Charles Brock is Chairman and CEO of Brock Capital Group LLC. He was a Partner at Carter, Ledyard & Milburn and an Associate at Sullivan & Cromwell. In the last thirty years, Mr. Brock has served as Director and Audit Chair of five public companies and managed a variety of businesses. He headed the twelve subsidiaries of Compton Communications (now Saatchi & Saatchi) and the five subsidiaries of Scholastic, Inc., where he was also Chief Financial Officer and Chief Operating Officer as well as General Counsel.

Mr. Brock is past President of the Harvard Alumni Association, Regent of Cathedral of St. John the Divine, a Trustee of the Appleseed Foundation and on the Board of Visitors and Executive Committee of Northwestern University’s College of Arts and Sciences. He is former Chairman of Guild Hall (museum and theatre) and former President of the Harvard Law School Association.

Mr. Brock received his undergraduate degree from Northwestern University, his law degree from Harvard Law School and completed the Advanced Management Program at Harvard Business School.

Steven Baum, CPA, is a member of Brock Capital Group LLC and Managing Partner Emeritus of Marks Paneth & Shron LLP. For eight years, he served as the co-managing partner of the firm and played an integral role in the firm’s evolution and growth. He oversaw the firm’s operations and managed its business development efforts. He also served on both the Executive and Operating Committees of the firm.

Mr. Baum began his career with Paneth, Haber & Zimmerman LLP, a Certified Public Accounting Firm. He became a partner in 1974 and then managing partner in 1992, building a successful accounting practice in business and tax consulting and personal financial management along the way. With a vision of creating a CPA firm that met the total financial needs of its clients, he co-engineered a merger in 2000 with Marks Shron & Company, a CPA firm with complementary capabilities. These efforts resulted in the creation of Marks Paneth LLP, which today offers a full range of auditing, accounting and tax services as well as litigation, financial advisory and management advisory services.

With more than four decades of industry experience, Mr. Baum has developed deep expertise in business and tax consulting, specializing in advising high net worth individuals and their businesses and earning a reputation as a trusted and knowledgeable advisor.

Mr. Baum has held leadership positions with a number of professional groups and organizations. He is a Past President of the New York State Society of CPAs and he has served as a member of its Board and as chairman or member of various committees and task forces, including the Foundation for Accounting Education, the Scholarship Task Force, the Members Insurance Committee, the Professional Conduct Committee, and the Municipal, State and Federal Taxation committees. He is also a member of the New York State Bar Association and the American Institute of CPAs, where he previously served on its Governing Council. Often sought out for commentary on a variety of business and tax topics, he is a former editorial advisor to The CPA Practitioner and is a frequent speaker at professional conferences.

In addition to these accomplishments, Mr. Baum takes great pleasure in donating his time and expertise to several community and charitable organizations. He is the Secretary/Treasurer and a Trustee of the Dorot Foundation (an organization that supports educational and cultural activities related to Jewish heritage) and the Union Square Fund (which provides monetary awards to recognize and support innovative grassroots projects and organizations responding to pressing social issues in NYC). He also serves as a director of The Foundation for Global Sports Development. Within his community, Mr. Baum was re-elected four times to the Board of the Northport-East Northport School District and served a term as its president.

The accolades Mr. Baum has received reflect the diversity of his contributions to his profession and his community. He has received the Fifth Annual Friend of Education Award from the United Teachers of Northport and has been honored for his contributions to the accounting profession with two awards from the New York State Society of CPAs: the 1988 Arthur J. Dixon Public Service Award and the 2002 Distinguished Service Award. He has also received the 1988 Public Service Award from the AICPA, an honor reserved for only one CPA in each state.

Mr. Baum is licensed in New York State and has been admitted to practice before the United States Tax Court. He holds a B.A. from Queens College, an L.L.B. from Brooklyn Law School, and an L.L.M. the New York University School of Law.

Chris Bene has over 20+ years experience in corporate finance, merger integration and change management having worked for and advising clients in strategy, growth, and operational excellence. Accomplished global transformation executive focused on improving business performance through customer-centered process solutions (Lean Six Sigma), strategic program management (PMO), and bringing together operations and technology platforms.

In 14 years at GE in financial services executive positions as Sales Leader, Chief Operating Officer, Merger Integration Leader, and Six Sigma Master Black Belt, he helped GE’s Money (Tokyo, Japan) & Genworth Insurance business units grow and save more by leading many transformative operational best practices throughout Europe, Asia, and the US.

As an Operating Partner in a leading Private Equity firm in Tokyo, Japan, Chris worked with over 20 portfolio companies with enterprise values between $50MM and $4BN, representing consumer products, healthcare, manufacturing, IT, Steel, and Precision instruments. Chris speaks basic/conversational Japanese as well as German and English.

Recently, he helped a global, publicly-traded $1.6 billion gaming client complete a merger integration, leading to $100MM savings. He strengthened BSA/AML process for a large commercial bank, and created a Board approved 3 yr. road map for a Med. Tech. company.

Chris received his certification as a Six Sigma Master Black Belt from GE in 2001, earned his MBA from NYU’s Stern School of Business and his BA from Skidmore College.

Ennius Bergsma is a Senior Managing Director with Brock Capital and focuses on Corporate Advisory including Strategic Planning, Valuations and Organic Growth.   He also advises clients on general finance matters and e-commerce opportunities.

In his 25 years at McKinsey & Company, Inc., where he was Senior Director, Mr. Bergsma founded and led the Firm’s global Corporate Finance Practice and was Co-Founder and Co-Leader of McKinsey’s E-Commerce Practice. He initiated McKinsey’s Marketing Sciences Practice, led the effort that synthesized McKinsey’s approach to Business Strategy, was a leader of McKinsey’s Consumer and Telecommunications sectors and was core member of the McKinsey Strategy Initiative that crafted the Firm’s priorities. Mr. Bergsma’s client service has focused on the development of new businesses in e-commerce, financial services, consumer goods and telecommunications. He led numerous teams creating new businesses, with values ranging from $500 million to $5 billion. Mr. Bergsma is still associated with the Firm as member of the McKinsey Advisory Council.

Mr. Bergsma helped establish Passlogix’s overall strategic direction and priorities. He joined Passlogix in 2000, but has been involved with Passlogix since its inception as both an investor and advisor.

He is Chairman of the Netherland-America Foundation, Trustee of the Hewitt School, Honorary Board Member, past Chair and President of the Harvard Business School Club of Greater New York and past member of Harvard Business School’s Executive Council. Mr. Bergsma holds a Candidate and Masters Degree with distinction in Corporate and Commercial Law from the University of Leiden in The Netherlands, and an M.B.A. with distinction from the Harvard Business School.

Alan Biloski works with high-quality pharmaceutical and biotech companies, and their major investors, to optimize business and financial strategies. His multi-disciplinary 30+ year career in the healthcare field – with experience as a scientist, a big pharma employee, a venture capitalist and an investment banker – enables him to rapidly bring forward practical and actionable ideas to help clients achieve the best possible valuation.

Dr. Biloski has led the seed round financings of a number of life science start-up companies in a diverse array of fields ranging from big data/AI (GNS Healthcare) to biotech (Advanced Medicine) and pharmaceutical services (Advion). As the lead pharma and biotech partner at Brock Capital, Dr. Biloski works with the independent fiduciary and family office groups to focus Brock Capital’s Opportunity Fund on the evaluation of direct investments in promising new companies.

Dr. Biloski’s prior experience includes 11 years of service as Senior Lecturer on the faculty of the Samuel Curtis Johnson Graduate School of Management at Cornell University where he led the Investment Banking Immersion and supported the practicums for the Research, Sales and Trading and Managerial Finance Immersions. While there, his students secured over 250 first tier investment banking jobs on Wall Street.

