Team

INVESTMENT COMMITTEE

JOHN MCEVOY, Managing Partner, Serial FinTech Entrepreneur, Co-Founder Creditex

Relevant Experience

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. He was also a founder and operating partner of eBond Advisors, which brought financial technology to the product level of a corporate bond – creating a more liquid financial instrument for investors while lowering financing costs for issuers. Finally, John founded a Bermuda-based reinsurance company backed by Wachovia Corp.

 

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

Venture capital, disruptive technology and business models, institutional capital markets, fixed income and credit derivatives, illiquid markets, corporate bonds, electronic trading, consortiums, interdealer brokerage.

 

Education
University of Texas, BBA
Columbia University, MBA

KUMAR DORAISWAMI, Former Capital Markets Executive at Natixis Capital Markets, Bankers Trust, Deutsche Bank, Commerzbank

Relevant Experience

Kumar is a serial investor in the private markets since 1998 with a portfolio of 30 companies spread across fintech, deep technology, biomedical and naturals foods spaces. He seeks a deep, below-the-hood understanding of all his investments. This has made his counsel valuable to C-suite executives of many of his companies on issues surrounding revenue expansion, sales strategy, capital raises, partnerships and exits.

 

As a founding member of the TESP Investment Committee, Kumar brings twenty-five years financial services experience and expert understanding of technology, data, fixed income/equity/FX derivatives, institutional capital markets and quantitative finance.

 

Prior to TESP, his experience included derivatives research at Salomon Brothers; followed by executive management experience at Bankers Trust/Deutsche Bank, Commerzbank and Natixis Capital Markets. Kumar also founded and ran a quantitative hedge fund and helped the electronic swap trading start-up (TrueEX) gain significant market share in the competitive cleared swaps market against incumbents Bloomberg and Tradeweb.

 

He serves as Board Advisor and Chair of the Investment Committee of the IIT Madras Foundation, an endowment dedicated to making his alma mater improve its standing as a world class research and technology 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
The Wharton School, University of Pennsylvania, MBA Finance & Decision Sciences

PETER FEENEY, Former Treasurer of North America, Credit Suisse

Relevant Experience

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

STANTON GREEN, Entrepreneur, Serial FinTech CEO, Executive in Residence at Warburg Pincus and Venture Advisor at Blumberg Capital

Relevant Experience

Operational executive who has led 5 rounds of capital, participated in three PE/Investment portfolio companies, successful sold two PE backed companies, oversaw the spin-out of a global organization with multiple entities (including a broker dealer, IA, Chinese Representative Office and a German GmbH) and helped successful retool the equity business of a top 35 broker dealer.

 

Mr Green is currently an Executive in Residence for Warburg Pincus, working with their FinTech portfolio and focused on deal flow and diligence with that team.  He is also a Venture Advisor to Blumberg Capital, a west coast FinTech venture firm with offices in San Francisco, New York and TelAviv.  Mr. Green helps executives in portfolio companies with operational topics and is also actively engaged with their deal flow.

 

Mr. Green was a Senior Managing Director and Co-Head of Equities at Guggenheim Securities, LLC for two years in which he helped transition the business into a leader in Healthcare and Tech capital markets  . 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 and data 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 FinTech firm focused on content delivered to Money Managers, Hedge Funds and Private Equity firms. He oversaw a successful sale to Standard & Poor’s (a McGraw Hill Company) in 2005. Prior to that, Stanton was a Managing Director of Epoch Partners, a FinTech focused 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. 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

KENT KURTZ, Venture Capital Investor, Former Managing Director, Derivative Trading at HSBC, Nomura Securities, Deutsche Bank

Relevant Experience

Kent was most recently a partner at Pacific Advantage Capital, a VC-focused private investment firm; Board Chairman at Pieces Technologies, an AI predictive analytics medical technology company in Dallas, TX.  Kent was also Co-President of Flashback Technologies, a medical device and technology company based in Boulder, CO.  Kent also has extensive financial trading experience. His most recent tenure as US Head of Trading for CDS, corporate bond and credit trading at HSBC; 7 years in New York as a senior portfolio manager at Nomura Securities as head of equity options trading. Prior to those positions, Kent had an extensive career at Deutsche Bank, most recently as co-head of European Equity Derivative Trading, and earlier global roles trading fixed-income derivatives in NY, Tokyo and London.

 

Areas of Expertise

Venture capital, medical technology, financial technology, risk management, capital markets, fixed income, equity and credit derivatives.

 

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

DAVID E. LEVY, FinTech Entrepreneur, Founder & Former CEO of SyndTrak, Former CEO of Debtdomain, Former Senior Executive at Ipreo

Relevant Experience

David has been an entrepreneur and investor in financial software and services for more than 25 years. From 1994 to 2004 David was co-founder and CEO of SyndTrak, which sold front-office systems to banks in the high yield and syndicated loan markets. 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, financial marketplaces and ATS, SaaS software, management of growth companies

 

Education

Princeton University, AB
Columbia University, MS

STEPHEN SALVADORE, Former Capital Markets Executive and Proprietary Trader at Mitsubishi UFJ Securities, Bear Stearns and Bankers Trust

Relevant Experience

Stephen is a passionate investor and current stakeholder in 35 private companies. Most of his investments are in Fin-Tech, Insure-Tech and Data businesses. He also has positions in Ed-Tech, Clean Energy, Agriculture and Water.

 

Stephen has almost 30 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

Capital Markets, Portfolio Management, Alternative and Traditional data

 

Education

Brown University, ScB Applied Mathematics & Economics

PARTNERS

JOHN BERTON, Former In-House Counsel to Goldman Sachs and Jane Street Capital, Tribeca ESP General Counsel

Relevant Experience

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 starting his solo practice, Berton Law, in 2011, which provides general corporate advice to VC and investment groups, starts ups, small companies and individual entrepreneurs. Prior to forming Berton Law John was in-house counsel at Jane Street Capital, Goldman Sachs, and an associate at Cleary Gottlieb. A life-long New Yorker, John attended public schools and has never lived above 14th Street. He serves on the Board of Trustees of the Washington Market School, and as trustee and treasurer for the Campaign for International Human Rights.

