Terms of use / DISCLOSURES

Effective Date: January 1, 2024

  1.  Acceptance Of Terms of Use

These terms of use are entered into by and between you and Lytham Partners, LLC (the ”Company” or “we”). The following terms and conditions, together with any documents they expressly incorporate by reference (collectively, these “Terms of Use” or “Agreement”), govern your access to and use of the Company’s portal and website, including any content, functionality, and services (the “Site”), whether as a guest or a registered user.

Please read carefully the Terms of Use before you start to use the Site. By (i) accessing, browsing, subscribing to, and using the Site; and (ii) by using the Company software as a service platform, portal, associated content, and any customizations made to the services provided or offered by Company via the Site (collectively, the “Services”), you acknowledge that you have read, have understood, and you accept and agree to be bound by this Agreement, to abide by these Terms of Use, and to comply with all applicable laws and regulations. If you do not agree to these terms, you must not access or use the Site or any of the Services.

These Terms apply to you and your employees, agents, investors, prospective investors, or contractors (“Authorized Users”).  If you accept these Terms of Use on behalf of an entity, you hereby represent and warrant that you are authorized to do so. You may permit your Authorized Users to use the Services, provided that your Authorized Users comply with these Terms of Use.  You are responsible for the use and actions of your Authorized Users.

This Site is offered and available to users who are 18 years of age or older. By using this Site, you represent and warrant that you are of legal age to form a binding contract with the Company and meet all of the foregoing eligibility requirements. If you do not meet all of these requirements, you must not access or use the Site.

The material provided through our Site and the Services is protected by law, including, but not limited to, United States copyright, trademark, patent, trade secret, and other intellectual property or proprietary rights laws. The Site and the Services are controlled and operated by Company from its offices within the United States.  Company makes no representation that materials on the Site and in the Services are appropriate or available for use in other locations, and access to them from territories where their contents are illegal is prohibited. Those who choose to access the Site and the Services from other locations do so on their own initiative and are responsible for compliance with all applicable local laws. 

  1. Content

You are responsible for your use of the Services, including any material you post to, or present through, the Services (“Content”), and for any consequences thereof.  We may not monitor or control Content and are not responsible for such Content. You use or rely on any Content at your own risk.

We do not endorse, support, represent, or guarantee the completeness, truthfulness, accuracy, or reliability of any Content or any opinions expressed therein. Under no circumstances will we be liable for any Content, including, but not limited to, any errors or omissions in any Content, or any loss or damage incurred as a result of the use of any Content made available through the Services.

  1. Changes To The Terms Of Use

Information provided on the Site and the Services may be changed or updated without notice. Company may also make improvements and/or changes in the Services described in this information at any time without notice. Your continued use of the Site following the posting of revised Terms of Use means that you accept and agree to the changes. You are expected to check this page from time to time so you are aware of any changes, as they are binding on you.

  1. Accessing The Site, Registration, Accounts, And Passwords

We reserve the right to withdraw or amend the Site, and any service or material we provide on the Site, in our sole discretion without notice. We will not be liable if for any reason all or any part of the Site is unavailable at any time or for any period. From time to time, we may restrict access to some parts of the Site, or the entire Site, to users, including registered users.

You are responsible for making all arrangements necessary for you to have access to the Site and ensuring that all persons who access the Site through your internet connection are aware of these Terms of Use and comply with them.

If you choose, or are provided with, a user name, password, or any other piece of information as part of our security procedures, you must treat such information as confidential, and you must not disclose it to any other person or entity. You also acknowledge that your account is personal to you and agree not to provide any other person with access to this Site or portions of it using your user name, password, or other security information. You are solely responsible for maintaining the confidentiality of your password and account, and you are solely responsible for all use of your password or account, whether authorized by you or not.  Company cannot and will not be liable for any loss or damage arising from your failure to comply with the terms of this Agreement. You agree to notify Company immediately of any unauthorized access to or use of your user name or password or any other breach of security. You also agree to ensure that you exit from your account at the end of each session. You should use particular caution when accessing your account from a public or shared computer so that others are not able to view or record your password or other personal information. You are solely responsible for logging out of the Site and the Services at the end of each session.

