Arcadia Securities

Thomas P. Kikis, President and Managing Member

Thomas P. Kikis is the Managing Member and President of Arcadia Securities LLC a New York based registered broker-dealer which he organized in 1998. Prior to that he was Vice President in charge of trading and a Portfolio Manager at Deltec Securities the New York subsidiary of an international investment bank. Previously, he was the Chairman of Command Security Corporation. Mr. Kikis has a B.A. from Princeton University and an Executive M.B.A. in Finance from the New York University Stern Graduate School of Business.

Charles Kontulis, Managing Director and Registered Options Principal

Mr. Kontulis has thirty years of diverse industry experience and has been with the Firm since 1999. Prior to joining Arcadia Securities, he worked at Lehman Brothers and Ford Motor Company. Mr. Kontulis earned a B.A from Princeton University and an M.B.A from the University of Michigan.

Basil Christakos, Chief Compliance Officer

Prior to joining Arcadia Securities, Mr. Christakos was the Chief Compliance Officer of Paulson Investment Company, LLC and Paramount BioCapital, Inc. He has over twenty-five years of industry experience, working with firms that focus on both private equity and venture capital investments. Mr. Christakos received his B.A. in Politics from New York University.

Kurt Ruehman, Trading and Operations

Mr. Ruehman has over twenty-five years of industry experience and has been with the Firm since 2007. Prior to joining Arcadia Securities, he was an Equity Trader at Axiom Capital Management for seven years.

Daniel Weston

Mr. Weston has provided institutional sales trading in small and micro-cap value-oriented companies, as well as event-driven or special situations through WestCap Management since November 2006. Mr. Weston has twenty-five years of industry experience, including six years as an Executive Director in the Middle Markets Equity Group at CIBC World Markets and Oppenheimer. Mr. Weston earned a Bachelor of Science degree in Finance from Arizona State University.

Gary Hindes

Mr. Hindes has been involved in the securities industry for over forty years, including tenures with Blyth, Eastman Dillon; Paine, Webber, Jackson and Curtis; Kidder Peabody, and Morgan Stanley. He focuses on following companies which are in bankruptcy or distress.  He joined the firm in 2010.

Hamed Moghaddam

Mr. Moghaddam focuses on assisting early stage through middle market companies in the technology sector capitalize on their highest value growth and financial opportunities through Hermes Capital Advisors. He offers a variety of capital raising and strategic and financial advisory services in connection with mergers & acquisitions, private placements, valuations and fairness opinions.  He joined the firm in 2009.

Brookline Capital Markets

William B. Buchanan, Jr., Managing Partner served as the Chief Executive Officer of Lazard Capital Markets for seven years until founding Brookline. He also served as Head of Equity Capital Markets, Co-Head of U.S. Corporate Finance, and Head of the Commitment Committee at Lazard Frères & Co. Prior to Lazard, Mr. Buchanan served on the Executive Committee as Head of Capital Markets at SG Cowen & Co.

Mr. Buchanan received his B.A. in Economics from the University of Virginia and his M.B.A. from the Harvard Graduate School of Business Administration.

Michael Fontaine, Managing Partner

Mr. Fontaine is a Managing Partner at Brookline and oversees Equity Capital Markets and Syndicate. Prior to joining Brookline, Mr. Fontaine served as Head of U.S. Equity Syndicate at BTIG, and also a Director at Lazard Capital Markets managing Lazard’s public financing business.

Mr. Fontaine received his Bachelor of Science in Chemistry from Furman University and his M.B.A. from Southern Methodist University.

Scott A. Katzmann, Managing Partner

Prior to founding Brookline, Mr. Katzmann served as Senior Managing Director of Opus Point Partners. Prior to Opus Point, he served as Managing Director at Paramount BioCapital. Prior to Paramount, Mr. Katzmann held similar investment banking positions at First Boston and its successor, Credit Suisse First Boston.

Mr. Katzmann received his B.A. in Economics from Tulane University and his M.B.A. from the Wharton School at the University of Pennsylvania.

Harris R.L. Lydon Jr., Managing Partner

Prior to founding Brookline, Mr. Lydon served as Managing Director at Summer Street Research Partners where he specialized in private equity and venture capital healthcare investments. Prior to Summer Street, he served as Managing Director at Paramount BioCapital. Mr. Lydon also served as Director at Alex. Brown & Sons and Deutsche Bank, specializing in growth equity financing as well as private wealth management.

Mr. Lydon received his B.A. in Managerial Finance from the University of Mississippi.

Graham A. Powis, Managing Partner

Mr. Powis focuses on the firm’s public financing and capital markets advisory business lines. Prior to joining Brookline, he served as Head of BTIG’s Investment Banking Group, and previously Mr. Powis spent seven years at Lazard as Head of U.S. Equity Capital Markets.

Mr. Powis received his B.A. in Economics from Colby College and his M.B.A. in Finance from New York University.