 

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, CEO Robertson Stephens, Former Deutsche Bank Capital Markets and Fixed Income Executive

Relevant Experience

Raj Bhattacharyya is the CEO of Robertson Stephens, a national, rapidly growing, registered investment advisory wealth management firm.  Prior to this role, he had spent 25 years in the capital markets and fixed income areas, most recently at Deutsche Bank where he led several businesses over 17 years that included the Foreign Exchange and Emerging Markets businesses in the Americas (2015 to 2018), Capital Markets and Treasury Solutions for Western Europe (2010 – 2015) and Debt Capital Markets and Derivative Sales in North America (2001 – 2010).  Raj has also served as the Vice Chairman of the board for the Emerging Markets Trading Association and as a member of Deutsche Bank’s Global Investment Banking Executive Committee.  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. He is also an active investor in early stage companies, primarily in the technology space.

 

Areas of Expertise

Wealth management, institutional markets, capital markets, fixed income, foreign exchange, and Latin America.

 

Education

Harvard University, BA

RYAN BOLAND, CEO of D’Addario Family Office

Relevant Experience

Ryan Boland is CEO of the D’Addario Family Office and a partner in DADA Holdings. As CEO of the D’Addario Family Office, he is responsible for originating and executing all public and private investments for the family. Investments have ranged from direct investments, fund investments, and co-investments across a variety of industries/geographies to compliment control operating platforms. DADA Holdings is the majority owner of New Day Aluminum with locations in Jamaica, Louisiana, France, and the United Kingdom. Prior to joining the D’Addario family, Ryan was an Executive Director at JP Morgan, working across the Investment Bank and Private Bank in New York, London, and Chicago over eleven years.

 

Areas of Expertise

Capital Markets, public and private portfolio investing and management, and family office structuring

 

Education

Villanova University, BS Accounting

EDNA BOSCHAT, Former Managing Director of Funding, GE Capital

Relevant Experience

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

PATRICK BRADY, Former Asset Management Executive

Relevant Experience

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, CEO and Founder Fifth Oak Capital Management, Former Blackstone Senior Managing Director

Relevant Experience

Prior to founding Fifth Oak Capital Management in 2019, C.J. served as a Partner at PJT Partners focusing on advising both companies and creditors on a variety of domestic and cross-border restructuring, capital raising and M&A transactions.  Prior to PJT Partners, C.J. was a Senior Managing Director at Blackstone Group where he worked for 12 years.  C.J. was an early member of Tribeca Early Stage Partners and has invested in approximately 20 different companies in multiple industries.

 

Areas of Expertise

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

 

Education

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

ANNE BUDLONG, Former Co-Head of International and Global Equities Oppenheimer Capital, Portfolio Manager Credit Suisse Asset Management, and Baring Asset Management

Relevant Experience

Anne has over 25 years of financial industry experience, working both in New York and London. Most recently she ran her own consulting firm providing advisory, financial analysis and market research services to private companies in the asset management and luxury goods industries. Prior to that she was co-head of International and Global Equities at Oppenheimer Capital, managing international equity strategies for institutional clients. Previously she was a portfolio manager at Credit Suisse Asset Management and Baring Asset Management, and a senior research analyst at Clay Finlay. Anne has extensive experience investing in public companies in most industries in Europe, as well as several in Asia and Latin America. She has particular expertise in financials and luxury goods.

 

Anne is a member of the Advisory Board of the Richard Taittinger Gallery. Outside of TESP, she invests in women-owned, and education and arts focused businesses.  She supports non-profits in education and the arts, and serves as a mentor to the Entrepreneurship in Public Health class at NYU’s College of Global Public Health.

 

Areas of Expertise

International equity investing, asset management, advisory, financial analysis, market research; particular expertise in financials and luxury goods.

 

Education

Williams College, BA Economics & Asian Studies

MAZY DAR, Co-Founder and CEO of OpenFin

Relevant Experience

Mazy is a FinTech entrepreneur with more than 20 years of Wall Street experience. He is currently the CEO of OpenFin, a company he co-founded in 2010 which has raised $45M in funding from 40 Wall Street executives, Bain Capital Ventures, Barclays, DRW Venture Capital, HSBC, CME Ventures, J.P. Morgan, NYCA Partners, Pivot Investment Partners, and Wells Fargo. OpenFin provides an operating system that modernizes financial desktops and democratizes app distribution. Their customers include more than 100 of the world’s largest banks, buy-side firms, and financial services vendors.

 

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. Following the acquisition of Creditex by IntercontinentalExchange, he served on ICE’s executive committee 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 accelerators including VentureCrushFG, FinTech Innovation Lab, and Entrepreneurs Roundtable Accelerator.

 

Areas of Expertise

Financial technology, fundraising, enterprise sales, bank consortia

 

Education

Cornell University, BA Computer Science & French Literature

LEOR DISTENFELD, SaaS Executive, CRO OpenFin, Former Executive Director Meltwater

Relevant Experience

Leor is an experienced leader with 16 years of SaaS experience. Leor is currently the Chief Revenue Officer at OpenFin, a leading Fintech which has raised $45M in funding from Bain Capital Ventures, Barclays, DRW Venture Capital, HSBC, CME Ventures, J.P. Morgan, NYCA Partners, Pivot Investment Partners, and Wells Fargo. OpenFin provides an operating system that modernizes financial desktops and democratizes app distribution. Their customers include more than 100 of the world’s largest banks, buy-side firms, and financial services vendors. Leor oversees the sales and client success functions; her main mandate is ARR growth.

 

Prior to joining OpenFin in January 2021 Leor was Executive Director at Meltwater, a leading global MarTech SaaS company focused on the Media Intelligence space. Leor was a member of the management team during Meltwater’s listing (MWTR) on the Euronext Growth Oslo in Dec of 2020. During her time at Meltwater Leor oversaw global new business and client success teams in both the mid-market and Enterprise segments. Before joining the executive team in 2018 Leor was VP of US Sales where she founded the Enterprise business and oversaw growth from $0 to 30M ARR over five years.