We have the right to disable any user name, password, or other identifier, whether chosen by you or provided by the Company, at any time in our sole discretion for any or no reason, including if, in our opinion, you have violated any provision of these Terms of Use.

  1. Use Restrictions And Intellectual Property

The Site and its entire contents, features, and functionality (including but not limited to all information, software, text, displays, images, video, and audio, and the design, selection, and arrangement thereof (“Company Content”) is owned by the Company, its licensors, or other providers of such material (collectively, and individually, “Company Content Providers”) and are protected by United States and international copyright, trademark, patent, trade secret, and other intellectual property or proprietary rights laws. You agree not to modify, copy, distribute, transmit, share, display, perform, reproduce, publish, license, create derivative works from, transfer, or sell or re-sell any Company Content obtained from or through Company.

The Site and Services contain proprietary and copyright-protected information. Any unauthorized use of any Company Content contained on the Site or the Services may violate copyright laws, trademark laws, the laws of privacy and publicity, and communications regulations and statutes. You may not modify, publish, transmit, participate in the transfer or sale, create derivative works, or in any way exploit any of the content in whole or in part.

You will not upload, post or otherwise make available on the Site or via the Services, any material protected by copyright, trademark or other proprietary right without the express permission of the owner of the copyright, trademark or other proprietary right. You will indemnify Company and its officers, directors, employees, and agents for any claims by third parties of infringement of copyrights, trademarks, proprietary rights or any other harm resulting from such a submission of material by you. 

The Company Content and Site may not be reproduced, duplicated, copied, sold, resold, or otherwise exploited for any commercial purpose without express written consent of Company. You may not frame or utilize framing techniques to enclose any trademark, logo, or other proprietary information (including images, text, page layout, or form) of Company without express written consent. You must not modify copies of any materials from this site or delete or alter any copyright, trademark, or other proprietary rights notices from copies of materials from this site. You may not use any meta tags or any other “hidden text” utilizing Company’s name or trademarks without the express written consent of Company. You may not misuse the Site. You may use the Site only as permitted by law.  

No right, title, or interest in or to the Site or any content on the Site is transferred to you, and all rights not expressly granted are reserved by the Company. Any use of the Site not expressly permitted by these Terms of Use is a breach of these Terms of Use and may violate copyright, trademark, and other laws.

We have the right, but not the obligation, at all times to remove or refuse to distribute any Content, and to suspend or terminate users. We also reserve the right to access, read, preserve, and disclose any information as we reasonably believe necessary to: (i) satisfy any applicable law, regulation, legal process, or governmental request; (ii) enforce these Terms of Use, including investigation of potential violations hereof; (iii) detect, prevent, or otherwise address fraud, security, or technical issues; (iv) respond to user support requests; or (v) protect the rights, property, or safety of Company, its users, its clients, and the public.

  1. Transmissions And Customer Data

Customer Data” means all data, information, or content provided, uploaded, recorded, or posted by any Authorized User during and in connection with the authorized use of the Site or displayed on or through the Services or transmitted to or shared with other users.  Company shall own and control all rights in, to, and under the Customer Data transmitted on our Site or through our Services.

