(Voting Panel Chairman)
David is a partner in PwC’s London Mid-Tier Assurance practice with over 25 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 advisers, 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 the AIM Rules. He is a member of the AIM Advisory Group.
Peter joined Stockdale Securities as a Director of its Growth Companies Research team in December 2015. He worked previously for Panmure Gordon & Co following its acquisition of Charles Stanley Securities in 2015, having joined Charles Stanley in 2002. Before this he worked for Teather & Greenwood, Albert E Sharp, Citicorp Scrimgeour Vickers and SG Warburg among others. He has specialised in the smaller companies sector for over 25 years. He has focused on a number of sectors including Industrial Transportation, Business Support Services, Agriculture and Media and Publishing. He has covered a broad range of both Full List and AIM companies.
JM Finn & Co
Andrew Banks is 51, an Honours graduate in Business Studies and 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 AIM in 1995. He has a vast experience of AIM and has a demonstrable track record in this area.
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 14 years, has extensive experience in managing smaller company funds and is a holder of both the Investment Management Certificate and the CISI Diploma.
Graham joined Allenby Capital in May 2010 as a Director in equity sales. He has over 30 years’ experience of UK equity capital markets as either an analyst or salesman.
For most of the past 20 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.
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 the US.
Dru is Head of Corporate Finance at Shore Capital, having joined in 2004. He qualified as a Chartered Accountant with Ernst & Young in 1997 before moving into investment banking in 1999. Over the past 17 years, Dru has specialised in the quoted mid and small-cap segment of the market from both a financial advisory and corporate broking perspective. Dru has successfully led numerous transactions including IPOs, fundraisings, acquisitions, disposals and takeovers across a wide range of sectors on both AIM and the Main Market.
Cambridge Applied Research
Arun joined Cambridge Applied Research (CAR) in March 2016 in a business development role. CAR originates and manages a portfolio of UK technology ventures. The company also offers advisory and support services to early-stage technology ventures. Arun has over ten years’ experience covering the software, hardware and semiconductor industries. He was formerly a Technology Analyst for Canaccord Genuity, Altium Securities, Espirito Santo Investment Bank, Noble Group and Clear Capital. He has a dual Masters in Financial Engineering and Industrial and 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.
Simon is an integral part of Irwin Mitchell’s Corporate team in London and specialises in equity capital markets, public company takeovers and private mergers and acquisitions.
He has extensive experience in advising quoted companies, investment banks and fund managers. Simon previously headed Addleshaw Goddard’s equity capital markets practice from 2000 to 2013 and is also a former member of the City of London Solicitors’ Company Law Committee.
Simon has advised several South African companies on their London Stock Exchange listings.
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.
Northland Capital Partners
John is Head of Sales and Broking at Northland. He has 32 years of experience in London; initially he was a Fund Manager and then in 1985 he moved into stockbroking. He is an experienced salesman with an established reputation in the small and mid-cap sectors.
John has been involved in a number of IPOs and Corporate fundraisings, with particular experience in the New Energy, Mining, and Oil & Gas sectors.
He joined Northland Capital Partners Limited from Matrix Corporate Capital where he was a partner. He has also held senior positions at Seymour Pierce and Panmure Gordon & Co.
As part of the BGF Quoted team, Tom specialises in investments on the public markets, primarily AIM. Tom has 16 years’ experience supporting growth businesses, having previously led the equity capital markets team at finnCap. Tom has overseen over £2bn of fundraisings for growth companies across all sectors. Prior to finnCap, Tom worked in corporate finance at Dresdner Kleinwort and Bear Stearns. Tom is a Chartered Accountant, having qualified with Arthur Andersen in London, and has an Economics degree from The University of St. Andrews.
Dominic is Co-Head of the Corporate Broking team and heads Zeus Capital’s Birmingham operations. Dominic has been a key member of the Corporate Broking 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 and 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 the 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.
Julian was a founding member of Cenkos Growth Company team in 2006 and is Head of Growth Companies Sales. He has over 20 years’ experience in the City in sales and as an analyst. He has led and worked on over 200 transactions in his career and before Cenkos was a Director at Beeson Gregory and Evolution Securities.
Richard Power is head of the Quoted Smaller Companies team at Octopus, having joined in 2004. He has over 20 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 manages well over $1bn in the R&M UK Smaller Companies Fund, R&M UK Dynamic Equity Fund and the R&M Micro Cap Investment Company. He joined River and Mercantile in March 2014 from Investec Asset Management, where he managed more than $1bn in the Investec UK Smaller Companies Fund, Investec UK Alpha Fund, and latterly co-managed the Investec UK Blue Chip Fund. He has been recognised as Investment Week Fund Manager of the Year 2010 and 2011, and the Morningstar OBSR Outstanding Rising Talent in 2012. Philip has been investing in AIM-listed stocks since graduating from the University of Oxford 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, fundraisings, acquisitions, disposals and takeovers across a range of industry sectors on both AIM and the Official List. 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.
James has over 30 years’ experience in the City, initially joining the Asset Management department of Montagu Loebl Stanley (part of the Robert Fleming Group) in 1986 and going on to work at Greig Middleton, Seymour Pierce Butterfield and Henry Cooke Lumsden, followed by 16 years in corporate broking and institutional sales (latterly as Director of Equities at Charles Stanley Securities). James is a member of the AIM Advisory Group. He joined Winterflood Securities in November 2015.
Presentations were made to the Voting Panel in respect of the Best Investor Communication Award by Adam Kulesza, Digital Strategist, and Daniel Redman, Corporate Reporting Strategist, both of Design Portfolio; and, in respect of the Best Technology Award, by Arun George, Technology Analyst, Cambridge Applied Research.
Adam has five years’ experience in digital corporate communications working with FTSE 100, FTSE 250 and AIM‑listed companies, as well as private companies. His in‑depth experience in corporate digital strategy and website analytics goes beyond the corporate website. Adam also runs a range of digital IR best practice workshops.
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.