Trust. Growth. Experience.
Umergence is a premier broker dealer placement agent specializing in private placements and alternative investments. Our representatives focus on institutional capital placements, M&A advisory, early to late stage direct investments, and late-stage secondary opportunities.
Our back office systems use a proprietary data management systems that enable supervision, operational efficiency, and 24 hour access. Our goal is to provide stakeholders with the tools and information they need, allowing for smooth transactions from inception to closing.
Umergence was inspired by the word “Emergence”, which is a phenomenon of coming together to create something greater than the sum of its parts. When we come together in the deal making process, we strive to create the most value for our clients.
Our team is here to help clients navigate the opacity of alternative investing and private capital markets. Our goal is to offer solutions, not obstacles, and the wisdom of experience to get things done right.
Our Team & Affiliates
Our world class team of seasoned professionals average more than 20 years in the industry and have collectively been involved with raising more than $75 billion of capital. We leverage a carefully cultivated network of domestic and international single/multi-family offices, high net worth individuals, private equity funds, pensions funds, endowment funds, sovereign wealth funds, institutional lenders and strategic investors.
Michael has 30+ years experience in the institutional equity and alternate investment markets. He ran institutional sales and trading desks at Oppenheimer, CIBC World Markets, and Janney Montgomery Scott in Boston. Michael also was head of east coast sales and business development for Corporate & Executive Services at Oppenheimer. He has raised capital for alternate investments including hedge funds, private equity and debt throughout his career.
Lenore has 30+ years of experience in capital formation, marketing, investor relations, and product structuring with a focus on private equity, direct investments and private credit, Lenore has raised institutional assets, ran co-investment programs, managed client relationships and built out the latest technology to support business growth.
Nick has 20 years of experience in the financial industry with a focus on the sales of alternative strategies. Previously, he sold and marketed RobecoSAM private and public equity funds primarily for their sustainability strategies. Nick was also part of the business development group that helped grow assets from $550M to $3B at Alden Global Capital.
Ross has 25+ years of institutional equity capital markets and commercial real estate investing experience. He previously headed the Institutional Markets division for Credit Suisse in Boston. He is a former United States Navy pilot, spending three years heading Nuclear Engineering Officer recruitment in the Northeast.
Jackie has 15+ years of corp finance exp. She is a founding partner at Ignition Capital and a former CFO at a multi-billion-dollar, privately-held global firm based in New York. Through her 15-year corporate finance career, Jackie has a proven track record of formulating and executing strategies & budgets for both start-ups and established businesses.
Tim is an experienced investor and legal counsel in the bank regulatory world. He started one of the first online M & A exchanges (USVX) while at Bessemer and sold it to a boutique Conn Investment bank. In addition to high level government positions Tim managed equity and bond portfolios at Loomis Sayles and JP Morgan.
Will raises capital for Impact ventures and funds that hold the promise of delivering solid financial return as well as broader value to communities and the environment. Over his career, Will has often led cross-functional project teams to originate commercial and project financings and build investment products. Will has driven new business development efforts at Amalgamated Bank, Aetos Capital, Morgan Stanley and Ernst & Young.
Mr. Williams has extensive experience in the Institutional arena. He has raised assets for several financial firms, aggregating to over $2 billion dollars over his career. He has been advising Institutional clients for over 20 years on a variety of asset classes including fixed income, equity and alternatives.
Cindy is a Founding Partner of Ligo Partners. Cindy spent the past decade building quantitative models for Family Offices and Private Equity Funds for M&A, litigation, financial reporting, compensation and tax purposes. Cindy's areas of expertise include model building of legally challenging deal structures / complex capital structures across various industries.
Michael has 35+ years of financial industry experience with a focus on US public and private markets. He has established and managed businesses in capital markets sales and trading, institutional portfolio management, family office investment advisory and institutional and consumer financial products, ecommerce and fintech.
Garey has 25+ years of financial industry experience. He joined Umergence in 2021 as managing director, co-founder and co-head with Michael Sullivan, of a platform focused on pK-12 education, seniors housing and elderly care, rural and inner city healthcare, affordable multi-family housing, nonprofit and social/civic/human services, and smart cities sectors.
Jon has 25+ years of financial service experience working with proprietary information from both high net worth individual and institutional clients. Significant background and experience working with and representing enterprise level clients in financial services including hedge funds, mutual funds, banks, private equity firms and REITs.
