Charles L. Brock Chairman and Chief Executive Officer
212-209-3000 ext. 707
Director, designated “financial expert” and audit chair of public companies; investment banker; corporate lawyer with operating experience.
Director, B+H Ocean Carriers.
Managed numerous businesses including the twelve subsidiaries of Compton Communications (now Saatchi & Saatchi); Former Publisher and President, Scholastic International, also CFO and COO. Carter, Ledyard & Milburn; Sullivan & Cromwell; Director, B+H Bulk Carriers (subsequently, Excel Maritime Carriers) and B+H Maritime Carriers; President, Harvard Alumni Association; President, Harvard Law School Association.
Northwestern University B.A.; Harvard Law School J.D.; Harvard Business School, AMP
Eric Abitbol Senior Managing Director, Brock Capital Markets Group
212-209-3000 ext. 120
Raised capital for international and domestic companies, both private and public, using debt, equity and innovative equity-related financing instruments. Investment banking activities have included public offerings, private placements, mergers and acquisitions, special purpose acquisition companies (SPACs), private investments in public equity (PIPEs) and secondary offerings. Industry expertise includes shipping, natural resources, oil and gas, alternative energy, financial services, asset management, biotech and technology. A former managing director of Sunrise Securities Corp.
Touro College BS.
Eli Y. Adashi Senior Advisor-Health Care and Life Sciences
Professor of Medical Sciences and outgoing Dean of Medicine and Biological Sciences, Brown University.
Special areas of interest include Reproductive Health, Stem Cell Technology, Cancer and Personalized Medicine. A member of the Institute of Medicine of the National Academy of Sciences, a fellow of the American Association for the Advancement of Science and a member of the Association of American Physicians, Dr. Adashi was a long-standing NIH-funded scientist. Presently, Dr. Adashi is serving as an independent member of the Board of Directors of Inverness Medical Innovations, Inc (NYSE: IMA), a global health company a member of the Scientific Advisory Board of SeventhSense Biosystems, Inc., a venture-backed startup in the medical diagnostic space and an ad hoc member of the Reproductive Health Drugs Advisory Committee of the FDA.
Sackler School of Medicine of Tel Aviv University MD; Harvard School of Public Health MS.
Charlotte P. Armstrong Senior Managing Director
Lawyer and consultant, specializing in executive compensation, directors’ compensation and corporate governance.
Senior Consultant, The Ross Companies; Advisory Board, Mille Capital Corporation
Cravath, Swaine & Moore; member and chair of numerous non-profit boards; President, Harvard Law School Association; President, Harvard University Board of Overseers; Chair, Overseers’ Committee to Visit Harvard Law School; Director, Human Resources Consulting function, KPMG.
Harvard/Radcliffe College A.B.; Columbia University A.M.; Harvard Law School J.D
Susan D. Austin Senior Managing Director
212-209-3000 ext. 170
Investment banker with significant experience in telecommunications, media and broadcasting industries. Vice Chairman of Sheridan Broadcasting Corporation. Board member for Broadcast Music, Inc. (BMI) (Chairman), the Prudential Variable Annuities Funds (i.e., Advanced Series Trust, The Prudential Series Fund and Prudential’s Gibraltar Fund), Hubbard Radio, LLC, and the MacDowell Colony (President); Vice President in the Communications, Media and Entertainment group at Goldman, Sachs & Co; Bear, Stearns & Co., Salomon Brothers and Citicorp. AB, Harvard University; MBA, Stanford.
Steven C. Baum Senior Managing Director
Managing Partner, CPA firm; LLM; expert in business and tax consulting, personal financial management, charitable foundations and not-for-profit sector.
Managing Partner Emeritus, Marks Paneth & Shron LLP; Member, American Institute of Certified Public Accountants; member, NY State Bar Association; Secretary/Treasurer and Trustee, Dorot Foundation; Secretary/Treasurer and Trustee, Union Square Fund; Director, The Foundation for Global Sports Development.
Former President, New York State Society of CPAs; Recipient, AICPA Public Service Award (1988).
