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To get more information about Patrick Capital Markets’ services, contact us feel free to call us at (314) 528-3000.

Our Team

Who We Are

“Teamwork is the ability to work together toward a common vision. The ability to direct individual accomplishments toward organizational objectives. It is the fuel that allows common people to attain uncommon results.”

— Andrew Carnegie, Scottish-American industrialist and philanthropist

The Patrick Capital Markets’ Story

Executing the possibilities.

Much of we do at Patrick Capital Markets is different than what you’ll find at a typical broker-dealer. Our people are different. We’re a strong team with impressive and diverse backgrounds who tackles capital projects from all angles. Our firm is “right-sized.” We are large enough to optimally service clients but small enough to adjust on the fly. Unlike many other broker-dealers, we are willing to consider deals that range in size and scope, and we are adept at meeting tight timeframes. 

Our projects are born from our passion to ensure that the signature of Patrick Capital Markets is excellence. That means our diligence is thorough, our investor experience is designed thoughtfully and we drive to closing with efficiency.

Patrick Capital Markets’ skilled team is at-the-ready, prepared to navigate the deal process and bring alternative investment products to market. Because we are highly specialized with decades of experience, we see a transaction three-dimensionally – tackling multiple steps in the process at once. For our sponsor-clients, that means the ability to anticipate challenges before they occur. For our reps, it ensures flexibility and speed.

In the end, the team at Patrick Capital Markets makes a range of deals a reality by living up to its tagline every day – Executing the possibilities.

Meet
The Team

Jarad Mitchell

Chief Diligence Officer

Jarad Mitchell

As Chief Diligence Officer for Patrick Capital Markets, Jarad Mitchell is responsible for leading the diligence team to ensure our product review process is thorough and efficient. He has a diverse financial background and a strong passion for the capital markets and works closely with sponsors and other managing dealers of alternative investments.

Jarad has more than 15 years of financial services experience, including broker-dealer operations, client services, relationship management, with a focus on complex securities, including options and alternative investments. His background in expanding client service models, growing market share, and enhancing technology platforms, gives unique perspective to his current role at the firm. Jarad earned a BS in Finance from Southern Illinois University and holds Series 7, 24, 63 and 65 licenses.

Kurt Palos

Vice President of Business Development

Kurt Palos

Kurt Palos has spent the last decade on a mission to help representatives determine if Patrick Capital Markets is the right broker-dealer partner for their business. He brings a unique consultative approach when it comes to guiding representatives through the recruitment cycle. He has garnered experience in the financial services industry helping over 100 independent representatives find a home with Patrick Capital Markets and its affiliate broker-dealer and RIA.

His extensive experience and work ethic has been an invaluable asset since joining Patrick Capital Markets in 2012. Kurt earned a B.S. in Marketing Management from Southeastern Missouri State University and holds Series 7, 66 and 24 licenses.

David E. Bishop

Compliance Officer

David E. Bishop

David E. Bishop joined Patrick Capital Markets in July 2020 and, as a member of the compliance team, serves as a field supervisor for registered representatives of the firm. He is also responsible for conducting annual branch audit examinations, reviewing investor documentation and regulatory review of advertising and marketing materials of the firm and its representatives. David has been in the financial services industry for more than 40 years and has considerable experience in the insurance side of the business. David earned a B.S. in Administrative Management from University of Missouri, and holds Series 6, 7, 24, 26 and 63 licenses, along with professional designations including Fellow, Life Management Institute (FMLI), Associate, Insurance Regulatory Compliance (AIRC), Associate, Insurance Agency Administration (AIAA) and Associate, Customer Service (ACS).

Michelle Drumm

Compliance Associate

Michelle Drumm

Michelle Drumm contributes to the Patrick Capital team on the compliance and operations side of our business. She is adept at handling subscriber documentation and ensuring that our private placement trade blotter is accurate and up-to-date so that our sponsors and registered representatives have an accurate picture of the status of their transactions.

She has been in the financial services industry since 2004, with a focus on client services. Prior to joining Patrick Capital, Michelle was in the IRA Department at Scottrade and with Scottrade Advisor Services, where she gained experience working with registered investment advisors and their clients. Michelle holds a B.A. from the University of Missouri – St. Louis.

Brent Ricketts, J.D.

Due Diligence Officer

Brent Ricketts, J.D.

