Patriot Capital is fortunate to have talented individuals from some of the world’s largest financial institutions and corporations serve on its financial and executive advisory boards.
Financial Advisory Board
David B. Amy, Executive Vice President and CFO of Sinclair Broadcast Group
David B. Amy is Executive Vice President and CFO of Sinclair Broadcast Group, Inc. He has over 20 years of broadcast experience and has been involved in the M&A activity of Sinclair, including, the acquisition of over $2 billion in television and radio properties. During his over 20 years with the Company, Sinclair has grown from 2 television stations to 58 stations in 35 markets. In addition, he is on the Board of Directors of Acrodyne Communications, Inc., Cockeysville, Maryland, VisionAIR, Wilmington, NC and is a member of the Board of Management of Triangle Sign & Service, LLC and Chairman of the Board of Management of Alarm Funding Associates, LLC and is a member of the Financial Advisory Board of Patriot Capital II, L.P.
John Fulton, Managing Director, Corrum Capital Management
John Fulton is a Managing Director on the Private Capital team at Corrum Capital Management LLC. Mr. Fulton is responsible for sourcing, analyzing, executing, and managing private equity fund investments and illiquid credit investments. His primary focus is on the domestic and international buyout market and illiquid credit strategies. Prior to joining Corrum Capital, Mr. Fulton was a Managing Director at Sterling Stamos. Previously he was a Vice President in Bank of America Merrill Lynch’s Global Strategic Capital group with responsibility for sourcing, evaluation, due diligence, and execution of private equity fund investments. Mr. Fulton’s previous experience also includes eight years in Global Corporate & Investment Banking with responsibility for underwriting, structuring, and executing senior bank debt transactions for clients primarily in the healthcare industry and financial sponsors. In this role, Mr. Fulton managed a diverse credit portfolio and was an integral team member for multiple merger & acquisition, leveraged buyout, and leveraged recapitalization transactions.
John received a BS from Clemson University and an MBA from The Fuqua School of Business at Duke University.
Brett Hickey, Founder and CEO, Star Mountain Capital, LLC
Mr. Hickey is the Founder and CEO of Star Mountain Capital, LLC, a specialized asset management firm which provides strategic capital to top performing private equity and credit fund managers. Star Mountain also provides capital ranging from senior loans to equity positions to help grow businesses, often alongside its portfolio of fund manager partners.
Mr. Hickey has been structuring, analyzing and managing private equity, mezzanine and U.S. Government sponsored investment funds for over a decade. He started his career on Wall Street as an Investment Banker at Citigroup Global Markets (formerly known as Salomon Smith Barney) in New York where he advised global asset managers and financial institutions on over $20 billion in completed debt and equity capital raising and mergers and acquisition transactions.
In addition to Star Mountain’s role as one of the largest job creation platforms in the U.S., Mr. Hickey is actively involved in other aspects of community and philanthropy. He founded a 501(c)3 public charity, which primarily supports education and health (including cancer research). He is a member and former Board member of the Young Presidents’ Organization (“YPO”), and has won 4 prestigious philanthropic awards for his community service including the Pathfinders to Peace Award.
He is a graduate of Harvard Business School’s 3 year program for distinguished business owners who have a proven track record of successfully building and managing companies. He graduated with Distinction from McGill University with a Bachelor of Commerce in Finance and Accounting. Mr. Hickey is a former Canadian national gold medalist and North American medalist in speed skating.
Carl A. Jenkins, Managing Director, BMO Harris Bank N.A.
Carl A. Jenkins is Managing Director and Head of Community Investments for BMO Harris Bank N.A., the U.S. banking subsidiary of BMO Financial Group. He oversees Community Reinvestment Act investments targeting lower middle market companies and community-based real estate development in all BMO Harris markets. Presently, Carl manages a team and investment portfolio with commitments exceeding $500 million and covering the states of Arizona, Florida, Illinois, Indiana, Minnesota, Missouri, Washington and Wisconsin. Prior to his current position, he served as a commercial real estate lender for BMO Capital Markets and the BMO Harris Community Development Lending team.
