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Growth Capital Services, Inc.
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Affiliates

Growth Capital Services provides the regulatory infrastructure through which private placement deals can be completed. Our job is to ensure that all securities business is handled in a compliant manner. We provide supervision over due diligence, investor suitability, investor communications, and a host of other issues as mandated by the regulatory authorities.

Our affiliates create their own brands, source their own deals, interact with their own networks of investors, and enter into contract with us as independent contractors. They include investment bankers, capital advisory firms, and third party marketers, as sole practitioners and in teams. Interaction between affiliates on matters of related interest is encouraged but not mandatory.

If you are in the business of facilitating private placements, and are looking for a broker-dealer affiliation, give us a call. As an independent firm, we have a great deal of latititude in structuring arrangements that work.

 

Growth Capital Services has the honor of working with the following affiliates as their broker-dealer of choice.

 
   
 
Lane Auten

Lane Auten Lane Auten is the Managing Partner of Impact Capital Partners (ICP), a global impact investing placement agency. ICP is currently assisting placement mandates in Indian affordable housing, impact investing private equity fund-of-funds, and clean technology venture capital. Previous impact sector experience includes working with Unitus Investment Group, the World Bank, and Price Waterhouse International Privatization Group. Previous traditional private equity and investment banking experience includes HRJ Capital, UBS, and Banco Santander. Lane holds a Masters in Foreign Service from the Georgetown University School of Foreign Service.


Matt Droessler

Prior to joining J. Moore Partners, Matt Droessler earned his MBA at Stanford University and worked for Alliance Bernstein LP in New York as a Quantitative Analyst in global analytics, specializing in high yield, emerging markets and corporate bonds. He received his CFA charter in June 2006 and previously completed a number of international assignments, including a microfinance project in Vietnam and the creation of a customer-ranking model for Royal Dutch Shell in Calgary, Canada. Matthew also holds a B.S. in Economics from the Wharton School at the University of Pennsylvania.



James Everett

James Everett James Everett is a partner at Aquillian Investments, and takes primary responsibility for Aquillian’s strategy across the sustainability space. As part of that role, he leads the firm's research and due diligence of investment opportunities.   Before joining Aquillian, James was Conservation Finance Manager for the Pacific Forest Trust. Among other responsibilities, he conducted financial analysis of forestland acquisition opportunities and led marketing of carbon offsets generated from sustainable forest management. James also managed integrated conservation and development projects as a Natural Resource Management Specialist for the World Conservation Union in Iran.

Previously, James worked in commercial finance with GATX Capital, where he conducted financial analysis and due diligence on investments in rail, air, marine, distributed power generation, telecommunications, and natural resources; worked in timberland investment and management with Wagner Forest Management; led a research and demonstration center for sustainability and renewable energy; worked for a photovoltaic systems integrator on installation of some of the first grid-tied PV systems in the San Francisco Bay Area; co-led a university recycling program; and has run his own arboricultural consulting business.

He holds a Master of Forestry degree from Yale University and a BS in Environmental Policy and Management from Humboldt State University, and completed the UC Berkeley Venture Capital Executive Program. He holds FINRA series 7 and 66 licenses. He is an avid backpacker, gardener, and native plant enthusiast, and lives with his wife Aghaghia in San Rafael, CA.


David Hansen

David Hansen David Hansen is the Managing Partner of DFH Advisors, a capital advisory and consulting firm specializing in hedge funds and fund of funds. With a concentration in funds that utilize domestic and international equities in the long-only and long/short space, David has a deep understanding of the alternative landscape and the numerous opportunities that harness emerging themes. As new opportunities continuously emerge, David has the ability to identify those managers best positioned to combine emerging themes with complex equity strategies.

David has been in the financial industry since 1981. Prior to joining Aquillian he was a general partner at Gill & Company LLC for 17 years. As head trader, he oversaw a proprietary trading operation that specialized in index arbitrage and related strategies. Before Gill & Company LLC, David was a part of the proprietary trading team at Goldberg Securities in Chicago, where he helped set up the operation in 1984. His start in the financial industry began at the Pacific Stock Exchange options floor as manager of floor operations for Goldberg Securities.

