Executive Team     Investment Banking     Capital Markets    Specialty Finance


Capital Markets Group


 

Anthony Marchese

Managing Director

Mr. Marchese is a Managing Director of the firm. In addition, he actively manages a portfolio of small and micro-cap securities while also serving in an advisory capacity to the same sector. Mr. Marchese is the general partner and chief investment officer of the Insiders Trend Fund, LP, an investment partnership whose mandate is to invest in those public companies whose officers and/or directors have been active acquirers of their own stock. Mr. Marchese's prior experience includes Axiom Capital Management, Inc. (senior vice president- May 2011 to May 2012), Monarch Capital Group, LLC (President and Chief Operating Officer – 2003 to 2011), Laidlaw Equities (senior vice president – April 1997 to March 2002), Southcoast Capital (senior vice president – May 1988 to April 1997), Oppenheimer & Co., Inc. (limited partner – September 1982 to May 1988), Prudential-Bache (vice president – July 1981 to August 1982), and the General Motors Corporation (analyst – June 1980 to June 1981). Mr. Marchese is currently the non-executive Chairman of Texas Mineral Resources Corp (OTCQX: TMRC). Mr. Marchese served in the U.S. Army Intelligence & Security Command, where he held a Top Secret Clearance. He received an M.B.A. in finance from the University of Chicago. He holds the Series 4, 7, 24, 53, 55, 63, 79 and BATS Z- Exchange Representative and Principal licenses. Mr. Marchese has been a long standing FINRA arbitrator.

 

JACk bREWer

Jack Brewer possesses a unique combination of expertise in the fields of global economic development, sports and finance through his roles as a successful entrepreneur, journalist, producer and humanitarian. In addition to his role at TriPoint, Jack is currently serving as the Executive Chairman and Portfolio Manager of The Brewer Group, Inc. as well as the Founder and Executive Director of The Jack Brewer Foundation (JBF Worldwide) and active Shriner. Other key roles include regular contributor to CNBC, Fox Business and The American City Business Journals, Senior Advisor to former H.E. President Joyce Banda of the Republic of Malawi, three-time National Football League (NFL) Team Captain for the Minnesota Vikings, Philadelphia Eagles and New York Giants and former Ambassador for Peace and Sport for the International Federation for Peace and Sustainable Development at the United Nations. Jack holds FINRA Series 7, 66, and 79 securities licenses as well as various state insurance licenses.

 

Brian Frank

Senior Vice-President / Director

Mr. Frank has over 25 years of experience in the financial service industry specializing in raising capital for corporate clients using a variety of transaction types, including Initial Public Offerings, private placements and registered direct offerings. Mr. Frank offers an entrepreneurial view of businesses and opportunities that assists companies in providing the highest level of advice. He founded a radio rollup company, Three Eagle Communications (later sold to Wachovia Capital Partners). Early in his career, Mr. Frank spent 11 years at D.H. Blair & Company as Senior VP of Investment, managing capital for high net worth individuals. His experience includes Barrington Capital, KSH Investment Group, Common Wealth Associates, HFP Capital Markets, LLC and Trident Partners. Mr. Frank has also successfully raised over $200 million for numerous hedge funds and private equity funds. Mr. Frank attended University of Hartford. He holds the Series 7 & 63 licenses.

 

Raymond A. Catroppa, CFA

Vice President

Mr. Catroppa has been a financial services professional for over 30 years and has worked with well known Wall Street firms such as CS First Boston, First Manhattan Corporation and Neuberger Berman.  He also served as Chief Financial Officer and Board Member for public clothing designer Horiyoshi Worldwide, Inc. as well as Director of Business Development and Corporate Communications for Quadrant 4 System Corporation. His background includes working in capital markets, finance, business development and corporate governance.  Mr. Catroppa has worked to enhance shareholder value for many public companies by focusing on the investment process to increase shareholder value, raise capital and promote corporate transparency. He has also worked with private companies to help position them to become publicly traded corporations. Mr. Catroppa earned an MBA from Fordham University and attained the Chartered Financial Analyst (CFA) designation. He holds the Series 7 & 63 licenses.

 

Ksenia kolesnikov

Vice President Capital Markets

Ms. Kolesnikov joined Tripoint in November 2016 to lead the firm's Capital Markets desk. Prior to joining Tripoint,  Ms. Kolesnikov ran the Capital Markets desk at The Benchmark Company, LLC, a boutique Investment Bank located in NYC. Prior to Benchmark, she worked as an Investment Banking analyst at Rodman& Renshaw, where she helped placing 150+ financings raising over $2.0 billion. Ms. Kolesnikov received her J.D. from Cardozo Law School in 2012 and is admitted to practice in the State of New York. She holds FINRA Series 7 and 63 securities licenses.