  1. Disclaimer Of Warranties

THE INFORMATION PRESENTED ON OR THROUGH THE SITE IS MADE AVAILABLE SOLELY FOR GENERAL INFORMATION PURPOSES. WE DO NOT WARRANT THE ACCURACY, COMPLETENESS, OR USEFULNESS OF THIS INFORMATION. ANY RELIANCE YOU PLACE ON SUCH INFORMATION IS STRICTLY AT YOUR OWN RISK. WE DISCLAIM ALL LIABILITY AND RESPONSIBILITY ARISING FROM ANY RELIANCE PLACED ON SUCH MATERIALS BY YOU OR ANY OTHER VISITOR TO THE SITE, OR BY ANYONE WHO MAY BE INFORMED OF ANY OF ITS CONTENTS.  INFORMATION ON THE SITE MAY CONTAIN TECHNICAL INACCURACIES OR TYPOGRAPHICAL ERRORS.  ALL INFORMATION IS PROVIDED BY COMPANY ON AN “AS IS” BASIS ONLY.  COMPANY PROVIDES NO REPRESENTATIONS AND WARRANTIES, EXPRESS OR IMPLIED, INCLUDING THE IMPLIED WARRANTIES OF FITNESS FOR A PARTICULAR PURPOSE, MERCHANTABILITY AND NONINFRINGEMENT, UNLESS SUCH REPRESENTATIONS AND WARRANTIES ARE NOT LEGALLY EXCLUDABLE. USE OF THE SERVICES IS SOLELY AT YOUR RISK.  COMPANY MAKES NO WARRANTY THAT (i) THE SITE WILL MEET YOUR REQUIREMENTS; (ii) THE SITE WILL BE UNINTERRUPTED, TIMELY, SECURE, OR ERROR FREE; (iii) THE RESULTS THAT MAY BE OBTAINED FROM THE USE OF THE SITE WILL BE ACCURATE OR RELIABLE; AND (iv) THE QUALITY OF ANY PRODUCTS, INFORMATION, OR OTHER SERVICES PURCHASED OR OBTAINED BY YOU THROUGH THE SITE WILL MEET YOUR EXPECTATIONS. 

YOU ARE SOLELY RESPONSIBLE FOR ENSURING THAT YOUR USE OF THE SITE, RELATED SERVICES, OR CONTENT IS IN ACCORDANCE WITH APPLICABLE LAW.  COMPANY IS NOT RESPONSIBLE FOR ANY INFORMATION NOT PROVIDED ON THE SITE.  COMPANY DOES NOT GUARANTEE, IMPLICITLY OR EXPLICITLY, ANY RESULTS.  ANY MATERIAL DOWNLOADED OR OTHERWISE OBTAINED THROUGH THE USE OF THE SITE IS DONE AT YOUR OWN DISCRETION AND RISK AND YOU WILL BE SOLELY RESPONSIBLE FOR ANY DAMAGE TO YOUR COMPUTER SYSTEM OR LOSS OF DATA THAT RESULTS FROM THE DOWNLOAD OF ANY SUCH MATERIAL.  NO ADVICE OR INFORMATION, WHETHER ORAL OR WRITTEN, OBTAINED BY YOU FROM COMPANY OR THROUGH OR FROM THE SITE SHALL CREATE ANY WARRANTY NOT EXPRESSLY STATED IN THE TERMS OF SERVICE AND USE.  

  1. Limitation of Liability

YOU EXPRESSLY UNDERSTAND AND AGREE THAT COMPANY SHALL NOT BE LIABLE FOR ANY DIRECT, INDIRECT, INCIDENTAL, SPECIAL, CONSEQUENTIAL OR EXEMPLARY DAMAGES, INCLUDING BUT NOT LIMITED TO, DAMAGES FOR LOSS OF PROFITS, REVENUES, GOODWILL, USE, DATA, OR OTHER INTANGIBLE LOSSES (EVEN IF COMPANY HAS BEEN ADVISED OF THE POSSIBILITY OF SUCH DAMAGES), RESULTING FROM:  (i) THE USE OR THE INABILITY TO USE THE SITE; (ii) THE COST OF PROCUREMENT OF SUBSTITUTE GOODS AND SERVICE RESULTING FROM ANY GOODS, DATA, INFORMATION, OR SERVICE PURCHASED OR OBTAINED OR TRANSACTIONS ENTERED INTO THROUGH OR FROM THE SITE; (iii) UNAUTHORIZED ACCESS TO OR ALTERATION OF YOUR TRANSMISSIONS OR DATA; (iv) STATEMENTS OR CONDUCT OF ANY THIRD PARTY ON THE SITE; OR (v) ANY OTHER MATTER RELATING TO THE SERVICES.  YOU ALSO AGREE THAT COMPANY WILL NOT BE LIABLE FOR ANY INTERRUPTION OF BUSINESS, ACCESS DELAYS, OR ACCESS INTERRUPTIONS TO THE SITE OR SERVICES, DATA NON-DELIVERY, MIS-DELIVERY, CORRUPTION, DESTRUCTION OR OTHER MODIFICATION, AND EVENTS BEYOND COMPANY’S REASONABLE CONTROL.  

