CARL MARKS & CO - Key Persons
Job Titles:
- General Partner / Carl Marks Management Company
Job Titles:
- Partner
- Partner, Carl Marks Advisors
Job Titles:
- Partner
- Partner, Carl Marks Advisors
Chris Parisi has over 25 years of investment banking experience, including mergers and acquisitions, majority recapitalizations, private capital raising, and strategic advisory throughout North America and Internationally. He helps family and independent businesses sell or recapitalize their companies' capital structure, realize a liquidity event, transfer ownership to next-generation, or combine with a larger partner to accelerate growth.
Before joining Carl Marks Advisors, Mr. Parisi was a Managing Partner of FPG Advisory, focusing on all aspects of sourcing and executing deals, including structuring, due diligence, financing, and post-transaction integration throughout North America and internationally. Previously he was a senior investment banker at Jefferies & Company, was a Vice President with KeyBanc Capital Markets, and began his career working in the private equity division of The Blackstone Group.
Mr. Parisi holds a BS in Accounting from the University of Scranton and an MBA from The Kellogg School of Management at Northwestern University. He is a FINRA General Securities Representative and a Certified Public Accountant.
Job Titles:
- Analyst / Carl Marks Management Company
Connor Regan joined Carl Marks Management Company in 2020. He began his career as an analyst in the Workout and Recovery Management group at Deutsche Bank, where he managed a portfolio of distressed exposures across various industries.
Mr. Regan earned a BA in Economics-Applied Math and Spanish from Dartmouth College in 2018.
Job Titles:
- Partner / CM Equity Partners
- Partner With CM Equity Partners
Daniel Colón, Jr. is a Partner with CM Equity Partners. He has worked with the firm's founding partners as a transaction professional since its inception. Mr. Colón's role at CM Equity Partners includes the sourcing and review of new transaction opportunities, preparation of internal quarterly and annual reports, and communication with brokers and other acquisition intermediaries.
Mr. Colón received a BA in Communications from the University of Miami at Coral Gables, Florida, and an MBA from the Zicklin School of Business at Baruch College.
He currently sits on the Advisory Council of the Young Patrons Circle of American Friends of the Louvre, is a member of the Junior Committee of the American Hospital of Paris Foundation, and served as a Junior Committee Co-Chair for the 2010 Trophée des Arts Gala for the French Institute Alliance Française.
Job Titles:
- Carl Marks Advisor
- Corporate Controller of Carl Marks & Co. Inc., Carl Marks & Co. LP
- Corporate Controller, Carl Marks & Co. Corporate Controller, CM Equity Partners
David F. Shnitkin is Corporate Controller of Carl Marks & Co. Inc., Carl Marks & Co. LP and CM Equity Partners II LP. He has been affiliated with the firm since 1987.
Prior to joining Carl Marks, Mr. Shnitkin spent seven years with the New York accounting firm Berdon LLP, where he served in the firm's corporate audit and tax department.
Mr. Shnitkin received a BS in Accounting, cum laude, from The State University of New York at Albany. He is a CPA and a member of the American Institute of Certified Public Accountants and the New York State Society of Certified Public Accountants.
Job Titles:
- Carl Marks Advisor
- General Partner, Carl Marks Management Company
Esteban Rakela joined Carl Marks Management Company in 2010. Previously he was a research analyst at Ore Hill Partners, an alternative asset manager focused on credit opportunities and special situations. Prior to joining Ore Hill, Mr. Rakela held various fixed income research positions at Citigroup Investments and TimesSquare Capital Management. He began his career as an investment banking analyst at Salomon Smith Barney, focusing on financing and advisory services for corporate clients.
Mr. Rakela earned a BS in Economics with a concentration in Finance from the Wharton School of the University of Pennsylvania in 2000.
Job Titles:
- Carl Marks Advisor
- Managing Partner
- Managing Partner, Carl Marks Advisors
Job Titles:
- Advisor
- Partner
- Partner, Carl Marks Advisors
Jette Campbell is a highly regarded advisor to lenders and business owners in the areas of financial restructuring, business strategy, and crisis management. He brings passion, creativity, deep expertise, and smart, innovative solutions to the clients of Carl Marks Advisors. He has more than 40 years of experience as an advisor and operating executive working with company owners and management teams, boards of directors, private equity groups, lenders, and investors.