 

During her 15-year tenure at Meltwater, Leor has helped Meltwater evaluate acquisition targets, partnerships and business development, where she orchestrated partnerships, revenue share agreements and acquisitions of new content. Meltwater has been one of the leading acquirers of AI and data companies globally since 2015.

 

Areas of Expertise

SaaS, MarTech, Scaling SaaS companies, enterprise sales, organizational leadership

 

Education

Florida International University, BBA Marketing, and International Business
Said Business School, University of Oxford, Master’s in Organizational Leadership

CHARLES DUNNE, Commercial and Residential Real Estate Developer

Relevant Experience

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, Serial Entrepreneur

Relevant Experience

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 CCNY 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, Founder & Managing Partner, Newbold Partners LLC

Relevant Experience

Matthew is an experienced FinTech investment banker and investor having advised numerous public and private companies over more than 25 years on a wide range of strategic, M&A and capital raising transactions representing more than $60 billion in transaction value.

 

In 2020 he founded Newbold Partners, an independent investment advisory firm specializing on the FinTech sector, dedicated to providing thoughtful and customized solutions to meet clients’ unique strategic needs and achieve superior and value maximizing outcomes for them.

 

Unusually for a banker, Matthew worked in industry at Fiserv where he was responsible for strategic partnerships and, among other things, oversaw the company’s $4.4bn acquisition of CheckFree.

 

Prior to founding his own firm, Matthew oversaw the FinTech practice at Sagent Advisors (acquired by Daiwa Capital Markets), Merrill Lynch and UBS. He started his investment banking career at Lehman Brothers (may they rest in peace), and prior to that was an attorney at Wachtell, Lipton, Rosen & Katz.

 

Areas of Expertise

Investment banking – M&A, capital raising, strategic advice.
Fintech – payments, banktech, insuretech, capital markets software & service providers, exchanges & trading venues, brokerage, data & analytics providers.

 

Education

Northwestern School of Law, JD, Magna cum Laude
Columbia University, BA

DAN FARRELL, CEO of StoneCastle Cash Management, Entrepreneur and Financial Services Executive

Relevant Experience

Dan Farrell is currently CEO of StoneCastle Cash Management, LLC, a wholly owned subsidiary of StoneCastle Partners, LLC where he oversees all operations, technology, sales, and marketing functions for this $27 Billion liquidity management firm.

 

Dan co-founded a fund company after the “great recession” to target early stage investments in cash-strapped financial services entities as well as the acquisition of distressed mortgage and asset backed securities. One of the fund’s holdings, a de novo liquidity administrator for retail Broker/Dealers, was acquired by a StoneCastle affiliate in early 2017.

 

Previously, Dan managed Corporate and Structured Finance for a monoline insurance company as well as Structure Asset Finance for an Investment Bank.  He also co-founded a Bermuda-based re-insurance company.

 

Areas of Expertise

Organizational management, specialty finance, structured products, reinsurance and credit derivatives, liquidity products, and extended FDIC related deposit products.

 

Education

Seton Hall University, BS
Fordham University, MBA

WIL FISCHER, Managing Director of GreensLedge Capital Markets

Relevant Experience

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, Partner, Broadhaven Capital Partners; Former Chairman Chicago Stock Exchange and FX Alliance

Relevant Experience

Matthew Frymier is a strategic thinker, a problem solver, and is passionate about the intersection of Financial Services and Financial Technology, where he is respected as an innovator, investor, and strategic advisor. Matthew currently serves as a Partner at Broadhaven Capital Partners and a Director of Preformed Line Products (NASDAQ: PLPC. He was recently the Chairman of the Chicago Stock Exchange and Founder and Managing Partner of Corrum Capital Management. Previously, he led Bank of America Merrill Lynch’s Global Strategic Capital Division, which partnered with the business units of Bank of America to drive innovation, reach strategic goals, and create shareholder value through strategic investments and mergers and acquisitions.

 

Areas of Expertise

Institutional markets, innovation, complex structured transactions, electronic trading, clearing technology, consortiums, asset management, self-regulatory organizations, capital markets.

 

Education

Colby College, BA

STEVE GOODMAN, Founder and CEO of SHG Planning

Relevant Experience

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

LESLEY GOLDWASSER, Managing Partner of GreensLedge

Relevant Experience

Lesley is a veteran finance executive with a specialty in trading and markets. She was the first asset backed trader on the street when there was only one deal to trade. After a long career at Credit Suisse and Bear Stearns Lesley went on to join and her former competitors as a Managing Partner in a structured credit focused Investment Banking Boutique.

 

Prior to joining GreensLedge, Lesley headed up the Global Hedge Fund Strategic Services unit at Credit Suisse and before that spent twelve years at Bear Stearns where she was co-head of Global Debt and Equity Capital Markets and Global Head of Structured Products. Prior to her tenure at Bear Stearns, Lesley spent 12 years at Credit Suisse in a variety of management positions including responsibility for both the Asset Backed and Non-Agency Mortgage Trading Desks. Lesley is a board member of Tiptree Inc, Liquid Telecom and Maxex. Lesley was born and raised in Bulawayo, Zimbabwe.

 

Areas of Expertise

Institutional debt and equity capital markets, fixed income and structured credit, corporate bonds, and specialty finance.

 

Education

University of Cape Town, South Africa, Bachelor of Business Science

KEN HARRIS, Entrepreneur and Investor, Managing Partner at Cadent Consulting Group, Former CEO of Kantar Retail

Relevant Experience

Ken is a business executive, entrepreneur, consultant, and food and beverage industry expert who founded Cannondale Associates, a marketing and sales consulting firm in 1992, and sold to multinational holding company WPP in 2004. Ken was then CEO of the successor company Kantar Retail, Executive Chairman of Enjoy Life Foods that sold to Mondelez in 2015, and is now Founder and Managing Partner of Cadent Consulting Group. Cadent focuses on growth platforms for small ($5 – $50 Million revenue) consumer product companies and large food and beverage companies in the marketing and sales space.