Mike Rodeno is a 25 year veteran of the Capital Markets Industry, working throughout the entire capital structure. Mike spent the first half of his career living and working in Boston for Lehman Brothers and the Dutch Bank ABN Amro, managing the firms research, trading, sales, and securities placement businesses. His clients include later stage private growth companies and the full spectrum of professional money management firms.
Paul Penney, CPA is an experienced institutional investor, research analyst, private company executive and board member and an early and highly engaged cannabis industry private and public company investor, lender, strategic advisor and founder. As the Chief Investment Officer of KreditForce, Paul has developed a deep and meaningful rolodex of relationships in the cannabis industry and is considered a thought leader who is a featured speaker and panelist for cannabis industry events across the country.
Alec Petros is a finance student at San Jose State University where he has been recognized as a Lucas College of Business Dean’s Scholar. He has a history of working for startups doing business analytics and marketing. Alec has now shifted his time and attention to the financial markets where he has worked extensively to increase his knowledge base. His drive and understanding of the younger generation will play a key role in his ability to find unique investable opportunities.
For the past seven years, Josh invested in two dozen early stage companies and fostered the entrepreneurial ecosystem in the cannabis industry by hosting education and networking through CannaGather. Josh hosted monthly education and networking events of 2-300 entrepreneurs, operators, and investors before expanding to cities around the country. Speakers included members of Congress, billion-dollar company CEOs, athletes, advocates, and more.
Craig F. Johnson (CJ) has 30yrs of institutional sales, trading and investment banking experience that led him to Singapore where he founded GTO, a full-service institutional broker dealer regulated by the Monetary Authority of Singapore (MAS). Residing in Asia for the last 19 years CJ has built an international network of Asset Managers, Sovereign Wealth Funds and Global Family Offices. While at GTO, he co-founded Blue Ocean, a trading platform developed to trade US ETFs during Asian business hours. CJ has been involved in >$5b IPOs/placements/fund listings.
Hansell is a venture-focused investor and executive with a wealth of finance and operating experience, having completed over $4.4B in venture capital, M&A, and corporate financings globally. Hansell recently founded Xn Ventures, an emerging venture firm focused on the future of finance, work, and knowledge. Hansell also acts as senior vice president for leading software development firm Very Big Things. Prior to that, he led the M&A and venture team at ADT, worked at or founded several early stage startups, and worked in investment banking at Wachovia and Raymond James.
Morrison has 20+ years of experience working with high-net-worth individuals, families, small businesses, and foundations at iconic institutions including Align Impact, Bank of America Private Bank, U.S. Trust Private Bank, Bessemer Trust and Thomson Reuters. Her depth of knowledge and expertise in the wealth management space has successfully increased access to, effectiveness in, and alignment of deploying capital through a range of traditional, alternative, social and impact investments as well as philanthropic grants.
Josh has more than 25 years investment banking, private placement, venture capital, and business development experience, he specializes in private placements for private equity, venture capital, and private companies and strategic mergers and acquisitions assignments. In private placements, he works with both traditional funds (venture and private equity) and esoteric funds (royalties, structured finance). In M&A, Josh works with CEOs of operating companies primarily on private company sell-sides but will also advise on divestitures.
Max is Vice President at Compass International Advisors, where he advises sponsors and companies on raising capital, investor relations and general marketing strategies. With experience in the asset management, software / IT, & Biotechnology industries, Max has run programs, procured assets, and fine-tuned investment solutions throughout his career to support & drive business growth everywhere he has been.
Equity Capital Markets
Private placement and capital introductory services with global reach across a wide range of sectors. Although we maintain a focus on growth stage startups and institutional fund placement, we are always willing to consider new offerings based on their merits and circumstances.
Debt Capital Markets
Strategic debt capital introduction services for convertible notes, senior and non-senior debt facilities, mezzanine, bridge, lines of credit, and bespoke alternatives based on individual client needs.
We work to bridge connections between GPs, LPs, independent sponsors and strategic capital partners across the entire capital stack. We offer services for primary fundraises, secondary transactions, private placements, as well as direct deals and co-investments.
The flow and velocity of money largely represents the circulation of energy throughout our society. We take this responsibility seriously and partner with trusted partners to help with distribution.
Umergence Venture Studio
The Umergence Venture Studio is a network of retail investors, entrepreneurs, deal makers and executives. Our unique platform allows collaborative participation between retail investors and institutional capital.