of the firm’s M&A practice in the Americas, and serves on the management committee of the Investment Banking Division.Since joining the firm as an associate in 1989, Mr. Boublik has executed a broad range of financial advisory assignments including buyside, sellside, merger, special committee, restructuring and defense mandates. Over his years at Morgan Stanley, he has executed in excess of 100 transactions, and serves as a senior relationship manager for a variety of the firm’s most notable clients.

Areas of Expertise
Mr. Boublik has established a particularly focused area of expertise in the fields of healthcare, general industrial sectors, as well as in technology.

Education
Princeton University, AB
Columbia University, MBA

PATRICK BRADY, Investor

Patrick is an accomplished Global Investor and an experienced Asset Manager
operator. Global Markets activity includes over 20 years in Analyst, Sales, and Capital Markets origination roles (focus on Technology, Fin-Tech, and Media Sectors). Based for 10 years in London, Tokyo and Hong Kong, along with a significant amount of time spent in Austin, Palo Alto, San Francisco and NYC. Asset Management experience includes Hedge Fund COO roles, as well as extensive Investment Banking activity.

Areas of Expertise
Capital Markets, Equity and FICC Markets, HF operations and Due Diligence, Alternative and Traditional Asset Management funding, trading, compliance and business development.

Education
St. John’s University, BS Economics

C.J. BROWN, Investor

C.J. is a Senior Managing Director of The Blackstone Group. Since joining Blackstone’s Restructuring Group in 2005, C.J. has advised both companies and creditors on a variety of domestic and cross-border restructuring, capital raise, financing and merger and acquisition advisory transactions. C.J. has provided expert witness testimony in several cases and is a frequent public speaker on restructuring topics. Prior to joining Blackstone, C.J. worked at Bear, Stearns & Co. Inc. where he was a member of the Global Industries Group within the Investment Banking Division and helped companies raise capital via both debt and equity capital markets transactions and advised companies on mergers and acquisitions.

Areas of Expertise
Capital structure, valuation, capital markets, financial due diligence, business plan evaluation and restructuring.

Education
Moravian College, BA Accounting
NYU Stern, MBA Finance & Accounting

ANNE BUDLONG, Investor

Anne has over 25 years of financial industry experience, working both in New York and London. She currently runs her own consulting firm which provides advisory, financial analysis and market research services to private companies in the asset management and luxury goods industries. Prior to starting her own consulting firm, she was the co-head of International and Global Equities at Oppenheimer Capital, where she managed international equity strategies for institutional clients. Prior to Oppenheimer Capital, she was a portfolio manager at Credit Suisse Asset Management and Baring Asset Management and a Vice President and research analyst at Clay Finlay, a privately held boutique asset manager which was a pioneer in institutional international equity investments.
Anne has always invested in publicly quoted equities and has extensive experience covering most industries in Europe as well as several in Asia and Latin America. She has particular expertise in the financials sector and luxury goods industry. Anne began her career with Oppenheimer & Company as a financial analyst in the investment banking group. In addition to her consulting work, Anne is a member of the Advisory Board of the Richard Taittinger Gallery, a contemporary art gallery in New York’s Lower East Side. And, she volunteers with Community Word Project, a New York City based arts-in- education organization working with students in severely underserved communities. She and her husband support several non-profit organizations, particularly those with an education focus.
Additionally, Anne has served for two years as a mentor to the Entrepreneurship in Public Health class at New York University’s College of Global Public Health.

Areas of Expertise
International equity investing, asset management, advisory, financial analysis, market research; particular experience in financials and luxury goods.

Education
Williams College, BA Economics & Asian Studies

MAZY DAR, CEO of OpenFin

Mazy is a FinTech entrepreneur with 17 years of Wall Street experience. He is currently the CEO of OpenFin, a company which he co-founded in 2010 which has raised $7M in funding from 30 Wall Street executives and Bain Capital Ventures. Prior to OpenFin, Mazy was Chief Strategy Officer at Creditex where he had operational and strategic responsibility for all of the company’s electronic businesses. Between 2004 and 2008, he led the launch of 7 new electronic platforms for the CDS market including T-Zero (now called ICELink) and Q-Wixx, a joint venture with J.P. Morgan, Deutsche Bank and Goldman Sachs. Following the acquisition of Creditex by IntercontinentalExchange, he served on ICE’s executive deal committees and led ICE’s launch of CDS clearing for the buy-side. Prior to ICE, Mazy was a software engineer at UBS. Mazy is passionate about startups and innovation. He’s an informal advisor to several early-stage FinTech companies and is an active participant in NYC’s startup community through two accelerators in which OpenFin has participated — the First Growth Venture Network and the FinTech Innovation Lab.

Areas of Expertise
Financial technology, HTML5, user experience, product design, instant messaging, electronic trading, interdealer brokerage, credit derivatives, consortiums.

Education
Cornell University, BA Computer Science & French Literature

MARCO DEMEIRELES, Partner at TCM

Marco DeMeireles joined TCM as a Partner in 2019.  Previously, Marco founded and led a venture capital & growth equity investment business at BAM, a multi-billion dollar investment firm, where he was responsible for proprietary sourcing, investment idea generation, transaction leadership, and portfolio company board oversight. Marco’s prior investments include data driven consumer products & services (Bright Machines, Latch, Peloton, Spotify, Tencent Music), “prosumer” software tools (Cuebiq, Orbital Insight), customer facing financial technology (Acorns, Harness Wealth), and consumer marketplaces (Coinbase, Kindbody, and Zola).  Prior to joining BAM, Marco was with Technology Crossover Ventures, focused on growth-stage investments, and Morgan Stanley’s Investment Banking Division in Menlo Park.  Marco is also a current Kauffman Fellow.