Queens College B.A.; Brooklyn Law School L.L.B.; New York University School of Law L.L.M.
Christoph T. Bene Managing Director
212-209-3000 ext. 160
Experienced corporate finance, merger integration and change management consultant; CFO and global transformation executive; Commercial banking executive and private equity investments; Six Sigma Black Belt. MBA, NYU Stern School of Business and BA, Skidmore College.
Ennius E. Bergsma Senior Managing Director
212-209-3000 ext. 210
Senior consultant, advisor in global corporate finance; corporate and business unit strategy, M&A and marketing in consumer goods, telecomm and e-commerce.
Investor, Director and Chief Strategy Officer, Passlogix; Chairman, the Netherland-America Foundation; Trustee, the Hewitt School; Honorary Board Member, Chair and President, Harvard Business School Club of Greater New York; Member, Harvard Business School Alumni Council. Former Senior Director, McKinsey & Company, Inc.; Founder and Leader, Global Corporate Finance Practice of McKinsey; Co-Leader, McKinsey’s E-Commerce Practice.
University of Leiden, the Netherlands, Candidate and Masters Degree in Corporate and Commercial Law; Harvard Business School, M.B.A.
Alan J. Biloski, Ph.D. Advisor
Former Head of Pharmaceutical/Biotech M&A at Merrill Lynch; Founder and Global Head of Healthcare Group at Wasserstein Perella; alumnus of M&A Group at First Boston. >$150 Billion in career transaction volume. Director, The Boyce Thompson Institute for Plant Research.
Yale University, B.S, M.S.; Cornell University, M.S., Ph.D.; Columbia University M.B.A.
Richard H. Booth Advisor
Former Chairman, President and CEO diversified financial services & insurance; CPA, CLU, ChFC.
Director, Northeast Utilities Inc., WorldBusiness Capital, Inc.; Advisory Board of Century Capital Management LLC; National Association of Corporate Directors – Connecticut Chapter board member.
Former Chairman, President and Chief Executive Officer HSB Group; Vice Chairman, American International Group; President, Chief Operating Officer and Director of The Travelers Corporation; Executive Vice President and Director of The Phoenix Companies; Member of the American Institution of Certified Public Accountants; Connecticut Society of CPAs; the Hartford Society of Financial Analysts; the Society of Financial Service Professionals; the CFA Institute; Former member of the board of the FASB Advisory Council.
University of Hartford Barney School B.A.; University of Hartford Barney School M.S.P.A.
Storm Boswick Senior Managing Director
Portfolio Manager, Venture Capitalist and Financial Analyst, specializing in Global Technology, Media and Telecommunications for hedge funds, cross-over funds and venture capital funds.
Founder and Portfolio Manager, Brompton Cross Capital Advisers. Former Portfolio Manager, Sigma Capital; Partner and Portfolio Manager, J&W Seligman & Co.; Financial Analyst, Goldman, Sachs & Co.; Co-Founder and CFO of Macsimmum S.A.R.L.
University of St. Andrews, M.A. Hons., Economic History and International Relations.
Michael A. Boyd Senior Managing Director
Former general counsel, specializing in securities and corporate law.
Former General Counsel, Donaldson, Lufkin & Jenrette; Davis, Polk & Wardwell; Major General (Retired), US Army Reserve; Trustee, Oxford University Society; President, Oxford Alumni Association of N.Y. and Harvard Law School Association of N.Y.
Harvard University A.B.; Oxford University Rhodes Scholar; Harvard Law School J.D.
Louis A. Bradbury Senior Managing Director
Former CEO, tax lawyer, investment banker, principal in private equity firm; private investor.
Former CEO, Bradbury & Company, Revere Copper & Brass; OCWEN Financial; Vice President, Merrill Lynch; Attorney, Covington & Burling; Department of Justice; President, Board of Directors, GMHC.
Northwestern University B.A.; Harvard Law School J.D.
Jenne K. Britell Advisor
Former CEO, global and domestic diversified financial services companies and advisor to private equity, venture capital, and public companies in the areas of financial products and services; professional director, public and private companies and non-profits, including positions as non-executive Chairman, Audit Committee Chair, and designated financial expert.
