AFFILIATES:
About the Firm
Brookline Capital Markets was co-founded by three former colleagues with deep roots on Wall Street. The team is led by seasoned professionals, each with more than 25 years of capital markets, advisory and equity sales experience at some of the world’s most prominent financial institutions.
INVESTMENT BANKING
Brookline’s investment banking team provides a full suite of financing solutions and strategic advice to cutting-edge life sciences, medical technology and diagnostics companies in both the public and private markets, as well as to Special Purpose Acquisition Companies (“SPACs”) and other emerging growth enterprises.
Brookline prides itself on its ability to partner with its private corporate clients from inception to IPO and has established a market-leading platform in the pre-IPO healthcare investment banking arena. Brookline’s premier public capital markets franchise dedicates itself to raising capital in the IPO, follow-on, PIPE and convertible markets, as well as to providing capital markets advisory services to its roster of clients. Brookline stands ready to provide value-added investment banking advice, analysis, and execution for its healthcare corporate clients at any point of clinical development or financial maturity.
In addition, Brookline differentiates itself through its ability to source capital from traditional institutional investors, as well from its expansive, proprietary network of sophisticated high net worth individual investors and hard-to-access family office funds. Brookline’s investor network provides its corporate clients access to a source of long-term capital from committed, patient, and fundamental investors. Over the course of its evolution, Brookline has developed a rigorous due diligence process that has resulted directly in success for its corporate clients and for its proprietary investor network, leading to its reputation as a “curator” of compelling life sciences, medical technology and diagnostics investments.
Brookline’s senior leadership team has a robust history of executing public and private investment banking transactions for healthcare clients across a variety of indications and stages of development, resulting in a distinguished track record of success. Brookline’s SPAC franchise is one of the most active on Wall Street and, over the course of their careers, members of the team have completed hundreds of assignments for emerging growth enterprises in other industries.
The team has completed over 200 transactions for its clients – valued at over $6.4 billion, and continues to build and maintain its reputation as one of the premier investment banking boutiques on Wall Street.
PUBLIC & PRIVATE CAPITAL MARKETS
Since the initiation of Brookline’s public capital markets capabilities in 2017, Brookline has acted as a Bookrunner, Co-Manager, Lead Placement Agent, Co-Placement Agent or Advisor on more than 200 transactions for the life sciences, medical technology and diagnostics companies, SPACs, and other emerging growth enterprises.
Brookline’s public capital markets services include:
- Equity Underwriting: Initial Public Offerings, Follow-On Offerings, Confidentially Marketed Public Offerings (“CMPOs”), and Registered Direct Offerings (“RDs”)
- Private Placements: Private Investment in Public Equity Financings (“PIPEs”)
- Advisory: IPO Advisory, Capital Markets Advisory, and Strategic Advisory
The private capital markets team carefully curates investment opportunities through raising capital for cutting-edge companies in the life sciences, medical technology and diagnostics sectors.
Brookline has a heritage of working with and sourcing investment opportunities from leading research institutions including Columbia University, Harvard University, Johns Hopkins University and Stanford University.
Through FINRA members, we have completed over 30 private capital markets transactions, raising in excess of $400 million as an Exclusive/Lead/Co-Placement Agent in the form of Convertible Notes and Convertible Preferred Stock.
The driving force behind Brookline’s private capital markets business model is its ability to raise capital for companies on a repeat basis. Since inception, “repeat clients” have accounted for more than 50% of Brookline’s healthcare business.
EQUITY RESEARCH
Kemp Doliver, C.F.A., is the Director of Research and a Senior Analyst at Brookline. Mr. Doliver has extensive healthcare experience across multiple sell-side and buy-side roles in the U.S and Asia. Previously, he was the Founder and Chief Investment Officer of Cherrystone Hill Capital Management, LLC, which specialized in investing in listed healthcare companies throughout the world’s emerging markets. As a sell-side analyst, Mr. Kemp was a Managing Director at Religare Capital Markets Pte. Ltd., Avondale Partners LLC, and Cowen Inc. His buy-side roles have included portfolio management positions at both Aetna and Bank of America. The Wall Street Journal has recognized him four times for his stock picking abilities in its “Best on the Street” survey.
Mr. Doliver received a B.S. in Commerce from the McIntire School or 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, is a biotechnology research analyst at Brookline. Previously, she was a Managing Director at Oppenheimer & Co. She began her career as a research scientist with Memtec Corporation and moved to Wall Street in 1992, where she was a research analyst with Oppenheimer for nearly nine years. Ms. Cann was a healthcare analyst for the Boston-based asset manager, Cadence Capital, and later the senior biotechnology analyst for 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.
She 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.
SALES & TRADING
Brookline’s distribution team is comprised of individuals with years of capital markets experience at prominent Wall Street firms. This experience grants Brookline the privilege of offering first-class service across various products and sectors on the capital markets platform, with a focus on the life sciences, medical technology, and diagnostics industries, as well as on SPACs and other emerging growth enterprises.
Brookline’s clients invest in the Firm’s public and private financings, and its salespeople distribute both proprietary and third-party research.
Brookline believes that its proven distribution model creates lasting shareholders, a crucial component to the sustainability of the companies that benefit from Brookline’s services.
LINKS
Arcadia Securities LLC Form CRS
Order routing information can be accessed through the following link by inputting Arcadia Securities: https://www.orderroutingdisclosure.com/.