David holds a BS in Business Administration from Ithaca College, Ithaca, New York. He has FINRA Series 7, Series 63, and Series 65 registrations.


Susanna Hofmann

Susanna Hofmann joined JMP Securities LLC in February 2002 and is a Director.Prior to joining JMP, Susanna was a co-founder of finababy.com, an Internet company focused on bringing highly fragmented retail industries online.Susanna previously served as Vice President in the Consumer Group at Montgomery Securities, now Banc of America Securities, providing various capital raising and advisory services to clients in her industry group.In addition, Susanna was a founding member of the Fixed Income Finance Group executing high yield and equity derivative transactions for companies in various industries.

From 1994 until 1996, Susanna was a member of the Global Finance Group at BT Securities in New York, focusing on leveraged finance.Susanna received a BS and BA from the John M. Olin School of Business at Washington University, St. Louis.


Andrew Kline

Andrew Kline

Andrew Kline is the founder and Senior Managing Director of Park Lane Investment Bank.  Park Lane provides Corporate Finance and M&A services for entertainment, technology and sports enterprises. Park Lane is currently engaged as buy side and sell side representation for professional sports franchises and owners.

Andrew is also the founder and CEO of The Athletes Agency International, a sports-based speaker’s bureau that connects athletes from around the world with high-profile corporations for appearances, speaking engagements, and endorsement deals.  The agency also markets and negotiates sponsorship deals for distinguished sports properties. 

A former member of the World Champion NFL St Louis Rams, Andrew has also served as Vice President of The AFL San Diego Riptide and the board of advisors with the NFL Youth Education Town. Kline is currently a member of the PGA Tour Partners Club, The National Republican Committee Business Advisory Council, The NFLPA Retired Players Association, The Athletes Agency Foundation and is the Founder of The Australian Surf Academy which was recently acquired by Surf Diva, Inc. 


James Moore

Ed Murphy

James A. Moore, Founder & Managing Partner
Jim Moore took ten years of experience in technical and operational positions with various software companies to Wall Street in the early 1990s, giving him a unique perspective in analyzing and advising companies who are growing and considering strategic options.

Prior to establishing J. Moore Partners in San Francisco in 2008, Jim was managing director of North Point Advisors, an M&A advisory firm, where he helped grow the firm to the $9 billion transaction level. Previously, he was a partner at Alex. Brown, and post-acquisition, served as a managing director at Deutsche Bank in technology research. He has worked with investment banking clients on merger advisory, special committee, initial public offerings, follow-on offerings, convertibles, PIPEs, and private placements. His clients and relationships span North America, Europe, Israel, and Asia.

An industry insider with more than 20 years of experience, Jim is a recognized expert on analyzing global financial deals and has been quoted in the Wall Street Journal, New York Times, Financial Times, The Economist, Forbes, and has appeared on CNBC, CNN and Bloomberg News. Over his career, he has raised in excess of $4 billion in capital for technology clients around the world.

Jim holds an MBA from Columbia Business School. He and his family live in San Francisco.


Prentiss Nelson

Prior to joining J. Moore Partners, Prentiss Nelson focused on finance for high tech companies at UC Berkeley's Haas School of Business. He previously served six years as an artillery officer in the U.S. Marine Corps, rising to the rank of captain. During his military career, he deployed twice to the Middle East with the 1st Marine Division in support of combat operations. Prentiss holds a B.S. in Systems Engineering from the United States Naval Academy with an emphasis in robotics and communication systems.




James Nixon

James Nixon

James Nixon is Co-Founder and Chair of the Board of Sustainable Systems, Inc., a business and economic development corporation, located in Oakland, CA, that provides market-based strategies for the achievement of sustainable development and smart growth.  Sustainable Systems is also the Lead Consultant to the Bay Area Council for the Bay Area Family of Funds, a $200 million + Double Bottom Line Initiative. 