Areas of Expertise
Alternative Data, Applied Machine Learning, Banking Technology, Big Data & Analytics Tools, Blockchain Infrastructure, Capital Markets & Exchanges, Consumer Finance, Digital & Financial Media, E-Commerce, Enterprise Technologies, Payments, Payroll / HR / Benefits Administration, Specialty Finance, Insurance Technology and Real Estate Software & Services

Education
Williams College, BA

CHUCK DOERR, President and COO of OpenFin

Chuck is President and COO of FinTech startup OpenFin and is responsible for the company’s technology strategy, infrastructure and operations. Prior to OpenFin, Chuck was at IntercontinentalExchange (ICE) where he was responsible for ICE’s CDS e- trading and processing technology and software development. Before ICE, Chuck served as Chief Technology Officer of Creditex where he was responsible for all technology initiatives. Chuck loves problem solving – especially creating unique solutions that meet both business and security needs while preserving an agile, customer driven, product focus.

Areas of Expertise
Technology, security, systems architecture, scaling teams, credit derivatives, interdealer brokers, electronic trading, and auctions.

Education
Carnegie Mellon University, BS & MS Electrical and Computer Engineering

CHARLES DUNNE, Commercial and Residential Real Estate Developer

Mr. Dunne has been involved in real estate investment and development for more than thirty years. From 1984 to 2006, he was the Director IT and Real Estate Services at ImClone Systems Incorporated, a public biotech company, where he oversaw construction of over 400,000sf of state-of-the-art labs, vivaria and synthetic-chemistry facilities. Both during and after his tenure at ImClone, he was also the primary developer of more than 250,000sf of mixed use property in Manhattan and luxury residences in the Hamptons.

Areas of Expertise
Commercial and residential development. Strong technical skills and an ongoing interest in biotechnology.

Education
New York University, BA

JOHN H. ELEY, CEO of GoldenSource

John is a passionate, serial entrepreneur who, since 2002, has led three companies focused on using technology to improve trading and/or pre and post trading work flows. Hotspot FX, the first fully electronic, all-to-all marketplace for institutional FX traders, was acquired by Knight Capital in 2006. Pivot, Inc., a leading IM based trading and pre-trade negotiation platform, was acquired by the CME Group in 2012. John is currently CEO of GoldenSource, the leading provider of Enterprise Data Management software and services to the financial services industry. Prior to Hotspot FX, John spent 11 years at Citibank and 3 years at Cantor Fitzgerald in a variety of trading, asset management, business development and risk management roles. He is an active angel investor, board member, and advisor to many young companies. Additionally, John is an adjunct professor at NYU’s Stern School of business focusing on entrepreneurship.

Areas of Expertise
Market structure, FX trading, electronic trading, interdealer brokerage, disruptive technology, hiring, management and execution.

Education
Connecticut College, BA

MATTHEW EPSTEIN, Managing Director, Head of FinTech, DCS Advisory

Matthew is a Managing Director and the head of the Financial Technology & Services practice at Sagent Advisors, a private investment bank headquartered in New York City. During his career Matthew has been responsible for a wide range of transactions across different areas of the FinTech landscape from capital market infrastructure (FFastFill’s £106 million sale to Ion Trading), to exchanges (CME’s IPO), to payments (Fiserv’s $4.4 billion acquisition of CheckFree), to bank systems (Digital Insight’s $1.4 billion sale to Intuit), to name a few.
From 2007 to 2009 Matthew took a sabbatical from investment banking and served as the Vice President of Strategic Partnerships at Fiserv, a leading provider of financial technology and processing services. Previously during his investment banking career, Matthew has headed the financial technology practice at Merrill Lynch, and has been an investment banker at UBS and Lehman Brothers. Matthew started his career as a corporate lawyer at Wachtell, Lipton, Rosen & Katz.

Areas of Expertise
Payments; banking systems; online lending; consumer, corporate and capital markets data and analytics; trading platforms; capital markets infrastructure; and wholesale brokerage.

Education
Columbia University, BA
Northwestern University, JD

DAN FARRELL, Chief Executive Officer, StoneCastle Cash Management

Dan Farrell is Chief Executive Officer of StoneCastle Cash Management, LLC (“SCCM”), a wholly owned subsidiary of StoneCastle Partners, LLC. Mr. Farrell is responsible for the day to day operations and management of SCCM, including defining the strategic focus within its bank, institutional, and financial intermediary business lines. Mr. Farrell is a member of the firm’s Executive Committee and oversees all operations, technology, sales, and marketing functions.

 

Previously, Mr. Farrell was Managing Partner of Dark Bridge Capital LP, a fund company Mr. Farrell co-founded in 2010 to make equity investments in financial services entities and to acquire distressed mortgage and asset-backed securities. Mr. Farrell was an investor in Intermedium Financial, LLC, the assets of which were acquired by an SCCM affiliate in early 2017.<p>

Prior to these roles, Mr. Farrell was Managing Director and Head of Structured Asset Finance at Wachovia Securities where he managed Investment Banking, Trading, and Distribution for the firm. Mr. Farrell’s organization was comprised of Equipment Finance, Royalties, Transportation, Aviation and Structured Commercial Real Estate. Prior to this, Mr. Farrell was President and Chief Underwriting Officer of BluePoint Re. Mr. Farrell successfully worked with Wachovia to form this Bermuda-based financial guaranty company, achieving an initial rating from S&P and Moody’s of AA/Aa3, respectively. Mr. Farrell spent the first 13 years of his career at Financial Security Assurance, where he was responsible for managing the firm’s asset-backed securities division.

Areas of Expertise
Structured products (including auto, CDOs, mortgage and lease financing), financial guaranty insurance, risk management and credit risk transfer.