President, Global Commercial and Mortgage Banking and Executive Vice President, Global Consumer Finance, GE Capital; former President and CEO, GE Capital, Central and Eastern Europe; President and CEO, GE Mortgage Services Senior Advisor to E-Bay and PayPal for Financial Services; Chairman, United Rentals; Chairman of Audit Committee and designated financial expert, Crown Holdings; Director, member of Audit and Finance Committee, designated financial expert, and member of Compensation Committee, Quest Diagnostics; Director and Chairman of Audit Committee, U.S. Russia Fund and U.S. Russia Foundation for Entrepreneurship and the Rule of Law; Former Director, TIAA-CREF and Aames Investment Corp., and Director and designated financial expert, Lincoln Financial and West Pharmaceutical Services.
Harvard University, B.A., M.A.; Columbia University, M.S., Ph.D.
Norman H. Brown, Jr. Senior Managing Director
212-209-3000 ext. 215
Investment banker; expert in metals, mining, infrastructure and mergers & acquisitions.
Headed restructuring and metal & mining, Donaldson, Lufkin & Jenrette, Inc, Credit Suisse First Boston; SVP, Head of M&A Department, E.F. Hutton; Director, Macquarie Infrastructure Company Trust; Trustee and member, Investment Committee of the University of Oregon Endowment Foundation.
University of Oregon B.A.; University of Pennsylvania Wharton School M.B.A.
The Honorable Mary K. Bush Senior Managing Director
International Finance Executive, Senior Banker, Former Presidential Appointee and Senior Government Official, Director of public and private companies and mutual funds, designated "Financial Expert".
President, Bush International, LLC; Director of Discover Financial Services, ManTech International Corporation; Marriott International, UAL (United Airlines), and The Pioneer Family of Mutual Funds; he CounMember, Tcil of Foreign Relations; U.S. Advisory Board Member, Global Leadership Foundation.
Formerly: Head of International Finance, Fannie Mae; Managing Director and Head of Federal Home Loan Bank System; U.S. Board Member, International Monetary Fund; Corporate Banking, Bankers Trust, Citibank and Chase; Member, U.S. Treasury Advisory Committee on the Audit Profession; Chairman, Congressionally chartered HELP Commission on reforming foreign aid.
Fisk University B.A.; University of Chicago M.B.A.
Sam Caspersen Managing Director
212-209-3000 ext. 555
Director of family office; significant experience conducting private investment due diligence, with an emphasis on emerging markets; trusts & estates attorney.
Attorney at Sullivan & Cromwell (Estates and Personal Group); staff member on 9/11 Commission (led team focused on evacuation and rescue effort at World Trade Center and co-author of 9/11 Commission Final Report); Vice President at Gerson Lehrman Group (authored deep dive diligence reports on behalf of private equity firms and other institutional investors); Director and in-house counsel to family office which presides over wholly owned operating companies as well as passive investments.
Brown University, B.A.; Harvard Law School, J.D.; London School of Economics, Diploma
Mary G. Davis Senior Managing Director
Organizational consultant specializing in strategy implementation and executive effectiveness. Special focus on post merger integration and strategic directional change.
Founder and President of Davis Consulting Group LLC; Managing Vice President of PeopleTech; Vice Chair of Jannota, Bray and Associates; member Board of Trustees of Mount Holyoke College; and President of Alumnae Association of Mount Holyoke College.
Mount Holyoke College B.A.; Fletcher School of Law and Diplomacy Masters in International Economics. University of Cincinnati A.B.; University of Cincinnati M.B.A.; University of Chicago J.D.
Jean D. Hamilton Senior Managing Director
CEO, diversified financial services companies. Operating and investment expertise in financial services businesses. Director of private and public companies in insurance, financial services, money management, and non-profits.
CEO, Xonos; CEO, Broadstairs Capital; Director, New York Women's Forum; Trustee, First Eagle Funds; Director, RenaissanceRe Holdings.
