Rob leads Hamilton Grant’s overall compliance program, assisting the firm’s investment banking partners with compliance/regulatory guidance and operational best practices. He has over 25 years of experience in the financial services and regulatory compliance fields, and previously served as Chief Compliance Officer for multiple small and mid-sized broker-dealers. Beyond compliance and regulatory matters, Rob’s entrepreneurial spirit and experience benefits Hamilton Grant’s investment banking partners as well as the firm’s business development team.  

David manages all of the financial aspects of running an M&A Advisory investment bank, including client billings and the closing of financial transactions. He has over 25 years of experience in financial management for broker-dealers.

Kevin advises M&A practices with respect to new and existing engagements. He reviews all proposed transactions and assists in identifying opportunities for Hamilton Grant to improve efficiencies for clients. Kevin is an experienced broker-dealer lawyer and has over 30 years of securities industry experience as a firm executive, compliance officer, attorney and regulator.

Dot works closely with the firm’s investment banking partners to assist with compliance supervision and operational best practices. She is a point-person during office inspections and a resource regarding regulatory policies and procedures. During 25+ years as a registered financial professional, Dot has served as CCO, director of compliance and in various other supervisory and operations roles at a variety of broker-dealers.

John applies decades of experience in investment banking, venture capital investing, financial management and public accounting to help guide Hamilton Grant’s strategies. He currently advises CEOs and entrepreneurs on business growth strategies and served as Master Chair for a Vistage International CEO peer advisory group. John was a partner with GKM Ventures, an expansion-stage venture capital firm, and is Chairman Emeritus of Tech Coast Angels, the largest angel investor organization in the nation. John has served on the boards of public and private companies, and currently is a Director for several private companies in addition to Hamilton Grant.

Don founded Hamilton Grant to simplify the complex and time-consuming compliance and operational functions required of M&A practices. He is the President of Western International Securities (WIS), a financial solutions platform and advisory firm for the wealth management industry. WIS makes the diverse investment solutions offered by the largest financial institutions available to independent wealth managers for the benefit of their clients. Don is past-President of the Securities Industry Management Association of Southern California and served as a Director for the National Association of Independent Brokers.

Ken works closely with the firm’s management team and board of directors to enhance value added services for clients. He previously served as Hamilton Grant’s CEO and applies over 35 years of experience with broker-dealers, including the roles of Chief Compliance Officer for a large broker-dealer and the President of a securities industry consulting firm.

Mary is President of Proactive Marketing, Inc.  She provides strategic advice to Hamilton Grant in the areas of branding and marketing, leveraging over 20 years of experience as a marketing advisor to independent investment banks, private equity firms, specialty finance companies and other professional services firms. Mary works closely with Hamilton Grant’s management team, applying her expertise in brand awareness, promotion, communications and business development strategies.  Mary began her career in investment banking and commercial lending before founding her consulting business in 2002.