Michiel McCarty

Chairman & CEO

Phone: 203.569.6823
Fax: 203.569.6883

Cell 646-286-6628
mmccarty@mmdillon.com

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Mike was a founding partner of M.M. Dillon & Co. as an independent investment banking business from its inception in January 2009.  He was formerly Head of Investment Banking at CRT Capital Group the predecessor of Dillon from 2004 to 2008. Prior to joining CRT Capital Group in late 2003, Mike served as a Managing Director at Gleacher Partners for eight years where he worked on numerous M&A and financing transactions. Prior to Gleacher, Mike served as Head of U.S. and Latin America Investment Banking at SG Warburg from 1991. Additionally, he was Global Head of the Telecom and Technology practices at SG Warburg. Prior to SG Warburg, Mike was a partner at Dillon Read & Co. for eleven years. At Dillon Read, he also headed the Telecom and Technology practice. Previously, Mike worked in the mergers and acquisitions area of Citicorp. He sat on the Investment Committee of the Board of Trust of Vanderbilt University for 12 years. Mike holds an M.B.A. degree in finance from the Wharton Graduate School of Business, University of Pennsylvania and a B.A. degree in physics, with honors, from Vanderbilt University.

George was a founding partner of M.M. Dillon & Co. in 2009. Prior to that, he was a Managing Director at CRT Capital Group specializing in healthcare banking from 2005. Prior to joining CRT Capital Group George was Chief Financial Officer of Novartis Pharma AG located in Basel, Switzerland.

George has been instrumental in establishing the strategic, operating and financial direction of numerous private and public companies. During his career he has provided financial leadership for mergers and acquisitions valued at more than $50 billion and has funded and operated various venture capital businesses.

George has a broad range of operating and finance experiences. After receiving engineering and business degrees, he started his career at General Electric in manufacturing and then moved into finance. He subsequently joined The Dun & Bradstreet Corporation where he held various senior finance positions including Chief Financial Officer of IMS Health, the largest global publicly traded healthcare information services provider.

George has been on the board of directors and board of trustees of more than a dozen international private and public companies and philanthropic organizations. He has been a guest speaker on global finance at various international industry associations and graduate business schools, including Harvard Business School. George have lived and worked in five countries on four continents.

George Bickerstaff

Managing Director

Phone: 203.569.6826
Fax: 203.569.6886
gbickerstaff@mmdillon.com

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JOE CHIARELLI

Managing Director

Phone: (203) 569-6825‬
jchiarelli@mmdillon.com

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Prior to joining MM Dillon in 2017, Joe was the Chief Executive of SANUWAVE Health. Prior to SANNUWAVE Mr. Chiarelli was responsible for financial advisory, business development, and a healthcare hedge fund at Auriga Capital Management. Mr. Chiarelli was the Chairman of Clarent Hospital Management Corp. Prior work included Wall Street Access and Oppenheimer & Company where he was the head of the healthcare research teams. Mr. Chiarelli was at JPMorgan Chase & Co. (JPM) where he was responsible for three healthcare sectors of the equity markets as the Senior Investment Research Analyst. Mr. Chiarelli is an Institutional Investor All Star for both equity and high yield research. Prior to his work in healthcare, Mr. Chiarelli served JPM as the Chief Financial Officer of two large independent subsidiaries, J.P. Morgan Delaware and Morgan Securities Services Corporation and was a manager with Coopers & Lybrand (now PriceWaterhouseCoopers). He is a Colonel in the USAFR and a member of the board of directors of a private healthcare device company.

Prior to joining M.M. Dillon & Co. in 2009, which was also previously known as CRT Investment Banking, Mike was a part of the restructuring practice at CRT Capital Group. Prior to this, Mike served as Vice President in the restructuring practice of Duff & Phelps LLC where he advised corporate debtors and creditor constituents in such cases as Refco, Inc., Pinnacle Airlines, and Enron, among others. Prior to Duff & Phelps, Mike served as Vice President at Chanin Capital Partners where he counseled committees and boards of directors in numerous corporate restructurings. He received his M.B.A. from Fordham University and a B.S. from S.U.N.Y. Stony Brook. He is a Chartered Financial Analyst and a Certified Insolvency and Restructuring Advisor.