Mr. Campbell's engagements have spanned a wide range of industries, including manufacturing, grocery retail and distribution, healthcare, education, real estate, and financial services. Recent noteworthy engagements have involved Procure, Belle Foods, Piggly Wiggly, Legacy Cabinets, Florida Marine, Moore Handley, and Joan Fabric.
Prior to joining Carl Marks over a decade ago, Mr. Campbell served as CFO and head of corporate development at Griffin LLC, a joint venture with DuPont in the agricultural chemical industry. He has significant international experience, previously having served as CFO of the North European Snack Foods Division of PepsiCo in London. Additional previous positions include vice president and controller at Frito-Lay and partner at KPMG Peat Marwick.
Mr. Campbell earned a BS in Business Administration from Auburn University, where he also pursued graduate studies. In addition he received certification for the Owner/President Management Program at Harvard Business School. He serves on the board of Schramm Inc. and Legacy Cabinets and on the Board of Trustees of the Charlotte Symphony Orchestra and Riverside Military Academy, Gainesville, GA.
Job Titles:
- Carl Marks Advisor
- Controller
- Controller, Carl Marks Advisors
Jaclyn R. Shifren joined Carl Marks in 2016 and is the Controller for Carl Marks Advisors and Carl Marks Securities LLC, its broker-dealer affiliate.
Ms. Shifren previously was Senior Manager at The Siegfried Group where she was responsible for providing interim financial reporting and accounting support to Fortune 1000 companies. Prior to that, Ms. Shifren was an Assistant Controller at ConvergEx Group for the International Broker-Dealer. Ms. Shifren started her career in public accounting at Grant Thornton.
Ms. Shifren holds a BA in Accountancy from the George Washington University and is a Certified Public Accountant.
Job Titles:
- Carl Marks Advisor
- General Partner, Carl Marks Management Company
James F. Wilson joined Carl Marks Management Company in 2001. Between 1991 and 2000, he was a Partner with Jacobson Partners, a private equity investment firm. From 1987 through 1991, Mr. Wilson was a Founding Partner of Rockwood Holdings, an investment firm that acquired businesses for its own account and provided investment banking services.
Prior to these roles, he held various positions at E.F. Hutton & Company in investment banking and direct investing. Mr. Wilson earned a BA in Economics from Dartmouth College in 1980 and an MBA from Harvard Graduate School of Business Administration in 1984. He has served on numerous Boards of Directors.
Job Titles:
- Managing Director
- Managing Director, Carl Marks Advisors
Jeanine Krattiger is a senior marketing professional that has led Carl Marks Advisors marketing initiatives for the past 18 years. She helps the firm achieve investment banking and operational and financial goals from business development to closing successful client engagements. Ms. Krattiger is responsible for developing firm-wide strategic marketing and business development initiatives. Her responsibilities include media relations, branding, advertising, digital marketing, website development, internal and external communications, marketing events, sponsorships, partnerships with industry associations, charitable contributions, and marketing training.
Ms. Krattiger is passionate about creating and maintaining successful client relationships, engaging all firm members in business development, as well as developing and sustaining a consistent brand identity. She is an accomplished professional services marketing leader with a track record of successfully creating and implementing marketing and communications campaigns that drive growth by leveraging events, social media, digital marketing, video production, thought leadership, public relations, and email marketing.
Prior to joining Carl Marks Advisors, Ms. Krattiger was a manager in the retail industry.
Ms. Krattiger holds a BS in Business Communications from the College of Saint Elizabeth and a graduate of the McKinsey Management Program. She is a board member and Vice Chair of Programs of the New Jersey Chapter of the Turnaround Management Association and a member of the International Women's Insolvency & Restructuring Confederation.
Job Titles:
- Partner / CM Equity Partners
- Partner at CM Equity Partners
Jeffrey Mark is a Partner at CM Equity Partners. He joined the firm in 2015. Mr. Mark is responsible for investor relations, capital raising, fund administration and executing new platform transactions. In addition, he provides add-on acquisition support for existing portfolio investments.