Education
Seton Hall University, BS
Fordham University, MBA

WIL FISCHER, Managing Director of GreensLedge Capital Markets

Wil has spent his entire 30+ year career on Wall Street. Currently Wil is a Managing Director a GreensLedge Capital Markets, a boutique broker-dealer focused on the structured credit and securitization markets. Prior to joining GreensLedge, Wil was associated with Natixis Capital Markets for five years as a Managing Director in the US Structured Credit and Conduits Group. His primary focus was on CLO origination and head of the European CDO group. Prior to that he spent nineteen years at the monoline, Financial Security Assurance Inc. There he was responsible for the CDO group and non-consumer structured finance business. Wil has considerable expertise in esoteric assets and developing new products.

Areas of Expertise
Structured credit products, asset-backed securities, credit derivatives, corporate bonds, capital markets, and low production wines from California.

Education
Harvard College, SB Engineering Sciences

MATT FRYMIER, Co-Founder of Corrum Capital Management; Chairman of Chicago Stock Exchange

Matt Frymier is an investor and operator of technology enabled growth businesses, with a deep history in the financial technology space.
Matt is a co-founder of Corrum Capital Management LLC, an alternative investment firm. Matt also currently serves as the Chairman of the Chicago Stock Exchange, and a director of AltX, Inc. Prior to launching Corrum Capital in 2012, Matt was the President of a multi-family office based in Silicon Valley which managed assets for successful technology executives and wealthy families.
From 1994 through 2010, Matt held a variety of positions at Bank of America Merrill Lynch (“BAML”), most recently as Head of Global Strategic Capital (“GSC”), the primary strategic investment arm of the bank and its subsidiaries. As Head of GSC, Matt had executive management and investment approval responsibility for BAML’s strategic direct private equity investment program, Strategic Fund Investments and BAML Capital Access Funds. He also served as a member of Bank of America’s Equity Risk Forum, which was responsible for managing the overall equity risk exposure across the Bank of America enterprise. Prior to being named Head of GSC in 2007, Matt had eight years of strategic direct investment experience in GSC and its predecessor business units. While at BAML, Matt served on the board of directors of more than 15 companies, including Value Asset Management, BATS Global Markets, Archipelago, FXall, Incapital, theMarkets.com, and Conversus Asset Management where he also served on the Investment Committee. Matt began his career at Putnam Investments in Boston.

Areas of Expertise
Institutional markets, complex structured transactions, electronic trading, clearing technology, consortiums, asset management, self regulatory organizations, capital markets.

Education
Colby College, BA

STEVE GOODMAN

Steve is an active investor in early stage companies. He is invested in approximately 40 companies. These investments have been made in conjunction with a small group of investors. The most successful investment to date has been JUUL.
Steve is the CEO of SHG Planning, Inc. For more than 30 years, Steven Goodman has provided insightful solutions to the challenges of business succession, wealth preservation and charitable planning, focusing on the needs of owners of closely held businesses and high net worth individuals. He currently serves hundreds of clients. Steven Goodman has authored numerous trade articles for leading trade journals, and has paired with some of the most respected names in banking and finance-among them JP Morgan Chase – to sponsor some 150 seminars about business succession and wealth preservation. His accomplishments have brought the attention of such publications as the New York Times.
Prior to his current pursuits, Steve spent 5 years working for KPMG Peat Marwick in their banking division and 3 years for J.P. Morgan in their Private Banking Division.

Areas of Expertise
Estate Planning, Business Succession Planning, Retirement Planning, Life Insurance, Annuities, All Investment Financial Products and Asset Management.

Education
Queens College, BBA
Fordham University, MBA
C.P.A., Designation

STANTON GREEN, Senior Managing Director and Co-Head of Equities at Guggenheim Securities

Stanton is a financial services entrepreneur and executive having led companies, started companies, started business units, and run business units within this industry for over 20 years.

 

Mr. Green has been Senior Managing Director and Co-Head of Equities at Guggenheim Securities, LLC since May 2, 2018. Mr. Green joined Guggenheim from OTR Global where he served as President and CEO, shaping OTR into a premier research firm.  OTR is a global financial services firm with offices in New York, Westchester, Boston, Chicago, San Francisco, London and Shanghai and employees in 18 countries around the world.

 

Prior to OTR, he was a founding partner, president and CEO of Vista Research, a leader and innovator of research services to the financial services industry. Stanton led the firm through tremendous growth in revenues, clients and employees, with three rounds of raising capital, and ultimately a successful sale to Standard & Poor’s (a McGraw Hill Company) in 2005. Prior to that, Stanton was a managing director of Epoch Partners, an investment bank formed in 1999 as the investment bank for Schwab, Ameritrade and TD Waterhouse; the firm was funded by Kleiner Perkins, Benchmark and Trident. Stanton ran Equity Capital Markets, Structured Products and Private Equity fund. He was part of the deal team that successfully sold the firm to Goldman Sachs in 2001.

 

Stanton began his career at Merrill Lynch in the equity derivatives business where he helped build the structured note business and single-stock hedging business. He also spent four years in Morgan Stanley’s institutional derivatives group.

 

Areas of Expertise
Institutional equity markets, research, alternative research, capital markets, private equity, capital raise and structuring, derivatives.