Brent Ricketts joined the firm in 2021 as a Diligence Officer and is responsible for reviewing offering memorandums, conducting diligence reviews and contracts review. His current focus is 1031 DST offerings, opportunity zone offerings and real estate offerings with the potential for conservation. Brent is an attorney and member of the Missouri Bar. He received his B.S. degree from Missouri State University and his law degree, Magna Cum Laude, from Saint Louis University School of Law.

Mary Ann Sewing

Chief Operating Officer

Mary Ann Sewing

As the COO for Patrick Capital Markets, Mary Ann Sewing is responsible for oversite of compliance, operations, marketing and due diligence areas of the firm. She has been with the firm and its affiliates since 2010 and has been in the securities industry for more than 25 years, with a background in investment banking, corporate debt syndicate and operations. Mary Ann has broad experience in all execution phases of public and private equity, hybrid and debt securities – from offering document and contract drafting to marketing and syndication.

Prior to her career in financial services, she was an analyst with General Dynamics Corporation. Mary Ann earned a B.A. from St. Mary’s University in San Antonio, Texas, and an MBA from the University of Missouri, and holds Series 7, 24, 62 and 63 licenses.

Richard A. Wilson

Chief Technology Officer

Richard A. Wilson

As Chief Technology Officer for Patrick Capital Markets, Richard A. Wilson oversees all facets of our information technology and regulatory controls related to implementation, maintenance, data protection, future planning and new technology adoption. He and his team are an integral part of making our deal execution second-to-none by ensuring that our technology supports the varied needs of our representatives, sponsors and investors.

For the past 25 years Rick has worked in the Information Technology field on all levels of planning, implementation and end-user support; he has served as Vice President, President and Owner of several information technology consulting groups that specialize in process-planning and infrastructure support for small to medium sized businesses. Rick earned a B.S. degree in Management of Information Systems from Maryville University in St. Louis, Missouri.

Mark Thompson

Registrations

Mark Thompson

Mark Thompson has been with Patrick Capital Markets’ affiliate firms for more than 18 years. He leads our registrations team for all of our firms. He and his team spearhead all state registrations and FINRA filings for PCM representatives. In addition to his duties for PCM, Mark is the Chief Compliance Officer for Saxony Capital Management. He began his career in the finance industry as a registered representative with Aetna Financial Services in 1997. He went on to become Chief Compliance Officer with Buford Dickson, Harper & Sparrow, Inc. prior to his association with our firms.

Mark has extensive experience in asset management, securities transactions, securities compliance, and managed portfolios. He is a graduate of the University of Missouri, at St. Louis, receiving a bachelor’s degree in Business Administration; he served in the United States Air Force for four years. Mark holds his Series 4, 7, 24, 53, 65, 79 and 99 licenses.

Brian Clark

CEO / President

Brian Clark

Brian Clark has been the CEO and President of Patrick Capital Markets, LLC since 2009 when it was acquired by Saxony Financial Holdings, LLC. He also holds the position of CFO for the firm and its affiliate firms, Saxony Securities, Inc. and Saxony Capital Management, LLC. Brian was instrumental in the founding of MRV Banks, Inc. and currently serves on its board of directors. Prior to joining Saxony and Patrick Capital, Brian served as CFO of Duck Creek Technologies, a software development company, and Megsinet, an early ISP company. Additionally, he has served in a financial management capacity for a number of other companies during his career, including Charter Communications, Corecomm, CyberTel and WilTel, after spending nine years in public accounting. Brian earned a B.S. in Business Administration/Accounting from Southeast Missouri State University; he is a CPA and holds Series 7, 24, 28, 63, 65, 79 and 99 security licenses.

Sarina A. Strack

Chief Compliance Officer

Sarina A. Strack

As Chief Compliance Officer for Patrick Capital Markets, Sarina A. Strack oversees the firm’s compliance, regulatory and supervision program for its registered representatives. She also works closely with sponsors and investors in private placement securities, ensuring that the operations side of the subscription process is seamless. Prior to her promotion to this position in May 2021, Strack worked as Compliance Officer since joining Patrick Capital in May 2017, with primary responsibilities that included field supervision and investor suitability reviews.

Previously, Sarina worked in the banking industry in various capacities, including management roles in most areas of back-office operations, regulatory compliance, internal audit, enterprise risk management, vendor management, corporate training and volunteer initiatives. Sarina also served as Community Reinvestment Act (CRA) Officer, as a board member of the Metropolitan St. Louis CRA Association, is a former co-chair of Money Smart Week – St. Louis Metro and served a three-year term on the Federal Reserve Bank of St. Louis’ Community Development Advisory Council. Sarina dedicates significant time to civic and local charitable organizations, and she currently serves on the board of directors of Junior Achievement of Greater St. Louis and the board of directors of the St. Louis Tax Assistance Program.