 

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 at Cannondale and now Cadent, Ken is an author, frequent speaker at industry functions, and a 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, 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. 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 logistics company in the U.S, 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

Relevant Experience

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

CHRISTIAN HILDENBRAND, Partner, Chief Operating Officer & General Counsel, Deep Basin Capital LP

Relevant Experience

Chris is an experienced financial services executive and attorney. Chris spent the first half of his career at two major law firms, Skadden Arps and Mintz Levin. Initially an employment lawyer at Skadden, Chris switched to the corporate side at Mintz, where his broad practice included investment management and financial services on behalf of hedge and private equity funds and their sponsors and investors, as well as general corporate work primarily for emerging growth companies.

 

In 2007 he left the law practice to help launch Merchants’ Gate Capital, a global multi-sector equity hedge fund, where he had responsibility for all aspects of the business outside of investing, including marketing, operations, personnel, legal and compliance, and IT infrastructure. He reprised that role from 2015 at Delonix Capital, a cross capital structure value firm which he helped launch in 2016, and in 2018 joined Deep Basin Capital, a data-driven energy equity and commodity investment firm.

 

Areas of Expertise
Private funds, investment management, marketing and business development, securities and futures trading and regulation, general corporate, transactional and employment advisory work, human resources, alternative data, IT infrastructure.

 

Education

Dartmouth College, AB
Fordham University Law School, JD

BILL HIRSCHBERG, Venture Capital Investor, Former Capital Markets Managing Director and Proprietary Trader at Barclays, Nomura Securities and Bankers Trust

Relevant Experience

Bill is an active venture capital investor, particularly in the Financial Technology sector. In addition to investing, he also acts as an expert advisor on Fin-Tech to a large fund outside of TESP.

 

Bill has over 30 years of experience in global capital markets and derivatives. While his background is primarily on the trading side, he has been actively involved in risk and controls, regulatory management, infrastructure, data management, IT and operations. Most recently, he ran FX Trading, Markets Structuring and Front Office Risk and Controls at Barclays. Prior to that, he co-ran Equity Proprietary Trading at Nomura Securities New York. Bill began his career
at Bankers Trust, ultimately running Global Derivatives Sales and Trading for the bank across all asset classes and regions.

 

Areas of Expertise

Capital Markets, Trading and Derivatives Businesses Front to Back, Risk Management and Controls, Data and Trading Infrastructure, Regulatory Conformance.

 

Education

University of Pennsylvania, BS Electrical Engineering
Churchill College, Cambridge University, MPhil Control Engineering and Operational Research

STEVE HOUSTON, Partner – Platform Ventures. Former Head of Barclays Wealth Management. Merrill Lynch, Bankers Trust

Relevant Experience

Steve brings over 30 years of financial services experience working for firms including Barclays Bank, Merrill Lynch and Bankers Trust Company. More recently Steve helped build, and sell, the innovative ETF business: m+ funds.

 

Steve has been an active venture investor through most of his career and currently holds about 20 private investments primarily in the consumer and Fintech space.

 

Areas of Expertise

Wealth Management, Derivatives and Structured Investments, FinTech and RegTech. Consumer products and direct to consumer models.

 

Education

University of Texas, BBA
Columbia University, MBA

SAMEER JAIN, FinTech Entrepreneur, Co-Founder and CTO of US Real Estate Market, CIO/CTO at Barclays and UBS

Relevant Experience

Sameer has 25+ years of experience leading Global Technology organizations at Barclays and UBS as CIO/CTO in the US and the UK. He has deep expertise in Banking and in aligning technology organizations and architecture to power the business.

 

Sameer has deep experience in capital markets, building businesses across Equities and Fixed Income, divesting businesses from Asia to Africa and managing risk on flow and exotics portfolios.

 

Sameer is currently working in an entrepreneurial venture creating a platform to provide efficient access to Core & Core+ commercial real estate for institutional capital.

 

Sameer is an advisor to and Limited Partner in seed and growth stage venture funds focused on Capital Markets, Enterprise Technology and Cybersecurity.

 

Sameer is a keen advocate of the role of the private sector in creating jobs and improving employability. He is a regular participant on panels and think tanks on the topics of Shared Value and Employability.

 

Areas of Expertise

Institutional capital markets, private markets, capital markets technology, B2B banking platforms, cybersecurity, enterprise software.

 

Education

Knox College, Bachelor of Arts in Computer Science and Physics

AMAR KUCHINAD, FinTech and PropTech Entrepreneur, Co-Founder Electronifie Inc., and Recovering Wall Street Trader

Relevant Experience

Amar is a former Wall Street trader (Goldman Sachs and Credit Suisse) who pivoted to the FinTech space nearly a decade ago. He currently is responsible for data and technology at an alternative asset manager focused on the residential real estate industry as well as residential and corporate credit.

 

Prior to his current role, Amar co-founded and was CEO of Electronifie Inc., a financial technology start-up that operated a fully-electronic platform for institutional investors and dealers to trade corporate bonds with each other. He served as Trumid’s Chief Strategy Officer for two years after Electronifie was acquired by Trumid in 2017.

 

Amar started his career in 1996 as an investment banker at Credit Suisse First Boston and transferred to the derivatives sales and trading business in 1998 where he was on the emerging markets credit and local currency trading desks. He moved to Goldman Sachs in 2005, where he was responsible for a variety of trading businesses in equities and credit.

 

In between his Wall Street career and co-founding Electronifie, Amar worked at the U.S. Securities and Exchange Commission as an advisor to the Commission and Commission staff on rule-making and enforcement for a variety of securities markets, products, and participants.

 

Amar has been an active angel investor, board member, and advisor to many young companies for over 20 years. His experience investing in and working with innovators was a motivating factor for him to leave Wall Street in order to take up a more entrepreneurial challenge.

 

Areas of Expertise

Rental real estate; mortgage lending; corporate loans, securities, and derivatives; equity and equity option markets; electronic trading; securities regulations; capital markets; and data- and technology-driven disruption.

 

Education

Harvard College, A.B.

VILAS KUCHINAD, Middle Market, Growth Debt, and Sustainable Lending; Former Insurance Capital Markets/Insuretech and Real Estate Development Specialist

Relevant Experience

Vilas works in structured finance in a leading European investment bank. His focus in on middle market and growth debt lending opportunities. He also has responsibility for leading sustainable finance lending within his business with a focus on new technologies.

