- Charles L. Brock Chairman and Chief Executive Officer
Director, designated “financial expert” and audit chair of public companies; investment banker; corporate lawyer with operating experience.
Director, B+H Ocean Carriers.
Managed numerous businesses including the twelve subsidiaries of Compton Communications (now Saatchi & Saatchi); Former Publisher and President, Scholastic International, also CFO and COO. Carter, Ledyard & Milburn; Sullivan & Cromwell; Director, B+H Bulk Carriers (subsequently, Excel Maritime Carriers) and B+H Maritime Carriers; President, Harvard Alumni Association; President, Harvard Law School Association.
Northwestern University B.A.; Harvard Law School J.D.; Harvard Business School, AMP
Raised capital for international and domestic companies, both private and public, using debt, equity and innovative equity-related financing instruments. Investment banking activities have included public offerings, private placements, mergers and acquisitions, special purpose acquisition companies (SPACs), private investments in public equity (PIPEs) and secondary offerings. Industry expertise includes shipping, natural resources, oil and gas, alternative energy, financial services, asset management, biotech and technology. A former managing director of Sunrise Securities Corp.
Touro College BS.
Susan D. Austin Senior Managing Director212-209-3000 ext. 170
Investment banker with significant experience in telecommunications, media and broadcasting industries. Vice Chairman of Sheridan Broadcasting Corporation. Board member for Broadcast Music, Inc. (BMI) (Chairman), the Prudential Variable Annuities Funds (i.e., Advanced Series Trust, The Prudential Series Fund and Prudential’s Gibraltar Fund), Hubbard Radio, LLC, and the MacDowell Colony (President); Vice President in the Communications, Media and Entertainment group at Goldman, Sachs & Co; Bear, Stearns & Co., Salomon Brothers and Citicorp. AB, Harvard University; MBA, Stanford.
Christoph T. Bene Managing Director
Experienced corporate finance, merger integration and change management consultant; CFO and global transformation executive; Commercial banking executive and private equity investments; Six Sigma Black Belt. MBA, NYU Stern School of Business and BA, Skidmore College.
Alan J. Biloski, Ph.D. Senior Managing Director212-209-3000
Former Head of Pharmaceutical/Biotech M&A at Merrill Lynch; Founder and Global Head of Healthcare Group at Wasserstein Perella; alumnus of M&A Group at First Boston. >$150 Billion in career transaction volume. Director, The Boyce Thompson Institute for Plant Research.
Yale University, B.S, M.S.; Cornell University, M.S., Ph.D.; Columbia University M.B.A.
Storm Boswick is a member of Brock Capital Group LLC and an experienced Founder, Partner, and Senior Managing Director in the Asset Management and Investment Banking industries. Mr. Boswick is an experienced Venture Capitalist, Long/Short Portfolio Manager and Asset Manager, and a skilled investor and advisor in Public & Private Equity, and Public & Private Debt. As an Investment Banker, Mr. Boswick is an experienced advisor on Governance matters, Capital Markets, Capital Introduction, and Corporate Advisory including Mergers & Acquisitions. Mr. Boswick is a strong business development professional with extensive experience as an investment and/or industry conference presenter, and media contributor.
Mr. Boswick worked in Investment Research at Goldman Sachs; was a Partner and Portfolio Manager at J&W Seligman; Portfolio Manager at Sigma Capital (SAC); Founder and Portfolio Manager at Brompton Cross Capital; Managing Director at Medley Capital, and at Brightwood Capital; and, Senior Advisor to MC Credit.
Mr. Galligan is a Managing Director with Brock Capital Group, where he focuses on the origination and execution of raising capital for middle market private companies and select funds. He has led and/or served on deal teams across industry verticals including aerospace, energy, healthcare, industrial, infrastructure, real estate and technology-enabled services. Mr. Galligan is also focused on the new investor outreach and business development of Brock Capital Group. Mr. Galligan was the Managing Partner of Cavan Consultants. Through Cavan, Mr. Galligan has worked extensively with a confidential bulge bracket international investment bank as well as with Barclay Investments, Campfire Capital and Spurrier Capital Partners. Engagements have been focused on enterprise and reputation risk management, capital introductions, fundraising, business development and capital markets financings. Previously, Mr. Galligan was the North American Head of Public Sector Debt Capital Markets at HSBC. Mr. Galligan’s 12+ year career at HSBC included origination and execution coverage of some of the most high profile, high volume and regular borrowers in the international capital markets. This Capital Markets role required a global investor outreach. Financings included small private placements up to large, public debt financings, in various currencies and utilizing various structures. Mr. Galligan began his finance career with Analyst roles at Credit Suisse First Boston and at Barclays Capital. Mr. Galligan served as an Infantry Officer in the United States Army. Mr. Galligan received a B.S. in International Relations from the United States Military Academy at West Point. He holds Series 7, 24, 63 and 79 Certifications.