IN NO EVENT SHALL COMPANY BE FINANCIALLY LIABLE FOR ANY CONSEQUENTIAL OR INCIDENTAL DAMAGES.  BECAUSE SOME STATES DO NOT ALLOW THE EXCLUSION OR LIMITATION OF LIABILITY FOR CONSEQUENTIAL OR INCIDENTAL DAMAGES, IN SUCH STATES, OUR LIABILITY IS LIMITED TO THE EXTENT PERMITTED BY LAW.

  1. Prohibited Uses

You may use the Site only for lawful purposes and in accordance with these Terms of Use. You agree not to use the Site:

  • In any way that violates any applicable federal, state, local, or international law or regulation (including, without limitation, any securities laws, and the laws regarding the export of data or software to and from the US or other countries).
  • For the purpose of exploiting, harming, or attempting to exploit or harm minors in any way by exposing them to inappropriate content, asking for personally identifiable information, or otherwise.
  • To transmit, or procure the sending of, any advertising or promotional material, including any “junk mail,” “chain letter,” “spam,” or any other similar solicitation.
  • To post or transmit to or from the Site any unlawful, threatening, libelous, defamatory, obscene, scandalous, inflammatory, pornographic, or profane material, or any other material that could give rise to any civil or criminal liability.
  • To impersonate or attempt to impersonate the Company, a Company employee, another user, or any other person or entity (including, without limitation, by using email addresses associated with any of the foregoing).
  • To engage in any other conduct that restricts or inhibits anyone’s use or enjoyment of the Site, or which, as determined by the Company, may harm the Company or users of the Site or expose them to liability.
  • Use the Site in any manner that could disable, overburden, damage, or impair the site or interfere with any other party’s use of the Site, including their ability to engage in real time activities through the Site.
  • Use any robot, spider, or other automatic device, process, or means to access the Site for any purpose, including monitoring or copying any of the material on the Site or reverse engineer the Site or the Services.
  • Use any manual process to monitor or copy any of the material on the Site or for any other unauthorized purpose without our prior written consent.
  • Use any device, software, or routine that interferes with the proper working of the Site.
  • Introduce any viruses, trojan horses, worms, logic bombs, or other material that is malicious or technologically harmful.
  • Attempt to gain unauthorized access to, interfere with, damage, or disrupt any parts of the Site, the server on which the Site is stored, or any server, computer, or database connected to the Site.
  • Attack the Site via a denial-of-service attack or a distributed denial-of-service attack.
  • Otherwise attempt to interfere with the proper working of the Site.

 

  1. Excluded Services

You acknowledge that the Company is not a registered broker or dealer or licensed investment adviser, and agree that the Company shall not perform any services for you that would violate SEC, FINRA, or other applicable laws and regulations, including the rules of any stock exchange upon which your securities are posted for trading.  For example, but without limitation, you agree that the Company shall not: (i) participate in negotiations between you and potential investors; (ii) assist in structuring securities transactions; (iii) receive compensation for your use of the Site; (iv) engage in “pre-selling” securities to gauge the level of interest; (v) conduct or assist with the sale of securities; (vi) provide advice to potential investors regarding the value of securities; (vii) disseminate quotes for securities or other pricing information; (viii) send private placement memoranda, subscription documents, and due diligence materials to potential investors; (ix) advise potential investors on portfolio allocations to accommodate an investment; (x) provide potential investors with analyses of potential investments; or (xi) provide potential investors with confidential information identifying other investors and their capital commitments.