Prior to joining the bank, Carl worked for the Local Initiatives Support Corporation (LISC), a national community development financial institution. He earned his bachelor’s degree in architecture from Washington University in St. Louis and holds an MBA from the Kenan-Flagler School of Business at the University of North Carolina. He serves on the board of directors for several organizations, including; National Association of Affordable Housing Lenders, Cook County Land Bank Authority, Disability Opportunity Fund, Small Business Investor Alliance, Chicago Sinfonietta and Goodman Theatre. Carl also serves on the advisory committee of several lower middle market private equity funds.
Carl Kopfinger, Senior Vice President, TD Bank, N.A.
Mr. Kopfinger is a Senior Vice President of TD Bank, N.A. based in Philadelphia, Pa. He is responsible for managing the Bank’s venture capital and mezzanine investment portfolio comprised of more than 75 funds from Maine to Florida. He joined TD Bank and its predecessor Bank in 2004.
He represents the Bank as a Limited Partner, Advisory, and/ or Valuation Committee member in many of its venture and mezzanine fund investments.
Prior to joining TD Bank, Mr. Kopfinger worked for FleetBoston Financial, now Bank of America, and with Comerica Bank’s Technology & Life Sciences Division. He has also worked with Fortune 1000 companies, providing them with structured finance and other credit and non-credit products, with his prior employers, Bank Hapoalim, PNC and Mellon Banks. He has more than 30 years of progressive financial experience.
Mr. Kopfinger is on the Board of the Small Business Investors Alliance (SBIA, formerly NASBIC), the Delaware Tamanend Foundation, the University City Science Center, and the NJ Technology Council. His professional affiliations include the Association for Corporate Growth (ACG) and the SBIA.
Robert Morgan, Director of Private Equity for Northern Trust Global Advisors
Bob serves as Director of Private Equity for Northern Trust Global Advisors. He previously worked at Frye-Louis Capital Advisors, LLC (FLCA), a Chicago-based private equity investment manager, as director and was responsible for all of the operations of FLCA, including the management of a private equity fund-of-funds (April, 1998 – August, 2000). Prior to joining FLCA, Bob worked for Heller Financial, Inc., a middle-market commercial finance company. Bob was a senior vice president at Heller and was responsible for the private equity programs (1996 – 1998). Within Heller, Mr. Morgan held several roles including positions in the Corporate Finance Group, Heller Equity Capital Corporation, and Corporate Credit. He has invested in over 100 private equity funds covering the buyout, venture capital, distressed debt, real estate, and international markets. He serves on several fund advisory boards, and is a board member of the Illinois Venture Capital Association. Prior to attending business school, Mr. Morgan worked for a commercial bank in North Carolina. He received his BA in Economics from Wake Forest University and an MBA from Emory University.
Tim Rafalovich, Senior Vice President, Alternative Equity Group Manager and Institutional Investor, Wells Fargo Bank
Tim Rafalovich is Senior Vice President for Wells Fargo and a 26-year institutional Limited Partner, merger and acquisitions EVP, business owner and Ph.D. candidate. Mr. Rafalovich leads the Alternative Equity Group and invests in small to middle market General Partner funds and direct co-invest transactions. His portfolio is roughly $2 billion in commitments consisting of assets in Private Equity, Venture Capital, Community Development Equity, Securities and Real Estate funds. Mr. Rafalovich earned his B.S., Finance degree from The University of Southern California, and is completing a Ph.D. in Business Administration from Trident University. Mr. Rafalovich sits on several corporate Boards including a technology company, landscaping firm and formerly the US Grant family. His non-profit Boards of Directorships include San Diego’s famous The Old Globe Theater and the San Diego Opera.
Chris Sears, First Vice President, Suntrust Bank
Chris Sears is a First Vice President at SunTrust Community Capital, LLC, a subsidiary of SunTrust Bank. Mr. Sears has been involved with investing in Small Business Investment Companies since 2008. Mr. Sears works with a team that generates direct and fund Community Reinvestment Act-qualified equity investments and debt financings in federal and state tax credit related developments throughout the Southeast and Mid Atlantic states. Mr. Sears has been employed by SunTrust Bank for over eleven years and has experience in commercial banking, NMTC investments, Small Business Investment Company investments, Low Income Housing Tax Credit investments and Historic Tax Credit investments. Mr. Sears serves as the President of the Board of Directors at the Atlanta Community ToolBank, a local Atlanta-area non-profit and previously served as a Board Member of the Wake Forest University Alumni Board. Mr. Sears received his Bachelors of Science degree in business from Wake Forest University in 2001.