After a 15-year career in M&A banking, Dr. Biloski retired as Managing Director of Merrill Lynch in April 2001. He had joined the firm’s Healthcare Group in July 1998 and advised clients on approximately $100 billion of M&A transactions, including Pfizer’s unsolicited bid for Warner Lambert, MedImmune’s acquisition of US Bioscience, the sale of Mycogen to Dow Chemical and Alkermes acquisition of Advanced Inhalation Research. In November 2000, he advised Immunex on a comprehensive restructuring that included major governance changes, the dilution of AHP’s ownership interest in Immunex from 55% to 41% and the largest biotech equity offering in history with the sale of $3.2 billion in Immunex common stock. He also led efforts that produced two of the largest private placements in biotech history, raising $160 million for Advanced Medicine (now Theravance) in 1999 and $110 million for Eyetech in 2000.

As founder of the Healthcare Group at Wasserstein Perella & Co. in 1991, Dr. Biloski assembled a group of 12 professionals who concluded over $40 billion in pharmaceutical, health service, and medical device deals. Through his specialization in pharmaceuticals, Dr. Biloski has been responsible for a number of landmark transactions such as SmithKline Beecham’s acquisition of Sterling Winthrop (largest OTC deal), the sale of Sterling Winthrop North American to Bayer (second largest OTC deal), the sale of SmithKline Beecham’s animal health business to Pfizer (largest animal health deal), SmithKline Beecham’s purchase of DPS from United Healthcare (third largest pharmacy benefits manager deal), and the Chapter 11 reorganization of A.H. Robins (largest pharmaceutical product liability and bankruptcy).

Dr. Biloski is also an alumnus of the Healthcare Mergers and Acquisitions Group at the First Boston Corporation. While there he assisted senior bankers in over $10 billion in healthcare M&A transactions including the sale of A. H. Robins to American Home Products, the sale of Lyphomed to Fujisawa Pharmaceuticals, Bayer AG’s purchase of Cooper Technicon and SmithKline Beecham’s acquisition of International Clinical Laboratories.

He has experience as a venture capitalist, through the Princeton, NJ firm of Johnston Associates, and as a strategic planner with Merck Sharp and Dohme Research Laboratories. Dr. Biloski also served on the Board of Directors of Merrill Lynch Ventures where he had primary responsibility for evaluating new investments in the health care field. Dr. Biloski has assisted early stage life science companies in financing their businesses, raising $15 million for Advion through Skyline and Perseus-Soros and $5.5 million for Gene Network Sciences (now ViaScience). In addition, he assists management in strategic transactions such as advising Adolor in structuring an alliance with Glaxo for the codevelopment and co-marketing of Alvimopan, advising Eyetech in structuring an alliance with Pfizer for the co-development and co-marketing of Macugen, advising Sagres Discovery in a merger with Chiron and Spectral Genomics in an asset sale to Perkin Elmer.

In 2004 Dr. Biloski was elected to the Board of Directors of the Boyce Thompson Institute (www.bti.cornell.edu), one of the world’s leading independent institutions for plant research. From 2005-2011 Dr. Biloski served as Vice Chairman of the Board of Directors and chaired the BTI Investment Committee which is charged with managing the Institutes ~$100 MM endowment and since that time he has transitioned to head the Finance Committee. He holds a Ph.D. in synthetic organic chemistry from Cornell University and a M.B.A. with distinction from Columbia University. He was elected to Phi Beta Kappa at Yale University and graduated summa cum laude with a B.S./M.S. in Chemistry.

Richard Booth is a Member of Brock Capital Group LLC. Mr. Booth was Chairman, President and Chief Executive Officer of HSB Group until his retirement in March, 2009. Mr. Booth was previously Vice Chairman of HSB’s parent company, American International Group, to lead a restructuring of the company’s corporate operations and oversee the separation of companies being sold by AIG. He also had responsibility for AIG’s global operations and systems, research and development, facilities, all operations in India and a variety of special projects.

Before joining HSB, Mr. Booth was Executive Vice President and a Director of Phoenix Home Life Mutual Insurance Company. Prior to joining Phoenix, Mr. Booth was President, Chief Operating Officer and a Director of The Travelers Corporation.

Mr. Booth is a member of the boards of Northeast Utilities Inc. and WorldBusiness Capital, Inc. He is also a member of the Advisory Board of Century Capital Management LLC. He is a board member of the National Association of Corporate Directors – Connecticut Chapter.

He is a recipient of the United Way Community Service Award, the Junior Achievement Hall of Fame Award, the Urban League’s Founders’ Award, National Conference for Community and Justice Human Relations Award, the Boy Scout Distinguished Citizen’s Award, the Girl Scout Man of Merit Award, the State of Connecticut Distinguished Advocate for the Arts Award and an honorary doctorate from the University of Hartford. He was recently inducted into the University of Hartford’s Barney School of Business Hall of Fame.

Mr. Booth is a member of the American Institute of Certified Public Accountants, the Connecticut Society of CPAs, the Hartford Society of Financial Analysts, the Society of Financial Service Professionals and the Association for Investment Management & Research. He served on the Board of the FASB Advisory
Council from 2004 – 2008.

Mr. Booth received his bachelor’s and master’s degrees from the University of Hartford Barney School.

Michael A. Boyd is a member of Brock Capital Group LLC. He is a member of the Brock Capital Group LLC Management Committee.

Previously, Mr. Boyd worked at Donaldson, Lufkin & Jenrette, Inc. as Associate General Counsel, and for 25 years as Senior Vice-President and General Counsel. Before joining Donaldson, Lufkin & Jenrette, Mr. Boyd was an Associate at Davis Polk & Wardwell.

Mr. Boyd is a Director of the Royal Oak Foundation, Americans for Oxford and the Classical American Homes Preservation Trust. He has previously served as a Major General in the US Army Reserve, as a Trustee of the Oxford University Society and as President of the Harvard Law School Association of New York City.

Mr. Boyd has an A.B. from Harvard University. He attended Oxford University as a Rhodes Scholar and received his L.L.B. from Harvard Law School.

Louis A. Bradbury is a member of Brock Capital Group LLC.

Previously, Mr. Bradbury was a Participating Fellow at Civic-Exchange Thinktank, where he performed analysis of macro factors impacting the labor situation in the Pearl River delta, Hong Kong, China. Prior to Civic-Exchange Thinktank, he worked at Bradbury & Company, which served as a primary vehicle for consulting and venture capital investing and which he also used for the management of personal and family assets.

Mr. Bradbury was President, CEO, and a Member of the Board of Directors at Revere Copper & Brass Inc., a Fortune 500 Company with sales of over $700M. Mr. Bradbury negotiated and directed tender offer and acquisition financing of the company. He also served as Executive Vice President and a Member of the Board of Directors at OCWEN Financial Company, where he was Head of M&A activities as principal in Merchant Banking Department.

Prior to that, Mr. Bradbury was a Vice President in Capital Markets at Merrill Lynch & Co and an Associate Attorney at Rogers & Wells, where he specialized in international taxation and securities and formed the Mexico Fund, a prototype mutual fund for equity securities of a foreign country. He was also an Associate Attorney at Covington & Burling, and an Attorney in the Appellate Division of the Tax Division of the U.S. Department of Justice.

Mr. Bradbury is President of the Board of Directors at the Calamus Foundation. Previously, he has served as a Member of the HIV Advisory Council for Save the Children (USA), a Member of the Board of Trustees for the Point Foundation, President of the Board of Directors at GMHC, Inc., a Member of Visiting Committee at Northwestern University, and a Member of the Board of Directors for Planned Parenthood of New York. In 2000, Mr. Bradbury received the Alumni Merit Award from Northwestern University.

