AFFILIATES:
Team
Executive Leadership
William B. Buchanan, Jr.
Managing Partner
Mr. Buchanan 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., and also served as Vice President of SG Cowen Ventures. He started his career at Credit Suisse First Boston in Equity Capital Markets.
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 is a Managing Partner at Brookline and 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. Mr. Powis spent seven years at Lazard as Head of U.S. Equity Capital Markets and nine years at Cowen where he served most recently as Head of Equity Capital Markets. In all three cases, Mr. Powis focused on emerging growth companies and, in particular, healthcare enterprises. He began his career approximately 30 years ago at Credit Suisse First Boston in the Healthcare Investment Banking Group. Over the course of his career, he has completed several hundred financings and capital markets advisory assignments for healthcare companies. Mr. Powis is a frequent guest speaker and lecturer on business strategy; the equity capital markets, including IPOs; entrepreneurship; and other healthcare, consumer and technology investment banking topics.
Mr. Powis received his B.A. in Economics from Colby College and his M.B.A. in Finance from New York University.
Investment Banking
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. Mr. Fontaine was also a Director at Lazard Capital Markets in Corporate Underwriting and managed Lazard’s IPO, follow-on, CMPO, ATM and high yield transactions. Mr. Fontaine also spent five years at Deutsche Bank and three years at Credit Suisse. Mr. Fontaine began his career at Morgan Stanley approximately 20 years ago in Middle Market Institutional Equity Sales and Trading.
Mr. Fontaine received his Bachelor of Science in Chemistry from Furman University and his M.B.A. from Southern Methodist University.
Patrick A. Sturgeon
Managing Partner
Mr. Sturgeon is a Managing Partner at Brookline and focuses on the firm’s public financing, private capital raising, secondary, and capital markets advisory business lines. On the public financing front, Mr. Sturgeon focuses on the SPAC effort, primarily underwriting IPOs and acting in an M&A Advisor capacity. Prior to joining Brookline, Mr. Sturgeon served as a Managing Director at Axiom Capital Management. He spent approximately a decade at Freeman & Co., focusing on M&A in the Financial Services sector. Throughout his career, he has focused on growth companies and, in particular, financial services, technology and healthcare enterprises.
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 & 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 DirectorMr. 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.
Michael D. Rhea
Managing DirectorMr. Rhea is a Managing Director at Brookline and actively involved in the firm’s public financings and capital markets advisory business. He also manages the non-deal roadshow activities for the firm. Prior to joining Brookline, Mr. Rhea spent many years at Oppenheimer & Co., in senior roles including Institutional Equities and Equity Capital Markets positions. He also worked with a number of other established Wall Street firms, including Lehman Brothers, in similar capacities. Mr. Rhea has focused principally on emerging growth companies throughout his career and, in particular, healthcare enterprises. He began his career 30 years ago in New York as a corporate litigation attorney before transitioning to Wall Street. Over the course of his career, Mr. Rhea has worked with hundreds of companies. He successfully provided Advisory Services as well as participated in the transaction process and closings of the financings related to these companies.
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 a Vice President 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.
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.
Mr. Ross-Nash graduated from The University of Chicago with a B.A. in Public Policy. While in college, Mr. Ross-Nash was a member of The University of Chicago Football team.
Scott E. Katzmann
Associate
Mr. Katzmann is an Investment Banking Associate 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.
Forbes Crowley
Analyst
Mr. Crowley is an Investment Banking Analyst at Brookline and focuses on the firm’s private financing efforts. Mr. Crowley first gained valuable internship experience in investment banking at Brookline during the summer of 2021, when he was exposed to a number of SPACs and other private financings.
Mr. Crowley received a B.A. in History from Harvard University. While at Harvard, Mr. Crowley was a member of the Harvard Football Team.
Hayden Edwards
Analyst
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.
Sales & Trading
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.
Noah Uzal
Managing Director
Mr. 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 B.A. 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.
Mr. Ward graduated from Rollins College in Winter Park, Florida with a B.A. of Political Science.
Drew Crovello
Vice President
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.
Mr. Crovello received his B.A. from James Madison University, majoring in Finance and minoring in Economics.
Jake Hanley
Associate
Mr. Hanley is an Institutional Equity Sales & Trading Associate, working on both public and private offerings. Prior to joining Brookline, Mr. Hanley worked for Prudential Global Investment Management in a sales capacity focusing on Wirehouse distribution. He also spent time at Global X ETFs as an investment consultant for their thematic equity products. He began his career in Private Wealth Management.
Mr. Hanley graduated from Fairleigh Dickinson University with a B.S. in Finance.
Equity Research
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. 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. Dolliver 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. 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. 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.
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.
Tyler Bussian, Ph.D.
Biotechnology Research Analyst
Tyler Bussian, Ph.D. is a Biotechnology Research Analyst at Brookline. Before joining the firm in 2022, Dr. Bussian was a Research Associate at the Mayo Clinic in Rochester, Minn., where his research on the intersection of aging and neurodegenerative disease was published in Nature. He was Mayo Clinic’s Three Minute Thesis Champion in 2020, a competition that requires participants to summarize a doctoral thesis into a 180-second presentation for a general audience.
Dr. Bussian received his B.A. from DePauw University, majoring in Biology and minoring in Political Science. He graduated Cum Laude and as an Honors Scholar, denoted by interdisciplinary curriculum and a capstone thesis. He earned his Doctorate in Biochemistry and Molecular Biology from Mayo Clinic Graduate School of Biomedical Sciences.
Brookline Capital Markets Advisors
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., licensee of Trimesta™ (oral estriol). Dr. Rudick served as Chief Medical Officer and a Member of The Board of Directors of Synthetic Biologics. Dr. Rudick was a co-founder, Chief Executive Officer and President and a Member of The Board of Directors of Atlantic Technology Ventures, Inc. (now TG Therapeutics, Inc.). While at Atlantic, he structured a corporate partnership with Bausch & Lomb for development of Atlantic’s novel cataract removal device, named Catarex TM, as well as a partnership with Indevus Pharmaceuticals, Inc. for development of a novel clinical-stage neuropathic pain compound, known as IP-571. Dr. Rudick served as a Vice President of Paramount Capital, Inc., where he participated in numerous technology in-licensing transactions and private equity financings. 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.
Compliance
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 25 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.
LINKS
Arcadia Securities LLC Form CRS
Order routing information can be accessed through the following link by inputting Arcadia Securities: https://www.orderroutingdisclosure.com/.