Our core management team brings over 150 years of financial market experience to our clients and investors across myriad industries ranging from oil & gas, consumer discretionary, technology, healthcare and real estate.
CEO and Co-Founder
Beginning his career with Barclays in the UK, Richard has since held senior positions in boutique investment banking firms, both in London and New York. He has worked with over 20 companies as an investor, banker and strategic advisor, some of which he has acted as board member, board observer or consultant to the board. Richard is Investment Management Certificate (IMC) qualified in the U.K. and also holds the U.S. Series 17, 24, 63, 65 and 79. He is a graduate of the University of Nottingham with a Bachelor of Arts with Honors in Law.
Learn more about Richard Hillson
Darrell Habben Jr
COO and Co-Founder
Before co-founding TSC, Darrell spent 8 years at New York City based investment banking firms in sales and trading, equity research and senior management positions. He has been an operator and advisor across multiple industries including financial services, technology, retail and oil/gas. Darrell holds his Series 7, 24, 63, 65, 79, 86 and 87 FINRA licenses and is also a Registered Research Analyst. He earned a Bachelor of Arts with Double Major in International Business and Finance with a focus in Economics from Oklahoma State University.
Learn more about Darrell Habben Jr.
CFO and Partner
First joining Barclays on the Business Leadership Programme, Nick held senior roles within the Finance and Risk divisions, both in London and New York. Upon joining TSC in 2016, he brought with him extensive experience in Finance, Project Management and Real Estate. Nick is a CGMA designation holder and also holds his Series 79 Investment Banking Qualification. He is a graduate of the University of Nottingham, achieving a Bachelor of Arts with Honors in Management Studies from Nottingham University Business School.
Learn more about Nick Ledger
Chief Compliance Officer
Monica is a highly experienced industry professional having served as Chief Compliance Officer and General Securities Principal in the broker dealer and investment adviser communities for over twenty years. Monica brings to the team extensive compliance and regulatory expertise and holds the FINRA Series 4, 7, 24, 57, 63, 79 and 99 licenses. She studied Business and Finance at Rutgers University.
Learn more about Monica DiFiore
Head of Bus. Dev. and Partner
Dan began his career in 1991 as an assistant Nasdaq market maker at Nash Weiss, later moving to Citigroup where he spent the next ten years as a Nasdaq market maker covering technology stocks. In 2002 he became Head of the Nasdaq trading department and a partner at Weeden & Co. Dan is also a Managing Director and head of business development for PSP Ventures LLC. He holds his Series 3, 7, 24, 55 and 63 FINRA licenses and received his Bachelor of Arts in Economics and Art History from Hobart College.
Learn more about Daniel McCooey
Prior to joining TSC, Paul spent his career working in the capital markets divisions of Smith Barney, Citigroup, Knight Capital, and Janney Montgomery, concentrating on equity sales and trading. He is also the founder of Fund Launch Advisors LLC, a hedge fund consulting business, helping hedge fund managers to launch, support, and build their business. Paul holds his Series 7, 55 and 63 FINRA licenses. He obtained his Bachelor of Science in Political Science from Boston College, where he captained the golf team.
Learn more about Paul Buckley
Pete began his career at Hanifen Imhoff, a Denver boutique investment bank, obtaining the position of Managing Director of Equity Risk and Position Trading. He later founded McGlynn Advisors, an independent Registered Investment Advisor (RIA) and wealth management firm, specializing in portfolio construction and risk mitigation. Joining TSC in 2017, Pete's primary focus is to build, grow and manage Third Seven Advisors as its Chief Operating Officer. He received his Bachelor of Arts in Political Science from Hobart College and holds a FINRA series 65 license.
Learn more about Peter McGlynn
Chairman and Partner
David brings extensive investment banking experience to the team, having previously held the position of Managing Director at Royal Bank of Scotland, ABN AMRO, JP Morgan and Lehman Bros. His areas of expertise extend to Capital Markets, Consumer Products, Retailing, Industrials, Automotive, Chemicals and Healthcare. David holds his Series 7, 24 and 63 FINRA licenses. He received his Bachelor of Arts in Philosophy from Haverford College, obtained a Masters in Philosophical Theology from Yale University and was awarded a Juris Doctor from Yale Law School.
Learn more about David Jeffries
Sean has spent the majority of his career on the floor of the New York Stock Exchange, where he began in 1979 as an independent broker with a focus on covering large institutional accounts. He has since served as Governor of the Exchange, Co-Chair of the New York Broker Orientation Committee, Co-Chair of the Hybrid Rules Committee and as a presenter at industry conferences around the U.S. Sean holds his Series 3, 7 and 63 FINRA licenses. He graduated from Hobart College with a Bachelor of Arts in Economics.