Louis A. Bradbury has a B.A. from Northwestern University and a J.D. from Harvard Law School.

Jenne K. Britell, Ph.D., is the Chairman of United Rentals, Inc. (NYSE:URI). She is also the Chairman and CEO of Structured Ventures, Inc, advisors on financial services business and product strategy to U.S. and foreign companies. She is a director of two additional NYSE companies: Crown Holdings, Inc.(CCK);* and Quest Diagnostics Inc. (DGX).** She is also a director of the U.S. Russia Investment Fund and the U.S. Russia Foundation, and a Sustaining Trustee of the Fox Chase Cancer Center.

Dr. Britell is a former senior executive of GE Capital. At GE Capital, until March 2000, she served as the Executive Vice President of Global Consumer Finance and President of Global Mortgage and Commercial Banking. Previously, she was President and CEO of GE Capital, Central and Eastern Europe. Based in Vienna, she had responsibility for the GE Capital consumer and commercial banking businesses in the region, as well as in Austria and Switzerland, and for the consumer finance business in Germany. Prior to that, as President and CEO, she led the turnaround of GE Capital Mortgage Services. At GE, she was recognized as a business leader who led turnarounds or enhanced profitability, with outstanding Six Sigma and compliance performance. She also served as Chairman of the Management or Supervisory Boards of many foreign GE-owned banks.

From 1993-1996, she was Executive Vice President, Chief Lending Officer, and General Manager, Mortgage Banking, of Dime Bancorp, where she led the turnaround of the Dime’s mortgage business, among other efforts.

From 1990-1993, as Chairman and CEO of HomePower, Inc., she was a senior advisor to many national and international corporations, including Chase, Dime, MONY, the Central European Development Corp., the Polish-American Enterprise Fund and the World Bank. She was also the founding Chairman and CEO of the Polish-American Mortgage Bank, in Warsaw, Poland. This Bank was the first private western-style residential construction/mortgage bank, in Central and Eastern Europe.

Previously, Dr. Britell held senior positions at Citicorp and Republic New York Corporation (now HSBC).

She received her B.A., with honors, and M.A. from Harvard University and her M.S. (business administration) and Ph.D. from Columbia University.

Dr. Britell was formerly Senior Advisor to eBay and PayPal for Financial Services, a director of Lincoln National Corporation and of West Pharmaceutical Services, Inc., lead director of Aames Investment Corporation, and a trustee of TIAA-CREF, of the Brooklyn Academy of Music, of the New York City Housing Partnership, and of William Paterson University, and a charter member of the US Department of Defense Advisory Committee on Military Personnel Testing.

*Chairman, Audit Committee, designated financial expert. **Member, Audit and Finance Committee, designated financial expert and Member, Compensation Committee.

Norman H. Brown, Jr. is a member of Brock Capital Group LLC, an Independent Director at Macquarie Infrastructure Company Trust, and an Independent Director at W. P. Stewart Growth Fund, a global investment advisor providing equity management services.

Previously, Mr. Brown was a Managing Director and Senior Advisor in the Global Industrial & Services Group at Credit Suisse First Boston and a Managing Director in the Mergers and Acquisitions Group at Donaldson, Lufkin & Jenrette Securities Corporation, where he started and headed the Restructuring Group and headed the Global Metals and Mining industry practice. He was a Senior Vice President at Oppenheimer & Co., where he was one of five partners in a boutique Mergers and Acquisitions department, and Senior Vice President at E. F. Hutton & Company, where he was head of the M&A Group. Prior to that, Mr. Brown was an Associate and Second Vice President at Smith Barney, Harris Upham & Co. Mr. Brown served as an Ensign and Lieutenant in the United States Naval Reserve. He attended Officer Candidate School in Newport, Rhode Island, and Served as a Line Officer in Operations and Engineering aboard two destroyers of the U.S. Pacific Fleet.

Norman Brown is a Trustee of the University of Oregon Foundation. He holds a B.A. from the University of Oregon and an M.B.A. from the Wharton School at the University of Pennsylvania.

The Honorable Mary K. Bush has served as President of Bush International, LLC, an advisor to U.S. corporations and foreign governments on international capital markets, strategic business and economic matters since 1991. She has held several Presidential appointments including the U.S. Government’s representative on the IMF Board and Director of Sallie Mae. She also was head of the Federal Home Loan Bank System during the S&L clean-up and was advisor to the Deputy Secretary of the U.S. Treasury Department. Earlier in her career, she managed global banking and corporate finance relationships at New York money center banks including Citibank, Banker’s Trust, and Chase. In 2006, President Bush appointed her Chairman of the congressionally chartered HELP Commission on reforming foreign aid. In 2007, she was appointed by the Secretary of the Treasury to the U.S. Treasury Advisory Committee on the Auditing Profession. She is a member of the Board of Directors of Discover Financial Services, ManTech International Corporation, Marriott International, United Airlines, and the Pioneer Family of Mutual Funds. She serves on the Kennedy Center’s Community Advisory Board and on the U.S. Advisory Board of the Global Leadership Foundation.

She previously served as Managing Vice President for PeopleTech, a division of Right Management Consultants, Inc. (a NASDAQ firm) where she consulted to U.S.- based and global organizations implementing change processes resulting from restructuring, high growth opportunities or leadership transitions. Prior to the acquisition by Right, she served as the Vice Chair of Jannotta, Bray and Associates, head of the Jannotta Consulting Group, and Managing Director of their New York Metropolitan Area Operating Group.

She began her career with Citicorp in the overseas equity investment Edge Act subsidiary in New York. Relocating with her husband, she became a merchant banking partner with van Heyst and Company, Sydney, Australia. Returning to the United States, she founded her own management consulting business focusing on strategic planning and corporate finance. She joined Jannotta, Bray and Associates, focusing on senior executive coaching, corporate restructuring and change implementation in 1985.

She is a member of the Board of Trustees of Mount Holyoke College. Previous board positions include: Graham-Windham Services to Families and Children, New York (1973-1982, President 1980-1982); The Board of Education, Winnetka Public Schools, Winnetka, Illinois (1985-1989), and Jannotta, Bray and Associates, Inc. (1989-1994). She currently serves as President of the Alumnae Association of Mount Holyoke College.

Her educational background includes a B.A. from Mount Holyoke College and a Masters Degree in International Economics from the Fletcher School of Law and Diplomacy/Harvard & Tufts Universities.

Executive Chairman and Co-Founder, Madaket Health, a healthcare SaaS platform that automates the exchange of data between providers and payers.

Senior Lecturer in Technological Innovation, Entrepreneurship, and Strategic Management at the MIT Sloan School of Management. Visiting Professor, Columbia University, teaching Entrepreneurship.

Extensive experience working directly with investors to execute highly successful turnarounds of troubled companies. Recruited by Great Hill Partners to be their first-ever Operating Partner. Stabilized and recapitalized such companies as Gartner, IntraLinks, Prodigy, and Small Business ISP. Founder of eApps (Internet Division) at Lotus Development Corporation and created the NOTES: NEWSSTAND business publishing service which was later successfully sold.

Adjunct Senior Fellow for Business and Foreign Policy at the Council on Foreign Relations; HHS Fellow at US Department of Health and Human Services

BA in Government, Framingham State University; MA in International Economics, Columbia University; Graduate Certificate of Special Studies in Finance and Administration, Harvard University.

Dr. Foster is the Managing Partner of General Medical Networks, and a Senior Managing Director at Brock Capital. Both firms are investing in digital healthcare enterprises.