MIKE ESPINAL

Chief Financial Officer

Phone: 203.569.6807
Fax: 203.569.6891
mespinal@mmdillon.com

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Julia Gregory

Managing Director

Phone: ‭(203) 569-6837‬
Fax:
jgregory@mmdillon.com

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Prior to joining MM Dillon in 2017, Julia served as Chief Executive Officer and Director of Contrafect Corporation a biotechnology company focused on development and commercialization of protein and antibody products for life-threatening, drug-resistant infectious diseases, particularly those used in hospital-based settings. Ms. Gregory was formerly President and Chief Executive Officer of Five Prime Therapeutics, Inc., a biotechnology company focused on innovative protein and antibody therapeutics. Before Five Prime, Ms. Gregory was Executive Vice President, Corporate Development and Chief Financial Officer of Lexicon Pharmaceuticals, Inc. She has been actively involved in over $1 billion of public and private financings and strategic partnerships with pharmaceutical and biotechnology companies. Ms. Gregory started her career as an investment banker at Dillon Read & Co. Ms. Gregory received her B.A. from George Washington University’s Elliott School of International Affairs, where she was elected to Phi Beta Kappa, and her M.B.A. from the Wharton School of the University of Pennsylvania.

Prior to joining M.M. Dillon & Co. in 2010, Kevin was Managing Director of Greenwich Technology Advisors, an investment bank he cofounded in 2004 that focused on merger and acquisition engagements with component, system and instrumentation manufacturers. He joined M.M. Dillon & Co. as a Managing Director to focus on these same markets. Kevin has more than 25 years of financial industry experience, including institutional equity research sales and analysis. During his tenure as Head of SoundView Technology Group’s Communications Research practice he was twice named to the Wall Street Journal’s “Home Run Hitter” list. Prior to joining SoundView, he held a number of positions with financial firms focused on technology and emerging grow opportunities. Kevin received his B.A. in economics from the University of Connecticut.

KEVIN SLOCUM

Managing Director

Phone: 203.569.6857
Fax: 203.569.6891
kslocum@mmdillon.com

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JEFF SWARZ

Managing Director

Phone: 203.569.6803
Fax: 203.569.6891
jswarz@mmdillon.com

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Prior to joining M.M. Dillon & Company as a Managing Director in 2011, Mr. Swarz had served as a Senior Managing Director at Caris & Company. Mr. Swarz brings 22 years of experience in product development and marketing, equity analysis, capital raising, and investment analysis for companies in various segments of the healthcare industry. Prior to joining Caris, Mr. Swarz was a Managing Director at FBR and Life Sciences Group where he was responsible for corporate finance, mergers and acquisitions and private financing. Before that, he was a partner at EGS Healthcare Capital Partners, a healthcare private equity fund investing in biotechnology, specialty pharmaceuticals, and medical device companies. As an equity analyst in biotechnology research at Credit Suisse First Boston and Goldman Sachs, Mr. Swarz was rated among Wall Street’s top ten analysts in biotechnology by Institutional Investor Magazine for ten years. Mr. Swarz was a National Institutes of Health Research Fellow in Neurovirology, completed a Postdoctoral Fellowship from Johns Hopkins School of Medicine’s Department of Neurology and earned a Ph.D. in Neuroscience from the University of Rochester.

Doug was a founding partner of M.M. Dillon & Co. in 2009. He was previously the Head of Capital Markets at CRT Capital Group from 2005. Prior to joining CRT Capital Group, Doug served as Principal at Marsh Securities. Prior to joining Marsh, Doug served as Managing Director in the High Yield and Leverage Finance Group of Salomon Smith Barney. Prior to the Citigroup merger in 1998, Doug served a Managing Director in the High Yield and Emerging Markets Group of Citicorp Securities and led the telecom origination practice globally. Prior to this Doug held various positions as a Managing Director in origination, structured finance and derivatives with Citibank Canada and from 1990 to 1995 headed all of Citibank’s businesses in Eastern Canada. He joined Citibank in 1984 in the project finance group after four years at CIBC in their project and structured finance group. Doug has raised financing for small and large cap companies across the complete spectrum of alternative capital markets including leveraged loans, bridge loans, high yield bonds, emerging markets bonds, leasing, project finance, convertibles, common and preferred equity, derivatives and structured finance. He is a former Senior Credit Officer of Citibank and Salomon Smith Barney. Doug holds an M.B.A. degree in finance from Dalhousie University, Halifax, Nova Scotia, and a Bachelor of Commerce degree (honors) from Queen’s University, Kingston, Ontario.