Prior to assuming these roles, he served as Senior Vice President for Social Research and Network Services for 12 years with Progressive Asset Management, Inc., the first socially responsible investment broker/dealer. Mr. Nixon co-coordinated three international “Building the Sustainable Economy” conferences and drafted Building the Sustainable Economy: An Opportunity for Oakland, a policy framework unanimously adopted by the Oakland City Council. He also chaired the Task Force that led to Oakland’s Sustainable Community Development Initiative.

James is co-author of The Double Bottom Line Handbook: A Practitioner’s Guide to Regional Double Bottom Line Investment Initiatives and Funds, the first comprehensive study of the $12 billion + asset class of Double Bottom Line private equity investment funds.  He is also the organizer of the Oakland Green Finance Network, made up of 40+ investors interested in investing in Green Businesses in Oakland. He Nixon is Vice President of the Board of Directors for the Alliance for Community Development. He also is a member of the Advisory Committee of Inner City Advisors, a participant in the Innovation Network for Communities, and co-founder of Café de la Paz, a restaurant and community center in Berkeley, California.  He holds a Series 7 Securities Registration and a Series 24 Principal's Registration with Growth Capital Services.


Howard Qiao

Prior to joining J. Moore Partners, Howard Qiao started his career as a consultant at Transportation Management and Design, where he developed geographic information systems to improve the financial performance of complex passenger transportation networks. As vice president of business development at JMS and Associates, Howard negotiated several strategic partnerships and acquisitions, and sold large systems into the financial services and healthcare verticals. He received his BS from Peking University in China and MS from the University of Alabama, with a focus on information systems. Howard was subsequently named a University of California Haas School of Business Investment Banking Fellow.



Harris Roth

Harris Roth

Harris Roth is a Senior Associate of at Park Lane Investment Bank.  Park Lane provides Corporate Finance and M&A services for entertainment, technology and sports enterprises. Park Lane is currently engaged as buy side and sell side representation for professional sports franchises and owners.

Harris brings extensive experience in mergers, acquisitions and corporate finance to his role at Park Lane.  Roth advises clients on mergers & acquisitions and corporate finance activities, oversees Park Lane’s research department, and serves on the deal review committee.  Roth has worked on transactions in Major League Soccer, the National Hockey League, the National Basketball Association, the National Football League, the National Lacrosse League, and several sports business industries.  Prior to joining Park Lane, he was an options trader on the Philadelphia Stock Exchange for Wolverine Trading.  In his last year at Wolverine, Roth actively traded in over 200 equity products while managing over 30 of those books for the company.  
 
Harris  holds a MBA from the University of Southern California Marshall School of Business and a BBA in Finance from the University of Wisconsin-Madison.  Roth has FINRA Series 7 and 63 registrations.




David Sloan

David Sloan

David Sloan is the Managing Partner of Bancroft Partners LLC, a San Francisco-based financial advisory firm, serving companies, entrepreneurs and investors.  Investment banking services include: mergers & acquisitions ("M&A"), private placements, and restructurings. Bancroft Partners also provides discrete strategic advisory services to lead investors and entrepreneurs on their portfolio companies.

Bancroft Partners is comprised of a team of experienced bankers and industry executives. Transactions completed amongst this team range in size from interim financings below $ 1 million to multi-billion dollar M&A transactions. Our professionals apply lessons learned from this vast array of successfully completed transactions and advisory assignments to each client and each mandate. Industry focus: agribusiness and consumer related.
Dave has been an investment banker for over twenty years, including more than 15 years with J.P. Morgan. Beginning his M&A career in New York, Dave successfully executed numerous advisory assignments throughout the Americas. From 1997 to 2003, Dave established and developed J.P. Morgan's M&A franchise in Asia. He subsequently joined the California offices of one of the world's leading food and agriculture finance houses, Rabobank, as Head of West Coast M&A before establishing Bancroft Partners in 2006. Dave's transaction experience spans over 14 countries, 16 industries and aggregates over $20 billion in volume. He has a B.A. in political science and economics from Brown University (1988). Dave is a General Securities Representative licensed with FINRA and holds Series 7 and 63 securities licenses.