 

Before his focus on lending, Vilas structured capital markets solutions to insurance companies seeking to hedge their liabilities. As part of this effort he was involved in establishing new technology platforms to provide liquidity in what were otherwise illiquid markets. Prior to his work in finance, Vilas worked for NVR, Inc and Toll Brothers in real estate acquisitions and development. Vilas is the Co-Chair of the DREAM Ambassadors board. DREAM is a community organization serving 2,500 youth in East Harlem and the South Bronx.

 

Areas of Expertise

Middle market lending, infrastructure and energy project finance, growth debt lending focused on sustainability, Insuretech, Real estate development

 

Education

Carnegie Mellon University, BS

SCOTT LAWIN, Venture Investor & Senior Advisor, Principal of Parametric, Former COO of Moore Capital

Relevant Experience

Prior to founding Parametric, Mr. Lawin served as Chief Operating Officer of Moore Capital Management, a global alternative investment management firm. At Moore, Mr. Lawin oversaw the global portfolio management, risk management, execution trading, global technology, and business development functions.

 

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.

 

Areas of Expertise:

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

 

Education:

BS in Architecture from the Massachusetts Institute of Technology

NICK LEONE, Partner in Restructuring Group at PJT Partners, Former Partner at Blackstone

Relevant Experience

Nick has spent more than 30 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

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

Relevant Experience

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, Managing Partner at Scott Peak Capital, Partner at Prospect Capital Restaurants, Former Head of Prime Brokerage Sales at Barclays and Former Head of Marketing for US Structured Products at Deutsche Bank

Relevant Experience

John is a 30-year Wall Street professional with distribution and structuring experience across fixed income products.  He is currently building a placement agent called Scott Peak Capital,  connecting investors with hedge funds, private equity and direct investments.    John is also an active partner at Prospect Capital Restaurants, a NJ based company focused on opening and running franchise locations, namely for Jersey Mike’s and WingStop.  Prior to this John held numerous leadership positions on Wall Street:

 

Coherence Capital Partners:  COO, Business Development

 

Barclays:  Head of Credit Sales then later, Co-Head of Prime Brokerage Sales

 

Deutsche Bank:  Head of Marketing/North American Structuring Group

 

Areas of Expertise

Business Development, Hedge Funds, Capital Markets, Prime Brokerage, Fixed Income, Derivatives, Marketing/Sales Management, Mentoring

 

Education

Union College, BA Managerial Economics – Current member of the President’s Council

SCOTT MAHONEY, Deep Value Ventures, Former Deputy Chief Trading Officer of Millennium Management and Chief Operating Officer of Alternatives at Credit Suisse

Relevant Experience

Scott has been an active investor in public and private markets since he joined his first hedge fund as a Partner & Portfolio Manager in 2001.  Scott started investing in FinTech companies when he helped the CS NEXT growth equity team launch on the Credit Suisse Asset Management platform.  Subsequently, he managed Credit Suisse’s seed investment into iCapital Network (https://www.icapitalnetwork.com/) and served on the BOD for 5 years.

 

Scott is an Advisor and a member of the Executive Council of Aviditi Advisors, LLC – (https://www.aviditiadvisors.com) a boutique advisory firm catering to private equity general partners – focused on capital formation, liquidity solutions, placement, secondary, capital markets, and principal activities.

 

Scott was most recently the Deputy Chief Trading Officer of Millennium Management.  In this role, he held a broad range of executive responsibilities across strategic initiatives, including working on alpha capture strategies, high frequency trading, and PM deal terms.  He spent the majority of his time working with the quantitative trading teams at Worldquant and Worldquant Millennium Quantitative Strategies.

 

Prior to joining Millennium, Scott was a Managing Director at Credit Suisse Asset Management in NY.  He served as the Chief Operating Officer and Head of Corporate & Product Development for Alternatives Investments globally, along with serving as the Chief Executive Officer of Asset Management Finance (AMF).  He sat on the Executive Committee of Asset Management and the BOD of Credit Suisse Asset Management, LLC.

 

Areas of Expertise

Alternative investments, asset management, hedge funds, private equity, real estate, venture capital, M&A in financial services, GP/LP deal structuring, insurance/re-insurance, and structured lending solutions.

 

Education

The Wharton School, University of Pennsylvania, BSE

DAVID MAY, Founder of Audrey Ventures, Co-Founder and CTO of LoanX, former co-CTO Markit Partners

Relevant Experience

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

 

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 IHS 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 IHS Markit (INFO) valued in excess of $32 billion exceeds $4 billion dollars in revenue and more than 13,000 employees throughout the world. David retired from the firm in 2008 to start Audrey Ventures.

 

David past service, as Director on the Boards of many nonprofits, includes Emerald City Theatre (theater for under-served school children), North Avenue Day Nursery (child care for low income families), the Center for Economic Progress (free tax services for low income families). He spends the tax season preparing tax returns for low income families and throughout the year volunteering at the Red Cross.

 

Areas of Expertise

Strategy, Business Analysis, Technology, and Electric Vehicles

 

Education

Cornell University, BS Engineering

SAM MCINGVALE, CEO of Coinbase Custody, M1 Finance Board of DIrectors

Relevant Experience

Sam is dedicated to helping fintech companies of all sizes build the infrastructure and experiences necessary to bring financial services into the digital age. These days he is uniquely focused on opening up investment and participation in crypto assets. Previously, he helped launch many of the most notable fintech brokerages and robo-advisors of the last decade.

 

Sam built and leads Coinbase Custody, the world’s largest and most trusted crypto custodian. Prior to Coinbase, Sam was Head of Digital Wealth at Apex Clearing where he helped launch and scale many of the most notable FinTech brands including Robinhood, Betterment, Wealthfront, SoFi Invest, Stash, and M1 Finance.

 

Sam started his career as a Software Engineer and remains an avid programmer.