Patrick Sturgeon, Managing Partner

Mr. Sturgeon focuses on the firm’s SPAC effort, both underwriting IPOs and acting as an M&A Advisor. Prior to joining Brookline, Mr. Sturgeon spent approximately a decade at Freeman & Co., focusing on the Financial Services sector.

Mr. Sturgeon received his B.A. in Economics from the University of Massachusetts, Amherst and his M.B.A. in Finance from New York University.

Samuel P. Wertheimer, Ph.D., Managing Partner, Senior Scientific Advisor

Dr. Wertheimer is a Managing Partner and Senior Scientific Advisor at Brookline and focuses on scientific and clinical development issues confronting public and private companies. Prior to joining Brookline, Dr. Wertheimer was a Partner in the private equity group at OrbiMed Advisors, a leading healthcare investment firm. While at OrbiMed, he helped raise four venture capital funds totaling more than $1.4 billion in committed capital. He led investments in companies that brought to market several drugs including Treanda®, Cayston®, Orbactiv® and Horizant®, and he has served on the board of directors of both private and public companies.

Dr. Wertheimer received his B.A. from The Johns Hopkins University, his M.P.H. with honors from Yale University and his Ph.D. from New York University.

Kemp Dolliver, CFA,Director of Research & Senior Analyst

Kemp Dolliver is the Director of Research and a Senior Analyst at Brookline. Mr. Dolliver has extensive healthcare experience across multiple sell-side and buy-side roles in the U.S and Asia. His buy-side roles have included portfolio management positions at both Aetna and Bank of America. He has an august history as a sell-side analyst at Cowen & Co, and others. The Wall Street Journal has recognized him four times for his stock picking abilities in its “Best on the Street” survey.

Leah Rush Cann, M.B.A., Biotechnology Analyst

Leah Cann is a biotechnology research analyst at Brookline. Previously, she was a Managing Director at Oppenheimer & Co. and Wachovia Securities. Twice recognized as an All-Star analyst by the Wall Street Journal, she is the founder of Leah Rush Cann Research and Consulting, LLC, an oncology research and consulting organization.

Ms. Cann received a B.A. in in Art History and Chemistry and an M.B.A from Stetson University. She was a post-baccalaureate at the College of William and Mary and a post-graduate at Columbia University. While a graduate student at William and Mary in 1984, she was Miss Virginia-USA, and represented her state in the Miss USA pageant. Ms. Cann has been a trustee and member of several committees of International House in New York City for more than 20 years. She has served on the Board of Directors of MEI Pharma, Inc. and currently serves on the Advisory Board of the RNA Institute at Beth Israel Deaconess Medical Center’s Cancer Center at Harvard University. In 2007, she founded the RI-based cancer research charity, Hope Funds for Cancer Research, where she continues to serve on the board and chairs its Executive Committee.

Edward Heaney, Managing Director

Mr. Heaney is a Managing Director at Brookline and serves as manager for our public capital markets salesforce. Prior to joining Brookline, Mr. Heaney served as the Head of US Institutional Equity Sales at Mizuho for nearly 3 years. Mr. Heaney was also the Head of US Institutional Equity Sales at CLSA Americas, LLC for 2 years. Most recently, Mr. Heaney had served as Senior Consultant for Quintain Analytics for nearly 2 years. Additionally, Mr. Heaney served as Founding Partner, President and Chief Operating Officer at EverKey Global Partners for nearly 5 years, as well as Senior Portfolio Specialist for 3 years. He also worked for Morgan Stanley for 17 years and was a Managing Director and Head of International Equity Distribution in North America.

Mr. Heaney received his B.A. in Business from Gettysburg College.

Michael D. Rhea, Managing Director

Mr. Rhea is a Managing Director at Brookline and is actively involved in the firm’s public financings and capital markets advisory businesses. Prior to joining Brookline, Mr. Rhea spent many years at Oppenheimer & Co., in both Institutional Equity Sales and Equity Capital Markets roles.

Mr. Rhea received his B.A. in Psychology from Tulane University and his J.D. from Tulane University with a focus on litigation and maritime Law.

Noah Uzal, Managing Director

Noah Uzal was most recently a Managing Director at Fiduciary Trust International, a global wealth manager and subsidiary of Franklin Templeton Investments, where he was responsible for building investment and trust relationships with individuals, family offices, foundations and endowments. Mr. Uzal was previously a business development specialist at Alex.Brown, a division of Raymond James, in New York. He also spent nine years at Deutsche Bank, where he facilitated equity and fixed income transactions for institutional clients. Mr. Uzal completed his tenure at Deutsche Bank as assistant vice president in asset and wealth management covering institutional clients. He began his career as an analyst in the capital raising group at Channel Capital Group in New York.

Mr. Uzal graduated from Florida State University with a bachelor’s degree in political science.