Dr. Foster is an Emeritus Senior Partner of McKinsey & Company, Inc. where he founded and led several practices including the private equity practice, the Healthcare practice, the Private Equity Practice (Founder), Technology and Innovation practice (Founder), and McKinsey’s worldwide knowledge development.

Dr. Foster is also:

• Chairman of Ancera Diagnostics,
• Chairman of Panakeia.ai, (digital pathology)
• Lead Director at Zocdoc, (automatic matching of physicians and patients)
• a Director at Advantia Health (Ob/Gyn practice network).

Dr. Foster has also been a member of the boards of the , the Trust Company of the West (acquired by Société Générale), Council on Foreign Relations, the Santa Fe Institute, and the Oak Ridge National Laboratories, athenahealth and LeanTaaS (OR patient scheduling; sold to Bain Capital).

Dr. Foster is Chairman of the Medical Research Committee of the W. M. Keck Foundation, and a member of the Board of Memorial Sloan Kettering Cancer Center, where he a member of the Technology, Patient Care, Finance, Audit and Conflict of Interest Committees. He is also a member of the University of Illinois Venture Lab and the Carl R Woese Center for Genomic Biology.

He is the past Chair of the Presidents’ Circle of the National Academies of Science, Engineering and Medicine, where he is currently a member of the Policy & Global Affairs Committee, A Member of the US – China Science Cooperation task force, and a member of the editorial board of NAE Perspectives, a publication of the US National Academy of Engineering.

Foster is a Fellow at the Creative Destruction Laboratory, a venture incubator, in Canada, the United States and the UK and Europe. He is a Chief Mentor at the Endless Frontiers Lab, a venture incubator headquartered in New York City.

Dr. Foster is a former member of the China Speakers Bureau, and the International Advisory Committee of the Tsinghua University.

Dr. Foster has written two best-selling books: Innovation: The Attacker’s Advantage (1986) and Creative Destruction (2001). Dr. Foster received his BS, MS, and PhD from Yale University in Engineering and Applied Science. He was elected a fellow of the American Academy of Arts & Sciences in 2008.

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 serves as a board director and is a member of Brock Capital Group LLC, a full service investment bank providing strategic advice and implementation support. Ms. Hamilton has extensive experience as a board director and in heading companies. She is involved with a variety of not-for-profit organizations.

Ms. Hamilton serves on the board of RenaissanceRe Holdings Ltd. where she has served as Chair and is a member of the Corporate Governance and Compensation Committee. Also, she serves on the Transaction and Offerings Committees, and has served as a member of the Investment Committee. She also serves on the boards of First Eagle Funds and First Eagle Variable Funds where she is Chair of the Board Valuation and Liquidity Committee and a member of the Audit and Insurance Committees. Ms. Hamilton is on the Investment Advisory Committee of the Liz Claiborne and Art Ortenberg Foundation and is Chair of the Investment Committee for the Thomas Cole National Historic Site.

At Prudential Financial, Ms. Hamilton served in a variety of management roles. Ms. Hamilton was an Executive Vice President of Prudential Financial, Inc. and Chief Executive Officer of Prudential Institutional, which under her leadership grew in revenues to more than $6 billion. Ms. Hamilton was responsible for evaluating and operating each of the insurance, banking, financial services and real estate businesses within the Prudential Institutional group. Following determination of the strategic fit of these businesses within Prudential and their profit potential, Ms. Hamilton successfully implemented a variety of plans to optimize the value of these businesses. These plans included internal growth, mergers, start-ups, restructurings, sales and discontinuation of various businesses.

Prior to being named Chief Executive Officer of Prudential Institutional, Ms. Hamilton was President of Prudential Capital Group, a private securities asset manager and originator responsible for a portfolio in excess of $20 billion in a wide range of industries and at multiple layers of the capital structure. Prior to holding this position, Ms. Hamilton was President of Prudential Asset Sales and Syndications, Inc., a seller and syndicator of private placement securities, and an entity in whose creation she was involved.

Before joining Prudential Financial, Ms. Hamilton was a Senior Vice President and Head of the Northeastern Corporate Banking Department for The First National Bank of Chicago, now J.P. Morgan Chase.

Ms. Hamilton has a BS degree in Communications from the University of Illinois and an MBA with concentrations in Finance and Accounting from the University of Chicago.

Phil Harrington is a senior managing director at Brock Capital Group. Phil has more than 30 years of operating, risk, and regulatory experience in financial services and software. In addition to his role at Brock, Phil is President & CEO of the Willow Street Group and its wholly-owned affiliate, Willow Street Trust Company, based in Jackson Hole, WY. He is also Chairman of ProLink Solutions, a privately-held software company, and serves as a cyber risk advisor to the World Economic Forum.

From 2010 to 2013, Phil was executive vice president and chief administrative officer at CA Technologies, a $4.4 billion annual revenue software company. Prior to that, he was director, business risk at Deloitte & Touche and a member of the firm’s Governance, Regulatory, and Risk Strategies Leadership Council. Phil also held several senior positions at Prudential Financial over a 20-year period, including deputy corporate chief compliance officer, global risk officer, chief compliance officer – U.S. retail business, and interim head of the group insurance business.

Phil is a Governance Fellow of the National Association of Corporate Directors. He earned an MS from Cornell University and a BS, summa cum laude, from Western Michigan University.

Richard Hecht, CPA, is a Member of Brock Capital Group LLC and the Managing Member of Audubon Consulting Group LLC.

He has more than 40 years of accounting and managerial experience. His responsibilities as a Partner at Marks Paneth & Shron included developing business and assisting clients with their accounting and tax needs through the entire lifecycle of their businesses. Mr. Hecht specialized in consulting with law firms on management structure, partner compensation and profitability enhancement. Additionally, Mr. Hecht was a member of the Operating Committee, which advised the firm’s leadership on management issues, planning and policy matters.

As the managing member of Audubon Consulting Group LLC, Mr. Hecht advises privately-owned businesses on business and tax strategies.  This includes valuing and structuring the purchase and sale of business, the development of early-stage enterprises and strategies for building internal capital.

Previously, Mr. Hecht was the Managing Partner of one of Marks Paneth & Shron’s predecessor firms. After a few years of military service and working in private corporations, Mr. Hecht joined Charles Hecht & Co., a CPA firm that was founded in 1907 by his grandfather and later managed by his father.

An active participant in numerous professional organizations, Mr. Hecht is a member of the American Institute of CPAs and the New York State Society of CPAs (NYSSCPA), where he was a Vice President.

Mr. Hecht donates a great deal of time and expertise to nonprofit organizations. He is a member of the Board of Directors of Community Capital New York, a regional program funding startup businesses and affordable housing.  He was also a member of the Board of Directors of StoryCorps and the Board of Education in his hometown.

Mr. Hecht holds a Bachelor of Arts in Political Science from Cornell University and a Master of Business Administration in Accounting from New York University.

Perry Hewitt is Advisor, Marketing and Technology at Brock Capital LLC. Perry is a senior executive who works at the intersection of marketing and digital strategy, and is passionate about leading high-performing teams to drive sustainable change and impact.

Perry has held marketing, strategy, and digital product development roles in both corporate and not-for-profit sectors. Current and recent engagements include: Bloomberg Philanthropies, The Rockefeller Foundation, Lincoln Center for the Performing Arts, and the Ballmer Group / USAFacts. As Harvard University’s chief digital officer, she conceived and led digital strategy for marketing, communications, and engagement. She has held marketing roles at firms including Crimson Hexagon, Razorfish, and Lotus Development Corporation.