 

Education
Dartmouth College, BA

KEN HARRIS, Investor

Ken is a business executive, entrepreneur, consultant and food and beverage industry expert who founded in 1992, and sold in 2004, a marketing and sales consulting firm to WPP. Ken has been chairman of a food company that sold to Mondelez in 2015 and has now started another consulting firm, Cadent Consulting Group in 2013. Cadent focuses on growth platforms for small ($5 – $50 Million revenue) consumer product companies, large food and beverage companies and healthcare providers in the marketing and sales space.
His first consulting firm, Cannondale Associates, created analytical tools to help manufacturers better understand – and take action against – initiatives in merchandising, assortment, shelving and pricing in the retail environment. In his tenure as a Partner at Cannondale and now at Cadent, Ken is an author, frequent speaker at industry functions and frequently quoted industry expert for publications like the Wall Street Journal, CNN, Forbes Magazine and USA Today.
Prior to his entrepreneurial business ventures, Ken held marketing and sales positions of increasing responsibility at the Coca-Cola Company, where he began his career, Jacobs Suchard Confection Company (now a division of Mondelez, International) and Glendinning Associates, a marketing and sales consulting firm that was the predecessor to Cannondale Associates. He has been an active angel investor, board member, and advisor to many food, beverage and media companies. He serves on the Boards of the largest food supply chain and logistics company in the U.S, the fastest growing small bank (under $2 Billion) and a number of food and beverage companies.

Areas of Expertise
Marketing, sales, strategy, technology and analytics in the food, beverage and consumer space.

Education
University of Michigan, BA

DAN HELLE, Managing Partner of CIVC Partners

Dan has been investing in the financial services industry since he joined CIVC Partners, L.P. in 1989. He has been a Partner at CIVC since 1992 and today, he shares overall strategic and operating responsibility for CIVC. CIVC is a middle market private equity firm focused on buyout and growth equity investments in mature companies in the business and financial services industries. During his tenure at CIVC, he has made investments in numerous financial services companies in the consumer finance, commercial finance, specialty lines insurance and services sectors. He has been a director of over twenty companies while at CIVC, and has reviewed many business and financial plans during his tenure. Prior to joining CIVC, he worked at Citicorp Leveraged Capital and at Continental Bank.

Education
Western Illinois University, BS
University of Illinois, MS

STEVE HOUSTON, Partner, m+ funds

Steve brings 30 years’ experience straddling both the institutional and the retail investor marketplace. He has led Wealth Management businesses in North and South America and has also built-out derivative, and alternative investment platforms for private client channels in both Asia and the Americas. Steve, more recently, is building an innovative customized ETF investment management firm; m+ funds.
Steve began his career at PaineWebber in the Mortgage Backed Securities Division. He subsequently received his MBA in Finance from Columbia University and then went to work for Bankers Trust in their Fixed Income Derivatives division. During his 8 years with the firm, Steve spent 5 years in Hong Kong where he built out the firm’s high-net-worth Capital Markets business. He subsequently spent 10 years working for Merrill Lynch in both New York and in Tokyo where he led both the firm’s Structured Investments and Alternative Investments businesses. Steve was then recruited to lead the Americas Wealth Management business for Barclays Bank where he worked for 6 years.
Steve’s current company; m+ funds was first-to-market, and is leading the development of the ‘Defined Outcome Fund’ investment space. Defined Outcome Funds are 40 act registered funds which provide investors customized ETF exposure.

Areas of Expertise
Wealth Management, Alternative Investments, Structured Investments, Index and ETF field, Financial Planning Applications, Retail Distribution, Foreign Markets.

Education
University of Texas, BBA
Columbia University, MBA

AMAR KUCHINAD, Chief Strategy Officer of Trumid

Amar is a Wall Street trader turned entrepreneur who currently is Chief Strategy Officer of Trumid Financial, a financial technology start-up that operates a trading platform enabling institutional investors and broker-dealers to source and provide secondary market liquidity to each other for corporate bonds.
Trumid’s award-winning application helps traders aggregate pre-trade and post-trade data and provides protocols for trade negotiation and execution that make the investment and trading process more efficient and less reliant on repetitive, manual processes. Amar joined Trumid in May 2017 after the acquisition of Electronifie Inc., a company in the same sector that he founded with ex-colleagues and friends.
Prior to founding Electronifie in 2014, Amar worked at the U.S. Securities and Exchange Commission as a Senior Policy Advisor in the Division of Trading and Markets. In this role, he advised the Commission and Commission staff on rule-making and enforcement for a variety of securities markets, products, and
market participants.
Prior to his stint of public service, Amar spent 15 years as a banker and a trader at Credit Suisse and Goldman Sachs. In his last role at Goldman, Amar was responsible for the North American Portfolio Credit trading business.
Amar has been an active angel investor, board member, and advisor to many young companies. His experience working with some of the portfolio companies he invested in was partly responsible for his decision to leave Wall Street in order to take up a more entrepreneurial challenge.

Areas of Expertise
Equity and equity option markets, fixed income securities and credit derivatives, corporate bonds, electronic trading, securities regulations, capital markets, and disruptive technology.

Education
Harvard College, A.B.

SCOTT LAWIN, Principal of Parametric, LP

Prior to founding Parametric, Mr. Lawin served as Chief Operating Officer of Moore Capital Management, a global alternative investment management company with ~$15bn in AUM. At Moore, Mr. Lawin oversaw the portfolio management, risk management, execution trading, global technology, and business development functions across the 425 person global staff. He was a member of the Senior Management Team, Capital Allocation Committee, Execution Committee, Risk Policy Committee, and Valuation Committee and served on the Board of Directors of the Moore Capital funds.

Before joining Moore, Mr. Lawin served as Chief Operating Officer of the Liquid Markets business at Fortress Investment Group, and spent 12 years at Goldman, Sachs & Co., serving as Global Head of the Credit Liability Management business, head of Global Strategy and Chief of Staff of the Fixed Income, Currency & Commodity Division, founding member and Chief Operating Officer of GS Ventures, and Head of the Energy & Power Capital Markets group.

