(Voting Panel Chairman)
David is a partner in PwC’s London Mid-Tier Assurance practice with over twenty-five years’ service with the firm. He specialises in providing audit and transaction support services to Mid-cap Listed businesses across a wide range of industry sectors and leads PwC’s services to AIM companies.
David’s clients include both private and publicly owned companies and he has extensive experience of working with Boards, applying his technical and business knowledge with a pragmatic, solutions-based approach.
In addition to his audit work, David is also a Transactions Support partner. Over recent years he has been involved in a number of IPOs, as well as Class I transactions (acquisitions and disposals).
David regularly presents and writes on topical issues affecting listed companies and has close contact with key advisors, including the London Stock Exchange.
Stuart joined finnCap in March 2012 and was appointed Head of Corporate Finance in July 2012. Stuart originally qualified as an accountant with PwC before joining Beeson Gregory, which was acquired by Evolution Group in 2002, where he worked until 2012. He has extensive experience of all aspects of public company work including fundraisings, Takeover Code work, the Listing Rules and AIM Rules. He is a member of the AIM Advisory Panel.
Peter joined Panmure Gordon & Co following the acquisition of Charles Stanley Securities in July 2015, having joined Charles Stanley in 2002. He worked previously for Teather & Greenwood, Albert E Sharp, Citicorp Scrimgeour Vickers and SG Warburg. He has specialised in the smaller companies sector for over 25 years, first as a salesman and subsequently as an analyst. He has focused on a number of sectors including Industrial Transportation, Business Support Services, Agriculture, Property and Media and Publishing. He covers a broad range of both Official List and AIM companies.
JM Finn & Co
Andrew Banks is 51 and an Honours graduate in Business Studies, he is a Chartered Member of the Securities Institute. He has over 25 years experience of investment in the UK smaller companies sector. Andrew started his career with Hambros Investment Management in 1986 and then moved to Singer & Friedlander Investment Management in 1995. Singers were acquired by Williams de Broë in 2008 from where Andrew joined J M Finn in 2012. Andrew has been managing tax efficient investments, including IHT, EIS and VCT portfolios since the launch of the Alternative Investment Market (AIM) in 1995. He has a vast experience of the AIM and has a demonstrable track record in this area. Andrew sits on the panel that assesses and selects the winners of the PwC AIM Awards each October.
Close Brothers Asset Management
Sam Barton is Investment Director UK Smaller Companies, having joined Close Asset Management Limited in September 2008 from Unicorn Asset Management. He runs the smaller companies team at Close Brothers, managing AIM-quoted IHT, EIS and segregated portfolios. Sam has worked in the smaller companies universe for 13 years, has extensive experience in managing smaller company funds and is a holder of both the Investment Management Certificate and CISI Diploma.
Graham joined Allenby Capital in May 2010 as a director in equity sales. He has over 25 years’ experience of UK equity capital markets as either an analyst or salesman.
For most of the past 14 years, he has focused on smaller companies, being involved in numerous IPOs and secondary issues both on AIM and the Official List. During this time he worked at Williams de Broë, Teather & Greenwood, Bridgewell and Altium Securities. Before moving into sales, Graham was an equity analyst focusing on the oil and gas exploration and production sector.
SPARK Advisory Partners
Mark joined what became Brewin Dolphin's Corporate Finance team in 1988, having qualified as a chartered accountant at KPMG. He became a director in 1993 and was subsequently Head/Deputy Head of Corporate Finance for some 14 years. He has considerable experience in providing advice to corporate clients on IPOs, takeovers and a wide range of other transactions involving private and public companies. He has experience in a number of sectors, most recently Consumer, Industrials and Healthcare. In addition, Mark is a non-executive director of eg solutions plc (AIM: EGS), a past Chairman of the Quoted Companies Alliance and a member of the Yorkshire and North East Regional Advisory Group of the London Stock Exchange and he is also a regular speaker at events on quoted company issues. He is a founding partner of SPARK Advisory Partners.
Sanlam Securities UK
Mark has over 20 years’ experience in the City, during which he has been a No.1 ranked analyst by both Extel and Greenwich. Between 1993 and 2008 he worked at Barings and subsequently ING in London, covering a range of sectors across emerging markets. From 2004 he managed the top rated EMEA Real Estate Research team, successfully raising money for a number of property and infrastructure companies. After leaving ING he headed up the GEMs property teams at Nomura and Religare and more recently covered property & infrastructure at Edison Investment Research.
RBC Capital Markets
Daniel joined the European ECM and Corporate Broking team at RBC in 2009, having previously been at Oriel Securities and at BDO where he qualified as a Chartered Accountant. Over the last eight years he has been involved in over 40 fundraisings on AIM and the Official List across both equity and equity-linked products, in addition to private placements. Daniel currently covers numerous AIM and Official List companies, predominantly in the Oil and Gas sector. He graduated from the University of Warwick with a degree in Accounting and Finance.
