Richard Brand Email & Phone Number

Malvern, Pennsylvania, Us

San Diego, California, Us

Lab company with Quantum PCT, the most sensitive cancer cell DNA detection technology. • Introduced an interested investment fund to the company.• Sourced agent firms interested in managing capital raise.• Evaluate corporate strategy and communications.

Revitalized my LLC to serve a select few promising start-ups with current needs for fractional support.

This Special Purpose Acquisition Corp (SPAC) had identified a traget acquisition. The Board brought me on to take charge of the process. Negotiated acquisition price. Helped get an additional business added to the acquisition. Prepared the first budget. Secured extension. Ran Special Meeting of the Shareholders. Coordinated counsel, target and the 2 law firms representing it, as well as other professional serivces vendors, the Exchange and the SEC.

Birmingham, Alabama, Us

Helped arrange an affiliation with a larger, main-stream diagnostic company interested in Circulogene being its entry into oncology and liquid biopsy. Recruited a new Controller and replaced the entire Accounting Department. Lead improvement in financial reporting. 2021 financial statements prepared by January 7, 2022.On-boarded VP, RCM.

Providing CFO, COO, and Chief Commercial Officer services to health care.

Irvine , California, Us

Irvine , California, Us

• Initiated the development of a detailed commercialization plan.• Working my personal relationships with life science specialist institutional investors dating from the 1990’s when I was an equity capital markets and a hedge fund manager.• Sourced and implemented equipment lease financing and a bank credit line.• Revamped presentation and web site to present a corporation with a commercialization plan. • Work with PR and IR. Presentations to investment bankers and research analysts.

9x return for investors from increasing the profile of the company, in part. Best perfoming biotech IPO for much of 2017. Initiate some and manage relationships with banks, Investment bankers and equity research analysts. Presentations to potential investors. Hire and monitor PR and IR firms. Interact with auditing firm. Monitor our market research firm. Oversee financial operations.

Norwalk, Ct, Us

Brought in the first outside capital and three term institutions' term sheets from which to select.

Developed an understanding of the companies to build a cash forecast model for planning, managing and investor communications. Demonstrated that my experience building businesses at investment managers and investment banks is applicable to the responsibilities as a CFO.

* Grew 25.6% in 2014 and produced a net increase in net assets resulting from operations in Q1 and Q2 2015.* Developed a new lending business addressing the ongoing scarcity of capital available to small U.S. companies.* Prepare reporting documents; recommend outsourcing services, risk management and structured products for Whalehaven money management business formed in 2003, named 9th in category for 2011 by BarclayHedge & which produced over 20% average net return per annum.* February 23, 2012 recommended and Whalehaven bot TOL early 2012 after its Q4 2011 earnings missed and the shares dropped below $22.50.* Recommended and Whalehaven bot NM after the Baltic Dry Bulk Index hit a 25 year low.* Recommended and bot CMG puts July 19, 2012 when the stock traded near $400 immediately before earnings based on my analysis of declining CF trends, management sales of shares and prior 4 Qs meeting expectations after many Qs that beat.* Early 2013 recommended RAD in the $1.40's as it s turn-around started to become manifest.

* My business development and sales produced 243% growth in six months (non-annualized) and a greater increase overall by presenting to financial firms and investors, forming new partnerships, making 100 calls a day when in my office and maintainig a regime of tailored follow up.* Through 61 broker-dealer firms raised $87 million from retail investors for a new business development company for a PE manager whose prior fund was $5 million.

New York, Ny, Us

Consult.

Source and arrange transactions.

Mountainside, New Jersey, Us

* My business development of investment opportunities from my established contacts, new relationships and conferences lead to Yorkville's growth to $1 billion from $400 million.* Managed a sector, one-third of the total portfolio.* Forged the consensus to go to its highest cash position in July 2007.* My relationships and analysis got us back into profitable equity deals in late September 2008 beginning with the GE offering and selected six other overnight deals at discounts.* Research the 300 public oil companies and the alternative energy companies. Build relationships with those likely to raise capital near-term. * Tapped to lead TALF program. * Manage work-outs for companies pre-dating my joining the firm.

Palm Beach, Florida, Us

* Served the many external IR responsibilities.* Originated and structured corporate loans, including, mezzanine and registered direct investments, direct to companies and through private equity sponsors.* Brought in the first term sheet from a commercial bank to provide leverage to the firm.* M&A process produced a bidding war between two Fortune 500 companies, causing the initial bidder to increase its price 16 fold. Realized a 61% IRR on the 14% p.a. convert I negotiated privately.* Priced the 10% debt for the first ethanol company with a corn hedge and recommended Prospect sell when the secondary market bid rose.

* The best return delivered by any broker, according to investors.* Two clients added to the Russell 3000.* One was the best performing Nasdaq stock the month after our financing and subsequently elevated to the Nasdaq National Market from the Nasdaq SC.* Another was the second best Amex performer.* Built a profitable convert and secondaries business for middle market companies from the first year.* Ranked tied for seventh in Transaction Count.* All issuer clients are responsive to new business clients checking references.* Earned repeated demand from major mutual fund firms, banks, insurers and pensions in Europe, the U.S. and Asia.

* Built one business to an $ 87 million year.* Became number one in tech private placements in 1998 and every year thereafter.* Number 2 ranked biotech and medical devices private placement business.* My department selected to be the first in the firm-wide Siebel implementation.* Supported and advised RS's successful entry into private convertible bonds.* Financial sponsors requested I present on the state of the capital markets and implications for corporate strategy to their portfolio companies' board meetings.

Frankfurt Am Main, Hessen, De

* A founder of the team that ranked number one in tech private placements.* Extensive working with middle market financial sponsors.

Us

* One of six founders of the Private Funds Group. We focused on a single product to compete effectively with the market leader's team of 20 professionals.* Within 15 months we seized the number one ranking, on the way to building the business to $ 120 million a year.* Continued to form strong bonds with middle markets financial sponsors through advisory work and fund raising break-throughs.

New York, Ny, Us

* A debt capital markets originator directing Mortgage Research's credit analysis and structuring, with the trading desks' input, to client opportunities.* In the first year built the midwest business to $ 20 million from 0 the preceding year with the team of a VP, Associate and Analyst.* Relocated to the West coast and spearheaded the firm's efforts to win many break-through programs in the mortgage and asset backed markets and Merrill's first CDO as well as major MTN and CP programs.* Subsequently selected for middle markets financial sponsors coverage and fund raising.

Us

* In a debt origination department.* Won the assignment and lead the execution team for the $515 million Exxon deal. This included selling US Treasury stripped coupon securities with tie institutional salesforce to accounts buying these for the first time.* Became a product manager.* Instrumental in the firm's number one ranking in two products.* Helped originate and structure debt fifnacings and build client relationships with companies including Tampa Electric (TECO), Central Louisiana Electric, Chevron, Amoco, ARCO, Occidental Petroleum, Union Oil and Georgia-Pacific.

Mba, Finance

Ba, Economics And English