Mr. Lawin serves as a director of iSentium LLC, and a senior advisor to Elefant Markets, Looking Glass Investments, Magna, StreetLinx and ArtMoney. Mr. Lawin’s philanthropic roles include Founder and Chairman of Museum of the Street, Vice-Chairman and Director of Friends of Hudson River Park, and Advisory Board member of The Kitchen.

Areas of Expertise:

Global Capital Markets, Alternative Investment Management, Electronic Trading, Risk Management, Alternative Data

Education:

Mr. Lawin earned his BS in Architecture from the Massachusetts Institute of Technology in 1993 and is a Founding member of the Dean’s Advisory Committee for the School of Architecture and Planning. He and his family reside in Tribeca in New York City.

NICHOLAS LEONE, Senior Managing Director of PJT Partners

Nick is a Senior Managing Director of the Blackstone Group. He has spent more than 25 years on Wall Street – the majority of his time focusing on advising large companies and institutional investors in restructuring transactions. From 1988 through 1995, Nick worked at Drexel Burnham and later Salomon Brothers in their respective corporate finance groups, where he specialized in capital raising, M&A activities and restructuring transactions for corporate clients. He joined Blackstone in 1995 to focus on advising troubled companies – providing advice around capital raising, strategic transactions and balance sheet restructurings. Nick’s corporate clients span dozens of industries including manufacturing, telecommunications, financial services, retail, consumer products, transportation and healthcare. In addition to numerous U.S. based clients, Nick has advised companies in multiple countries including Brazil, Canada, France and the U.K.

Areas of Expertise
Capital raising, M&A, operational turn-arounds and balance sheet restructuring.

Education
Columbia University, BA Economics
University of Chicago, MBA Finance

DAVID LEVY, Investor

David has been an active entrepreneur and investor in financial software and services for 25 years. From 1994 to 2004 David was co-founder and CEO of CDS, which sold front-office software for high yield bond trading, loan trading and loan syndication. The company was acquired in 2004 by Fidelity Information Services (NYSE: FIS). In 2008, David led an angel group that invested in Debtdomain, an early-stage company with an emerging Web platform for new issue book building, CRM, and data rooms in the syndicated loan market. He joined as co-CEO, opened the New York office and built the business to a successful exit in 2013 via a sale to Ipreo, which was then a KKR portfolio company. David stayed at Ipreo as a member of the senior management team through 2018, until its acquisition by IHS Markit. In addition to the full-time roles described above, David has made many angel investments in both FinTech and non-FinTech businesses.

Areas of Expertise
Capital markets workflow and systems, agile software development, general business strategy and management.

Education
Princeton University, AB
Columbia University, MS

REUBEN LEVY, COO of Bloomberg Pricing, Risk and Corporate Treasury Business

Reuben is an energetic business leader and strategist with a passion for fintech startups. Reuben is currently COO of Bloomberg’s Pricing, Risk and Corporate Treasury Business where he is helping launch, operationalize and scale several new businesses lines. Prior to his current role, Reuben worked in Strategy & Corporate Development and led acquisitions and investments for Bloomberg in the areas of risk management, trading technology, fixed income analytics, research platforms, indices, post-trade processing and corporate treasury. Before joining Bloomberg, Reuben worked at Credit Suisse in the Technology Investment Banking Group and executed IPOs, financings and M&A deals for tech companies.

Areas of Expertise
Institutional capital markets, derivatives, corporate treasury, FX, fixed income, indexes, data and analytics, post-trade processing, investment research, debt and equity capital raising, IPOs, M&A.

Education
University of Toronto, JD/MDA
McGill University, BA

JOHN LOVISOLO, COO and Chief Risk Officer of Coherence Capital Partners

John is a 25-year Wall Street professional with broad distribution and structuring experience across fixed income products. He is currently COO and Chief Risk Officer at Coherence Capital Management, a global credit long/short manager located in NYC. Prior to this appointment, John worked at Barclays for ten years where he served as a Managing Director. For the first five years he ran Sales for High Grade and Structured Credit Products. Most recently, he Co-Headed Prime Brokerage Origination which entailed bringing hedge fund clients onto Barclays platform and servicing them across equity finance, fixed income finance, futures and cleared derivatives. John also served at Deutsche Bank for ten years where he traded and sold interest rate derivatives and ran marketing for credit derivatives. John is an active alumnus of Chaminade High School and Union College where he serves on the Presidents Council.

Areas of Expertise
Hedge Funds, Capital Markets, Prime Brokerage. Fixed Income, Derivatives, Marketing/ Sales Management and all things youth basketball related.

Education
Union College, BA Managerial Economics

DAVID MAY, Founder of Audrey Ventures

David founded Audrey Ventures his personal venture investment firm with the dual purpose of investing in startups (eleven to-date) and mentoring entrepreneurs often taking an active role in early stage development. David serves as mentor for several technology startups including EQDerivatives, Friendr
and Savvo.

In 2000, David was co-founder and CTO of LoanX, an internet-based financial services firm in over-the-counter syndicated loans. In 2004, LoanX was sold to Markit Ltd, a London-based financial information services company, at the time numbering about 60 employees. The combined entity pursued both an organic and acquisition growth strategy. Today, the NASDAQ traded Markit (MRKT) valued in excess of $4 billion exceeds $900 million dollars in revenue and more than 3,000 employees throughout the world. David retired from the firm in 2008 to start Audrey Ventures.
David serves on the Board of Directors of many organizations including the Center for Economic Progress, a nonprofit that provides free tax services. He spends the tax season preparing tax returns for low income families. He also serves on the Board of North Avenue Day Nursery, a nonprofit that provides day care and after school programs for low income families for over 100 years. In addition, David serves on the Board of Emerald City Theatre. David is married to a fellow entrepreneur, helping her launch and sell two successful companies and has one daughter, who at age fourteen is still mulling over what her next business will be after her successful Lemonade stand raised $24.40 for her school scholarship fund.