Perry holds a number of leadership positions in organizations advancing marketing, technology, and entrepreneurship. She is a board member of Junior Achievement U.S.A., a founding board member at The Marketing Society’s New York City hub, a Connect Council member at Glasswing AI Venture Capital, and an advisor to the Harvard Business School’s Digital Initiative. She is a frequent writer and speaker on topics including digital transformation, product management, marketing strategy, and women in leadership.

Senior level executive with more than 30 years expertise in real estate development, including land use, zoning, due diligence, government regulation, incentives and entitlements.

Managing Director, Capalino Ventures, a full service strategic advisory firm in all aspects of real estate development.

Former member, Commissioner, and Vice Chair, New York City Board of Standards and Appeals; Former Brooklyn Borough Commissioner for the NYC Department of Buildings; Former Capital Program Manager for the NYC Department of Cultural Affairs; Former Deputy Commissioner of Planning and Community Development, Sullivan County, NY.

Registered architect, New York; Developed commercial retail properties throughout the United States.

B. Arch, Pratt Institute School of Architecture; JD and LLM, New York Law School; Guest speaker, lecturer, webinar host and adjunct professor; Board, Big Brothers Big Sisters of NYC, Wave Hill, New York Law School and Bronx Museum of the Arts.

Karen N. Horn is a member of Brock Capital Group LLC.

Previously, she has served as a Managing Director at Marsh & McLennan Companies, where she was President of Global Private Client Services, providing Risk Management and Insurance services to high net-worth individuals and families worldwide. Ms. Horn was Managing Director at Bankers Trust, Chairman and CEO of Bank One, President of the Federal Reserve Bank of Cleveland, Treasurer of the Bell Telephone Company of Pennsylvania, Vice President and Economist at First Bank of Boston, and an Economist at the Board of Governors of the Federal Reserve.

Board and Committee memberships include the Norfolk Southern Corporation,Simon Property Group, T. Rowe Price Mutual Funds, The U. S. Russia Investment Fund, the National Bureau of Economic Research, Eli Lilly & Company, the Council on Foreign Relations, Georgia-Pacific Corporation, TRW, Inc., The Rockefeller Foundation, Rubbermaid Corporation, and Bipartisan Commission on Entitlements.

Ms. Horn has a B.A. from Pomona College and a Ph.D. in Economics from Johns Hopkins University.

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.

Former roles include founder and CEO of K-Tech Microprecision, a leading international telecom fiber optic component manufacturing specialist acquired by 3M Corporation; founder and Chairman of Auriga Europe, a specialist telecom and datacom accessory products online distributor and educator; and Chairman of the Advisory Board for Exterprise Europe, an enabling intelligent (AI) agent software.

Trevor ran and built his family’s business Stylus Supplies Ltd, into the leading provider of audio components and accessories for vinyl record player needles, pickup cartridges and compact disc optical laser assemblies which led to the diversification into high-performance fiber optic products for long distance telecom and nascent Internet /Broadband global networks.

Trevor is also cofounder of NIW Corporation a trusted specialist in innovative financed estate, business and retirement planning solutions for high net worth individuals, families, business owners, executives and multi-industry professionals in the United States. Over the past 18 years, he has been responsible for helping facilitate $5bn of financing for NIW’s industry-leading range of programs and solutions, including major private and mid-market banks in the US.

Co-head, Energy investment banking group; Founder, Bakken Energy, developer of clean hydrogen production, transportation and storage applications.

Won Institutional Investor Magazine’s first place honors for twelve of thirteen years; Inducted into Institutional Investor’s Hall of Fame in 2011 and named “one of the best analysts of all time.”

Equity research analyst at Donaldson, Lufkin & Jenrette (DLJ) and First Boston, covering natural gas, pipelines, exploration, production and midstream infrastructure industries.

Expertise in energy infrastructure, MLP qualifying assets, exploration & production and Liquefied Natural Gas; Led teams at Sagent Advisors, Deutsche Bank and S2K Financial.
Originated and participated in over $30 billion in merger and acquisition transactions and over $50 billion in equity and debt capital raising; Testified before Congress and industry regulators regarding gas and oil pipelines, MLPs and natural gas related issues as well as the proceedings involving the demise of Enron, where he assisted the investigation and prosecution of former executives.

B.S. Accounting, State University of New York – Buffalo.

Energy investment banking group; Project Manager, Analyst, Bakken Energy, developer of clean hydrogen production, transportation and storage applications.

Previously, Analyst, S2K Financial and Associate, AXA Financial.

BBA, Finance with honors, The Zarb School of Business, Hofstra University.

Alain Lebec is a member of Brock Capital LLC.

Previously, Mr. Lebec served as Chairman and Co-Chief Investment Officer at Merrill Lynch Ventures. He was also Vice Chairman of the Investment Banking Group at Merrill Lynch, Managing Director and Head of the Telecom, Media and Technology Investment Banking Department, Managing Director and Co-Head of the Mergers and Acquisitions Department, Vice-President of International Banking, and an Associate in the Corporate Finance Group in Chicago.

Mr. Lebec served in the French Army as a Second Lieutenant in the 46th Infantry Regiment based in Berlin, Germany. He is a Director and Co-Founder of READ (Reading Excellence And Discovery) Foundation, a literacy program for inner-city children in New York, Director of the United Way of Greenwich, and a Trustee of the Brunswick School.

Alain Lebec holds a Diplome d’Ingénieur from l’École Polytechnique in Paris and an M.B.A. from the Kellogg School of Management at Northwestern University.

Full bio coming soon.

Ellen Marram is a member of Brock Capital Group LLC and is the president of the Barnegat Group LLC, her business advisory firm. From 2000-2005, she was a Managing Director of North Castle Partners, a private equity firm focused on investments in healthy living and aging where she served as Chairman of several portfolio companies. She currently serves as an operating advisor to North Castle and to Physic Ventures, a venture capital firm.

Ms. Marram was President and Chief Executive Officer of Tropicana and the Tropicana Beverage Group from 1993-1998. she transformed the business from a Florida juice company to a market driven, health-focused global juice business,number one in worldwide sales and profits. During her tenure, Tropicana nearly tripled its shareholder value and was sold to PepsiCo in 1998 for $3.3 billion. From 1988-1993, Ms. Marram was the President and Chief Executive Officer of the Nabisco Biscuit Company where she consistently produced strong revenue and profit growth in a highly leveraged environment. Under her vision and direction the company launched the highly successful SnackWell’s line which pioneered low-fat snacking.

Ms. Marram is a director of Ford Motor Company, The New York Times Company and Eli Lilly and Company as well as several private companies and non-profit institutions.

Ms. Marram received her B.A. from Wellesley College and her M.B.A. from Harvard Business School.

Walter Morris’ broad executive management, lending and advisory experience spans more than three decades including innovative work in capital markets, mortgage banking, commercial banking, international finance, strategic advisory, credit and operational risk. He retired from Ernst & Young LLP after a successful 14-year career as Principal/Partner in the international services firm. There he provided consulting and other advisory services to a number of the firm’s largest financial services clients including Fannie Mae, Freddie Mac and Ginnie Mae. He was also elected by the Ernst & Young partnership to serve a 3-year term on the firm’s governance committee, the “Americas Advisory Council”.

He has served on the Board of Governors of the Mortgage Bankers Association of America (“MBA”) and is a past member of the CALPERS Residential Mortgage Program Advisory Committee. Walter also holds the MBA’s highest professional designation, “Certified Mortgage Banker”. In July, 2010 Walter was appointed to serve a 4-year term on the Board of the Directors of the Federal Home Loan Banks – Office of Finance.