Former CEO of Prudential Institutional, EVP of Prudential Financial, President of Prudential Capital, President of Prudential Asset Sales and Syndications, and SVP of The First National Bank of Chicago (now J.P. Morgan Chase); Director and Member of Investment Committee, Women’s Economic Roundtable; National Urban League.
University of Illinois B.S.; University of Chicago M.B.A.
Phillip J. Harrington, Jr. Senior Managing Director
212-309-3000 ext. 270
Financial services and technology executive with operating, risk and regulatory experience. Director, ProLink Solutions, Inc.; Director, Willow Street Trust Company of Wyoming LLC; Trustee, Lutheran Theological Seminary at Philadelphia; Former Executive Vice President, Risk, and Chief Administrative Officer at CA Technologies, Inc.; Director, Business Risk, Deloitte & Touche, LLP; Corporate Vice President, Prudential Financial, Inc.; Western Michigan University B.S.; Cornell University M.S.
Richard L. Hecht Senior Managing Director
Senior consultant in accounting and business and tax strategies.
Founding partner of Marks Paneth & Shron LLP and the senior partner of Charles Hecht & Co., vice president and the chairman of various committees of the New York Society of Certified Public Accountants.
Cornell University B.S.; New York University M.B.A.
Karen N. Horn Senior Managing Director
Former CEO, diversified financial services; professional director; economist; Former Federal Reserve Bank president.
Director and/or lead director, Norfolk Southern Corporation, Eli Lilly, Simon Property Group, Fannie Mae, T. Rowe Price Funds, U.S. Russia Investment Fund.
Former Managing Director, Marsh & McLennan Companies; Managing Director, Bankers Trust; Chairman & CEO, Bank One of Cleveland; President, Federal Reserve Bank of Cleveland; Treasurer, Bell Telephone Company of Pennsylvania; Director, TRW, Rubbermaid, British Petroleum, Georgia-Pacific, The Rockefeller Foundation.
Pomona College B.A.; Johns Hopkins University Ph.D.
Jeremy Josse Managing Director
212-209-3000 ext. 103
Jeremy has over 20 years of experience covering the Financial Institutions sector, specializing in highly structured capital raising (debt, equity, hybrid equity, tier 1 and tier 2 bank capital and preferred securities), financial restructurings and solvency opinions, equity and debt valuations and fairness opinions, mergers and acquisitions, and financial services product structuring and strategic advisory. Prior to joining Brock Capital, Jeremy served, inter alia, as a director and then co-head of the US Financial Institutions Group at Rothschild over ten years, in London and New York, providing a wide range of investment banking services within Rothschild’s Financial Institutions team. He also spent five years at Schroder Salomon (Citigroup) and three years in KPMG’s financial services practice. He is a published author of the Wiley book “Dinosaur Derivatives” as well having a by-line with TheStreet and is a research fellow at Sy Syms business School. BA Oxford University, MA London University, Qualified UK attorney. Series: 24, 63, 79, 7
Kay Koplovitz Senior Managing Director
Founder & former CEO, major cable network; CEO, private equity and venture capital.
Chairman & CEO, Koplovitz & Co., LLC.; Co-Founder, Springboard Enterprises; Chairman, Liz Claiborne; Director, Instinet Group, Inc. Founder and former Chairman & CEO, USA Networks; Co-founder, Joy Berry Enterprises, Inc., Boldcap Ventures; Director, CA; former Chair, National Women's Business Council; former Director, Oracle, Nabisco and General Re., and numerous non-profits.
University of Wisconsin B.S.; Michigan State University M.A.
Alain Lebec Senior Managing Director
Investment banker, head of Mergers and Acquisitions and private equity.
Chairman of the Investment Committee, Brock Opportunity Fund; Co-founder, Reading Excellence and Discovery Foundation; Director, United Way. Former Vice Chairman, Merrill Lynch Investment Banking and Chairman/Co-CIO, Merrill Lynch Ventures.
l’École Polytechnique (Paris, France); Northwestern U. Kellogg School M.B.A
Jongsoo James Lee Managing Director
212-209-3000 ext. 165
Investment banker; business consultant; published author; expert in Asian, Eurasian and global affairs.