Jake W.C. Ward, Director

Mr. Ward has been on the Sales and Trading side of Investment Banking for over 25 years. At Brookline, he is the Director of Sales and Trading and oversees the firm’s trading capabilities. Prior to joining Brookline, Mr. Ward served as a Director of US Equity Sales and Trading in the Institutional Equity Division of Leerink Partners for five years. Mr. Ward previously held similar positions at Deutsche Bank and Knight Securities as an OTC trader.

Zachary C. Ross-Nash, Vice President

Mr. Ross-Nash is a Vice President at Brookline focusing on the firm’s public financing and private placement activities. On the public financing front, Mr. Ross-Nash focuses on SPACs, including IPOs and M&A. Mr. Ross-Nash also assists with the firm’s private placement efforts in the life sciences sector. Prior to Brookline, Mr. Ross-Nash spent three years working in Investment Banking at Crédit Agricole, focusing on Equity Capital Markets and Equity Derivatives Structuring.

Drew Crovello, Associate

Mr. Crovello focuses on the firm’s public and private financings in an equity sales capacity. Prior to joining Brookline, Mr. Crovello worked at ThinkEquity on the ECM desk. Prior to ThinkEquity, Mr. Crovello worked as an analyst on the Quantitative and Multi-Asset Class Investment team at Neuberger Berman, focusing on both equity and absolute return strategies. Prior to Neuberger Berman, Mr. Crovello worked as an associate at PwC in the financial markets group, focusing on structured credit and debt valuation.

Robert J. Donohue, Vice President

Mr. Donohue is an Investment Banking Associate at Brookline and focuses on the firm’s public financing and capital markets advisory business lines. Prior to joining Brookline, Mr. Donohue served as an analyst at Bain & Company in Boston. During his tenure at Brookline, Mr. Donohue has participated in over a dozen of Brookline’s public investment banking transactions, as well as several capital markets advisory assignments.

Scott E. Katzmann, Associate

Mr. Katzmann is an Investment Banking Analyst at Brookline and focuses on the firm’s public and private financing efforts. Prior to joining Brookline, Mr. Katzmann interned at Fox News with the “Mornings With Maria” production team. He first gained valuable internship experience in investment banking at Brookline during the summer of 2015, when he was exposed to a number of private financings.

Mr. Katzmann is a graduate of Tulane University, where he received his B.A. in English.

Joseph Rudick, M.D., Senior Scientific Advisor

Dr. Albert Joseph Rudick has been a partner of Associate Ophthalmologists P.C., a private ophthalmology practice located in New York. Dr. Rudick was a co-founder of biotechnology company Effective Pharmaceuticals, Inc., Chief Medical Officer of Synthetic Biologics, and co-founder, Chief Executive Officer President and a Member of The Board of Directors of Atlantic Technology Ventures, Inc. (now TG Therapeutics, Inc.). At Brookline, Dr. Rudick focuses on PIPE and private placement financings.

Dr. Rudick earned a B.A. in Chemistry, with the distinction of Phi Beta Kappa, from Williams College and a Doctorate of Medicine, with the distinction of Alpha Omega Alpha, from the University of Pennsylvania

B. Dyson Capital Advisors

Brendan Dyson, Managing Partner

Brendan founded B. Dyson Capital Advisors to provide clients with unique and differentiated capital structure advice and transaction services otherwise unavailable in the market. Brendan’s four-decade track record of creativity, innovation, and confidence in challenging the status quo has resulted in extraordinary outcomes for clients. Prior to founding B. Dyson Capital Advisors, Brendan led Lazard’s Convertible Advisory business where he specialized in private convertible exchanges, completing over 50 exchanges totaling more than $10 billion of value.

Mr. Dyson received a B.S. in Finance from University of Connecticut and an M.B.A. in Finance from New York University.

Henry Fulop, Managing Director

Prior to working at B. Dyson Capital Advisors, Henry was a director at Lazard Freres on the Convertible Trading Desk where he spent 16 years. Henry started his career on the Convertible Trading Desk at Prudential Securities in 2000.

Henry received his B.A. in Political Science from the University of North Carolina at Wilmington.

Tiberius Capital Markets

Aaron Greenberg, Managing Partner

Mr. Greenberg is the Managing Partner of Tiberius Capital Markets, an embedded advisory firm that specializes in cross-border M&A and strategic partnerships. Prior to Tiberius Capital Markets, he served as Chief Strategy Officer of European Sustainable Growth Acquisition Corp. (Nasdaq: EUSG), which successfully merged with ADS-TEC Energy (Nasdaq: ADSE). Concurrent to EUSG, Mr. Greenberg served on the investment team for Lucerne Capital Management, a European-focused investment firm. Prior to joining Lucerne, Mr. Greenberg worked in various roles for Wells Fargo Bank and its affiliates. 

Mr. Greenberg attended Yale University where he earned a B.A. in Economics and B.A. in History.

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