Mr. Goldstein is a Director at Brock Capital Group, where he focuses on providing advisory services in connection with a variety of complex private equity financings, due diligence and fiduciary assignments. He has led and/or served on deal teams across industry verticals including industrials, transportation, energy, aerospace and technology-enabled services, as well as for pension fund clients.
Mr. Goldstein is a member of Brock Fiduciary’s Valuation Committee, which is responsible for decisions related to Brock’s assets under management for which Brock serves as an independent fiduciary under ERISA.
Previously, Mr. Goldstein was an analyst at Idea Group Securities, a boutique investment bank focused on providing advisory services to companies with specialized financing needs. Mr. Goldstein began his career with seasonal Analyst roles at Citi and Goldman Sachs.
Mr. Goldstein holds a BS in accounting from Lander College.
Investment banker; business consultant; published author; expert in Asian, Eurasian and global affairs.
Experienced in M&A, strategic advisory work, and capital raises in industries such as energy, technology, mining, life sciences, transportation, consumer goods, and commercial real estate; previously, Director and Managing Director, Brock Securities Group; Editor-in-Chief, Harvard Asia Quarterly; Center Associate, Davis Center for Russian and Eurasian Studies, Harvard University; Associate in Research, Korea Institute, Harvard University; FINRA Series 7 & 63; Member, Pacific Council on International Policy.
Williams College B.A.; Harvard University Ph.D.
David B. Newman Senior Managing Director212-209-3000 ext. 130
Over 20 years experience in real estate investment, capital markets, management and development. Former chief investment officer, Empire American Holdings LLC, one of the largest national multi-family property owners in the United States. Formerly part of the retail development group at The Related Companies; general counsel of Strategic Development Concepts, Inc., a Westchester based real estate company; part of the corporate practice group of Kramer Levin Naftalis & Frankel.
Hofstra University; Fordham University School of Law J.D.
Peter has an extensive background in finance and investing, with experience in private investments, corporate finance, mergers & acquisitions, capital markets, private equity and investment strategy.
Previously, Peter was at G2 Investment Group, an early-stage private investing firm developing innovative structures in the private equity sector. Peter also worked with Berkshire Capital Securities, a New York based merger/acquisition advisor focused on serving clients in the investment management and securities industry. At Berkshire, Peter co-headed the wealth management advisory group, advising on strategic issues with RIAs, multi-family offices, trust banks, investment counselors and investment consultants.
Prior to joining Berkshire, Peter was with the Citigroup private bank in the Global Investment Strategy Group, supporting relationship bankers throughout the private bank’s worldwide network. He also worked at Donaldson, Lufkin & Jenrette in the international banking group advising emerging market firms on capital raising and financial strategy.
Peter received a B.A. from Dartmouth College and an M.B.A. from the Tuck School at Dartmouth.
Jay Rodin Chairman and Senior Managing Director, Capital Markets Group212-209-3000 ext. 140
Over 27 years experience in capital markets and investment banking. Former managing director at S. Goldman Capital; president, Idea Group Holdings, a boutique investment bank specializing in raising capital in the maritime, natural resource and energy sectors through alternative structures; senior managing director, Sunrise Securities Corp; head of Nomura Securities global equity sales desk; president of Carlyle Securities, a merchant banking boutique.
New York University M.B.A.
Charles O. Svenson President, Chief Executive Officer, and Chief Compliance Officer212-209-3000 ext. 125
Investment banker, expertise in energy, alternative energy, project finance and transportation.
Co-Chairman, Investment Committee of Hamilton College; Trustee, Natural History Museum of the Adirondacks; Chairman, the Adirondack Nature Conservancy and Adirondack Land Trust; President, Harvard Law School Association of New York City
Former Managing Director, Donaldson, Lufkin & Jenrette (now Credit Suisse); VP, Head of Project Finance, Goldman Sachs; Dewey, Ballantine, Busby, Palmer & Wood
Hamilton College B.A.; Harvard Law School LL.B.
Gary E. Zimmerman Managing Director212-309-3000 ext. 116
Private investor with significant domestic and overseas M&A and capital markets experience across multiple industry sectors and geographies. Managing Partner of Six Trees Capital LLC and Founder and CEO of Max (MaxMyInterest.com). Former Managing Director and Global Head of Strategic Solutions for Sovereign Wealth Funds at Citigroup. Areas of expertise include financial technology, sovereign wealth funds, cross-border M&A, Japan, the electric and gas utility industries, M&A strategy, negotiation and tactics, private and public capital raising, startups, special committee assignments, and activist defense. AB magna cum laude, Harvard University.