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.

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.

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.

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.

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.

Charlie Mather, Senior Managing Director

Mr. Mather is a Senior Managing Director at Brookline focused on the firm’s public financings and capital markets advisory business. Mr. Mather joined Brookline Capital Markets from Truist Securities, where he previously served as a Managing Director in the firm’s Equity Capital Markets division. Prior to his time at Truist, Charlie served as a Managing Director and Head of Capital Markets Origination at BTIG, LLC, Head of Private and Alternative Capital and Co-Head of Equity Capital Markets at Janney Montgomery Scott, LLC, and Head of the Structured Equity Group at Jefferies Group Inc. Earlier in his career, he also held various senior investment banking positions at Cowen and Company, including as Co-Head of the Private Equity Group. Charlie currently serves on the Board of Directors at Eyenovia, Inc. (NASDAQ: EYEN) and a private family office. Previously, Mr. Mather served on the board of Tonix Pharmaceuticals Holding Corp. (NASDAQ: TNXP) until February 2019 and The Finance Company of Pennsylvania until August 2017.

Mr. Mather earned his B.A. from Brown University and his M.B.A. from The Wharton School at the University of Pennsylvania.

Dimitre Genov, Managing Director

Dimitre Genov has three decades of experience in investment banking, special situations investing, finance and asset management. Dimitre Genov is currently a Managing Director at Brookline Capital Markets, advising clients on traditional public, private, and other alternative capital-raising and investment strategies including SPACs, PIPEs, private placements and public offerings. Before Brookline Capital Markets, Dimitre was a Portfolio Manager at Balyasny Asset Management, where he was part of the event-driven group, managing a SPACs’ portfolio with peak AUM of over $1bn. Prior to Balyasny, Dimitre worked at Magnetar Capital where he was a Sector Head for a SPACs’ portfolio with over $1B of peak AUM. Prior to Magnetar, Dimitre was a Partner and Director of Research at Noster Capital, where he focused on global value investing and special situations. Prior to Noster Capital, he was a Portfolio Manager at Julius Baer, where he co-managed the Global Equity and Global Balanced Asset Allocation funds with over $1B peak AUM. Prior to Julius Baer, he was a Portfolio Manager and Senior Analyst in JP Morgan’s Global Event-Driven Group. Dimitre Genov started his career at Lazard as an investment banker, advising companies on capital markets financings, mergers and acquisitions and restructurings.

Dimitre received a dual M.B.A. with Honors from Columbia Business School and London Business School, and a B.A. with Honors in Applied Mathematics and Economics from Harvard.

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.

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.

Mr. Donohue received a B.A. in Economics from Colby College. While at Colby, Mr. Donohue was a member of Colby’s Varsity Baseball Team.

Scott E. Katzmann, Vice President

Mr. Katzmann is a Vice President at Brookline Capital Markets, where he focuses on originating and executing private and public capital markets transactions for growth-stage companies. His experience includes structuring and marketing private placements, PIPEs, and registered direct offerings. He works closely with institutional investors, family offices, and high-net-worth investors to raise capital and support company growth initiatives. Mr. Katzmann began his career with Brookline in 2015 and has since been involved in a wide range of financing transactions.

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

Hayden Edwards, Associate

Mr. Edwards is an Investment Banking Analyst at Brookline and focuses on the firm’s public financing and capital markets advisory business lines. Prior to joining Brookline full-time, Mr. Edwards completed a summer internship with the firm. Mr. Edwards additionally completed internships in Healthcare Management Consulting with Slalom Consulting and Sales & Trading with TD Securities prior to Brookline. He has also served as a Volunteer EMT with Darien EMS – Post 53 since 2014.

Mr. Edwards graduated from Colby College with a B.A. in Economics. While at Colby, Mr. Edwards was a member of the Colby Rugby Football Club.

Arber Prela, Analyst

Mr. Prela is an Investment Banking Analyst at Brookline and focuses on the firm’s public financing and capital markets advisory business lines. Prior to joining Brookline full-time, Mr. Prela completed a year-long internship in M&A Investment Banking with Sax Capital Advisors. Mr. Prela has also completed internships in Audit & Assurance with Sax LLP and Schall & Ashenfarb, CPAs, LLC.

Mr. Prela graduated from Fordham University with a B.S. in Finance.