Areas of Expertise
Strategy, Business Analysis, Technology, and Electric Vehicle

Education
Cornell University, BS Engineering

SAM MCINGVALE, Head of Digital Wealth at Apex Clearing

Sam is dedicated to helping FinTech startups and Fortune 500s build the infrastructure and experiences necessary to bring financial services into the digital age. In his role as Head of Digital Wealth at Apex Clearing, Sam oversees Apex’s strategic growth initiatives and product strategy. His primary goal is to imagine the technology solutions that will keep Apex and its clients ahead of the curve. Before this role, Sam led the Apex technology team, spearheading the efforts to build Apex’s API infrastructure. Prior to joining Apex, Sam worked in technology at PEAK6 Capital Management, where he spent five years building PEAK6’s proprietary trading technology. He is an emerging angel investor, board member, and advocate for many young FinTech companies.

Areas of Expertise
Retail wealth management, digital finance and Direct-to- Consumer UX

Education
Northwestern University, BA
Kellogg School of Management, MBA

JOHN MESERVE, Managing Partner of Cragmoor Capital Advisors

John has more than 25 years experience in financial services with a deep regulatory background established in his early years in Washington, D.C. Currently he is Managing Partner of Cragmoor Capital Advisors, an advisory and investment company focused on FinTech and Financial Services. John is currently an advisor and investor in start-ups, Ldger and Grey Spyder. Prior to his entrepreneurial activities, he held leadership roles with BNY Mellon as an Executive Managing Director of the affiliate ConvergEx Group, as well as the Chief Executive Officer in charge of the group’s research and commission management businesses including Westminster Research Associates and Jaywalk. John built the business from a niche player into a widely recognized industry leader with undisputed market dominance. In these roles John established extensive personal relationships with 1000+ institutional money managers, 200+ broker-dealers and hundreds of independent/alternative research and market data providers. Previously, as a Senior Vice President at The Bank of New York and head of the International Marketing Division he drove similar change and growth, transforming BNY from the smallest player in the depositary receipts business into the dominant player, industry-wide. In this capacity John established a global sales team and has traveled personally to over 75 countries. Recognized as a thought leader and one of the foremost experts in his fields, John began his career in the financial services industry as a Vice President with Citicorp. He also held several positions in the public sector, including positions as a legislative and campaign staffer to a Maine Congressman and Senator, and later in political appointments within the U.S. Department of Commerce and U.S. Department of Transportation.

Areas of Expertise
Institutional equity markets, brokerage, alternative research, commission management, electronic trading, options, capital markets, sales & management, international markets, regulatory issues, securities processing, wine

Education
Bowdoin College, BA
George Washington University, MBA

STEVE MILLER, CEO of CR Holdco

Steve Miller is CEO of CR Holdco, a portfolio company of Leeds Equity Partners. CR operates three financial information businesses: Covenant Review, the leading authority on bond and loan covenants; CapitalStructure, a key provider of credit-market news and commentary; and PacerMonitor, a web-based platform for tracking and researching Federal District, Bankruptcy, and Appellate Court cases.
Steve is a serial business builder in the financial news and data arena. Prior to joining CR,he played a vital role taking three entrepreneurial ventures from start ups to exit, including:

● Portfolio Management Data, as co-founder and CEO; Acquired by Standard & Poor’s in 2000.

● LoanX, as a founding investors and advisor; Acquired by Markit Group in 2003.

● Black Mountain Systems, as a founding investor and board chair; Acquired by Stone Point Capital in 2015.

Areas of Expertise
Subject matter: Leveraged credit markets (loans and high-yield bonds) Business segment: data, trend analysis and financial news

SEAN MINNIHAN, Managing Director, Head of Financial Technology, Nomura Securities

Sean is a Managing Director and the Head of the Financial Technology Banking practice at Nomura. Prior to joining Nomura, Sean ran Financial Technology at GCA Savian. He has more than 20 years of investment banking experience, providing strategic and financing advice to financial technology clients.

Prior to joining GCA Savvian, Sean was a Managing Director at UBS where he led the firm’s financial technology and capital markets practice. Prior to UBS, Sean led the financial technology practice at Bank America Merrill Lynch and was a member of the financial institutions group at Goldman Sachs.

Areas of Expertise
Mergers and acquisitions, capital raising, payments, banking technology, transaction processing, exchanges, securities technology, risk and analytics, financial outsourcing, and insurance technology

Education
Brandeis University, BA
Brandeis University, MA

ANN L. NEAL, Investor

Ann is a long term investor dedicated to working with entrepreneurs to help them achieve their operational and financial goals. Since leaving her investment banking career with Bankers Trust in New York City, she has invested in many companies from start-up to later stage in a variety of industries. Serving in capacities from CEO to board member to investor, Ann has assisted in the growth and success of many companies. One area of focus has been community banking. The Neal family has been involved in banking for decades and currently control two banks in Oklahoma and Missouri.

Areas of Expertise
Community banking, investing in private companies, retail, oil and gas, real estate

Education
University of Chicago BA, MBA

CHARLES "CHUCK" NEAL, Investor

Chuck is a long term investor dedicated to working with entrepreneurs to help them achieve their operational and financial goals. Since leaving his investment banking career with Merrill Lynch Capital Markets in New York City, he has invested in many companies from start-up to later stage in a variety of industries. Serving in capacities from CEO to board member to investor, Chuck has assisted in the growth and success of many companies. One area of focus has been community banking. The Neal family has been involved in banking for decades and currently control two banks in Oklahoma and Missouri.