 

Area of Expertise

Product management, crypto assets, equities clearing and custody

 

Education

Northwestern University, BA

Kellogg School of Management, MBA

KRISHNA MEMANI, CIO, Lafayette College Endowment, Former Chief Investment Officer of OppenheimerFunds

Relevant Experience

Krishna is the CIO of the Lafayette College and helps manage a portfolio of holdings in Public Equities, Fixed Income, Private Equity and Absolute Return Strategies. Previously, Krishna served as Vice Chairman of Investments at Invesco. Krishna joined Invesco when the firm combined with OppenheimerFunds in 2019, where he was the Chief Investment Officer. Before he joined OppenheimerFunds in 2009, he was a managing director at Deutsche Bank, heading US and European credit analysis. Earlier, he headed global credit research at Credit Suisse, was in charge of high grade and high yield portfolios at Putnam Investments, and was the Fixed Income Strategist and manager of Mortgage Research at Morgan Stanley. He also worked as a Research Analyst at Morgan Stanley and Price Waterhouse.

 

Areas of Expertise

Capital Markets, Equity and FICC Markets, Alternative and Traditional Asset Management, Asset management M&A and Integration, Wealth Management and RIA

 

Education

Birla Institute of Technology and Science, India, BE, Mechanical Eng.
University of Florida, MA Economics, MBA

JOHN MESERVE, Managing Partner, Cragmoor Capital Advisors and Former CEO at BNY Mellon Affiliates

Relevant Experience

John has more than 25 years’ experience in financial services with a deep regulatory background 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 a board member of TESP portfolio company, Paragon Intel, and an advisor and investor in start-ups Content Street, D’Marie, The Food Exchange and Diligence Labs. He is also an Advisor to SenaHill Partners, a merchant bank providing institutional and strategic advice and making principal and operating investments across the entire financial technology sector.

 

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, and wine.

 

Education

Bowdoin College, BA
George Washington University, MBA

STEVE MILLER, Serial Entrepreneur, Experienced Board Member, Leveraged Finance Market and Data Expert

Relevant Experience

Steve Miller is a serial business builder and investor in the financial news and data arena. Steve joined Fitch Solutions Inc. in 2018 when it acquired Fulcrum Financial Data LLC via a sales process run by Houlihan Lokey. Prior to the acquisition, Steve served as CEO of Fulcrum, a portfolio company of Leeds Equity Partners. Earlier, he played a vital role taking three entrepreneurial ventures from start-up to exit, as: (1) co-founder and CEO of Portfolio Management Data LLC, which was acquired by Standard & Poor’s in 2000 and rebrand S&P LCD; (2) founding investor and advisor in LoanX, which was acquired by Markit Group in 2003; and (3) founding investor and board chair of Black Mountain Systems, which was ultimately acquired by Vista Equity in 2019.

 

Areas of Expertise

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

STUART MILLER, Former EVP-CFO of Workiva Inc.

Relevant Experience

Stuart guided Workiva, an enterprise SaaS company, through its IPO in 2014 and first 25 quarters as a public company, retiring in 2021, when the enterprise value exceeded $5 billion the stock price reached 7.5x the IPO price. He had responsibility for accounting, finance, tax, treasury, procurement, internal audit and corporate development at Workiva, a team of 60 professionals. Stuart helped Workiva scale its revenue from $90 million at hire to $351 million in 2020, generating over $30 million of FCF in both 2019 and 2020. Workiva (NYSE:WK) developed a single instance, multi-tenant horizontal collaboration platform on AWS for business reporting. Workiva’s 1700 employees serve over 3700 customers from offices in North America, Europe and APAC. Over 75% of the Fortune 500 use Workiva’s platform for at least one solution.

 

Before Workiva, Stuart founded and managed Colonnade Advisors, an M&A advisory firm and broker/dealer focused on financial services, in 1999-2014. Stuart rose through the ranks from Associate to Managing Director in the investment banking department at JP Morgan in 1992-1999, advising companies in software, IT services, financial services and manufacturing on M&A and capital markets transactions. During his career as an investment banker, Stuart advised on over forty M&A transactions totaling in excess of $15 billion, private placements of debt and equity exceeding $3 billion, underwritten equity issues aggregating in excess of $4 billion, and public underwritten debt and preferred stock issues exceeding $10 billion.

 

Stuart is a former member of the CFO Advisory Board of Silicon Valley Bank and the board of directors of the Joffrey Ballet of Chicago.

 

Areas of Expertise

Enterprise SaaS, capital markets, mergers & acquisitions, financial services, corporate treasury

 

Education

Harvard University, MBA
Washington & Lee University, BA

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

Relevant Experience

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, Experienced Investor and Board Member in Venture Capital and Growth Equity

Relevant Experience

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, Experienced Investor and Board Member in Venture Capital and Growth Equity

Relevant Experience

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

BRIAN NEER, Managing Director / Global Head of Derivatives and Structured Products, Morgan Stanley

Relevant Experience

Brian Neer is a Managing Director in Morgan Stanley’s Fixed Income Division, based in New York. Mr. Neer is the Global Head of Derivatives and Structured Products (“DSP”). He is a member of the Fixed Income Operating Committee. In his 20 years at Morgan Stanley across NY, London, and Hong Kong Mr. Neer has managed the firm’s Global Structured Credit Products Group, European Credit Trading, as well as founding a Credit Derivatives Product Company that was later sold.
Mr. Neer is an active angel investor with a portfolio of over 15 early stage investments. Mr. Neer is also a sports entrepreneur as the co-founder and majority owner of Florida Kickboxing Academy, a prominent regional player in fight sports.

 

Areas of Expertise

Fixed Income, Financing, Derivatives, Bank Capital, Lending, Sports Industry

 

Education

Rutgers University, BS
The Wharton School, MBA

PHILIP A. NISBET, Director of M&A at World Insurance, Entrepreneur and Former Finance Executive

Relevant Expertise

From 1990 to 2010 Phil worked in fixed income trading, structuring, and financing at Citibank, Merrill Lynch and Barclays Bank. Since 2010, Phil has shifted his focus to entrepreneurial pursuits in community banking, insurance and restaurants. Currently, he is a founding partner and director of mergers and acquisitions at World Insurance Associates, which since its founding in 2011 has made 81 acquisitions and grown to become the 62nd largest insurance broker in the country.

 

Phil is also a co-founder of a restaurant franchisee company, Prospect Capital Restaurants, which has 25 Jersey Mike’s Subs and Wingstop restaurants in operation and under development.