  1. Termination

In its sole and absolute discretion, with or without notice to you, Company may suspend or terminate your use of and access to the Services, terminate your account and/or remove and discard anything transmitted by you, or information stored, sent, or received via the Services without prior notice and for any reason, including, but not limited to: (i) any unauthorized access or use of the Services, (ii) any violation of this Agreement, or (iii) tampering with or alteration of any of the software and/or data files contained in, or accessed through, the Services. Company shall not be liable to you or any third party for any claims or damages arising out of any termination or suspension of the Site. Termination, suspension, or cancellation of the Services or your access rights to the Site shall not affect any right or relief to which Company may be entitled, at law or in equity, and all rights granted to you will automatically terminate and immediately revert to Company.

  1. Indemnification

You agree to defend, indemnify, and hold harmless the Company, its affiliates, licensors, and service providers, and its and their respective officers, directors, employees, contractors, agents, licensors, suppliers, successors, and assigns from and against any claims, liabilities, damages, judgments, awards, losses, costs, expenses, or fees (including reasonable attorneys’ fees) arising out of or relating to your violation of these Terms of Use or your use of the Site, including, but not limited to, your use of the Site’s content, services, and products (other than as expressly authorized in these Terms of Use) or your use of any information obtained from the Site.

  1. Governing Law And Dispute Resolution

This Agreement, and any other documentation between you and the Company and all claims relating to or arising out of any transaction between you and the Company, whether sounding in contract, tort or otherwise, shall be governed and construed in accordance with the laws of the state of Arizona, excluding its choice of law principles.

You voluntarily agree that any dispute, claim, question, or controversy between you and the Company arising from or relating to these Terms of Use (the “Dispute”) that cannot be resolved through consultation and negotiation will first be submitted to mediation, the cost of which shall be shared equally by the parties. If the mediation is unsuccessful, the Dispute may be submitted to binding arbitration administered by a single arbitrator in accordance with the Commercial Rules of the American Arbitration Association taking place in Maricopa County, Arizona.  You may not commence such arbitration proceedings without first agreeing to participate in mediation.  Except as required by law, neither party nor the arbitrator may disclose the existence, content, results, or award of arbitration without the prior written consent of all parties. The prevailing party will be entitled to recover from the losing party reasonable legal fees, arbitrators’ fees, and any other fees incurred in connection with the arbitration. You expressly waive the right to resolve any Dispute through any other means. This dispute resolution provision shall survive these Terms of Use.

  1. Waiver And Severability

No waiver of by the Company of any term or condition set out in these Terms of Use shall be deemed a further or continuing waiver of such term or condition or a waiver of any other term or condition, and any failure of the Company to assert a right or provision under these Terms of Use shall not constitute a waiver of such right or provision.

If any provision of these Terms of Use is held by a court or other tribunal of competent jurisdiction to be invalid, illegal or unenforceable for any reason, such provision shall be eliminated or limited to the minimum extent such that the remaining provisions of the Terms of Use will continue in full force and effect.

  1. Relationship Of Parties

Your use of the Site does not create a client relationship with the Company.  The Company is an independent contractor and not your employee or agent.  Nothing in these Terms of Use shall be deemed to constitute a partnership or joint venture, or to require the Company to provide the Services exclusively to you.

  1. Disclosures / Compensation

The Company provides a range of investor relations services to its clients. The particular services provided vary by client and may change from time to time.

No Investment Advice: The Company is not a registered broker-dealer, registered investment adviser or financial adviser, nor does it hold itself out to be. All materials presented on this Site and/or publications or presentations released by the Company to the public through this Site, email, or any other means of transmission are not to be regarded as investment advice, do not constitute an endorsement of any company, and are only for informative purposes. Before making a purchase or sale of any securities mentioned on this Site or in the Company’s publications or presentations, the Company strongly encourages and recommends consultation with a registered securities representative. This Site and/or publications or presentations released by the Company to the public through this Site, email, or any other means of transmission do not constitute an offer to purchase or sell securities, and is not to be construed as a representation of an offer or a solicitation of any offer by the Company or its client companies to purchase or sell any security. The Company or any of its affiliates, members, employees, clients, officers, directors, and/or their respective families may from time to time purchase or sell, as agents or principals, or otherwise hold positions in, securities of its client companies, and are free to buy or sell those positions at will.  Any such positions may be increased or decreased from time to time in the future without notice. Any information or opinions expressed in this Site and/or publications or presentations released by the Company are subject to change without notice.