Michael Dean, Managing Director

Mr. Dean is a Managing Director in Sales and Trading, focusing on debt and equity syndicate. Prior to joining Brookline, Mr. Dean was at Wall Street Access as co-head of Preferred Stock trading. Throughout his career spanning 28 years Mr. Dean has held roles at Chapdelaine Corporate Securities, Tradition North America, and TP Icap covering clients ranging from institutional buy side accounts, family offices, high net worth clients to a wide spectrum of broker dealers.

Mr. Dean graduated from Fordham University with a bachelor’s degree in English.

Ashley Helm, Managing Director

Mr. Helm joined Brookline as a Managing Director of Sales and Trading after 5 years at Wall Street Access as co-head of Preferred Stock trading. For just under 3 decades Mr. Helm has worked at Chapdelaine Corporate Securities, Tradition North America and TP Icap focusing on Preferred Stocks and Equities. He has served and cultivated a client base of high-net-worth individuals, institutional investors, and broker dealers.

Mr. Helm holds a bachelor’s degree in business administration from the University of Miami.

Brian Redican, Managing Director

Mr. Redican is a Managing Director at Brookline with a focus on Institutional Sales. Prior to joining Brookline, Mr. Redican served in senior roles in the wealth management space including as a Senior Vice President at Citi Smith Barney. He also worked with a few well-established Wall Street firms in Institutional Equity Sales and Trading roles

Mr. Redican holds a bachelor’s degree in marketing from Lynchburg University.

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.

Mr. Ward graduated from Rollins College in Winter Park, Florida with a B.A. of Political Science.

Jordan Cooper, Vice President

Mr. Cooper is a Vice President at Brookline focusing on providing growth capital to both public and private companies in the technology and healthcare sectors. He joined the firm after spending 20 years at Andrew Garrett, Inc., where he focused on the acquisition and management of investment portfolios on behalf of individuals, family offices and non-profit organizations, successfully building a book of business with $100 million AUM during his tenure there. He began his career as an analyst in the Institutional Sales/Trading group at WJ Nolan in New York.

Mr. Cooper graduated from Cornell University with a B.S. in Applied Economics and Management.

Connor Norton, Associate

Mr. Norton has a background in healthcare primary market research for hedge fund clients through his role at Third Bridge, as well as alternative investment and portfolio analysis in an investment advisory setting with Global Investment Advisory.

Mr. Norton holds a B.S. in Neuroscience from the University of Vermont.

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.

Mr. Dolliver received a B.S. in Commerce from the McIntire School of Commerce, where he currently serves on the Advisory Board, and an M.B.A. from the Darden School of Business at the University of Virginia.

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.

Fozia Ahmed, Ph.D., Equity Research Associate

Fozia Ahmed, Ph.D. is an Equity Research Associate in Biotechnology at Brookline, joining the firm in December 2025. She brings over five years of sell-side equity research experience covering SMID-cap biotechnology companies across oncology, metabolic, rare, and autoimmune diseases. Prior to Brookline, she held equity research roles at Rodman & Renshaw, EF Hutton, Roth Capital Partners, and Berenberg Capital Markets.

Dr. Ahmed holds a Ph.D. in Materials Science & Engineering (Biomaterials) and a Master’s degree in Biotechnology from Johns Hopkins University, and a B.S. from Denison University.

Kumar Raja, Ph.D., Biotechnology Research Analyst

Kumar Raja, Ph.D., M.B.A. is a Senior Biotechnology Research Analyst at Brookline. Dr. Raja has more than a decade of experience as an Equity Research Analyst in the health care industry with a focus on biotechnology sector. Previously, he was Managing Director, Senior Research Analyst covering biotechnology at ROTH Capital Partners. He started his equity research career in 2010 as a Senior Associate Analyst on the Citi Research biotechnology team that was continuously ranked highly for biotechnology in the All-America Institutional Investor survey. Dr. Raja’s expertise includes bottom-up scientific, financial analysis on companies across therapeutic areas and spectrum of market capitalizations. Dr. Raja has strong quantitative, scientific background with in-depth biotechnology and health care industry knowledge leveraged to identify compelling investment opportunities. Dr. Raja has substantial experience working with leading U.S. institutional clients. He has deep knowledge of health care industry including drug development, intellectual property, FDA and EMA regulations, reimbursement coverage and clinical science. Dr. Raja conducted post-doctoral research at Mayo Clinic to understand the epigenetic causes of cancer and at Los Angeles Biomedical Research Institute to elucidate the molecular mechanisms concerning the role of human bone marrow stem cells in normal and leukemic hematopoiesis.

Dr. Raja received his Ph.D. in biological sciences from Bowling Green State University and MBA from University of California, San Diego.

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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