Andy was a leading UK small cap fund manager for nearly twenty-five years, mainly at Invesco Perpetual. In 2011 he moved to the sell side and led Peel Hunt's ECM/Syndicate function for four years. Since April 2015 he has been Managing Director of Westhouse Securities, overseeing their Corporate, Sales, Research and Trading teams, ensuring that they work in a unified way to deliver the best possible service to clients. He is a member of the London Stock Exchange's Aim Advisory Group.
John was appointed to his current role of Co-Head of Equities, Head of Research, in July 2013. He began his career as an institutional research analyst in the City in 2002 and has worked for TD Waterhouse, Altium Securities and WH Ireland over this time. Prior to this, he worked in industry after graduating in 2000, having studied in the both the UK and US.
Richard Davies is Founder and Managing Director of RD:IR, an independent global Investor Relations consultancy, offering a wide range of IR-related analysis, research & advisory services to over 630 UK & international public companies.
As well as providing IR counsel, Richard has run many pioneering research projects across the global financial markets including surveys covering hedge funds, emerging markets, private equity, internet business and financial service marketing processes.
Richard was Chairman of the UK Investor Relations Society from 2009 to 2011 after acting as Deputy Chairman for the previous five years. He was a Board member of the Society for ten years, contributing greatly to the development of the Society’s education, events and social programmes. Richard remains active within the Society, sitting on the Events, Conference and Policy Committees, as well as the Society’s Examination Board for its Certificate in Investor Relations.
Richard is also a member of the following: the Chartered Institute of Public Relations (City & Financial Group); the All Party Parliamentary Corporate Governance Group; the International Corporate Governance Network; the Shareholder Voting Working Group; and the Development Board of the Missing People’s charity.
Robert has over 25 years’ experience advising UK and international companies on accessing and transacting in the UK capital markets. Prior to joining Westhouse at the start of 2013, Robert was head of corporate finance at Canaccord Genuity’s London operations. He has also worked at James Capel & Co, Credit Lyonnais Securities and Hoare Govett.
Arun joined Canaccord Genuity in November 2013 as a technology analyst, having previously been part of the Institutional team at Edison. He has over eight years’ experience covering the software, hardware and semiconductor industries. He was formerly a technology analyst for Altium Securities, Espirito Santo Investment Bank, Noble Group and Clear Capital. He has a dual Masters in Financial Engineering and Industrial & Operations Engineering from the University of Michigan. He obtained his Bachelors in Mechanical Engineering from the Indian Institute of Technology, Bombay. He is also a CFA charterholder.
Working in the Financial & Risk division of Thomson Reuters, Mike heads up the European Sales Specialist team for World-Check Screening and Integrascreen Enhanced Due Diligence reporting services. He specialises in assisting companies in all sectors to develop a risk-based approach to screening and due diligence of third parties. A frequent speaker at international conferences, he aims to increase understanding of what information is available, and how to obtain, understand and effectively integrate it into a due diligence programme. Drawing on many years of international business experience, he touches on topical and sometimes difficult issues in his talks.
Jeff has over 30 years' corporate finance experience in both the public and private markets advising on IPO's, secondary fundraisings, M&A and private equity transactions, and providing guidance to growing companies. Jeff is currently a Director, Corporate Finance at SP Angel Corporate Finance and has previously worked at Singer Capital Markets (as joint head of corporate finance), Landsbanki Securities / Teather & Greenwood (including roles as joint head and head of corporate finance), and at Smith & Williamson where he was a corporate finance partner for twelve years. He qualified as a chartered accountant with Ernst & Whinney. Jeff is currently a member of the London Stock Exchange's AIM Advisory Group.
Dominic is Co-Head of the Corporate Broking team and heads Zeus Capital’s Birmingham operations. Dominic been a key member of the corporate broking team team since June 2013. Prior to this, Dominic was one of the founders of Arden Partners in 2002. Post the flotation of Arden he joined GIL Investments, the private equity vehicle of the late David Grove OBE, before returning to Arden as Head of Corporate Broking.
Judith joined Downing in 2009, and is a Partner and Head of Downing Public Equity. Previously she was a Partner at Acuity Capital, managing AIM-quoted VCT & IHT investments, and a small-cap activist fund. Prior to this, Judith spent seven years as a senior investment manager with Aberdeen Asset Managers Growth Capital and co-managed the five Aberdeen VCTs, focusing on technology and media investments in both the public and private arenas. She has held various non-executive and advisory roles in Scottish Government and private companies, and is a Fellow of the Securities Institute.