He completed undergraduate education at Harvard College and received his Masters in Business Administration degree from the Harvard Business School. He is also a Past President of the Harvard Alumni Association.

James F. Munsell is a member of Brock Capital Group LLC. He also is senior counsel at Cleary Gottlieb Steen & Hamilton LLP based in the New York office. Mr. Munsell’s practice focuses on domestic and international financial and corporate matters, including mergers and acquisitions, joint ventures, workouts and restructurings and bank and other financings. He also has extensive experience in public and private capital markets transactions, including mortgage and other asset securitizations, representing issuers as well as underwriters. Mr. Munsell is actively involved in the firm’s Russian practice, as well as the firm’s Latin American practice, particularly capital markets issues by foreign private issuers.

Mr. Munsell joined Cleary Gottlieb Steen & Hamilton in 1969 and became a partner in 1976. From 1973 to 1977 he was resident in the London office, and from 1980 to 1983 in the Hong Kong office.

Mr. Munsell has a masters of International Affairs from Columbia University, an LL.B. degree, cum laude, from Harvard Law School and an undergraduate degree in Engineering Physics, with distinction, from Cornell University. He also studied Russian while on active duty in the United States Marine Corps.

Co-head, Energy investment banking group.

40 years on Wall Street primarily at major Wall Street firms including Donaldson, Lufkin & Jenrette, Goldman Sachs and Merrill Lynch; Expert in strategic financial advisory and transaction execution; Headed exclusive sale and merger/acquisition groups and completed over 200 merger and acquisition transactions.

Chief Investment Officer, Bakken Energy, LLC, a clean hydrogen firm; Director, Ocudoc, Inc., a digital autorefractor company; Advisor, Yamo Pharmaceuticals, a biotech company developing drugs to treat autism; Former Partner, Muirfield Capital Global Advisors, LLC, an Alternative Asset Management Firm.

Advisor to major universities concerning technology commercialization; Member, Ohio State Foundation Board and its Investment Working Group, advising the CFO, The Ohio State University, Endowment matters; Co-founder, UCLA Fink Center for Finance & Investment.
Board Member of numerous public and private companies as well as nonprofits, including Catholic Charities of New York, leading the Program and Quality Improvement Committee.
B.A. summa cum laude, The Ohio State University; MBA, UCLA, Edward Carter Scholar.

Pamela 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.

Since May 2011 David Newman has been a Senior Managing Director and Investment Banker at Brock Securities LLC, part of Brock’s Capital Markets Group. Mr. Newman has also served as a Director and Chief Business Development Officer at DropCar, Inc. Prior to joining Brock, Mr. Newman served as the Chief Investment Officer of Empire American Holdings LLC (December 2008 – March 2011) and the Chief Operating Officer and a Director of Empire American Realty Trust, Inc. (June 2009-January 2011). Mr. Newman has 20 years of experience in the real estate industry involving many aspects of real estate investment, capital markets, management and development. Mr. Newman also served on the Investment Program Association REIT Committee and Financial Standards Subcommitee (2009-2011). From April 2004 until December 2008, Mr. Newman was part of the Related Retail development group at The Related Companies in New York City.

From 1992 until 2004, Mr. Newman served as General Counsel to Strategic Development Concepts, Inc., a Westchester based real estate company, where he was responsible for helping manage the company’s legal affairs, business operations and commercial property activities. Mr. Newman commenced his career as an attorney with the corporate practice group of Kramer Levin Naftalis & Frankel and subsequently worked in the corporate practice group of Wachtel & Masyr, with a concentration in corporate and securities law. Since 2004, Mr. Newman has served as President of David B. Newman Consultants, Inc., a New York based corporation.

Mr. Newman earned a Juris Doctorate from the Fordham University School of Law in New York, New York in 1985 and a Bachelor of Business Management degree, cum laude, from Hofstra University in Hempstead, New York in 1982.

James Notarnicola is a member of Brock Capital Group LLC. He also provides marketing and strategy advice to retail companies and is an associate consultant to Experience Engineering of Minneapolis, the leading consultancy in customer experience management. Mr. Notarnicola is a partner in J&B Restaurants, Inc. the owner and operator of Friendly’s and Taco Bell franchises in Long Island, N.Y. He is also President of Nicely Bros. Ice Cream Distribution of Richmond, Virginia, an authorized distributor for Unilever brands including Ben & Jerry’s, Breyer’s, Good Humor, Popsicle, Klondike, and other ice cream. He is on the advisory board of Aveus, a Minneapolis strategy and marketing consulting firm.

From 1997 until 2003, Mr. Notarnicola was Executive Vice President and Chief Marketing Officer for Blockbuster Video the world’s largest video retailer and a division of Viacom until 2001 and then a free standing publicly traded company. In that capacity Mr. Notarnicola was responsible for a number of award winning advertising campaigns, directed the development and implementation of Blockbuster Rewards, at the time the largest paid loyalty program in the U.S., directed strategy and creative efforts in over 28 countries with a marketing budget in excess of $300M. Mr. Notarnicola also was responsible for Corporate Communications, was a member of the Viacom Marketing Council, and was named one of Advertising Age’s Top 100 marketers in 1999.

Prior to Blockbuster Mr. Notarnicola was Vice President of Marketing and Communications of 7-Eleven Food Stores, Inc. from 1993 until 1997 responsible for all marketing strategy and creative efforts for 7-Eleven in the U.S. 7-Eleven is publicly traded but majority owned by Ito Yokado of Tokyo, Japan and franchises or operates over 20,000 stores worldwide. During his time at 7-Eleven, Mr. Notarnicola was involved in numerous award winning campaigns, and directed the development of the now famous “Brainfreeze” ads for Slurpee. From 1978 until 1993 Mr. Notarnicola held progressive operating and marketing positions from store manager to vice president of marketing.

Mr. Notarnicola is Vice President of the Society of St. Vincent de Paul. He is a past Trustee of the NAACP, the Mexican American Opportunity Foundation, and the University of Texas Pan Am.

James Notarnicola received his B.S. from the University of Maryland and an Advanced Marketing Certificate from the University of Texas.

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.

Carl H. Pforzheimer, III is a Senior Managing Director at Brock Capital Group LLC and the Manager of Carl H. Pforzheimer & Co., an investment banking firm established in 1901.

Mr. Pforzheimer is currently the Director of Ampco-Pittsburgh Corporation, the Carl and Lilly Pforzheimer Foundation, Inc., the Visiting Nurse Service of New York, the Lincoln Center Institute, and the Bulgarian American Enterprise Fund. He is the current Treasurer of UrbanGlass, formerly the New York Experimental Glass Workshop, Inc. Previously, Mr. Pforzheimer was a Director of the Delaware Management Holdings, Inc., Mark Controls Corporation, the Volunteer Urban Consulting Group, Friends of Scarsdale Library, and Harvard Business School Club of New York, Inc.

Mr. Pforzheimer is a member on the Board of Trustees for the Hoff-Barthelson Music School, the Corning Museum of Glass, the National Humanities Center, and the New York Public Library. He is the current Executive Committee Member and Chairman of the Board of Trustees at Pace University. Mr. Pforzheimer was previously the Chairman of the Board of Horace Mann-Barnard School, continuing on now as an honorary member. He served as Treasurer and Executive Committee member for the Caramoor Center for Music and the Arts, Inc., and was a Designated Representative of the State Comptroller for the Municipal Assistance Corporation for the City of New York. Mr. Pforzheimer was on the Board of Trustees of the Scarsdale Foundation and has served as President of the Scarsdale Union Free School District Board of Education.