Scott L. Soffen, CFA, Senior Investment Officer for American Trading and Production Corporation
Scott Soffen is the Senior Investment Officer for American Trading and Production Corporation (“Atapco”). Atapco is an investor in a large number of buyout, growth capital, mezzanine, and venture funds, both domestically and internationally. Prior to joining Atapco, Mr. Soffen was a Managing Director at Legg Mason, where he covered the education industry for the equity research team. Prior to joining Legg Mason, Mr. Soffen performed equity research covering automotive and industrial companies for Lehman Brothers (where he was selected as an Institutional Investor All-Star) and Merrill Lynch. Mr. Soffen also serves on the Board of Directors of CASA of Baltimore, a charitable organization that works with abused and neglected children. Mr. Soffen holds an undergraduate degree from Rutgers University, an MBA from New York University’s Stern School of Business, a Master’s degree in Education from Capella University, and is a Chartered Financial Analyst.
Paul Swanson, President and CEO of Hauser Capital Markets
Paul Swanson is President and CEO of Hauser Capital Markets, the private equity investment entity of the Hauser Group. Mr. Swanson is an investor, Manager or Partner in numerous affiliated companies including Erico, Inc., Hauser Capital Partners LLC and Hauser Davis Tysoe LLC. Mr. Swanson has ten years of private equity experience. His responsibilities include researching and determining private equity funds in which to invest, managing co-investment opportunities and raising capital. He also oversees strategic opportunities between HCM’s various funds and their portfolio companies and the synergies between HCM and the Hauser Group.
Andrew P. Trigg, Director of HSBC’s Private Equity Group
Andrew P. Trigg is a Director of HSBC’s Private Equity Group. Prior to HSBC, he was a Vice President at DeltaPoint Capital, a private equity fund focused on buyout transactions. Before DeltaPoint Andrew was an Associate at Capital Formation Group, a boutique investment banking firm. He received his BA Finance degree from the University of New York at Buffalo.
Executive Advisory Board
Michael E. Capocefalo, AAI (Auburn Armature, Inc.)
Mike Capocefalo spent his entire work career at his family company, Auburn Armature, Inc. (known as AAI) based in Auburn NY. AAI is a distributor of electrical equipment and apparatus rebuilding services throughout all of Upstate New York and primarily services the manufacturing, utility, OEM and electrical contracting customers in this region. Starting with AAI full time in 1975 after earning his business degree from the University of California, the company grew from under $1 million in revenue to $60 million in 2012. AAI now is the largest independent electrical distributor in New York State, with six locations throughout the state and 115 employees. In 2012 Mr. Capocefalo sold his majority stock position to Delta Point Capital, a private equity firm that specializes in assisting with ownership transitions and maximizing the growth potential for medium size firms in the Northeast. Mr. Capocefalo works for AAI now handling special projects, new branch expansion and acquisitions.
Edward M. Dunn, CEO, American Mechanical Services
Ed Dunn began his career in the mechanical contracting field, eventually becoming Vice President of Combustioneer Corporation. In 1986, he left Combustioneer and founded EMD Mechanical Specialists. In 1996, several companies began consolidating the contracting industry, creating an opportunity to sell EMD to American Mechanical Services (AMS), a wholly owned subsidiary of American Residential Services (ARS). Mr. Dunn became Director of Commercial Construction and lead AMS for ARS until 1999. ServiceMaster acquired ARS and AMS in 1999 and shortly after the purchase, Mr. Dunn became President and COO of AMS. In July of 2006, Mr. Dunn led a management buyout of AMS from ServiceMaster. AMS currently has eleven companies located in seven states, utilizing its installation and repair capabilities to service the HVAC industry. Mr. Dunn earned a Bachelor of Science in Mechanical Engineering from the Johns Hopkins University.
Timothy L. Frank, President, Frank Industries
Timothy L. Frank began his career in 1978 at a predecessor company of Frank Industries, The Sheet Metal Coating and Litho Co.(SMCL), holding various positions of responsibility. As Vice President of SMCL, he worked in strategic planning and corporate development, and ultimately became President of Frank Industries. Mr. Frank was responsible for internal growth of existing businesses in addition to all divestiture and acquisition activity. The latest transaction for Frank Industries was the sale of GRAFCO PET Packaging Technologies in October 2006. Mr. Frank earned a Bachelor of Science degree in business administration from the University of Maryland and a Masters of Business Administration degree from Loyola College. Mr. Frank is a member of several associations and is active in his community. He has held leadership positions in the Young Presidents’ Organization, including that of Chapter Chairman. He is a current member of the Chief Executives Organization and World President’s Organization. Mr. Frank has also been active in several local charitable organizations. He has served on committees in several trade associations of which he is an active member.