Sarina earned her degree in Mathematics from Saint Louis University and later studied accounting at the University of Missouri – St. Louis, and holds Series 7, 63 and 24 licenses.

Sam Politte

Chief Marketing Officer

Sam Politte

As Chief Marketing Officer for Patrick Capital Markets, Sam Politte has overall responsibility for regulatory compliance of our marketing efforts, including the use of marketing by our registered representatives and sponsor-created marketing for use by registered firms. He is also instrumental in molding the branding and marketing efforts of the firm. In addition to his marketing role, Sam is also a Compliance Officer and involved in the firm’s field supervision, operations and technology efforts.

Sam began his career in the financial services industry in 2015 at our affiliate firm, Saxony Securities, where he was a member of the operations department. Sam graduated from Truman State University in 2011 with a B.A. in English and later studied education at University of Missouri – St. Louis. He holds Series 7, 24, 63 and 65 licenses.

Angela Oberle

Compliance Associate

Angela Oberle

Angela Oberle is part of our diligence team and manages communication between our selling dealers and their registered representatives and between the diligence team and our sponsors. Additionally, she facilitates the subscriber-intake process to ensure efficient and accurate record-keeping on our trade blotter, along with supporting our compliance and marketing efforts.

Angela’s experience in financial services includes past positions with MetLife and Edward Jones, which focused on supporting retail investors. Just prior to joining Patrick Capital, Angela taught high school social studies for ten years. She earned her bachelor degrees in history and secondary education from Webster University and an MBA from Missouri Baptist University.

Nathan Matarazzi

Accounting Manager

Nathan Matarazzi

Nathan Matarazzi has been with Patrick Capital Markets since its inception and has over 17 years of industry experience spanning operations, trading and accounting. He is the primary contact for registered representatives with regard to commission payments and he manages the timely issuance of payments to all of our selling dealer partners.

Nathan graduated from the University of Missouri Columbia with a B.S. in Finance. He also holds a Series 7, 63 and 28 licenses.

Tim Matthes

Senior Compliance Associate

Tim Matthes

Tim is involved in all facets of the operations side of Patrick Capital Markets – from ensuring that subscription documents are created and routed appropriately to our registered representatives and our valued selling dealer partners, to reviewing and approving incoming subscriptions for sufficiency and adherence to regulatory requirements. With a background in compliance, anti-money laundering requirements, and operations, he is uniquely qualified to ensure that our registered representatives, sponsors, and selling group members have the resources they need to serve their investors.

Tim holds a Bachelor of Arts from St. Mary’s University in San Antonio, Texas and an MBA from Webster University in St. Louis, and holds Series 7 and 66 licenses.

Joey De Rose, CFA

Diligence Officer

Joey De Rose, CFA

As a Diligence Officer at Patrick Capital Markets, Joey De Rose is responsible for in-depth review of alternative investment offerings that are being considered for sale on our platform. His responsibilities include review of sponsor and offering financial statements, proforma analyses, and sufficiency and viability of use of proceeds for offerings under consideration. His background and experience as a financial analyst, along with his acumen for recognizing and assessing risk, strongly contributes to the capabilities of our diligence team and helps ensure that our product line has been properly vetted and investors have a sound basis upon which to make an investment decision.

Joey has more than 10 years of financial industry experience, having held analyst and specialist positions prior to joining the firm; he has earned the designation of Chartered Financial Analyst (CFA). Joey has a BS in Finance from the University of Missouri – Columbia and an MBA from the University of Missouri – St. Louis, and holds Series 6, 7, 24 and 63 licenses.

Patrick Capital
Distribution
Channel

In 2021, Patrick Capital Markets established a distribution group that is dedicated to providing sales support for offerings in which we serve as managing broker dealer, specializing in private offerings of alternative investments. The team has offices in St. Louis, New York, New Jersey and Raleigh.  

Known as Patrick Capital/Distribution Channel (PC/DC), the team is led by industry veteran Warren Posner, the Head of Distribution, Dan Roebuck (Regional Sales Director) and Felix Vera (Internal Wholesaler). This team brings a unique depth to our firm in its capacity to distribute alternative product in the marketplace, which has included offerings in sectors such as real estate, banking, aviation, beverages and cryptocurrency.   