Rob Steiner

Rob Steiner

Rob Steiner is the Founder and CEO of RS Advisors, a water-focused business and investment consultancy focused exclusively on alternative investment opportunities focused on the water and sustainability sectors.

RS Advisors works with family offices and wealth managers by identifying, evaluating, and monitoring clean technology investment opportunities within the alternative assets classes.

Previously, as a partner at Aquillian Investments, rob developed a sector focus on water investments, connecting investors to industry leaders within the water value chain.   He was responsible for due diligence and analysis of water technologies, business models and potential investment opportunities.

Previously, Rob served as the Executive Director for the WaterLeaders Foundation, a Bay area nonprofit that is dedicated to providing appropriate, sustainable safe water solutions to the developing world. Prior to his work in the private sector, Rob was an officer in the US Public Health Service and served within the Department of Health and Human Services, specifically within the Office of the Secretary, the Office of the Surgeon General and the Office of Global Health Affairs.

Rob holds a Masters degree in Public Health from George Washington University with a concentration in Global Health Policy and a BS from the School of Natural Resources and Environment at the University of Michigan.

He also serves on the Advisory Board of A Child’s Right, a global nonprofit providing safe drinking water solutions to orphanages and schools worldwide. Although a proud native of Michigan, Rob now lives with his growing family in Coronado, CA.




Bic Stevens

Bic Stevens

Bic Stevens has more than 30 years of venture capital, investment banking, and business development experience. He is the founder and principal of Stevens Capital Advisors, www.stevenscapitaladvisors.com, a cleantech advisory and investment banking firm.  For the past eight years, he has focused exclusively on investing in, and advising, clean technology companies and, over that period, has been involved with fourteen different cleantech companies. Over his career, Bic has been an active director of 28 high technology companies.

Bic was most recently Senior Vice President of Business Development of Premium Power Corporation, a manufacturer of grid-scale flow batteries, and was previously a Managing Partner of Ardour Capital Investments, a Cleantech investment bank.  Prior to joining Ardour, Bic was a Managing Director at Zero Stage Capital, a Boston-based venture capital firm, where  he led the firm’s clean technology practice.

Bic was previously the founder and President of Eastech Associates, a Boston-based venture capital firm focused on investing in early-stage, high technology companies; and a Vice President at Paine Webber, where he worked with Paine Webber’s Corporate Finance Department and with Paine Webber’s Ampersand Venture Capital Funds.   Bic received a B.I.E. from Georgia Tech and an M.B.A. from the Harvard Business School.



Christine Sullivan

Christine Sullivan

As GrowthPoint Solutions’ founder, Christine Sullivan has over eighteen years of investment banking experience, with transaction and client experience that spans from a start-up company’s first capital raise to leveraged buy-outs requiring billions of dollars of financing.

Christine began her career at Smith Barney, Harris Upham & Company in 1989, where she helped structure mortgage- and asset-backed securities. In 1994, she joined Bankers Trust Company in the Financial Sponsors Group, where she was responsible for structuring and negotiating debt and equity transactions on behalf of some of the largest private equity firms in the U.S. Between 1994 and 2000, she completed over 25 transactions with an aggregate value in excess of $10 billion.

While her practice was generalist in nature during these years, she began focusing on telecom and technology when the firm merged with Alex. Brown in 1999 and she joined the firm’s Media & Communications group. With this industry concentration came a focus on equity products as well as mergers & acquisitions related advisory assignments.

In 2000, she joined the Technology group at Donaldson, Lufkin & Jenrette and later that year, after the Credit Suisse merger, joined UBS Warburg. At UBS, she was a Director in the Technology group and was responsible for running the firm’s wireless services practice.