Board memberships include the Harvard University Board of Overseers’ Visiting Committee on University Resources, the International Executive Service Corps Advisory Council and the Harvard University Faculty of Arts and Science Financial Aid Council. Additionally, Mr. Pforzheimer is on the Advisory Board of Program in Nonprofit and Leadership for the Harvard University John F. Kennedy School of Government. Prior board memberships include the Visiting Committee to the Center for Middle Eastern Studies, the Scarsdale Planning Board, the New York Public Library Committee on Research Libraries, and the Lincoln Center for the Performing Arts, Inc. Investment Committee.

Mr. Pforzheimer received his A.B. from Harvard College and his Masters in Business Administration from Harvard business School.

Dale Anne Reiss was Ernst & Young’s Global and Americas Director of Real Estate, Hospitality and Construction until her retirement in 2008. With over 40 years’ experience, she has advised public and private real estate and hospitality companies, corporations and financial institutions in all aspects of development, investment and finance.

As Managing Director of Artemis Advisors, LLC, her real estate restructuring and consulting firm based in Sanibel, Florida, she also serves clients in the positions of Senior Managing Director of Brock Capital Group LLC, a boutique investment bank, and Chairman of its affiliate, Brock Real Estate LLC, which specializes in raising capital and mezzanine financing.

Ms. Reiss currently serves as a Director, Chair of the Audit Committee and Member of the Nominating/Governance Committee of iStar Financial, Inc. (NYSE: SFI), a real estate finance and investment firm, as a Director of Tutor Perini Corporation (NYSE: TPC) where she is a member of the Audit Committee and as a Director of Starwood Real Estate Income Trust. She is also a Governor of the Urban Land Institute Foundation. She contributes to her local community as a Trustee of the Police Pension Board, City of Sanibel, FL and as a Board Member of the Southwest Florida Community Foundation.

Ms. Reiss is a former Board member of Post Properties, Inc., (NYSE: PPS), CYS Investment Inc. (NYSE:CYS), Care Capital Trust, Inc (NYSE:CCP), Pension Real Estate Association (PREA) and The Guttmacher Institute.

Ms. Reiss has held leadership positions in a wide range of real estate industry and non-profit organizations such as the American Institute of Certified Public Accountants, Financial Executives Institute, Institute of Management Consultants, National Association of Real Estate Investment Trusts, and The Chicago Network.

Ms. Reiss has a BS in economics and accounting from the Illinois Institute of Technology, an MBA in finance and statistics from the University of Chicago and is a certified public accountant.

Davis Robinson is a member of Brock Capital Group LLP residing in Washington, DC. He is a retired senior partner of the law firm of LeBoeuf, Lamb, Greene & MacRae LLP where his international practice involved trade, investment, finance, dispute resolution and boundary-related matters. More recently, he retired as a senior managing director of Richard C. Breeden & Co. LLC, a corporate governance and restructuring firm where he participated in the government-mandated monitorships of WorldCom and KPMG and in the board-appointed investigation of Hollinger and Conrad Black.

Mr. Robinson began his career as a Foreign Service Officer, with tours in Egypt, Jordan and the Arms Control and Disarmament Agency and as staff assistant to the Secretary of State of the United States. After more than a decade of corporate private law practice in New York and Washington, he was nominated by President Reagan, and confirmed by the Senate, as the Legal Adviser to the Department of State, the general counsel of that agency and the senior government attorney in international law. In this capacity, he supervised the establishment of the Iran-US Claims Tribunal on behalf of the United States and served as the Agent of the United States in two major cases before the International Court of Justice in The Hague. He was heavily engaged during his tenure in such issues as the extraterritorial reach of US law, foreign economic sanctions and complex trade and investment issues. He was deeply involved in the government’s response to such events as Grenada, the Falklands War and the first Lebanon War, the Law of the Sea Convention, the Siberian Pipeline sanctions and international law questions in government cases before the Supreme Court. He traveled extensively in Europe and the Middle East and led missions, among others, to China, the Soviet Union and Japan.

Mr. Robinson is a member and Adjunct Senior Fellow in international law, at the Council on Foreign Relations. He is a member of the American Law Institute where he was an adviser to the Restatement (Third) of the Foreign Relations Law of the United States. He serves as an international arbitrator and is one of four United States panel members of the International Centre for the Settlement of Investment Disputes, a World Bank affiliate in Washington. He is a former President of the American Refugee Committee in Washington, a former trustee of Phillips Exeter Academy and a former Adjunct Professor at Georgetown University Law Center.

Mr. Robinson is a magna cum laude graduate of Yale College where he was elected to Phi Beta Kappa and a cum laude graduate of the Harvard Law School where he was the President of the Harvard Legal Aid Bureau.

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.

James P. Schadt is a member of Brock Capital Group LLC. Previously, he was the Executive Chairman and Acting CEO of Mercator Software, Inc., a General Partner at the private equity firm Dailey Capital Management, and the Senior Operating Partner for Beacon Group, LLC.

Mr. Schadt spent six year at Reader’s Digest Association, Inc., from 1991 to 1997. As Director he managed the DeWitt and Lila Wallace Reader’s Digest Funds, and controlled shareholders of Reader’s Digest. Mr. Schadt was President and COO from 1991 to 1994, President and CEO from 1994 to 1995, and Chairman and CEO from 1995 to 1997.

Mr. Schadt spent 20 years in the food industry serving as the President and CEO of Cadbury Beverages Inc., and was on the Board of Directors of the parent company, Cadbury Schweppes, PLC. From 1984 to 1987 Mr. Schadt was President and Chief Executive of Cadbury Schweppes North America and from 1981 to 1984 he was Senior Vice President of North American Beverages. Prior to his time at Cadbury, Mr. Schadt spent three years at Sara Lee Corporation where he was the President and COO of Electrolux USA and Senior Vice President of Corporate Development and International. Mr. Schadt also spent four years at PepsiCo. Inc., where he was the President of the Wine and Spirits Division and Senior Vice President of PepsiCo Foods International. He began his career in the food industry at Squibb Corporation where he was Vice President and General Manager of Beach Nut Baby Foods. Mr. Schadt previously worked at Glenco, Inc. for Consultant and Sales Promotion and for Proctor and Gamble as Brand Manager of their paper products division.

Mr. Schadt is the Founding Member of the Northwestern College of Arts and Sciences Advisory Board. He was Chairman of the Board until 2001 and remains Co-Chair of the Arts and Sciences $200 million of $1.5 billion “Campaign Northwestern.” He is also a trustee of the University serving on the Development, Alumni Relations, and Steering Committees. Mr. Schadt was a Trustee of the American Enterprise Institute, a public policy think tank in Washington D.C, a Trustee of the DeWitt Wallace Reader’s Digest Fund and the Lila Wallace Reader’s Digest Fund (Arts), and Trustee of the Norwalk Hospital in Connecticut. At Norwalk Hospital, he was also the Chairman of the Medical Affairs Committee, Co-Chair of the $10 million Centennial campaign, and Co-Chair of the $12 million Millennium Campaign.

Mr. Schadt received his B.A. from Northwestern University.

Kathi Seifert retired as Executive Vice President for the Kimberly-Clark Corporation after 26 years at the company. Most recently, Kathi led the team that develops and manages global plans for branding and product positioning, R&D programs, and capital investment for personal care products. In addition, she oversaw the company’s U.S. and Canadian consumer sales forces.

Named to Fortune magazine’s list of the 50 Most Powerful Women in Business, Kathi also was named to Forbes.com’s annual “America’s Top Businesswomen” list.

Kathi is a member of the board of directors of Supervalu, Eli Lilly and Company, Revlon Consumer Products Corporation, Appleton Papers, Lexmark, Inc. the National Board of the U.S. Fund for UNICEF, ThedaCare, and the Fox Cities Performing Arts Center. Kathi also is co-chair of the New North, Inc. an economic development collaboration for Northeastern Wisconsin.

