Brock Capital Group

Brock Capital Group is a full-service investment bank organized in 2002 to provide strategic advice and implementation support. Leveraging the unparalleled collective experience and networks of 45+ managing directors, Brock Capital Group offers transaction advisory and consulting services on a broad variety of matters at the most senior level.

 

Brock Securities LLC, a registered broker-dealer and member of the Securities Investor Protection Corporation and Financial Industry Regulation Authority, conducts the capital raising and associated banking activities of Brock.

 

Brock Fiduciary Services advises pension funds and other institutional investors with respect to more than $30 billion.

Meet Our Experts
  • 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

  • Phillip J. Harrington, Jr.
    Senior Managing Director
    Financial services and technology executive with operating, risk and regulatory experience. Chairman, ProLink Solutions, Inc.; Chairman, Willow Street Group; Cyber Risk Advisor, World Economic Forum; Trustee, United Lutheran Seminary; Former Executive Vice President, Risk, and Chief Administrative Officer at CA Technologies, Inc.; Director, Business Risk, Deloitte & Touche, LLP; Corporate

  • Ellen R. Marram
    Senior Managing Director
    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;

  • Kevin Galligan
    Managing Director
    Mr. Galligan is a Managing Director with Brock Capital Group, where he focuses on the origination and execution of raising capital for middle market private companies and select funds. He has led and/or served on deal teams across industry verticals including aerospace, energy, healthcare, industrial, infrastructure, real estate and technology-enabled

  • 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,

  • 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;

  • 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;

  • Jay Rodin
    Chairman and Senior Managing Director, Brock Capital Markets Group
    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

  • Ramin Patel
    Director
    Ramin Patel is a Director of Brock Capital Group LLC. Investment banker with over a decade of experience in real estate development and management. Prior to joining Brock, he sourced capital from the private equity sector and founded a housing company focused on affordable multi-family units in Asia. Currently, he

  • Storm Boswick
    Senior Managing Director
    Storm Boswick is a member of Brock Capital Group LLC and an experienced Founder, Partner, and Senior Managing Director in the Asset Management and Investment Banking industries. Mr. Boswick is an experienced Venture Capitalist, Long/Short Portfolio Manager and Asset Manager, and a skilled investor and advisor in Public & Private