Steven A. Rockwell

Managing Director, Investment Banking Group at BTIG LLC

Steven A. Rockwell

Steven A. Rockwell

Managing Director, Investment Banking Group at BTIG LLC

Overview
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Managing Director, Co-Head of Equity Capital Markets at BTIG LLC

Relationship likelihood: Strong

Managing Director at Janney Montgomery Scott LLC

Relationship likelihood: Strong

Managing Director at BTIG LLC

Relationship likelihood: Strong

Partner at Ballard Spahr LLP

Relationship likelihood: Strong

Head of Equities at Janney Montgomery Scott LLC

Relationship likelihood: Strong

Co-Founder at BTIG LLC

Relationship likelihood: Average

Co-Founder & Chief Executive Officer at BTIG LLC

Relationship likelihood: Average

Co-Founder at BTIG LLC

Relationship likelihood: Average

Co-Founder at BTIG LLC

Relationship likelihood: Average

Managing Director & Chief Financial Officer at BTIG LLC

Relationship likelihood: Average

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Steven A. Rockwell
Managing Director, Investment Banking Group at BTIG LLC
Education

The University of Pennsylvania (commonly referred to as Penn or UPenn) is a private, Ivy League university, located in Philadelphia, Pennsylvania, United States. Penn considers itself the fourth-oldest institution of higher education in the United States, as well as the first university in the United States with both undergraduate and graduate studies.

Career History
Managing Director, Investment Banking Group
2015 - Current

Founded in 2002 through the merger of Baypoint Trading LLC and Bass Trading LLC, BTIG LLC is an institutional brokerage and fund services company headquartered in San Francisco, California. The firm is a subsidiary of Condor Trading LP. They serve customers from all over the world and offers services in 11 areas: Equity Trading, Equity Derivatives, Futures Trading, Convertible Securities, Prime Brokerage, Outsource Trading, Fixed Income, Direct Market Access, Capital Markets, Equity Research and Corporate Access. BTIG's research focuses on the global equity markets.

Managing Director
Prior - 2015

Founded in 1999 by the late Thomas Watson, Janney Montgomery Scott LLC (JMS) is a full-service financial services firm and registered broker/dealer headquartered in Philadelphia, Pennsylvania. The firm is a subsidiary of Independence Square Properties LLC, itself a subsidiary of Penn Mutual Insurance Co. Their ultimate parent is Harleysville Mutual Insurance Co. JMS is a member of the NYSE, the SIPC and FINRA. The firm provides comprehensive financial advice and services to individual, corporate and institutional investors. Their primary coverage verticals include the consumer, technology, financials and infrastructure sectors.

Professional
Prior - 2006

Brown Investment Advisory offers a variety of investment strategies including Large-Cap Growth, Large-Cap Value, Small-Cap Growth and Fixed-Income. In addition, the firm works with other asset management firms to offer clients access to other strategies including US Small-Cap Value Equity, International Equity, hedge funds-of-funds, alternative asset classes, venture capital funds, buy-out private equity funds, real estate funds and a variety of co-investments.Brown's large-cap growth strategy seeks to invest in diversified portfolios of companies with superior fundamentals, strong, sustainable revenue and earnings growth and attractive valuations. They invest in US large-cap growth stocks and typically hold them for several years. Brown employs fundamental research to select securities and sectors that offer highly competitive, tax-efficient returns. They seek to identify market-leading companies or companies with the potential to become market leaders. They look for rich product cycles, large, growing markets, strong cash flow, proprietary products/services and productive new product development efforts. Brown also looks for growth stock development that occurs after the initial phase of growth in which a catalyst causes rejuvenated growth.Brown's Large-Cap Value strategy seeks to identify out-of-favor situations with downside risk of no more than 20% and upside potential of at least 40%. They look for sound, financially strong, growing companies with proven shareholder-sensitive management. Their strategy is multi-cap, with a minimum market-cap of $500 million and no maximum. Companies should have above average earnings growth, above average profitability and below average valuations. Investments are diversified across a wide range of industries. The firm employs a bottom-up portfolio construction process that is based on the specific attractiveness of each holding.The firm's Small-Cap Growth strategy seeks to invest early and hold investments for the long-term. Brown looks for companies with large business opportunities relative to the company's size and proprietary technology, products, services or distribution systems. Management must have a clear, measurable plan to produce sustainable earnings growth of more than 20% a year. At the time of purchase, stocks must have a market-cap of not more than the largest company in the Russell 2000 Growth Index.Brown actively manages fixed-income portfolios. They employ a disciplined investment process that seeks to exploit changes in sector spreads, security valuations, interest rate trends and yield curve dynamics.

Political Donations
$500
1996

The Republican National Committee (RNC) is a U.S. political committee that provides national leadership for the Republican Party of the United States. It is responsible for developing and promoting the Republican political platform, as well as coordinating fundraising and election strategy. It is also responsible for organizing and running the Republican National Convention. Similar committees exist in every U.S. state and most U.S. counties, although in some states party organization is structured by congressional district, allied campaign organizations being governed by a national committee. Reince Priebus is the current RNC Chairman.

$1,000
1995

Senator from Tennessee

$250
1994

Senator at Office of the Senator from Utah, Mitt Romney

Transactions
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Good Times Restaurants Inc. purchases Bad Daddy's International LLC

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Good Times Restaurants Inc. issued Common Stock

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