Compensation Information: The Company is compensated by its clients for providing investor relations services.  For a list of clients, please click this link

Information Sources and Forward-Looking Statements: The information contained on the Site and/or publications or presentations about the Company’s clients was obtained from materials available to the general public, including the clients’ filings with the SEC, documents included on the client’s websites, information provided by the client or from other publicly available sources deemed reliable by the Company.  The Company does not represent or guarantee the accuracy or completeness of this information. This information is subject to change without notice and the Company assumes no responsibility to update the information, except as required by law. The information contained in this Site and/or publications or presentations about the Company’s clients may contain “forward‐looking statements” within the meaning of the Private Securities Litigation Reform Act of 1995 (“Reform Act”), as well as Regulation FD.  These statements may involve risks and uncertainties that could cause actual results to differ materially from the forward‐looking statements. Factors which could cause or contribute to such differences are detailed in that company’s public filings with the United States Securities and Exchange Commission, if available. Forward‐looking statements speak only as of the date the statement was made. The Company disclaims any obligation to update any forward‐looking statements. The Company claims the protection of the safe‐harbor for forward‐looking statements contained in the Reform Act. Any performance data quoted represents past performance. There is no guarantee of comparable future results; current performance may be higher or lower.

 

Jack has more than 20 years of experience in investor relations, FP&A as well as equity research roles at Wall Street firms. He provides clients with investor relations counsel and strategy, as well as support for quarterly earnings and investor and analyst targeting programs. Previously, Jack was a senior vice president in the corporate communications practice at Finn Partners and an executive at a large cap publicly traded retail company.

Roger Weiss is a highly regarded member of the Wall Street institutional sales community. In a career spanning more than 30 years, he has held senior sales management positions at leading sell-side firms including B. Riley/National Securities, Canaccord Genuity, A.G. Edwards, and First Manhattan Co. He also has extensive commercial banking experience serving at J.P. Morgan Chase (Manufacturers Hanover Trust) and PNC Financial. Roger holds a Bachelor of Arts degree from Vanderbilt University and an MBA, with concentrations in Accounting and Finance from the Columbia Business School.

Ben Shamsian has been an equities analyst on the buyside and sell side for over thirteen years. Prior to joining Lytham, Ben was a senior analyst at FNY Capital, Sterne Agee and Iridian Asset Management, where he covered consumer, industrial, technology, energy, and business services sectors. Ben has expertise in uncovering the value of equities through financial modeling, management interviews, and industry research. Throughout his career, many management and investor relations teams have seeked Ben’s advice as to how to better communicate with their investors. Ben began his career in accounting with PWC and Merrill Lynch, and obtained his CPA license. Ben holds a BS in Accounting from Yeshiva University and an MBA in Finance from New York University’s Stern School of Business.

Adam Lowensteiner has been closely involved with micro and small-cap companies his entire career. Prior to joining Lytham, Adam was a Senior Account Executive at Wolfe Axelrod Weinberger Associates, an investor relations agency based in New York City. For thirteen years Adam worked intimately with the CEOs and CFOs of emerging growth companies seeking to expand the investor audience base. Prior to working at Wolfe Axelrod Weinberger, Adam worked as a sellside analyst with CJS Securities in White Plains, New York, as a generalist, but focused on small cap stocks. Prior to CJS, Adam worked several years with Individual Investor Group in New York City as a Senior Research Analyst, mostly researching micro and small cap ideas for the company’s various publications and investment vehicles. Adam graduated from the Sy Syms School of Business at Yeshiva University with a Bachelors of Science in Finance.

Rolf has worked in the investor relations field for more than 15 years.  He is responsible for gathering research materials and assisting in the organization of materials for road shows and 1×1 meetings.  His focus is on researching and data analysis at the institutional level.  Prior to that, he worked with international commerce.  He holds degrees from the University of Iowa.

