Robert has 25+ years’ experience in the financial services industry as principal running Investment Banking, Broker/Dealer and Registered Investment Advisor firm.

• Origination, execution and closing of 100+ Sole Lead transactions (IPO’s, 2ndry and PP’s) raising greater than $2.8 Billion for client companies.

• Participated in 600+ Offerings (as Co-Managed. Underwriter or SG member)

• Facilitated $1.6 billion closing of Private Equity investment in Asian R/E Fund.

• Leader in all phases of New Business Development, client acquisition and retention.

• Managed firm wide P&L, Compliance and Risk Management.

• Negotiated and maintained Clearing Firm relationship.

• Responsible for SEC registered RIA platform.

• Supervised and Managed 100+ Institutional and Retail sales force in 6 US locations.

​

Registered with Sutter Securities, Inc. | LinkedIn