Mike C. Rode

HSBC Global Asset Management (USA), Inc. (AMUS) is the US-based wholly-owned investment advisory and fund management subsidiary of HSBC USA, Inc., and is indirectly owned by HSBC Holdings Plc (LON: HSBA, NYSE: HBC) in Great Britain. The firm was founded in 1986 and is headquartered in New York City. AMUS provides discretionary and non-discretionary advisory services to clients in several major markets and is a multi-product provider of investment and fund management services. For institutions, the firm provides active and tailored portfolio management on a global, regional, asset-class and country specific basis. They also serve as investment adviser to US registered investment companies. AMUS is a signatory to the UN-supported Principles of responsible Investment (UNPRI).

Connecticut Innovations, Inc (CI) is venture capital firm founded in 1989. The firm is headquartered in Rocky Hill, Connecticut.

Gilder Gagnon Howe & Co. LLC (GGHC) is an independent, SEC-registered investment advisor headquartered in New York City. The firm was founded by Richard Gilder in 1968. GGHC provides investment advisory services to individuals, trusts, estates, charitable organizations, corporations, LLC’s, partnerships, pension and profit-sharing plans, and investment clubs.

Susquehanna Financial Group LLLP (SFG) is an institutional broker-dealer headquartered in Bala Cynwyd, Pennsylvania. The firm was founded in 2002 and is a direct subsidiary of SFG Holding LLC, which is owned by Bodel, Inc. SFG offers a full range of order execution and trading flow services, with a focus on delivering innovative trading strategies and execution services to institutional clients.

Instinet LLC is a SEC-registered broker-dealer headquartered in New York City. The firm is the equities execution services arm of the Nomura Group. The firm was founded in 1969 and is a wholly owned subsidiary of Instinet Holdings, Inc., which is ultimately owned by Nomura Holdings, Inc. (TYO: 8604) in Japan. Instinet offers the institutional investment community a suite of tailorable solutions, which includes market insights and commentary, full-service trading desks, advanced algorithmic trading strategies, access to unique and specialized liquidity via their array of crossing pools, and a set of workflow solutions.

RemoTV, Inc. provides media streaming services. The company was founded by Christopher Penner and Robert Phan in 2007 and is headquartered in New Haven, CT.

Newedge USA LLC provides brokerage services to institutional investors and fund managers. The firm specializes in bond, currency and commodities trading, derivative products and foreign exchange. The company is headquartered in Chicago

Knob Hill Partners LLC (Knob Hill Partners) is a private equity firm founded in 2008 by Charlie Burckmyer and Scott Noll. The firm is headquartered in Boston, Massachusetts.

BeCaid LLC is a scientifically-based cognitive cross training program shown to increase test scores. It designed by neuroscientists from Yale University, the program integrates web-based computer games and physical exercise, and strengthens core cognitive capacities such as attention, memory, and focus. . The company was founded by Bruce E. Wexlerin 2011 and is headquartered in New Haven, CT.

iDevices LLC develops connected devices through bluetooth technology. Its products include iGrill, a wireless bluetooth cooking thermometer; kitchen thermometer, and iShower. The firm also offers app development, electrical engineering, embedded software, industrial design, distribution, marketing and customer services. The company was founded by Christopher J. Allen Sr. in 2009 and is headquartered in Avon, CT.

MediaCrossing, Inc. operates as an independent digital media trading firm. The firm operates Mx Platform, a comprehensive, digital media trading and data management platform made up of three critical components: Mx Trader, Mx Data and Mx Datalytics. Its managed service platform precisely identifies prospective and in-market audiences, values available inventory on a per impression basis. The company was founded by William Arnold Lederer, Michael K. Kalman and Theodore M. Yang in December 2012 and is headquartered in Stamford, CT.

Device42, Inc. engages in the provision of data center infrastructure management software solutions. Its products include Device42 DCIM/ CMBD, IT for operations, and for transformation. The company was founded by Rajneesh Jalan and Steve Shwartz in 2010 and is headquartered in West Haven, CT.

KPMG LLP engages in the provision of audit, tax, and advisory services. It serves the banking and capital markets, building, construction and real estate, consumer and retail, energy, natural resources and chemicals, financial services, government and public sector, healthcare and life sciences, industrial manufacturing, insurance, media and entertainment, private equity, technology, telecommunications, and venture capital industries. The company was founded in 1987 and is headquartered in New York, NY.

Nomura Securities International, Inc. (NSI) is a registered broker/dealer headquartered in New York City and was founded in 1969. The firm is a division of Nomura Holding America, Inc. and their ultimate parent is Nomura Holdings, Inc. (NYSE: NMR, TYO: 8604, AMS: 8604). NSI provides securities brokerage services, as well as asset management, domestic retail, global markets, global investment banking and global merchant banking services. The firm's fixed-income business consists of bond sales and trading, origination and product supply for securitization deals and real estate-focused asset finance operations (in cooperation with Investment Banking). In the equity markets, NSI offers sales and trading of domestic and foreign stocks on a global basis, primarily for institutional investors.