Experienced in M&A, strategic advisory work, and capital raises in industries such as energy, technology, mining, life sciences, transportation, consumer goods, and commercial real estate; previously, Director, Brock Capital Group; Editor-in-Chief, Harvard Asia Quarterly; Center Associate, Davis Center for Russian and Eurasian Studies, Harvard University; Associate in Research, Korea Institute, Harvard University; FINRA Series 7 & 63; Member, Pacific Council on International Policy.
Williams College B.A.; Harvard University Ph.D.
William M. Manger, Jr. Managing Director
212-209-3000 ext. 222
Senior level government official; municipal officer; operational manager
Associate Administrator, U.S. Small Business Administration; Senior Policy Advisor (Maritime), U.S. Department of Transportation; VP, The Zanett Securities Corporation. Director, Riot Relief Fund; former Trustee, Southampton, NY.
Trinity College B.A.; Columbia University Business School M.B.A.
Ellen R. Marram Senior Managing Director
212-209-3000 ext. 333
Former CEO, consumer products companies; branding/marketing expert; former private equity partner and chair of portfolio companies; director of public, private and non-profit institutions.
President, Barnegat Group LLC; Managing Director and Operating Advisor, North Castle Partners, LLC; Director and Chair, Nominating and Governance Committee, Eli Lilly & Co., Ford Motor Company; Presiding Director, Finance Committee Chair, The New York Times Company.
Former CEO, Tropicana; CEO, Nabisco Biscuit Company.
Wellesley College B.A.; Harvard Business School M.B.A.
John Merow Senior Managing Director
Former Chairman and Senior Partner of the law firm of Sullivan & Cromwell LLP; corporate business and financial lawyer and corporate director.
Trustee, New York-Presbyterian Hospital; Secretary, U.S. Council for International Business, Inc., Trustee, Archbishop of Canterbury’s global investment and grants organizations. Director, The Municipal Art Society of New York.
Former Director, Aleris Intl., Commonwealth Industries, Kaiser Aluminum, Seligman Group Investment Companies, Foreign Policy Association and various Australia and New Zealand business and cultural groups.
University of Michigan B.S.E.; Harvard Law School J.D.
Walter H. Morris, Jr. Senior Managing Director
Former financial services executive in corporate banking, international banking, capital markets, residential/commercial real estate lending and advisory/consulting services.
Independent director and member of the audit committee for the Federal Home Loan Banks-Office of Finance. Former Partner/Principal in Structured Finance Advisory Services, Ernst & Young; Executive Vice President & Chief Lending Officer, Fidelity Federal Bank; President & CEO, First Interstate Mortgage Company; Senior Vice President, First Interstate Bank of California; Vice President, Continental Illinois Bank and Trust Company. Former Member, Board of Governors of the Mortgage Bankers Association of America; Former Member, CALPERS Residential Mortgage Program Advisory Committee; Director Emeritus, Operation Hope; Past President, Harvard Alumni Association.
Harvard College B.A.; Harvard Business School M.B.A.
James F. Munsell Senior Managing Director
Senior counsel, experienced in corporate finance
Senior counsel, Cleary Gottlieb Steen & Hamilton LLP; member, American, New York State, New York City Bar Associations; overseas member, Commercial Bar Association of London; United States Marine Corps.
Cornell University B.E.; Harvard Law School LL.B.; Columbia University Master of International Affairs.
David B. Newman Senior Managing Director, Brock Securities Capital Markets Group
212-209-3000 ext. 130
Over 20 years experience in real estate investment, capital markets, management and development. Former chief investment officer, Empire American Holdings LLC, one of the largest national multi-family property owners in the United States. Formerly part of the retail development group at The Related Companies; general counsel of Strategic Development Concepts, Inc., a Westchester based real estate company; part of the corporate practice group of Kramer Levin Naftalis & Frankel.
Hofstra University; Fordham University School of Law J.D.
James Notarnicola Senior Managing Director
Expert in retail and restaurant marketing and franchise operations.
Partner, J&B Restaurants, Inc. (Red Mango); Founder and CEO, Nicely Bros. Ice Cream Distribution, Inc.; Experience Engineer and Senior Consultant, Experience Engineering, LLC.
