(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.
Peter joined Stockdale Securities as a Director of its Growth Companies Research team in December 2015. He had previously worked for Charles Stanley Securities since 2002. Prior to 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, having covered a broad range of both Main Market and AIM companies.
Close Brothers Asset Management
Sam 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.
Robert has been responsible for leading the coverage of small and mid-cap UK companies across several sectors at Berenberg since mid-2013, including AIM-listed companies. From scratch, that coverage has now grown to almost 100 stocks with a market cap below £4bn in the UK market and sits alongside the bank’s global coverage of over 700 companies. Rob began his career at Credit Suisse, where he spent nearly four years in the European Utilities research team before joining Berenberg in October 2011 to co-cover the pan-European utilities sector. Prior to this, Rob studied Economics at the University of Warwick and Economic History at London School of Economics.
Cantor Fitzgerald Europe
Philip is Managing Director, Corporate Finance at Cantor Fitzgerald Europe. He joined Cantor Fitzgerald in July 2015 and has 25 years of small and mid-cap corporate finance and broking experience, across all transaction types and sectors, particularly Industrials, Healthcare and Resources. Philip spent 15 years as a Director of Corporate Finance at Charles Stanley Securities and was also Head of Corporate Finance at resources specialist Fox-Davies Capital. Before joining Charles Stanley, Philip worked at MeesPierson Corporate Finance and is a member of the Corporate Finance Faculty of the ICAEW.
Dru is Head of Corporate Broking & Advisory 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 18 years, Dru has specialised in the quoted small and mid-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.
Kieran was part of the team that conceived PrimaryBid and led the development of the beta site. As CFO, he is responsible for oversight of the finance and compliance functions and is involved in the strategic development of the business. Kieran has also been CFO of an AIM-focused alternative investment manager since 2013.
Previously Kieran worked as an Investment Banker in M&A at Citi within the Financial Institutions group. He qualified as a Chartered Accountant with Ernst & Young and is an Economics graduate from Durham University.
Chris, a Chartered Accountant, joined WHIreland in April 2010 after over 20 years advising small and mid-cap companies with BZW, Hoare Govett and Arden Partners. He has extensive experience in advising companies, both domestic and overseas, in IPOs, secondary fundraisings, public offers and M&A transactions on both the Official List and AIM.
Arun has over 13 years’ experience covering the Technology sector. During this time, he has worked with technology start-ups and as an equity analyst in investment banks and independent research firms. He was formerly a Technology Analyst for Canaccord Genuity, Altium Securities, Espirito Santo Investment Bank, Noble Group and Clear Capital. He has a dual Master’s degree in Financial Engineering and Industrial and Operations Engineering from the University of Michigan. He obtained his Bachelor’s degree 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.
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.
Gresham House Asset Management Limited
Pardip is an Investment Director in the Gresham House Strategic Equity division and is responsible for sourcing and supporting both public and Private Equity transactions across a range of sectors. Pardip has a Bachelor’s degree in Accounting and Finance from the University of Manchester and qualified as a UK Chartered Accountant with KPMG.
Previously Pardip worked at LDC, the Private Equity arm of Lloyds Banking Group, where she assumed Board positions at uSwitch and Bluestone. Prior to this Pardip spent five years working in the Global Corporate Business Support Unit at Lloyds Banking Group.
Dominic is 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.
Martin Luke is CEO and founder of Vox Markets. A stockbroker by trade, Martin has over 20 years of financial markets experience and has been credited with a reputation for fostering trust and delivering results. He has held senior roles as Head of Dealing for firms such as Christows and Williams de Broë and was a founding shareholder at Evolution, which he helped grow to a market cap of £280m. Martin went on to build his own agency brokerage, Luke Securities, and latterly was part of the team responsible for building the incredibly successful securities firm, Novum, which was acquired by Zeus Capital in 2015. Martin gained a First in Electrical Engineering from the University of Glamorgan.
Judith joined Downing in 2009, and is a Partner and Head of Downing Public Equity. She is Manager of the Downing Micro-Cap Growth Fund and the recently launched Downing Strategic Micro-Cap Investment Trust. The Downing public equity funds adopt a Private Equity focus to diligence, aiming to be long-term value investors alongside aligned management teams. Previously, Judith 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 public and private companies.
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 and 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 is Head of Growth Companies at Cenkos and was a founding member of the team in 2006. He has over 22 years’ experience in the City in sales and as an analyst. He has led and worked on over 250 transactions in his career and before Cenkos was a Director at Beeson Gregory and Evolution Securities.
Richard 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 20 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.
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 Design Portfolio 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 is a Partner of River and Mercantile Asset Management’s Equity Solutions division and manages well over £1bn in the R&M UK Smaller Companies Fund, the 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 and the 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 in 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.
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 before 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 Daniel Redman, Head of Research and Strategy, and Helen Carpanini, Digital Research and Strategy Manager, both of Design Portfolio; and, in respect of the Best Technology Award, by Arun George, Technology Analyst.
A specialist in strategic consultancy and corporate reporting, Dan used his extensive expertise and deep knowledge of AIM to help benchmark and provide background research on the nominees for the Best Investor Communication Award.
Helen has spent most of her professional career working within the PR and communications sector. At Design Portfolio, she provides senior strategic advice to companies looking to embrace digital as part of their investor relations and corporate communications strategy. She educates companies on how digital channels complement traditional communications strategies.