Sidoti & Co. LLC (S&C) is a registered broker and equity research firm headquartered in New York City. The firm is a subsidiary of Sidoti Holding Co. LLC and was founded in 1999. S&C provides research exclusively to institutional investors. The firm covers the following sectors: housing, retail, basic industries, technology, business services, capital goods, automotive, computer software, regional banking, telecommunications, entertainment, healthcare and consumer products. Their analysts conduct their own due diligence which includes visiting companies and meeting with operating and financial management. In addition, the firm's analysts focus on fundamentals, particularly cash flow from operations and EPS.

Venor Capital Management LP (Venor) is an independent, SEC-registered investment advisor and hedge fund manager headquartered in New York City. The firm was co-founded by Jeffrey A. Bersh and Michael J. Wartell in 2005. Venor provides investment advisory services to private funds and a separately managed account.

Student Loan Benefits, Inc. provides student loans. The company was founded by Tony Aguilar, Joshua M. Pierce, and Emiliano Villarreal in 2013 and is headquartered in Austin, TX.

Gibraltar Ventures LLC (Gibraltar Ventures) is a venture capital firm, a subsidiary of Prudential Financial, Inc. founded in 2013. The firm is headquartered in Hartford, Connecticut.

Logicbroker, Inc. operates eCommerce platforms for business. The firm offers logicbroker, a cloud-based integration hub that enables automated exchange of inventory, catalog, and order information by connecting a client’s website, internal systems, and trading partners. It serves retailers, suppliers, and logistics providers. The company was founded in 1998 and is headquartered in Shelton, CT.

Alterna Equity Partners LLC (Alterna Equity Partners) is a private equity firm founded in 2015. The firm is headquartered in Fort Lauderdale, Florida.

Socius Family Office LLC offers financial services. It provides services including investment advisory, wealth management, financial planning, and quantitative analysis. The company was founded by Robert Llyod Konrad, Jr. in 2004 and is headquartered in Fort Lauderdale, FL.

The Kislak Co., Inc. provides commercial real estate, investment, and asset management services. The private company is based in Woodbridge, NJ.

Cresta Fund Management LLC (Cresta Fund Management) is a private equity firm founded in 2016 by Chris Rozzell, David Truett Miller and Drew Armstrong. The firm is headquartered in Dallas, Texas.

Dxd Capital (Dxd Capital) is a private equity firm founded in 2020 by Andrew William Dolan and Cory Sylvester. The firm is headquartered in United States.

Waterfall Asset Management LLC (Waterfall) is an independent, SEC-registered investment advisor and global alternative investment manager headquartered in New York City. The firm was co-founded by Tom Capasse and Jack Ross in 2005. Waterfall provides investment advice to private investment funds and other clients, which are generally insurance companies, state, municipal or corporate pension plans, sovereign wealth funds, endowments, foundations, or other institutional investors.

City National Rochdale LLC (CNR) is the SEC-registered investment management subsidiary of CNR Holdings LLC, ultimately held by Royal Bank of Canada (NYSE, TSE: RY) in Canada. The firm was founded when Rochdale Investment Management LLC was combined with City National Asset Management, Inc. and City National Bank's investment management group, City National Asset Management. Headquartered in New York City, CNR provides portfolio management services to high net-worth individual investors as well as to registered investment companies and institutions.

Dutchess Capital Management LLC (Dutchess Capital Management) is a private equity firm founded in 1996 by Douglas H. Leighton and Michael A. Novielli. The firm is headquartered in Boston, Massachusetts.

Hiscox, Inc. is a leading specialist insurer. It offers insurance by profession, including health, beauty, and wellness; business or marketing consulting; information technology; photographers; and architects and engineers. The firm also offers small business insurance, including professional liability insurance, errors and omissions insurance, and business owner insurance. The company was founded in 1901 and is headquartered in White Plains, NY.

Chardan Capital Markets LLC is a registered broker-dealer headquartered in New York City. The firm was founded by Kerry Propper and Steve Urbach in 2003. The firm offers a range of services which include capital raising, merger and acquisition advisory, strategic advisory, equity research, corporate access and institutional trading to institutional clients.

CLSA Americas LLC is a FINRA registered broker-dealer headquartered in New York City. The firm was founded in 2012 and is a wholly owned subsidiary of CLSA Americas Holdings, Inc., which is ultimately owned by CITIC Securities Co., Ltd. (SHA: 600030) in China. CLSA Americas offers a full suite of execution services throughout North America and Latin America.

Siguler Guff & Co. LP (Siguler Guff) is a private equity firm founded in 1995 by George William Siguler, Andrew Joseph Guff and Donald Paul Spencer. The firm is headquartered in New York.with additional offices Boston, Houstan, London.