Former EVP and Chief Marketing Officer, Blockbuster, Inc. and 7-Eleven, Inc.
University of Maryland B.S.; University of Texas Advanced Marketing Program.
Harvard College A.B.; Harvard Business School M.B.A.
Carl H. Pforzheimer III Senior Managing Director
Investment banker, philanthropist, and private investor.
Manager, Carl H. Pforzheimer & Co.; Board member and chair of numerous charities and educational institutions including the New York Public Library, Lincoln Center, Pace University, Visiting Nurse Service of New York and Horace Mann School; Director of boards including U.S. Trust and Ampco-Pittsburg Corp.; Designated Representative of the State Comptroller for the Municipal Assistance Corporation for the City of New York. President, Harvard Alumni Association.
Harvard College A.B.; Harvard Business School M.B.A.
Dale A. Reiss Senior Managing Director
Senior Partner, CPA firm; expert in real estate, hospitality and construction; public company audit chair.
Global Head of Real Estate, Ernst & Young LLC; Managing Partner, Kenneth Leventhal & Co.; Senior Vice President, Urban Investment & Development Co.; Board Member, iStar Financial Inc.; Tutor Perini Corporation, CYS, Inc.; Case Capital Properties; The Guttmacher Institute and Pension Real Estate Association; Governor, Urban Land Institute.
Illinois Institute of Technology B.A.; University of Chicago M.B.A.
Davis R. Robinson Senior Managing Director
International trade and investment advisor and arbitrator, corporate governance advisor and international lawyer.
International Arbitrator, ICSID & NAFTA; Senior Managing Director, Richard C. Breeden & Co., LLC.
Former Senior Partner, LeBoeuf, Lamb, Greene & MacRae LLP; Legal Adviser, United States Department of State; career Foreign Service Officer; Adjunct Senior Fellow in international law, Council on Foreign Relations; extensive experience in the Middle East.
Yale College B.A.; Harvard Law School LLB.
Peter Rockefeller Managing Director
Peter has an extensive background in finance and investing, with experience in private investments, corporate finance, mergers & acquisitions, capital markets, private equity and investment strategy.
Previously, Peter was at G2 Investment Group, an early-stage private investing firm developing innovative structures in the private equity sector. Peter also worked with Berkshire Capital Securities, a New York based merger/acquisition advisor focused on serving clients in the investment management and securities industry. At Berkshire, Peter co-headed the wealth management advisory group, advising on strategic issues with RIAs, multi-family offices, trust banks, investment counselors and investment consultants.
Prior to joining Berkshire, Peter was with the Citigroup private bank in the Global Investment Strategy Group, supporting relationship bankers throughout the private bank’s worldwide network. He also worked at Donaldson, Lufkin & Jenrette in the international banking group advising emerging market firms on capital raising and financial strategy.
Peter received a B.A. from Dartmouth College and an M.B.A. from the Tuck School at Dartmouth.
Jay Rodin Chairman and Senior Managing Director, Brock Capital Markets Group
212-209-3000 ext. 140
Over 27 years experience in capital markets and investment banking. Former managing director at S. Goldman Capital; president, Idea Group Holdings, a boutique investment bank specializing in raising capital in the maritime, natural resource and energy sectors through alternative structures; senior managing director, Sunrise Securities Corp; head of Nomura Securities global equity sales desk; president of Carlyle Securities, a merchant banking boutique.
New York University M.B.A.
James P. Schadt Senior Managing Director
CEO with experience in publishing, software and global beverages;
Trustee, Northwestern University; founding member, Northwestern College of Arts and Sciences Advisory Board
Former Chairman, CEO, President, and COO, Reader’s Digest Association, Inc.; President and CEO, Cadbury Beverages, Inc.; CEO, Mercator Software, Inc; President (Wines and Spirits), PepsiCo, Inc.; Beacon Group and Dailey Capital Private equity firms; trustee, charitable and educational institutions including Wallace Reader’s Digest Funds and Northwestern University.
Northwestern University B.A.