 

Areas of Expertise

Banking, property and casualty insurance, mergers and acquisitions, restaurant finance

 

Education

Georgetown University, BSBA
Duke University, MBA

NICK OGURTSOV, Executive Chairman Lukka, Former DTCC Board Member and Chief Operating Officer and Chief Risk Officer KCG Holdings

Relevant Experience

Nick is a seasoned executive in the financial industry with over 20 years of experience; he is also an active investor, advisor and board member in startup companies. Nick is currently Executive Chairman of Lukka, a software and data company focused on providing middle- and back-office, accounting and tax solutions for the blockchain/crypto industry; its clients are some of the largest financial institutions, US government agencies, accounting and audit professionals as well as individuals. Previously, Nick 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. Also during this time Nick was also a Board member at DTCC, the Depository Trust & Clearing Corporation. Prior to that he was Global Head of EMM Group and Managing Director 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

AKBAR POONAWALA, CFA, Co-Founder & Partner, Pivot Investment Partners, Former Head of Deutsche Bank's Transaction Banking for the Americas, and Head of Global Equity Services Business

Relevant Experience

As an accomplished Financial Services executive, Akbar brings over two decades of senior-level financial services experience, of growing, managing, and scaling global tech-enabled banking businesses at Deutsche Bank and Bankers Trust Company.

 

His subject-matter expertise ranges across various segments of wholesale finance given his experience as: Head of Global Securities Lending Operations, Head of Asian Business Development for the Trust & Agency business, Head of Global Equity Services business with 10 international locations, and 900+ Corporate and FI clients, Head of DB Americas’ Global Transaction Banking, where he led the growth of the business to $1B+ in revenues.  He also served on the DB Americas Executive Committee, the Global GTB Executive Committee, and the DB Americas Diversity Committee.

 

In January 2014, along with two former DB colleagues, Akbar launched a FinTech-focused growth stage investment firm, Pivot Investment Partners. He leads the firm’s efforts in identifying transformative B2B companies in InsureTech, WealthTech, and Institutional Capital Markets. He is currently (or has served as) a Board Member at Bold Penguin, Cape Analytics, Cowbell Cyber, Droit Financial Technologies, dv01, Earnest Research, and Snapsheet – all companies where Pivot has led or participated in financing rounds.

 

With a background in building discrete businesses globally, driving client origination, and developing innovative business strategies, Akbar has a deep passion and understanding of how to effectively lead a technology-driven financial services organization.

 

Areas of Expertise

Institutional capital markets, transaction and securities processing, wealth management, compliance & regulatory technology, cash management and payments, trade finance, venture capital, business development, disruptive technology and business models.

 

Education

Chartered Financial Analyst, CFA Institute
Masters of Business Administration, New York University, Stern School of Business (Beta Gamma Sigma)
Masters of Business Administration in Marketing, Poona University (India)
Bachelor of Commerce in Accounting, Poona University (India)

HENRY RITCHOTTE, Founder of RitMir Ventures, Former COO and Board Member at Deutsche Bank, Active FinTech Investor

Relevant Experience

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

KRISTEN ROSENBAUM, Former Private Equity Executive

Relevant Experience

Kristen spent the majority of her career working at TD Capital, the private equity arm of Toronto Dominion Bank, in both New York and London. As a Director, she was responsible for managing the evaluation of and investment in several media, communication and technology based companies. Additionally, she served in a variety of capacities assisting and working with TD Capital’s portfolio companies.

 

Currently, Kristen is an Executive Committee Board Member of the Boys and Girls Club of Greenwich and the Chair of the Financial Review Committee for Impact Fairfield County, a collective giving circle of over 150 women in Fairfield County, Connecticut. Kristen is also an active Dartmouth Alumna. She is a member of the Centennial Circle (a group of Dartmouth Alumnae who have raised over $15 million for financial aid), and the NY Regional Campaign Committee (a leadership group dedicated to raising $3 billion for Dartmouth’s Call to Lead Campaign).

 

Areas of Expertise

Media, communications, and technology companies; financial analysis and market
research for private companies.

 

Education

Dartmouth College, BA in Economics and Mathematics
Columbia University, MBA

MIKE RUSHMORE, Founder LoanX, FinTech Entrepreneur, Former IHS Markit Executive

Relevant Experience

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. Mike has been an active investor in technology and other sectors for over 20 years through his investment platform Riffle Stone Capital Management.

 

Areas of Expertise

Fixed income, consortiums, sales and marketing.

 

Education

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

WARREN SAFT, Managing Director at Brownstone Investment Group

Relevant Experience

Warren has worked for two start-up companies (Creditex and CapRok) and invested in numerous others. Most of his focus has been on altering the traditional role of financial institutions. Creditex, a hybrid electronic and voice brokerage trading platform for the credit derivatives market, was acquired by IntercontinentalExchange (ICE) in 2008 for over $600mm.

 

Since early 2017, Warren has worked at Brownstone Investment Group, LLC as a Managing Director, primarily focused on structured finance. In this role he has evaluated and executed numerous CLO, 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.

 

Areas of Expertise

Institutional markets, fixed income, structured finance and credit derivatives

 

Education

Cornell University, BS
Cornell University, MA Engineering

ALI REZA SATRAP, Former Hedge Fund Manager and Commerzbank Capital Markets Executive Committee Member

Relevant Expertise

Ali is a successful trader and investor who has applied his deep knowledge of global markets and technology to a number of start-ups including: one of the first European online trading companies; a government bond market-making platform that helps clients understand and improve their liquidity; a firm that uses AI to create advanced portfolio analytics for the asset management industry. He has also invested in a number of technology firms including a design automation software company that employs augmented and mixed reality technology in marine engineering. His current focus is on investments that target 5G, with pointed interest in its security aspects.

 

Ali’s experience as partner and global macro manager at leading hedge funds like Rubicon, London Diversified, where he ran large pools of capital, and also as global head of trading at major investment banks where he managed diversified global teams provides TESP with keen macroeconomics and public markets perspective.