Ms. Seifert received her B.S. from Valparaiso University in Marketing and Management.

Charles Svenson is a member of Brock Capital Group LLC. The focus of his work at Brock has been private equity and investment banking services related to energy, alternative energy, project finance and transportation.

Mr. Svenson began his career as a corporate and securities lawyer at Dewey, Ballantine, Busby, Palmer & Wood, where he specialized in lease and project financing. He subsequently served as Vice President and head of project finance at Goldman, Sachs & Co. specializing in Lease Financing, Energy and Maritime Transportation. Mr. Svenson was also Managing Director and head of project finance, renewable energy, and maritime finance at Donaldson, Lufkin & Jenrette.

Mr. Svenson is currently serving as Co-Chairman of the Investment Committee at Hamilton College. He also holds a number of positions at various not-for-profit organizations including The Harvard Law School Association, Chairman of the Adirondack Nature Conservancy and Adirondack Land Trust, and board member of The Natural Museum of the Adirondacks. Mr. Svenson is a member of both the American and the New York State Bar Associations.

Charles earned a B.A. with highest honors from Hamilton College in 1961 and an L.L.B. cum laude from Harvard Law School.

Donald C. Walkovik is a member of Brock Capital Group LLC. Mr. Walkovik leads the Firm’s mergers and acquisitions line of business.

Previously, Mr. Walkovik was a partner of the law firm of Sullivan & Cromwell for 30 years until his retirement in September 2011. He joined Sullivan & Cromwell as an associate in 1973. In his career as a business, financial and M&A lawyer, he has acted as advisor to leading commercial and investment banks, insurance companies, industrial and mining corporations, and their boards of directors with respect to, among other areas, M&A matters, corporate governance matters including corporate investigations, executive succession plans, and compliance with Sarbanes-Oxley and Federal governance requirements, restatements of audited financial statements, corporate restructuring, spin-offs, demutualizations, corporate finance and other sensitive matters. He founded and acted as the first managing partner of Sullivan & Cromwell’s Hong Kong office, making it the most rapidly growing office in Sullivan & Cromwell during his tenure. While in Hong Kong, he also established Sullivan & Cromwell’s Beijing office. He also established that Firm’s Corporate Reorganization Group. He also was for a number of years a member of Sullivan & Cromwell’s Firm Managing Partners Committee.

Mr. Walkovik is involved with Renaissance Development Corp., a lower east side small business leader. He is also a Member of the Dean’s Advisory Board for the University of Wisconsin’s School of Business.

Mr. Walkovik graduated from the University of Wisconsin with a B.B.A, with highest distinction, in 1970 and received a J.D., cum laude, in 1973, from Harvard Law School.

Hunt is Chief Administrative Officer at Brock. His work with Brock clients has been primarily in the areas of financial and general management effectiveness.

Hunt’s prior career began at Citibank with 16 years of corporate lending and relationship banking at Citibank in a number of specialized industry groups including transportation; oil, mining and chemicals; real estate; and construction and engineering. For the subsequent 18 years he held business development positions with a number of institutional investment management firms including Citicorp Investment Management, Chancellor Capital Management and Invesco Capital Management.

Hunt has served as an officer and director of a number of not-for-profit organizations and currently is Executive Director of the American Foundation for Affordable Housing, Inc.

He is a graduate of Harvard College in 1965 with Honors in Chinese Studies and of Harvard Business School in 1967. While an officer in the US Air Force, he completed a year of the night program at Georgetown Law School.

Rosalie J. Wolf is a member of Brock Capital Group LLC and is Managing Partner of Botanica Capital Partners LLC, which provides investment consulting services to family offices, institutional investors, and fund managers.

Previously, she served as Managing Director and Investment Committee member at Offit Hall Capital Management LLC, a private wealth management firm, where she founded and led the Firm’s private equity fund of funds business. Ms. Wolf was Treasurer and Chief Investment Officer of The Rockefeller Foundation, directing investment of the Foundation’s $3.8 billion endowment, spanning all asset classes. She was a Managing Director co-heading private equity investments at Bankers Trust, a private equity principal at Sprout Capital -DLJ’s private equity arm, and a partner at AEW, a real estate investment firm. Ms. Wolf has also served as Treasurer of International Paper Company and as Assistant Treasurer-International at Mobil Oil, advising affiliates in Europe, Asia and Latin America.

Ms. Wolf is a Trustee of TIAA-CREF and chairs the TIAA Audit Committee. She is Chairman of the Board of The Sanford C. Bernstein Fund Inc., a mutual fund group. She is also a Director of the North European Oil Royalty Trust, a NYSE company, and is a member of its Audit and Compensation Committees. She was a Director and Chairman of the Finance Committee of Airborne, Inc. until it was sold in September 2003. Ms. Wolf also serves on the Investment Committee of the David and Lucille Packard Foundation, and has earlier served on boards and investment committees of other large institutions.

Ms. Wolf earned her B.A. in Mathematics and Economics from Wellesley College where she was elected to Phi Beta Kappa. She holds an M.A. in mathematics from Northwestern University.

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.

Mr. Zenker began his career in 1977 in the Investment Analysis and Research Department at J. Henry Schroder-Wagg in London. In 1978, he formed a partnership, Frith, Kirk & Zenker, providing management and marketing consulting services to European companies operating in the Arabian Gulf. He was based in Sharjah, U.A.E. where to complement his consulting work, he developed and managed under the direction of Frederick Pittera, an American pioneer in the exhibition industry, the Arabian Gulf’s leading exhibition, conference and entertainment center from 1978 – 1982. Following the overthrow of the Shah of Iran in 1979, the assassination of Egyptian President Sadat in 1981 and the general economic downturn of the region, in mid-1982 Mr. Zenker returned to the U.S. where for two summer seasons he was the Executive Director of the Waterloo Foundation for the Arts, overseeing the foundation’s historic village and music festival in Stanhope, NJ. In 1983, Mr. Zenker joined the fixed income department at Bear Stearns in New York, working first in high yield bonds and then specializing in bankruptcies and restructurings. He subsequently worked in the same field at Oppenheimer & Co. from June 1988 to June 1991 and Jefferies & Co. from July 1991 to April 1993. Following Jefferies, he served as President of Van Beuren Capital Management where he acted as both principal and advisor in connection with private equity investments related to energy, life sciences, real estate, gaming, advertising and general industrial manufacturing. Mr. Zenker has a B.A. from Brown University and a M.B.A. from the Wharton School of Business.

Gary Zimmerman is a Managing Director at Brock Capital LLC. He also serves as the Managing Partner of Six Trees Capital LLC and is the Founder and CEO of Max (MaxMyInterest.com), a financial technology company focused on bringing efficiency and transparency to the multi-trillion dollar market for cash. Previously, Gary was a Managing Director at Citigroup, where he served as Global Head of Strategic Solutions for Sovereign Wealth Funds, responsible for advising these funds on their direct investment activities globally. In that role, he spent considerable time in Europe, the Middle East and Asia advising funds with more than $5 trillion of assets under management.

Earlier, Gary led Citigroup’s cross-border M&A business in Japan, advising multinational corporations, financial institutions and private equity funds on their strategic ambitions overseas. Prior to joining Citigroup, he worked as an investment banker advising electric and gas utility and energy clients at Merrill Lynch & Co. and SG Barr Devlin, a division of Societe Generale, both in New York.

Gary graduated magna cum laude from Harvard University with a degree in Economics, and subsequently completed an executive education program at the Wharton School of The University of Pennsylvania.