Prior to joining CM Equity Partners, Mr. Mark was a director at RBC Capital Markets in the Risk Arbitrage Group. Prior to that he was a managing director at Bear Stearns & Co. where he was global head of institutional equity event driven trading in the Risk Arbitrage Group and the Equity Block Trading desk. His responsibilities also included portfolio management and trade execution for the Chairman and CEO of Bear Stearns & Co.
Mr. Mark serves as a member of the Board of Directors of GracoRoberts and Preferred Systems Solutions, Inc. He received a BBA in Finance from the Isenberg School of Management at the University of Massachusetts at Amherst.
Job Titles:
- Managing Partner
- Managing Partner, CM Equity Partners
Joel R. Jacks is a Managing Partner and a Founder of CM Equity Partners. In 1992, Mr. Jacks co-founded and managed Carl Marks Consulting Group LLC. He has extensive experience in managing companies and restructuring debt in a wide variety of industries. From 1988 to 1992, Mr. Jacks was a private consultant involved in interim management and profit improvement programs for under-performing companies. From 1984 to 1988, he served as CFO, and later as CEO, of USSCO (a subsidiary of ADT, Ltd.), a distributor of security alarm and CCTV equipment throughout the U.S. and Puerto Rico. From 1976 to 1983, Mr. Jacks worked for The Penn Central Corporation as Director of Financial Planning and IT Director and was involved with the restructuring of Penn Central's debt public securities. He also was assigned to the New York City Partnership to assist the NYC Transportation Authority as the IT Vice President. Prior to 1976, Mr. Jacks was a Management Consultant for Deloitte Haskins & Sells. Related to CM Equity Partner's private equity investing activities, Mr. Jacks is a member of the Board of Directors for JANUS Research Group, Inc. and Black ICE Holdings, Inc. Mr. Jacks received a Bachelor of Commerce degree from the University of Cape Town and an MBA from the Wharton School at the University of Pennsylvania. He is a Chartered Accountant.
Job Titles:
- Chief Operating Officer
- Chief Operating Officer of Carl Marks & Co., Lea
- Chief Operating Officer, Carl Marks & Co.
Katherine F. Boas is Chief Operating Officer of Carl Marks & Co., leading operations, strategy and business development.
Ms. Boas joined Carl Marks in 2012 as a principal in its private equity group, CM Equity Partners, and became its executive vice president in 2014. Previously, she was a manager at McKinsey & Company. Earlier in her career she was a journalist for The New York Times and The Providence Journal.
Ms. Boas is involved in several social enterprises, including the Barefoot MBA, the Brown Daily Herald and the JCH of Bensonhurst. She is a member of the Milken Institute's Young Leaders Circle and was a member of the Council on Foreign Relations.
She received an MBA from Stanford University's Graduate School of Business and an AB in political science from Brown University.
Job Titles:
- Partner
- Partner, Carl Marks Advisors
Keith Daniels works closely with Carl Marks Advisors colleagues to optimize stakeholder value by providing comprehensive industry, operations and transaction expertise to management, owners, boards of directors, senior secured lenders, bondholders, and private equity firms across a broad spectrum of industries. He has served in roles such as Chief Restructuring Officer, Chief Executive Officer, Chief Financial Officer, Chief Operating Officer, and has led Sales and Marketing teams on multiple projects. He brings vast financial restructuring advisory experience and industry expertise in consumer products, physical and digital retail, healthcare, grocery, distribution and supply chain, and manufacturing to Carl Marks Advisors' integrated client service teams.
Before joining Carl Marks Advisors, Mr. Daniels held executive finance and operational roles at companies such as NewellRubbermaid, Disney, Philips Electronics and McMaster-Carr Supply, where he enhanced profitability by identifying and implementing revenue initiatives as well as numerous cost savings opportunities. He also served as CFO of Ascendia Brands and CFO and COO of Town and Country Living.