Learn more about Sean McCooey
Amit Dogra is President of Third Seven Advisors. He brings 20 years of financial services experience, working with thousands of advisors on how to grow their business organically or through acquisition. Amit is a recognized thought leader and frequent speaker on the state of the financial services industry, the importance of the human engagement in the advisory business and how to create true value in a relationship. Previously, he was Managing Director, Head of Advisor Growth and Development, for HighTower Advisors. In this role, Amit oversaw overall business management for the W2 and 1099 channels. His responsibilities included driving organic growth and P&L, relationship and practice management and field marketing. Amit joined HighTower from The North Highland Company where he was a management consultant and leader of their wealth management and advisory group. He has served as a subject matter expert to wirehouse firms, RIAs and banks in the areas of wealth management, practice management, business development and business strategy. Amit also led the day to day operations for the wealth, brokerage and retirement unit of a regional bank for several years. He previously worked as a Director with BNY Mellon, Brinker Capital and SEI, focused on gathering assets through the recruitment of new advisors and deepening existing advisor relationships through business consulting and practice management.
Dr. Steven Fox
Dr. Fox has extensive experience in both launching start-ups and developing these start-ups into profitable and sustainable companies. He has served on the faculty of leading universities including Harvard University and New York University and he has been featured in numerous top business publications, such as The Wall Street Journal and Forbes Magazine. Dr.Fox holds his Series 7, and 63 FINRA licenses. He received his Bachelor of Arts degree from the University of Rochester and his Doctor of Dental Surgery from New York University.
Learn more about Dr. Steven Fox
Liam began his career at Alex Brown & Sons in 1993 where he worked on the cash equity trading desk. He worked as a sales trader for over fifteen years working at various firms such as Donald, Lufkin, & Jenrette, Gerard Klauer & Mattison and finally Soleil Securities. In 2008, Liam left the equity trading world to pursue a career in Alternative Investments. He founded BigelowSands LLC that launched the ALT2 conferences promoting investments in alternative asset classes such as Diamonds, Art, Cars, Watches, and Wine. In 2016, Liam joined Wavecrest Securities as a Managing Director promoting early stage start-up companies. In January of 2018, Liam joined TSC and holds the Series7 and 63 licenses. Liam graduated from Hartwick College with a Bachelor of Arts in History.
Business Development and Product specialist
Prior to joining TSC, James spent twelve years with the Credit Suisse Private Bank’s Fixed Income Group. During his career at the bank he held multiple trading roles, was a fixed income credit specialist, and helped manage an almost $30 billion cash management business. He left the bank as a Director and holds both his Series 7 & 63. He is also a licensed NJ Real Estate Agent. James obtained his Bachelors of Science in Management from Tulane University’s AB Freeman School and his MBA from NYU’s Stern School of Business with a focus on International Finance and Economics.
Learn more about James Child
Michael is a well known authority on macroeconomics and markets and often appears as an expert panelist on Fox Business, CNBC, Bloomberg TV, and CNN, and is cited in publications like CNNMoney, Barron's, the Wall Street Journal, and the Washington Post. He advises clients on market tactics, asset allocation, risk management, and investment themes via one on one consulting and through his daily publication. Before joining TSG in June 2018, Michael was Chief Strategist at two other broker/dealers in New York, and prior to that he served in a variety of leadership roles in strategy, trading, and research for ten years at hedge funds like Sandell Asset Management and Magnetar Capital.
Michael holds Series 7, 24, 55, 63, 86, and 87 licenses. He received an MBA in Finance from the Kenan Flager School of Business at UNC-Chapel Hill where he was a Dean's Scholar and Hugh McColl Fellow, and a dual Bachelor's degree from the University of Pennsylvania and the Wharton School where he graduated magna cum laude and was a Benjamin Franklin Scholar.
Learn more about Michael Block
Neil Rothman Jr. CIMA
Managing Director, Global Solutions Group
Neil has been in the investment business for over 17 years, forming UDIS Capital Partners in 2014. Prior to founding UDIS, he raised capital for a variety of asset management firms ranging from large, open end investments companies, boutique hedge funds, private equity, real estate funds to smaller direct investments. In the past decade Neil has been responsible for raising over $2.5 billion in investor capital. He has worked with third party for institutional managers in partnership with investment banks, regional wire-houses, family offices and registered investment advisors as well as endowments, foundations and sovereign wealth funds.
Neil has a dual degree in Business Logistics and International Business from Pennsylvania State University. He holds FINRA Series 7, 6, 63, 65 as well as the Certified Investment Management Analyst designation from The Wharton School of Business at The University of Pennsylvania.
Steve is a Managing Director at Third Seven Capital and founder of Newman Capital, an advisory business to early stage companies. Steve has 25 years of experience in the securities business working with some of the largest family offices, private equity and venture capital firms in the world. Prior to founding Newman Capital, Steve was an institutional equity trader. He began his career at Schroder Wertheim, a British Merchant Bank where his clients included some of the largest hedge funds, mutual funds and risk arbitrage firms. While at Schroder, Steve also founded and ran the Risk Arbitrage Sales Trading Group. Steve later worked at ABN AMRO where he helped build their US equity trading department and was a member of ABN AMRO’s Global Hedge Fund Coverage Team. Steve also worked for research boutique firms Leerink Swann, Rodman & Renshaw and Bank Hapoalim.
Steve holds a BA in History from Lynchburg College.
Learn more about Stephen Newman