Brittany is a creative and resourceful marketing professional with 10 years of design, social media management and special event experience. She specializes in creating processes for heightened customer journeys through strategic and imaginative print and digital campaigns as well as creating and maintaining strong brands within the organizations she works for. Brittany has worked in a variety of industries in both the public and private sectors including Hospitality & Tourism, Education and Renewable Energy.

Kristen oversees creative programs and design concepts and plays an essential role in the marketing, communications and creative needs of our organization and client companies. For more than 15 years she has been applying her creative talents to developing collateral materials, annual report concepts and design, website design and development, social media and email marketing campaigns, digital and traditional print advertising. Additionally, Kristen manages all aspects of client press release distribution and quarterly earnings event logistics. She has a B.A. degree in English from Marist College and studied Computer Graphic Design at Phoenix College.

Robert Breza’s background includes 30 years of finance and technology experience including 19 years on Wall Street with Tier 1 firms such as the Royal Bank of Canada (RBC) for 10 years and technology focused firms such as Thomas Weisel Partners during the Internet boom and bust in San Francisco and Stern Agee. Rob has worked with large companies such as Microsoft and Oracle and many smaller companies taking 16 companies public (IPO’s). Rob has an MBA from the University of Minnesota – Carlson School of Management and a B.S. in Accounting from St. Cloud State University – Herberger School of Business. Rob resides in Scottsdale, AZ.

In a career spanning more than 25 years Joe Diaz has extensive experience in advising and counseling corporate management teams on operational and valuation issues. He has been instrumental in crafting and executing strategic programs that have yielded significant enhancement of shareholder value –including AdvancePCS (now Caremark Rx, Inc.), Allied Waste, Inc. (NYSE: AW), Bio-Rad Laboratories (AMEX: BIO), CNS, Inc. (NASDAQ: CNXS) and Abaxis, Inc. (NASDAQ: ABAX), among others. With a background in portfolio management Joe maintains a strong belief that investors in the small cap arena are actually “investing” in management teams than can consistently grow businesses, rather than innovative products and services. His primary focus is on establishing and maintaining management credibility. An alumnus of Coe College, Joe, along with his wife Pat, is an avid equestrian, sports fan and free market capitalist.

Joe has a strong track record for the management, design and implementation of strategic plans to enhance shareholder value for leading-edge companies. In a career that spans more than 25 years, he has successfully delivered strategic investor relations services to clients and provides unique insight on quarterly earnings materials, investor conferences, non-deal roadshows, IPOs, and analyst-investor days. Leveraging his extensive knowledge of industry fundamentals and his direct experience with investor decision-making, he has been responsible for overseeing significant capital appreciation for client companies under his direct management. He was previously affiliated with a leading regional investment banking and securities firm and was responsible for initiating and operating the first United Mexican States Federal Treasury Certificate (CETES) desk in Arizona. Joe holds a B.A. degree from Arizona State University.

Robert is a 20-year investor relations industry veteran, with an expertise in understanding the dynamics and requirements of a successful relationship between public companies and the capital markets. During his career, Robert has overseen the development and implementation of every critical component of a successful investor relations campaign, including the execution of thousands of non-deal roadshow meetings, conference 1×1’s and management conference calls as well as other critical investor outreach components such as creation of the firm’s institutional corporate profiles and virtual conference initiatives. His ability to successfully guide his clients corporate positioning resides in his ability to articulate a company’s value proposition through benchmarks and metrics that easily resonate with the national investment community, streamlining these components throughout press releases, conference call scripts, investor presentations, websites, and annual reports. In addition to traditional investor relations activities, Robert has consulted the management and board of directors on a number of capital markets activities, including having guided numerous companies through the uplisting process from the OTC to Nasdaq and/or NYSE, cross listing of shares from a foreign exchange to the U.S., proxy contest situations, capital raise evaluation, merger/acquisition valuation impact, crisis communications, perception analysis, and board of director/management recruitment. Robert spearheaded the campaign and created the relationships that resulted in a client being named “Stock of the Decade” as the #1 performing stock for 2000-2010. An alumnus of Arizona State University, he holds a B.A. degree in Finance.

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