In 2003, she joined a boutique investment bank, Hadley Partners, which was founded by a group of former colleagues from BT Alex. Brown. As a Partner at the firm, Christine focused on advising early stage companies on the right time to raise capital and make other strategic decisions, helping to find the right financial partner and assisting clients in transitioning through critical growth stages. She also completed several merger and acquisition advisory assignments in the technology, internet and food and beverage sectors.

Christine received an MBA from the Anderson Graduate School of Management at UCLA, where she concentrated in Finance. She also holds a BA in Mathematics and Philosophy from Wellesley College. She lives in Houston, Texas with her husband and son.




Bill Tarr

Bill Tarr Bill Tarr is the founding partner at Aquillian, and focuses on business development, deal sourcing, and strategic partnerships.

Since 2004, Bill has developed an extensive network comprised of both mission-oriented investors, as well as industry leaders in the areas Aquillian covers. These relationships facilitate Aquillian’s capital advisory work, and also enhance the firm’s deal flow and due diligence capabilities. Collectively, this network allows Aquillian’s capital advisory clients to access a highly targeted group of investors, while also providing Aquillian’s investor group an early look at the very best in sustainability-related investments.

Before founding Aquillian, Bill was a management consultant with Origo Global Business Partners. At Origo, Bill co-developed and launched the Social Enterprise Services business division, and managed a variety of sustainability oriented consulting projects for international foundations, corporations, and sustainable development think tanks. Prior to Origo, Bill was a program director for New Sector Alliance, an Accenture backed management consulting initiative. At New Sector, Bill sourced and managed a number of consulting projects serving Bay Area social and sustainable enterprises. Before working in management consulting, Bill was the business development and product marketing manager for Octopus Software, where he orchestrated a $200 Million acquisition opportunity by a top six software company.

Prior to pursuing his business endeavors, Bill spent a year abroad serving as a high school teacher and micro enterprise consultant in Ebeye, Republic of Marshall Islands. In his free time, Bill hikes, surfs, plays golf, and serves on the advisory board of Juma Ventures, a non-profit organization that mentors at-risk youth to build their own for-profit social enterprises. Bill received his BA in Political Science from Dartmouth College and holds FINRA series 7 and 66 licenses.


Devin Whatley

Devin Whatley Devin Whatley is a partner at Aquillian, and oversees the firms operations, while also working with investors to understand the more sophisticated nuances of clean tech private equity investing.   Devin comes to Aquillian from Accessor Capital Management, an award-winning, boutique mutual fund where he worked as a relationship manager and sales professional.  At Accessor, he called on RIA’s, bank trust departments, and due diligence teams at the world’s largest investment firms.  Devin began his career, however, in Hollywood, where he spent eight years producing big budget TV commercials (Adidas, Toys-R-Us, Maytag), and music videos (Creed, Cyndi Lauper, Motley Crue).  While honing his operations skills as the producer of more than 50 commercials and music videos, he nurtured a growing fascination for environmental sustainability, and became a passionate student of emerging green business opportunities.

Looking for a way to use his various skills as a “triple-bottom-line” entrepreneur, in 2000 Devin launched an organic food business. Originally operated as a gourmet home delivery service, the company catered to members of the entertainment industry elite, including Sting, Woody Harrelson, Alicia Silverstone, and Cher. By expanding into packaged foods, Devin grew the firm to a $1 million revenue operation within three years with distribution throughout Southern California. His company was also the first in California to use biodegradable corn-plastic packaging. Eventually, he sold the company to a larger natural food manufacturer in the region.

Devin is a CFA charter charterholder. He is also currently earning an MBA from Wharton‘s Program for Executives. He graduated Magna Cum Laude and Phi Beta Kappa from UCLA’s Honors Division, where he was both an Alumni Scholar and Regents Scholar, earning a joint degree in Business and East Asian Studies. He holds FINRA series 7 and 66 licenses. Devin is an outdoor enthusiast, competitive swimmer, and has been an avid surfer for more than 20 years. He was married last year in India, and has moved back to the Bay Area where he grew up and now lives with his wife and yellow Labrador, Scout.



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