Oberon Securities LLC (“Oberon”) is a New York City based investment bank that provides buy-side/sell-side M&A advisory and private equity/debt financing services. Oberon was founded in 2001 with the objective of becoming the “go to” investment bank for middle market businesses - capable of closing exceptional transactions with the intimacy of a boutique while providing a suite of services that rivals much larger institutions.

LedgeRock Advisors (https://ledgerockadvisors.com/) is a consulting firm that concentrates on creating sustainable competitive advantages for clients to maximize the short- and long-term value of their businesses.LedgeRock counsels business owners, executives, and other stakeholders, including private equity and venture capital firms on strategy, finance, M&A and divestitures, post-merger integration, corporate development, marketing, organization, information technology and digital transformation. Key associates serve in executive positions at client companies to develop, implement and manage the vision and growth of these organizations.Industry focuses include health care, financial services, consumer and retail, technology, real estate, and business services.While leading the growth of LedgeRock, I also served as President and CEO of The PAC Program Holding Company, Inc. with responsibility for the management and finances of this behavioral health care services provider in NYC and assisted in the sale of PAC Program to a prominent real estate/health care private equity fund.

Successfully identified, analyzed, and raised funding from multiple venture capital investors for early-stage companies on the leading edge of secular change, Warton’s portfolio includes Dataminr, an artificial intelligence company, and Fabric, an operator of automated “micro-fulfillment” centers.

Restructured and expanded the investment banking and capital markets departments for this diversified financial services company. Recommended and managed the successful recap of the AP&R by eVision.

Responsible for the management and growth of the Equity Capital Markets Department.

Appointed by the President of Wheat First Butcher Singer, one of America’s largest regional investment banking and brokerage firms, to lead both investment banking and capital markets Historically, these departments had not achieved the performance needed to attract a potential acquiror. Primary responsibility: increase revenues and net profitability for corporate finance, M&A, research, institutional sales, listed and OTC trading, syndicate, and options strategy. Accomplishments included:• Revamping of management team/practices, prospect/client focus, and compensation.• Exceeded all KPIs which resulted in a 30% increase in Equity Group profitability.• Structure design, funding, and launch of the WFBS Private Equity Fund L.P.• Received the highest discretionary performance bonus ever paid to a WFBS employee.By FYE 1997 Wheat First had grown to $1.3B in firm assets and revenues of $600M that led to the successful sale of the firm to First Union Bank for over $480M.

Marketing and management consulting firm with a focus on developing and implementing revenue growth and CRM strategies for financial services companies.

Global marketing and management consulting firm specializing in product development and distribution strategies for the financial services industry.