DOUG HARVEY

Advisory Director

Phone: 203.569.6825
Fax: 203.569.6885
dharvey@mmdillon.com

BOB HASTINGS

Advisory Director

Prior to joining MM Dillon, Mr. Hastings was a Managing Director and senior member of the Mergers & Acquisitions Department at UBS Warburg.  Prior to this, he was the Head of the M&A group at PaineWebber which he joined in 1976.  His background includes experience in all areas of corporate finance with concentrations in mergers & acquisitions in both the domestic and international markets.  Representations include numerous exclusive sales, acquisitions, tender offers, corporate divestitures, valuations, defense and proxy contests and acquisition advisory work ranging in size from $20 million to $4 billion.  Mr. Hastings served in numerous management positions including Director of Mergers and Acquisitions from 1988 to 1994, Chairman of the Fairness Opinion Committee and had been a member of PaineWebber Incorporated’s Management Council and Board of Directors.  Mr. Hastings holds a B.A. in Economics from Holy Cross College and an M.B.A. from The J.L. Kellogg Graduate School of Management at Northwestern University.

Prior to joining MM Dillon Chad Weiss was a Founder and Managing Partner of JOG Capital Inc., a private equity concern which invests in the energy sector. Prior to establishing JOG Capital, Mr. Weiss spent more than 25 years as an investment banker serving the energy industry. Mr. Weiss served as Managing Director and Head of Royal Bank of Canada’s Energy Group. Before joining RBC, Mr. Weiss was the Managing Director and Head of the Energy and Power Group with Bank of America Securities, and held a similar position with Smith Barney, Inc., from 1985 to 1998. Mr. Weiss started his career at Citicorp in their Merchant Banking Group. Mr. Weiss obtained a B.A. in Physics from Vanderbilt University and an M.B.A. from the University of Chicago Graduate School of Business.

CHAD WEISS

Advisory Director

BOB YOUNG

Advisory Director

Dr. Robert A. Young, also known as Bob, Ph.D., served as the Managing Director of Mirador Capital LLC. Dr. Young was a co-founder of Mirador Capital. He served as the Chief Executive Officer and President at Tessera MEMS Technologies, Inc., until May 2011 and served as its Director since 1991. He served as Chief Executive Officer and President of Tessera, Inc. and Tessera Technologies, Inc. at DigitalOptics Corporation from May 2011 to April 15, 2013. He served as the Chief Executive Officer at Santa Fe Imagery. He was a General Partner at Darwin Ventures, LLC. He served as the Chairman and Chief Executive Officer at Curl, Inc., (f/k/a, Curl Corporation). Dr. Young served as a Senior Partner and Managing Director at Dillon Read & Co. Inc., with the responsibility for corporate finance activities for information technology companies. He was a managing General Partner of Ticonderoga Capital Inc. He was employed at Dillon Read’s venture capital funds from 1987 to 1994, where he was the Managing General Partner. He started his business career at International Business Machines Corp where, over an 18 year period, he held a number of management and executive positions in sales, marketing, engineering and general management. His last position at IBM was as its President of IBM Instruments Inc. Dr. Young served as an Industry Advisor of PolyTechnos Partners & Team GmbH (a/k/a, PolyTechnos Venture-Partners GmbH), which he joined in 2001. He served as an Advisor of ING Barings Private Equity. Over 18 years period at the company, he held a number of management and executive positions in sales, marketing, development, engineering and general management. He served as the President of IBM Instruments, Inc. He serves as Chairman at Novitaz Inc. He served as the Chairman of the Board of Tessera Technologies Inc., from 1996 to 2002. He served as the Chairman of the Board of Tessera, Inc. He has been a Director of Tessera, Inc. since 1991. Dr. Young has been an Independent Director of SBG Labs Inc. since May 2008. He serves as a Director of Switchable Bragg Gratings Labs, Inc., Unify Square Inc., and NL Nanosemiconductor. He served as a Director of Open-Xchange Inc. He served as Director of Jatheon Technologies Inc., BPEP International Limited and Innolume GmbH. He served as Director at Tessera Technologies, Inc. since 1991. He served as a Director at Barings Private Equity Partners from 1991 to 1995. He served as a Director of GEO Semiconductor Inc. since November 2009. He served as a Director of ATI Technologies Inc., since October 2003. He served as Director of SRC Computers LLC. He has served on the visiting committees of both the Department of Electrical Engineering and Computer Science and the Department of Chemistry at Massachusetts Institute of Technology. Dr. Young holds a Ph.D. in Physical Chemistry from the Massachusetts Institute of Technology and a B.S. in Chemistry from the University of Delaware.