Our firm is experienced in supporting sponsors from inception to closing, providing due diligence, investor processing, technology solutions, marketing and distribution. Since 2017, Patrick Capital Markets has assisted in capital raising for more than $1 billion through private offerings.

Warren Posner

Head of Distribution

Warren Posner

Warren Posner is the National Sales Director for Patrick Capital/Distribution Channel, the distribution arm of our broker-dealer, Patrick Capital Markets. Warren is responsible for leading the sales and national accounts effort to expand the scope of distribution for sponsors that partner with Patrick Capital Management for its managing broker-dealer services. He has more than 30 years of broad experience in the financial services industry, holding positions in sales, product management and relationship management. Prior to joining Patrick Capital Markets, Warren served as the Director of National Accounts for Nelson Partners, and has previous industry experience with LPL Financial, Morgan Stanley, Bank of America, and Prudential Investments. Warren attended Washington University in St. Louis and New York University and holds FINRA Series 7, 24 and 63 licenses.

Daniel Roebuck

Regional Director of Sales

Daniel Roebuck

Daniel Roebuck is a Regional Director of Sales for Patrick Capital/Distribution Channel, the distribution arm of our broker-dealer, Patrick Capital Markets. He is responsible for expanding our marketing of private alternative investments to regional and national broker-dealers and registered investment advisors. Daniel brings over 30 years of industry experience to the firm, with much of that time focused on wholesale distribution. Prior to joining Patrick Capital Markets, he served as a Managing Director for Nelson Partners, and has previous wholesaling experience with Lightstone Capital Markets, Bluerock Real Estate, KBS Capital Markets Group and AXA Distributors. Daniel attended North Carolina State University and holds FINRA Series 7, 24 and 63 licenses.

Felix Vera

Internal Sales

Felix Vera

Felix Vera is an Internal Wholesaler for Patrick Capital/Distribution Channel, the distribution arm of our broker-dealer, Patrick Capital Markets. Felix is responsible for providing support to financial advisors by assisting them with product education, investment alternatives, and business-building strategies. He brings a diverse skillset, having held management, sales and distribution, and product training positions during his 20-year career in the investment industry. Prior to joining Patrick Capital Markets, he served as a Regional Director at Nelson Partners, and has previous industry experience with Morgan Stanley, Cantor Fitzgerald, Lightstone Capital Markets, Central Park Group, and S2K Financial. Felix attended Manhattan College and holds FINRA Series 7 and 63 licenses.

Strategic Partners

Alternative Wealth Management

Alternative Wealth Management provides access to tax advantaged programs that help mitigate tax exposure on the transition of capital such as real estate or other appreciated assets, as well as strategies that target a reduction of income tax liability. Many of our programs utilize government incentives for environmental and socially responsible investment.

www.alternativewm.com

Petra Capital Properties

Petra Capital Properties, LLC is a boutique real estate investment firm specializing in DST 1031 Exchanges using proprietary technology to collaboratively align investment goals with personalized diversified investment portfolios. 

www.petracapitalproperties.com

Cummings & Company, LLC

Cummings & Company, LLC provides investment banking and advisory services to regional and community banks and thrifts.

www.cummingsbanks.com

Piedmont Capital Distributors, LLC

Founded in 2008, Piedmont Capital Distributors is a national investment marketing firm specializing in ‘40 Act funds.

www.piedmontcapitaldistributors.com

Saxony Partnerships

Saxony Securities, Inc (SSI)

An independent broker-dealer that is affiliated with Patrick Capital Markets. SSI partners with independent registered representatives that focus on retail-oriented brokerage business on a commission basis. Registered representatives of SSI have the ability utilize a full suite of investment products including equities, fixed income securities, mutual funds, ETFs, 529 plans, retirement plans, alternative investments, and insurance and annuity products. SSI custodies and clears through Pershing, a BNY Mellon Company, the industry’s largest provider of clearing and settlement solutions 1.
1 Investments News, 2020, based on number of broker-dealer clients

Saxony Capital Management, LLC (SCM)

An independent, SEC Registered Investment Advisor (RIA) that is affiliated with Patrick Capital Markets. SCM supports independent investment advisor representatives who manage their client’s assets on a fee-based basis. Advisors under SCM have the option of either managing their client’s investment portfolios on a discretionary basis and/or utilizing a sub-advisor for third party management of the client’s portfolio. SCM custodies and clears through Pershing and Charles Schwab.

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