 

Areas of Expertise

Electronic trading, fixed income and foreign exchange derivatives, quantitative finance, illiquid markets, global macro investment, risk-management analytics

 

Education
University of California, Berkeley, BSc Engineering

RICH STEPHENSON, Former Managing Director JP Morgan - Derivatives, Banking and Payments Executive

Relevant Expertise

Rich has been a decades long active investor in both public and private companies. He has extensive global experience across financial markets and geographies. Rich was at JP Morgan for over 20 years and played leadership roles in a variety of businesses. Most recently, Rich was global head of JP Morgan’s Corporate Wholesale Payments coverage teams. He was a member of the Wholesale Payments Global Management team and the North America Balance Sheet Committee.

 

Rich joined JP Morgan in Tokyo in 1999 to head the firm’s international rates
derivatives coverage team. Before joining JP Morgan, Rich was an interest rate
cash and derivatives marketer for Credit Suisse in both London and Tokyo. In 2002, Rich moved to New York and over the subsequent 10 years held a variety of senior roles in JPMorgan’s credit and equity derivative businesses. Before moving into banking in 2014, Rich was Co-Head of Investor Services Sales in North America. Investor Services provides institutional investors and broker dealers with a suite of services including custody, clearing, collateral management, as well as prime brokerage and financing.

 

Areas of Expertise

Credit, equity, and rates derivatives, hedge funds, payments, corporate treasury,
strategic planning and execution, people, revenue growth

 

Education

Queen’s University, BA (Hons.) Political Studies
University of Western Ontario (Ivey), MBA
Chartered Financial Analyst

UMESH SUBRAMANIAN, Chief Technology Officer Citadel, ex-Chief Technology Officer Goldman Sachs, Former Board Member DTCC

Relevant Experience

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 provide Citadel with a competitive 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.

 

Umesh serves on the University of Illinois Grainger College of Engineering Board of Visitors, the NYU Stern Tech MBA Advisory Board and the Carnegie Mellon Computational Finance Advisory Board. 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, Former Fixed Income Co-Head Global Emerging Markets and Global Credit at Credit Suisse

Relevant Experience

Sudip founded Pumori Capital in 2014 to invest in, advise, and nurture early stage companies and funds, and to address the chronic shortage of capital in emerging markets to address urgent development needs. He advises several early and growth stage companies in which he is an investor, and serves on the investment committees of two emerging markets private credit funds.

 

Prior to his entrepreneurial pursuits, Sudip spent 24 years on Wall Street at Credit Suisse and Bankers Trust Company. He was a senior MD and member of both the Fixed Income and Asset Management Operating Committees at CS, and ran various global businesses including Emerging Markets, High Grade Credit, and Derivatives. He has lived and worked in New York, Hong Kong, Tokyo, Singapore and Mumbai.

 

Sudip enjoys mentoring under-represented students through Student Sponsor Partners (NY) and the Greenwich Alliance for Education (CT), and guest lecturing finance students at his alma mater, Cornell University.

 

Areas of Expertise

Early stage investing, financial markets, private equity and private credit, emerging markets, banking.

 

Education

Cornell University, BA in Economics

Columbia University, MBA in Finance

RAY TIERNEY, C Level Executive, Senior Advisor, FINTECH Strategic Advisor

Relevant Experience

Ray as CEO and President, formerly oversaw Bloomberg’s agency broker, Bloomberg
Tradebook LLC. and all aspects of Bloomberg’s sell-side equity and order management solutions (SSEOMS), including product innovation, new product sales and business strategy through Q1 2017. In 2016, Mr.Tierney led Institutional Investors annual Trading Technology 40 ranking, coming in at #1 on the list, recognizing his achievements leading global teams to advance trading technology at Bloomberg LP. Fascinated with the emerging world of FINTECH and the ever expansive new horizon it presents to Financial Services.

 

Prior to joining Bloomberg, Ray was at Morgan Stanley for 17 years, starting in 1994 as an Executive Director and Senior Sales Trader in NA. He was elected a Managing Director in 1998 and named Head of North America Cash Equity Sales Trading in 2004. In 2006, Ray was named Global Head of Equity Trading for Morgan Stanley Investment Management (MSIM) responsible for leading worldwide trading efforts. He started his Wall Street career as a Equity Trader at Paine Webber (1981–1986), served as a Vice President at First Boston (1986–1991), and was a Vice President and Sales Trader at UBS Warburg (1991–1994).

 

Areas of Expertise

Fintech Advisory, Institutional Capital Markets, Equities, electronic trading, Sales management, Fintegration

 

Education

Villanova University, BA

Ray currently serves on the boards of Ronald McDonald House in NYC and Villanova
University’s Anne McNulty Institute for Women’s Leadership

PAUL WALKER, Former Co-Head of Technology Goldman Sachs

Relevant Experience

Paul Walker is a Brooklyn-based technologist and philanthropist. He advises companies and investors in AI and FinTech, providing organizations with guidance in business, technology, people and product strategy.

 

Paul 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’s activities include:

  • Senior Advisor and member of the Global Advisory Council at Motive Partners, a next-generation FinTech investment firm.
  • Independent board member at Unqork, the leading no-code enterprise software platform.
  • Independent board member at OpenFin, a software company providing the desktop application operating system for financial services.
  • Chair of the board at LMRKTS a financial and operational risk mitigation service provider that uses mathematical optimization to reduce counterparty, market and settlement exposures.
  • Investor and advisor at GoodNation, the first philanthropic advising platform that uses a values-based approach to match major donors with effective, high impact charities.
  • Chair of the board at Quill.org, a non-profit using AI to teach writing and critical reasoning which was named one of Fast Company’s 2018 10 most innovative companies in education.

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, Fintech Entrepreneur, Venture Investor, Experienced Board Member and Advisor

Relevant Experience

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, Senior Advisor and Business Founder at Sound Harbor, Carlyle and Black Mountain

Relevant Experience

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 Digital Colony Credit and was the founder and Chief Investment Officer of Sound Harbor Partners and Carlyle High Yield. 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.

 

Mr. Zupon founded Sound Harbor in 2009 and led the firm until 2019 after sale of its funds to AllianzGI. Prior to that, he 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 credit investment 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.). 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 and private equity limited partnership investments.

 

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