 

Shawn Hartpence

Director

Mr. Hartpence has 25 years of investment banking and financial advisory experience. During his career, Mr. Hartpence has completed over 300 transactions in the areas of strategic advisory assignments, private placements IPOs, follow-on offerings, as well as registered direct offerings. Mr. Hartpence’s prior investment experience include Director Institutional Capital Market Sales at Credit Suisse  and Managing Director Investments Rationalis Capital. Mr Hartpence began his career at Kidder Peabody & Co specializing in the fixed income capital markets . Mr Hartpence received a BA from Marymount Manhattan College.  He holds the Series 7 license.

 

Lewis Mason

Senior Vice-President

Mr. Mason has over 25 years of experience in the brokerage industry. Early in his career he worked at Paine Webber and was part of a group that successfully raised capital for Amgen, Genentech, Centocor and several other life science companies. From there he joined Smith Barney where he was named a Member of the Presidents Council. During that time Mr. Mason successfully raised capital with high net worth and institutional clients across various industries. From 1997-2002 he helped found a Broker Dealer that specialized in private financings and had grown to $800 million under management with over 50 brokers. More recently, Mr. Mason was a partner at Equity Source Partners, a boutique investment bank specializing in origination and placement of Investment Banking transactions. He also worked as a Managing Director in Capital Markets at Newbridge Securities in 2009/10. Mr. Mason attended the Lubin School of Business at Pace University and received his B.S. degree in business economics from the State University of New York at Oneonta.

 

Robert Nathan

Director

With over 20 years in the industry, Mr. Nathan brings his vast network of clients and expertise with him to TriPoint joining the firm in 2015.  He focuses on raising Debt, Equity and Mezzanine Financing for emerging growth companies in the Technology and Healthcare sectors.  These companies have sub $500 million valuations and the offerings range in size from $3 to $20 million.  His clients include family offices, private equity firms, hedge funds and high net worth individuals, among others.  Prior to joining TriPoint, he served as Senior Vice President at Monarch Capital Group.  Mr. Nathan is a graduate of Ithaca College. He holds Series 7, 79 & 63 licenses.

 

William J. Manby, Jr. 

Senior Vice-President

Mr. Manby has over 20 years of experience in the financial services industry.  He founded Acquire Investments which has successfully assisted numerous companies with the development and implementation of a long term strategic funding plan in Ohio and helped coordinated investor efforts from all over the world.  Mr. Manby also founded the Paradigm family of companies who have focused on providing independent, creative and competitive techniques to enhance performance and reduce risk and costs for client’s businesses, investments and estate planning. Through his work with the Paradigm Enhanced Capital Strategy, he has supported advisors and various financial institutions, including banks, in design and implementation. Bill is an avid philanthropist and has been involved in multiple regional programs as well as countless committees and board positions. Bill graduated from Indiana University with a B.S. degrees in Finance and Insurance. He has completed the requirements to achieve his ChFC (Chartered Financial Consultant) and AEP (Accredited Estate Planner) from American College.  He also holds his FINRA Series 7 and 63 licenses as well as State of Ohio Life, Variable and Accident and Health license.

 

Rick Rockich MBA, MTAX 

Capital Markets Associate

Mr. Rockich joined the firm in 2014 and he has nearly 9 years of experience in the financial services industry. He is also Vice President and CFO of Paradigm, a financial services company that is focused on providing independent and creative techniques to enhance client's personal and business portfolios. Prior to joining the firm, Rick spent two years with Merrill Lynch Wealth Management conducting financial planning and wealth management for his clients. Prior to Merrill, Rick spent six years with Ernst & Young, focusing on estate planning for high net worth clients. Rick is a proud graduate of the University of Akron, obtaining a Master of Business Administration, Master of Taxation and a Bachelors of Science in Accountancy. He holds his FINRA Series 7, 79 and 66 licenses as well as State of Ohio Life, Variable and Accident and Health license. He is also the Chairman of the Team Donnie Golf Outing benefiting the Akron Rotary Camp for Children with Special Needs.

 

Faruq Marican 

Capital Markets Associate

Faruq Marican joined the firm in 2013. Faruq graduated from Indiana University in 2010 and holds a Series 7 & 63 License.