Areas of Expertise
Community banking, investing in private companies, retail, oil and gas, real estate

Education
University of Oklahoma, BA
University of Chicago, JD/MBA

PHILIP A. NISBET, Founding Partner of World Insurance Associates LLC

Phil spent his first 20 years of work in fixed income trading, structuring and financing at global banks Citibank, Merrill Lynch and Barclays Bank from 1990 to 2010.  More recently Phil has shifted his focus to entrepreneurial pursuits in community banking, insurance and restaurants. His primary job is a founding partner at World Insurance Associates LLC, which in its first three years of operations has grown to become the 20th largest privately owned property and casualty broker in New Jersey. Phil’s responsibilities at World Insurance include acquisitions, integration, finance and accounting.

Areas of Expertise
Banking, property and casualty insurance, mergers and acquisitions, restaurant finance

Education
Georgetown University, BSBA
Duke University, MBA

NICK OGURTSOV, COO & CRO, Libra

Nick is a seasoned financial professional with over 20 years of experience. He is currently Chief Operating Officer and Chief Risk Officer of Libra, a software company focused on providing middle- and back-office, accounting and tax solutions for the blockchain/crypto industry. Previously, he was Chief Operating Officer and Chief Risk Officer of KCG Holdings, Inc., a publicly listed global market-making firm which traded equities, fixed income, commodities, FX and derivatives globally. Prior to that he was Global Head of EMM Group at UBS Investment Bank where he ran a global high-frequency proprietary trading unit. Nick started his career as a convertible bond trader at SBC Warburg.

Areas of Expertise
Financial technology, electronic trading and market making, risk management, markets microstructure, capital markets, blockchain and crypto markets.

Education
Beloit College, BS Physics & Computer Science
University of Arizona, MA Computer Science

ABKAR POONAWALA, Co-Founder of Pivot Investment Partners

Akbar Poonawala has more than 25 years of experience in transaction processing, banking, and related financial services at Deutsche Bank and Bankers Trust Company. He has held a variety of leadership roles including building discrete businesses globally, driving client origination and client management organizations and developing innovative business strategies.
Prior to co-founding Pivot Investment Partners, Akbar was Managing Director and the Regional Head for the Americas of Deutsche Bank Global Transaction Banking. In this capacity, Akbar led the growth of this business to over $1 billion of revenues in Cash Management, Trade Finance, and Trust & Securities Services targeting both Corporate and Financial Institutions clients throughout the Americas.

In addition, he built the Global Equity Services business, which included Depositary Receipts, Registrar and Post-IPO Services, into a market leading business across ten international locations with a more than five-fold increase in revenues and over 900 Corporate and Financial Institutions clients. Akbar was also a member of the Deutsche Bank Americas Regional Executive Committee, the Global Transaction Banking Executive Committee, and the DB Americas Diversity Committee. Akbar also served on the Board of Directors of Deutsche Bank Americas Foundation.

Previously, Akbar had served as the Head of Global Sales and Marketing for Corporate Trust & Agency Services where he was responsible for sales, marketing and relationship management across sixteen locations in Asia, Europe and the Americas. Earlier in his career, Akbar was Head of Asian Business Development for the Corporate Trust business of Bankers Trust and held management positions in the Global Securities Lending Division and the Management Consulting Group.

Education
Poona University India, BS Accounting
New York University, MBA Marketing & Finance

HENRY RITCHOTTE, Founder of RitMir Ventures

Henry Ritchotte has had a long career in financial services and is currently a seed investor in early stage companies. Prior to that, Henry created the blueprint for a digital challenger bank within Deutsche Bank.

The digital bank aimed to deliver extraordinary customer experiences through intelligent use of technology, data and mobile devices.
Before embarking on this venture, Henry was Chief Operating Officer and a member of the Management Board and Group Executive Committee at Deutsche Bank since 2012. As Chief Operating Officer, he was responsible over various periods for Group Strategy, Technology, Operations, Corporate Services, Corporate Security, Business Continuity, Information Security and the Bank’s global digital transformation agenda.

From 2010, Henry was Chief Operating Officer of the Corporate and Investment Bank and a member of its Executive Committee. He was previously Chief Operating Officer of Global Markets, based in London.
Between 2004 and 2008 he was Head of Global Markets in Tokyo, where he became a member of the Global Markets Executive Committee, and from 2001 to 2004 Head of the Institutional Client Group Asia in Singapore.
Before joining Deutsche Bank in 1995 in Fixed Income Sales, Henry worked for Credit Suisse First Boston (New York, USA), spent a year as a Luce Scholar (Jakarta, Indonesia), served with the boutique investment bank Recof Corporation (Tokyo, Japan) and worked as a financial analyst at Merrill Lynch (New York, USA).
Henry is married and has two children.

Education
Haverford College, BA History
University of Chicago, MBA & MA East Asian Studies

WARREN SAFT, Managing Director of Brownstone Investment Group

Warren Saft has spent his entire career on Wall Street, the majority of which has been in structured finance. He primarily focuses on CLOs, corporate synthetic CDOs and other structured finance instruments. In early 2017 he joined Brownstone Investment Group, LLC as a Managing Director. In this role he has evaluated and executed numerous CDO and mortgage transactions. Prior to Brownstone, he had a similar mandate while a Managing Director at CapRok Capital LLC and a Senior Managing Director at Bear Stearns. Previously, Warren worked with Creditex, with responsibility for establishing structured product and data businesses, and with Citigroup.