Unicorn Asset Management
Fraser joined Unicorn Asset Management in 2008 and has been an active member of Investment Committee at Unicorn since joining the firm. He has been manager of the Unicorn UK Growth fund since February 2011 and co-manager of the Unicorn UK Income Fund & Acorn Investment fund since 2013. Prior to joining Unicorn, Fraser held positions at F&C Asset Management and Geoghegan & Co Chartered Accountants. Fraser is a Fellow of the Association of Chartered Certified Accountants.
Laurence Marsh joined Bisgood Bishop in 1981 as an Analyst and worked at County NatWest after the takeover of Bisgood Bishop. Laurence joined Winterflood Securities when Brian Winterflood founded the company in 1988.
Mark joined Shore Capital in June 2015 from Cantor Fitzgerald Europe. He qualified as a chartered accountant with Price Waterhouse in 1992 before moving into the City in 1996. Over the last 19 years he has worked on a variety of transactions from takeovers to IPOs, most recently the reverse takeover for Gama Aviation PLC, the IPO of Stride Gaming plc and the first IPO of a UK law firm, Gateley (Holdings) plc.
Richard Power is head of the Smaller Companies team at Octopus, having joined in 2004. He has over 19 years’ experience of managing UK smaller companies funds and is in charge of managing the CFIC Octopus UK Micro Cap Growth Fund. Richard has also worked at Close Brothers and Duncan Lawrie.
Brough is the Healthcare and Life Sciences specialist equity salesman at N+1 Singer. He has spent the last 18 years fundraising and trading in this sector, at Nomura, Merrill Lynch, Durlacher, ING and Nomura Code before joining N+1 Singer in 2013. Brough’s degree and MBA are from the University of Exeter.
Flathill Communications Group plc
Throughout his career, Ian has been involved in the quoted growth companies sector. His early career was as a stockbroker, analyst, broadcaster and financial journalist in this area and, since founding The Design Portfolio Marketing Services in 1991, he has been active in helping many companies in this sector with their investor communication and corporate reporting requirements. Ian is also Chairman of Flathill Communications Group plc, President of The Design Portfolio Marketing Services Inc. and a member of the Investor Relations Society.
River and Mercantile Asset Management
Philip Rodrigs is a Partner of the River and Mercantile Group’s Equity Solutions division and is the Fund Manager for the R&M UK Smaller Companies Fund and the R&M Micro Cap Investment Company. He joined River and Mercantile in March 2014 following a successful 8 years with Investec Asset Management, having grown the Investec UK Smaller Companies Fund to over $1bn and being recognised as Investment Week Fund Manager of the Year 2010 and 2011 and the Morningstar OBSR Outstanding Rising Talent in 2012. He also managed the UK All-Cap Investec UK Alpha Fund and latterly co-managed the Investec UK Blue Chip Fund. Philip has been investing in AIM listed stocks since graduating from Oxford University in 2002, with spells at Invesco Asset Management and T Rowe Price Asset Management prior to joining Investec in 2005.
Cantor Fitzgerald Europe
Rick is Head of Corporate Finance at Cantor Fitzgerald Europe, having joined Cantor Fitzgerald in February 2013. He specialises in the mid and small cap quoted arena and has acted for companies from both a financial advisory and corporate broking perspective. Rick has significant transactional experience and has successfully completed a range of transactions including IPOs, fund raisings, acquisitions, disposals and takeovers across a range of industry sectors on both AIM and the Official List. Deals completed include the IPOs of Mulberry, Unite Group and Globalworth Real Estate, acting for Ashcourt Rowan on its takeover by Towry and advising Victoria on its reverse acquisition of Westex Carpets. Formerly Head of Capital Markets at Seymour Pierce, he previously headed the Corporate Finance and Corporate Broking operations for both Charles Stanley Securities and Teather & Greenwood for over 12 years respectively. He is an Investment Banking representative on the Corporate Finance Faculty of the ICAEW and has been a member of the AIM Advisory Group since 1999. Rick has over 20 years’ experience of providing advisory and broking advice to UK listed businesses.
Specialist presentations were made to the Voting Panel by Julie Wilford and Daniel Redman, respectively MD and Corporate Reporting Strategist at Design Portfolio (Best Investor Communication Award); and Arun George, Technology Analyst, Canaccord Genuity (Best Technology Award).
Julie is Managing Director of Design Portfolio, a specialist in corporate and investor communications. Julie’s background is in corporate reporting and corporate websites, helping smaller quoted and AIM companies craft and present their investment case. Over the years she has worked with the AIM voting panel to provide background research, benchmarking and expert reviews on those companies nominated for the Best Investor Communications Award.
Dan is a Corporate Reporting Strategist at Design Portfolio, advising clients on the best practice approach to engaging with key stakeholders and developing transparency and accountability in corporate communications, both print and online. Having worked with a wide variety of smaller quoted and AIM companies, Dan reviewed the effectiveness of the investor communications of all those companies nominated for the Best Investor Communication Award. He holds the IR Society’s Certificate in Investor Relations.