Mr. Daniels received his BA from Princeton University, an MBA from Fuqua School of Business, Duke University, and is a licensed CPA in Pennsylvania and Virginia. He is a member of the Turnaround Management Association.
Job Titles:
- Carl Marks Advisor
- Partner, Carl Marks Advisors
- Senior Advisor or Interim Executive
Marc Pfefferle serves as a senior advisor or interim executive to companies in transition or in need of substantial performance improvements or debt restructuring. In his 30 years in restructuring, he has represented over 150 companies and served as CEO, CRO, Federal Trustee, or equivalent leadership positions at 19 companies. His experience includes various industrial, service, consumer, restaurant, retail, and health care companies. In addition, he has served as restructuring advisor, independent director, and board chairman. He has represented over 25 lender/creditor groups in large and complex restructurings, which his operating expertise and ability to challenge business plan assumptions have led to successful valuation and fulcrum fight outcomes.
Mr. Pfefferle is skilled in strategic business repositioning, implementing complex business improvements and change programs, debt restructurings, and M&A processes both in and out of court. He is a hands-on, strategically focused leader with a proven ability to motivate, develop, and drive management teams and culture change. He works closely and effectively with company owners, management teams, boards of directors, private equity groups, lenders, and other stakeholders across the capital structure.
Prior to joining Carl Marks Advisors, Mr. Pfefferle was a Partner with Marigold Associates, a strategic management consulting firm serving Fortune 100 companies. Previously, he was a Consulting Manager for Price Waterhouse LLP.
Mr. Pfefferle holds a BS in Engineering and an MBA from Lehigh University and has served on boards of directors. He is a Certified Turnaround Professional and a Certified Fellow in Production and Inventory Management. He is a member of the Turnaround Management Association and the American Bankruptcy Institute.
Mr. Pfefferle has also been recognized as one of the top 100 global restructuring professionals by the Atlas Turnaround Awards.
Job Titles:
- Controller / Carl Marks Management Company
Maria Rios joined Carl Marks Management Company in 2008. She is responsible for monthly financial statements, SEC filings and compliance, and preparation of the tax returns.
Ms. Rios previously was Manager of the credit and mezzanine debt funds at The Carlyle Group. Prior to that, Ms. Rios was a Senior Auditor for Ernst & Young's Financial Services Office. Ms. Rios earned her MS in Accountancy from the University of Virginia and her BA in Economics/Business and Psychology from Lafayette College. Ms. Rios is a Certified Public Accountant.
Job Titles:
- Managing Partner
- Immediate past President of Carl Marks
- Managing Partner, Carl Marks Advisors
Mark L. Claster is the immediate past President of Carl Marks & Co. and Managing Partner of Carl Marks Advisors, bringing more than 40 years of executive and leadership experience to the firm.
Job Titles:
- Carl Marks Advisor
- General Partner, Carl Marks Management Company
Michael Lee joined Carl Marks Management Company in 2012. He was most recently a vice president at Whippoorwill Associates, an alternative asset manager focused on middle market credit. Mr. Lee began his career at KPMG as a forensic accounting associate. Following KPMG, he joined Citigroup as an analyst in the Global Portfolio Management group, where he helped to manage a corporate loan portfolio for companies in the consumer and healthcare industries.
Mr. Lee received a BA in Business-Economics from the University of California, Los Angeles and is a CFA charterholder.
Job Titles:
- Managing Partner
- Managing Partner, CM Equity Partners
Peter M. Schulte is a Managing Partner and is a Founder of CM Equity Partners. Mr. Schulte's experience includes private equity investing through CM Equity Partners since 1992, as well as corporate public and private debt and equity financings and M&A at Salomon Brothers Inc. beginning in 1983. Prior to these roles, Mr. Schulte worked in technology marketing and sales at IBM in its Data Processing Division (DPD) focused on the U.S. banking and financial services sector.
Related to his private equity investing activities, Mr. Schulte has established successful publicly traded companies ICF International Inc. (NASDAQ: ICFI), where he serves as Director, and ATS Corporation (AMEX: ATSC). Mr. Schulte also serves as a member of the Board of Directors of a number of private companies, including: Preferred Systems Solutions Inc., Citizant, Inc., JANUS Research Group, Inc. and Black ICE Holdings, Inc.
