Charles L. Brock Chairman and Chief Executive Officer
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
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.
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.
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 Director212-209-3000 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.
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. Senior Managing Director212-209-3000
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.
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 Director212-209-3000
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 Equity, and Public & Private Debt. As an Investment Banker, Mr. Boswick is an experienced advisor on Governance matters, Capital Markets, Capital Introduction, and Corporate Advisory including Mergers & Acquisitions. Mr. Boswick is a strong business development professional with extensive experience as an investment and/or industry conference presenter, and media contributor.
Mr. Boswick worked in Investment Research at Goldman Sachs; was a Partner and Portfolio Manager at J&W Seligman; Portfolio Manager at Sigma Capital (SAC); Founder and Portfolio Manager at Brompton Cross Capital; Managing Director at Medley Capital, and at Brightwood Capital; and, Senior Advisor to MC Credit.
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.
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.
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.
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 Advisor212-209-3000
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.
Mary G. Davis Senior Managing Director212-209-3000
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.
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 services. Mr. Galligan is also focused on the new investor outreach and business development of Brock Capital Group. Mr. Galligan was the Managing Partner of Cavan Consultants. Through Cavan, Mr. Galligan has worked extensively with a confidential bulge bracket international investment bank as well as with Barclay Investments, Campfire Capital and Spurrier Capital Partners. Engagements have been focused on enterprise and reputation risk management, capital introductions, fundraising, business development and capital markets financings. Previously, Mr. Galligan was the North American Head of Public Sector Debt Capital Markets at HSBC. Mr. Galligan’s 12+ year career at HSBC included origination and execution coverage of some of the most high profile, high volume and regular borrowers in the international capital markets. This Capital Markets role required a global investor outreach. Financings included small private placements up to large, public debt financings, in various currencies and utilizing various structures. Mr. Galligan began his finance career with Analyst roles at Credit Suisse First Boston and at Barclays Capital. Mr. Galligan served as an Infantry Officer in the United States Army. Mr. Galligan received a B.S. in International Relations from the United States Military Academy at West Point. He holds Series 7, 24, 63 and 79 Certifications.
Mr. Goldstein is a Director at Brock Capital Group, where he focuses on providing advisory services in connection with a variety of complex private equity financings, due diligence and fiduciary assignments. He has led and/or served on deal teams across industry verticals including industrials, transportation, energy, aerospace and technology-enabled services, as well as for pension fund clients.
Mr. Goldstein is a member of Brock Fiduciary’s Valuation Committee, which is responsible for decisions related to Brock’s assets under management for which Brock serves as an independent fiduciary under ERISA.
Previously, Mr. Goldstein was an analyst at Idea Group Securities, a boutique investment bank focused on providing advisory services to companies with specialized financing needs. Mr. Goldstein began his career with seasonal Analyst roles at Citi and Goldman Sachs.
Mr. Goldstein holds a BS in accounting from Lander College.
Jean D. Hamilton Senior Managing Director212-209-3000
CEO, diversified financial services companies. Operating and investment expertise. Director of public and private companies in insurance, financial services, money management. Director and committee member of non-profit entities.
Currently, RenaissanceRe Holdings Director, First Eagle Funds and First Eagle Variable Funds Trustee, Chair of the Thomas Cole National Historic Site Investment Committee, and member of the Liz Claiborne and Art Ortenberg Foundaiton Investment Advisory Committee.
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).
University of Illinois B.S.; University of Chicago M.B.A.
Phillip J. Harrington, Jr. Senior Managing Director212-309-3000 ext. 270
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 Vice President, Prudential Financial, Inc.; Western Michigan University B.S.; Cornell University M.S.
Richard L. Hecht Senior Managing Director212-209-3000
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.
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.
Trevor has over 35 years of experience as a business owner, entrepreneur, investor and senior executive specializing in niche manufacturing, telecommunications, enabling technologies, mergers and acquisitions, and specialty financial services product structuring and financing.
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
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.
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.
Walter H. Morris, Jr. Advisor212-209-3000
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.
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 Group212-209-3000 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.
Pamela J. Newman Executive Advisor212-209-3000Pamela J. Newman is the Founder, President, and CEO of PJN Strategies LLC, a boutique strategic consulting firm in New York City. Dr. Newman is a member of the Council on Foreign Relations, the Economic Club of New York, and The Cosmos Club. She is on the Board of Directors of The College of Mount Saint Vincent, PCI Media Impact, Inc., The New York City Mission Society, and Veterans Moving Forward. Dr. Newman is also on the Advisory Boards of Brock Capital LLC and Pi Capital. On October 20, 2017, Dr. Newman was appointed by the Acting Secretary of the Army as a Civilian Aide to the Secretary of the Army (CASA) for New York (South). Besides writing “Organizational Communication” (McGraw Hill) and “Behind Closed Doors: A Guide to Effective Meetings” (Prentice Hall), Pamela authors and self-publishes books to give to clients. Dr. Newman has received many awards. In 2018, Pamela was the first recipient of the Business Insurance Women to Watch Inspiration Award. John Cabot University (Rome) gave Pamela J. Newman the John Cabot University Presidential Medal for Leadership in Business in 2017. In 2016, Dr. Newman was a Scholarship Tribute Dinner Honoree by the College of Mount Saint Vincent. In 2015, she was selected as the Insurance Advocate’s Insurance Professional of the Year, and was honored by the UJA-Federation and the Arthritis Foundation in 2014. In 2012, she received The Humanitarian Award from the New York Center for Living. The Greater New York Council of the Boy Scouts of America awarded Dr. Newman “Distinguished Woman of the Year” in 2009. Pamela earned her BA, MA, and PhD from The University of Michigan. She is the widow of Henry E. Kates and has two children, Romy and Theodore, and five fantastic grandchildren.
James Notarnicola Senior Managing Director212-209-3000
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.
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 serves on the board of a boutique mall development and management company, where he oversees the company’s strategy.
Ramin is a member of the Alfred Noble Society of National Scholars, and received a B.A. from Harvard University.
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 Director212-209-3000
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 Advisor212-209-3000
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 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 Group212-209-3000 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.
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.
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 Director212-209-3000 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.
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.
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 Director212-209-3000 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 Director212-209-3000
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 Director212-309-3000 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.