Kathi P. Seifert Senior Managing Director
Former senior executive personal products company; expert in branding and product positioning; director of public, private and non-profit institutions.
Chairman, Pinnacle Perspectives, LLC; board member of Supervalu Inc., Revlon Consumer, Lexmark International, Inc., Eli Lilly and Co., and Appleton Papers, Inc. Director, US Fund for UNICEF
Retired Executive Vice President, Kimberly-Clark Corporation; managerial positions with Beatrice Foods, Fort Howard Paper Company and Proctor and Gamble; Co-chair of New North, an economic collaboration for Northwest Wisconsin.
Valparaiso University B.S.
Charles O. Svenson Senior Managing Director
212-209-3000 ext. 125
Investment banker, expertise in energy, alternative energy, project finance and transportation.
Co-Chairman, Investment Committee of Hamilton College; Trustee, Natural History Museum of the Adirondacks; Chairman, the Adirondack Nature Conservancy and Adirondack Land Trust; President, Harvard Law School Association of New York City
Former Managing Director, Donaldson, Lufkin & Jenrette (now Credit Suisse); VP, Head of Project Finance, Goldman Sachs; Dewey, Ballantine, Busby, Palmer & Wood
Hamilton College B.A.; Harvard Law School LL.B.
Donald C. Walkovik Senior Managing Director
212-209-3000 ext. 135
Retired Partner of the law firm of Sullivan & Cromwell LLP, specializing in securities law and corporate finance. International experience in Asia, Africa and North America
Founder and Managing Partner, Sullivan & Cromwell’s Hong Kong office; Managing Partner, Sullivan & Cromwell’s General Practice Group; Practice Coordinator, Sullivan & Cromwell’s Corporate Reorganization Group.
University of Wisconsin B.B.A, with highest honors; Harvard Law School J.D, cum laude.
B. Hunt Whitbeck, Jr. Senior Managing Director
Senior executive, specializing in corporate banking and institutional investment management
Executive Director, American Foundation for Affordable Housing, Inc.
Former Managing Director, Chancellor Capital Management, INVESCO and M.D. Sass Investor Services; former VP, Citicorp Investment Management, Inc. and Citibank, N.A.
Harvard College A.B.; Harvard Business School M.B.A.
Rosalie J. Wolf Senior Managing Director
212-209-3000 ext. 110
Financial and investment executive; professional director.
Founder and Managing Member of Botanica Capital Partners, investment advisory firm
Former Managing Director, Bankers Trust Company; Treasurer, International Paper Company; VP, Donaldson, Lufkin & Jenrette (now Credit Suisse); Assistant Treasurer, Mobil Oil Corporation; Director, TIAA-CREF; North European Oil; Former Chairman & current Director, Sanford C. Bernstein Mutual Funds; Investment Committee: The David and Lucile Packard Foundation; Chief Investment Officer, The Rockefeller Foundation. Former Director, Airborne Express, Inc.
Wellesley College B.A. Northwestern University M.A. in mathematics.
David O. Zenker, Jr. Senior Managing Director
David O. Zenker, Jr. has been a member of Brock Capital Group LLC since 2003. He is an investment banker, principal and advisor specializing in the conception, planning and funding of start-up and early-stage companies whose product or service represents a paradigm shift that offers a self-evident, marked improvement over current standards. Mr. Zenker’s particular areas of interest are biotech, medical devices, alternative energy and sustainable business models with commercial and social significance.
Gary E. Zimmerman Managing Director
212-309-3000 ext. 116
Investment banker and private investor with significant domestic and overseas M&A and capital markets experience across multiple industry sectors and geographies. Managing Partner of Six Trees Capital LLC and Founder and CEO of Max (MaxMyInterest.com). Former Managing Director and Global Head of Strategic Solutions for Sovereign Wealth Funds at Citigroup. Areas of expertise include financial technology, sovereign wealth funds, cross-border M&A, Japan, the electric and gas utility industries, M&A strategy, negotiation and tactics, private and public capital raising, startups, special committee assignments, and activist defense. AB magna cum laude, Harvard University.