Mr. Schulte received an AB from Harvard College and holds an MPPM from Yale University. He currently is a member of the Boards of Directors of Marymount School in New York City, the Center for Business and the Environment at Yale, and the Rainforest Alliance.
Job Titles:
- Partner
- Partner, Carl Marks Advisors
Robert C. Lau, III has more than 25 years of experience as a senior executive in U.S. financial markets. He is currently responsible for leading the nationwide business development for Carl Marks Advisors. Prior to joining Carl Marks, Mr. Lau was a senior vice president at CIT Group Inc., where he focused on building and maintaining a diverse referral source network with equity sponsors, investment banks, attorneys, and turnaround professionals. While at CIT, Mr. Lau closed financings in support of a variety of situations, including leveraged buyouts, recapitalizations, and bankruptcies.
Before CIT, Mr. Lau held senior positions at The Bank of New York, Heller Corporate Finance, and IBJ Whitehall Financial Group. His experience includes sourcing, structuring, and underwriting asset based and leveraged financings across a wide spectrum of industries.
Mr. Lau earned a BA in Economics from The University of Georgia and an MBA in Corporate Finance from Georgia State University.
Job Titles:
- General Partner / Carl Marks Management Company
Robert C. Ruocco has more than 20 years of experience in credit research and investing and more than 29 years of total investment and banking experience. He began his career at Manufacturers Hanover Trust Company as a Credit Officer. Later, Mr. Ruocco worked for five years at Chemical Bank, the last three in the Restructuring Group of the Corporate Finance Department before joining M.J. Whitman & Co. Inc. in 1989 as Director of Research. In January 1993, Mr. Ruocco joined Carl Marks Management Company as a General Partner and Portfolio Manager.
Mr. Ruocco earned a BA in Economics from Dartmouth College in 1980.
Job Titles:
- Chief Financial Officer
- CM Equity Partner
- Chief Financial Officer, Carl Marks & Co. Chief Financial Officer, Carl Marks Management Company
Robert Speer has been the Chief Financial Officer of Carl Marks & Co. Inc. since October 1997 and is the Chief Compliance Officer for Carl Marks Management Company, LLC, the Firm's affiliated Registered Investment Advisor. Mr. Speer is also the Financial and Operations Principal for Carl Marks Securities LLC, the broker-dealer affiliate of Carl Marks Advisory Group LLC. From 1988 through 1997, Mr. Speer was a Partner at Bloom Hochberg & Co., P.C. CPA's, a public accounting firm. Prior to becoming a partner, he was employed by the firm for nine years.
Mr. Speer earned a BS in Accounting from Duke University in 1979. He is a member of the American Institute of Certified Public Accountants and the New York State Society of Certified Public Accountants.
Job Titles:
- Partner
- Partner, Carl Marks Advisors
Job Titles:
- Carl Marks Advisor
- Partner, Carl Marks Advisors
Job Titles:
- Managing Partner / CM Equity Partners
- Managing Partner at CM Equity Partners
- Member of the Board of Directors of GracoRoberts
Wesley H.R. Gaus is a Managing Partner at CM Equity Partners. He joined the firm in 1998. Mr. Gaus is responsible for executing new platform transactions and negotiating equity and debt investments and transaction financing across the capital structure. In addition, he provides add-on acquisition support for existing portfolio investments and, post-closing, operational and financial guidance for company management.
Prior to joining CM Equity Partners, Mr. Gaus was part of the Investment Banking Division of ING Baring Furman Selz LLC, where he worked on merger and acquisition assignments and debt and equity capital markets transactions in the areas of media, retail, consumer products, industrial manufacturing, and telecommunications.
Mr. Gaus serves as a member of the Board of Directors of GracoRoberts, JANUS Research Group, Inc. and Black ICE Holdings, Inc. He received a BS in Economics from the Wharton School at the University of Pennsylvania, and a BSE in Systems Engineering from the School of Engineering & Applied Science through the Management & Technology Dual-Degree Program at the University of Pennsylvania.