Gerald T. Garland, Sr. VP, Tessco Technologies, Inc.
Gerry Garland is currently responsible for leading Solutions Development, Product Development, Technical Support and Pricing for Tessco’s $550 million wireless communications business. Mr. Garland also served as Chief Financial Officer and Treasurer of Tessco from 1993 to 1999 and was responsible for leading a very successful Initial Public Offering and significant business growth. Prior to joining Tessco, Mr. Garland served as Senior Vice President of Secured Commercial Lending for Bank of America (formerly NationsBank and Maryland National Bank), Group Head for Middle Market Lending, Vice President for MNC Investment Bank, and Senior Credit Officer of Commercial Lending. Early in his career, Mr. Garland served as Financial Manager for Black and Decker’s Industrial Construction Division Mr. Garland holds a Bachelor’s Degree in Business Management and Accounting from Towson University and a Master’s Degree in Finance from Loyola University. Mr. Garland serves on the Board of the World Trade Center Institute, the External Relations Committee of Kennedy Krieger Institute and on the Board Member for SOZO Children.
R. Keith Harrison, Retired Global Product Supply Officer, Procter & Gamble
Keith Harrison retired in September 2011 following a 41 year career with Procter & Gamble. For his last 10 years with P&G, he was the Global Product Supply Officer, responsible for the Company’s global manufacturing, purchasing, engineering, logistics, and quality operations. During this time P&G’s supply chain was consistently viewed as the top global consumer goods operation. Over the course of his career, Mr. Harrison spent 16 years in Europe and held positions in Marketing and General Management in addition to a wide variety of supply chain oriented roles. Mr. Harrison is the Chair of the Cincinnati Museum Center Foundation and serves on the Boards of Midmark, Ecolab, Hauser Capital Partners, Hayco (Hong Kong),THP (Vietnam), and the Apparel Group Asia (China). He holds a BSc. in Mechanical Engineering from Duke University.
John S. Parascak, Chairman & CEO, Remet Corporation
John Parascak has been in executive roles with various international manufacturing firms throughout his entire career. Following opportunities in multiple leadership positions with Estech Oil Company, Esmark Corporation and National Wax Company, Mr. Parasczak became a Vice President for National Wax Company in 1983 and has been a leader in the international manufacturing arena since, with particular focus in the investment casting sector. Mr. Parascak has served as President of Yates Investment Casting, Dussek Campbell and Remet Corporation. Mr. Parascak serves as Chairman of the Board of Remet Corporation and serves on the Advisory Board of DePaul University. Mr. Parascak holds a BS and MBA from DePaul University.
Patrick J. Sweeney II, President & CEO of dwinQ
Patrick Sweeney is a technology visionary and entrepreneur. Currently he is President & CEO of dwinQ; producers of the first social media operating system for events. Prior to dwinQ Mr. Sweeney built ODIN technologies, as CEO over 10 years, from inception to leader in the radio frequency identification(RFID) software space before a successful exit in 2012. Mr. Sweeney also ran and successfully exited ServerVault; a secure data hosting company that raised more than $25 million venture funding. He is a commercially rated pilot and adventure racer and finished second in the 1996 Olympic trials in rowing. He holds a BS from University of New Hampshire and MBA from University of Virginia. He is the author of multiple books and articles on technology and holds six technology related patents.
James L. Wiley, President and CEO, Option 1 Nutrition Solutions
James (Jim) started in the homecare industry in 1989. After spending 6 years with Apria Healthcare, formerly Homedco, in several operational and accounts receivable roles, Mr. Wiley formed Option 1 Nutrition Solutions. After 9 years, Option 1 Nutrition Solutions has successfully completed two venture capital deals and remains today the largest Enteral therapy company in the western United States. Mr. Wiley earned his Bachelor of Science degree in business management from the University of Phoenix. Mr. Wiley sits on several boards including Holdaway Medical in Louisville, Kentucky and CHW Foundation board in Chandler/Gilbert, Arizona.