Areas of Expertise
Institutional markets, fixed income, structured finance and credit derivatives

Education
Cornell University, BS
Cornell University, MA Engineering

UMESH SUBRAMANIAN, Chief Technology Officer Citadel

Umesh Subramanian is Chief Technology Officer at Citadel. He leads the technology teams that build and power the innovative research, investment and risk-management platforms that enable Citadel’s decisive advantage in the financial markets. Umesh is a member of Citadel’s Portfolio Committee.
Prior to joining Citadel, Umesh spent 13 years at Goldman Sachs, most recently serving as a Partner and Co-Head of the Technology Division. His prior roles at Goldman Sachs include head of the Finance Engineering and Investment Banking Strats. While at Goldman Sachs, Umesh was a member of the Board of Directors of the Depository Trust and Clearing Corporation. Before that, Umesh worked at Morgan Stanley.
He received a BTech in Mechanical and Industrial Engineering from the Indian Institute of Technology, Madras, and an MS in Industrial Engineering and Operations Research from the University of Illinois at Urbana-Champaign. He is a CFA charterholder.

Education
Indian Institute of Technology, Madras, BTeck Mechanical and Industrial Engineering
University of Illinois at Urbana-Champaign, MS Industrial Engineering and Operations

SUDIP THAKOR, Co-Founder of Pumori Capital

Sudip is a senior financial executive turned investor/entrepreneur with a very strong deal background and network in Emerging Markets, particularly Asia and Latin America. He has been an active investor in angel and VC type deals for over a decade. Sudip co-founded Pumori Capital in August of 2013 to help developed market institutional investors find private secondary and special situation type direct investments in India and some other Asian EMs. Pumori invests proprietary capital in each of its deals, in addition to raising institutional capital. As a natural part of his business Sudip is often in touch with angel and VC type investment opportunities in India/SE Asia, or with Asian founders. Prior to his entrepreneurial venture, Sudip was a Managing Director at Credit Suisse from 1999-2013, and held various senior positions in both the Asset Management and Investment Banking Divisions. Notably he ran the Emerging Markets Products area for Asset Management from 2010-2013, and co-ran the Global Emerging Markets and Global Credit businesses within the Fixed income Division from 2003-2008. Sudip was a member of both the Asset Management Operating Committee as well as the Fixed Income Operating Committee. Sudip’s Wall Street career started with Bankers Trust Company in 1990, and he has lived and worked in Tokyo, Hong Kong, Singapore and New York since then. He was born and raised in Bombay, India.

Areas of Expertise
India and other emerging markets, credit markets, investment management, private equity, special situation and secondary investments.

Education
Cornell University, BA
Columbia University, MBA

PAUL WALKER, Investor

Paul is a New York City based technologist and philanthropist. He spends his philanthropic energies working with organizations that provide opportunity and social capital to young adults through access to education, science, and critical reasoning. Paul retired as a partner from Goldman Sachs in 2015, where he co-headed the firm’s technology division and held roles in risk management and technology. He holds a PhD in Physics from the University of Illinois and a BA in Physics from Cornell University.

Areas of Expertise
Almost all aspects of technology relating to wholesale finance and institutional risk management, including data and data analytics, workflow, infrastructure, blockchain and transaction processing, and more. Management of large operations. Risk management for securities and derivatives. Clearing and custody for securities and derivatives. Science and science education.

Education
Cornell University, BA Physics
University of Illinois, MS & PhD Physics

PAUL WIGDOR, Overlook 4 Holdings

Paul Wigdor is a seasoned entrepreneur and active investor, advisor and board member to many early-stage companies.   In addition to his roles as an investor, Paul currently serves as Managing Partner at Ascendant Advisors, a Registered Investment Advisor based in Houston, Texas and also heads Qapital Invest, a Registered Investment Advisor operating the investment business for Qapital, one of Tribeca Early Stage Partner’s portfolio companies.  Paul has over 25 years of financial services experience on the buy side and the sell side in a variety of capacities including legal and compliance, equity trading, wealth management, and asset management.

 

Areas of Expertise
Asset Management, Wealth Management, Electronic Trading, Capital Markets, Compliance.

Education
Brandeis University, BA
Fordham University, JD

MICHAEL J. ZUPON, Investor, Board Member and Senior Advisor
Mr. Zupon has over 25 years of investment experience managing leveraged loan, high yield bond, distressed debt, mezzanine debt and private equity investments. He is a Senior Advisor to AllianzGI and was the founder and Chief Investment Officer of Sound Harbor Partners.
Prior to founding Sound Harbor in 2009, Mr. Zupon served as Managing Director of The Carlyle Group from 1999-2009 and was a Partner and member of the Management Committee. He founded Carlyle’s Leveraged Finance business and led its growth to over $10 billion of assets under management. He served as Chief Investment Officer, Loan Portfolio Manager and Special Situations Portfolio Manager of U.S. Leveraged Finance. He developed and led Carlyle’s entry into mezzanine debt and control-oriented distressed investing. He was a member of the Investment Committees for Carlyle Strategic Partners, a control-oriented distressed fund and Carlyle Mezzanine Partners and served on the board of Carlyle Europe Leveraged Finance.
Previously, Mr. Zupon was a Managing Director at Merrill Lynch and a Managing Director and Head of Leveraged Loans with Banc of America Securities (f.k.a. NationsBanc Markets, Inc.). At Banc of America Securities, he founded Atlantic Equity Corporation, which committed over $400 million to private equity limited partnerships during his tenure. Earlier, Mr. Zupon worked at Canadian Imperial Bank of Commerce’s Acquisition Finance Group (CIBC), managing a team responsible for a portfolio of leveraged loans in excess of $1 billion and $100 million of private equity limited partnership investments.
He is the founding investor of Black Mountain Systems and serves as a board member and senior advisor to portfolio companies and private equity firms.

Areas of Expertise
Portfolio management, leveraged loans, high yield bonds, distressed debt, private equity in-depth investment analysis

Education
Miami University of Ohio, BS Business