Business Services

Tim Klein

Mr. Klein joined Craig-Hallum in 2010 and has almost 20 years of capital markets experience including numerous M&A transactions. Prior to joining Craig-Hallum, Tim was in charge of Corporate Development at Kroll Inc, a leading provider of risk mitigating technology and consulting services. While at Kroll he oversaw both acquisitions and dispositions while developing extensive relationships with leading public companies and buyout firms. Prior to Kroll, Mr. Klein helped form Aplos Advisors, a fundamental long/short equity hedge fund, where he managed a portfolio focused on technology driven business services. Previously, he was a Senior Research Analyst for Piper Jaffray Companies covering Internet, software and technology related services companies. He also managed business/strategy development while at Ceridian helping to conduct M&A for the leading payroll and human resource technology services provider. Mr. Klein received a B.A. with Honors from The University of Chicago.

Clean Technology

John Lipman

Mr. Lipman joined Craig-Hallum in 2012 and has significant investment banking experience in capital markets and M&A transactions. Prior to joining Craig-Hallum, John was in a Managing Director at Rodman & Renshaw and Hudson Securities (acquired by Rodman & Renshaw) where he focused on capital markets transactions for emerging growth companies in a variety of different sectors. Previously, he was the Chairman and CEO of Carter Securities where he was focused on raising institutional capital for emerging growth companies. Mr. Lipman received a B.A. from Rollins College.

Healthcare

Matt Judson

Internet & Software

Tim Klein

Mr. Klein joined Craig-Hallum in 2010 and has almost 20 years of capital markets experience including numerous M&A transactions. Prior to joining Craig-Hallum, Tim was in charge of Corporate Development at Kroll Inc, a leading provider of risk mitigating technology and consulting services. While at Kroll he oversaw both acquisitions and dispositions while developing extensive relationships with leading public companies and buyout firms. Prior to Kroll, Mr. Klein helped form Aplos Advisors, a fundamental long/short equity hedge fund, where he managed a portfolio focused on technology driven business services. Previously, he was a Senior Research Analyst for Piper Jaffray Companies covering Internet, software and technology related services companies. He also managed business/strategy development while at Ceridian helping to conduct M&A for the leading payroll and human resource technology services provider. Mr. Klein received a B.A. with Honors from The University of Chicago.

David Wambeke

Technology

Henry Alfaro

Mr. Alfaro joined Craig-Hallum in 2010 and has more than 20 years of investment banking experience in advisory and capital markets transactions. Henry has spent the majority of his career covering the electronics and systems sectors including semiconductors, semiconductor equipment, storage, displays, LEDs, EMS and photovoltaics. His regional coverage has included the U.S., Canada, Europe, Asia and Israel. Prior to joining Craig-Hallum, Henry was responsible for developing and managing the electronics banking practices at Prudential Securities, FBR and Broadpoint. Previously he held investment banking positions at Salomon Brothers in New York. Mr. Alfaro received a B.A. from Stanford University and received his MBA from the Kellogg School of Management at Northwestern University.

Investment Banking and Capital Market Contacts

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Rick Hartfiel - Director

Mr. Hartfiel joined Craig-Hallum as the Director of Investment Banking in 2005. He brings over 20 years of investment banking experience focused on emerging growth companies. At Craig-Hallum, Rick has managed over 50 equity offerings (IPOs, follow-on offerings, registered directs and PIPEs) and M&A transactions totaling over $2.5 billion in value. Prior to joining Craig-Hallum, Rick was a Managing Director at Dain, Rauscher, Wessels — a national investment banking firm covering technology, consumer, and healthcare companies. Mr. Hartfiel has an MBA from Harvard Business School and B.A. from Amherst College.

Kevin Harris - President

John Flood - Chairman

Christopher Abbott

Henry Alfaro

Steven Beck

Matthew Fitzmaurice

James Frommelt

Albert Hanser

John Lipman

Jared Rance

Steve Rickman

Chad Starman

David Wambeke

Neil Weinstein

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