John W. Loofbourrow Associates, Inc. Member, FINRA, MSRB, SIPC
 
John W. Loofbourrow

John W. Loofbourrow
President

John Loofbourrow founded John W. Loofbourrow Associates, Inc. in 1980, and has specialized in institutional private placements for more than 30 years.

Prior to founding the firm, he had established the Investment Banking division of First Pennco Securities, where he and his staff structured and sold over $300 million in healthcare and educational financings. He began his capital markets career at Salomon Brothers Inc., serving as Director of the Computer Division and Vice President in the Institutional Bond Division.

Mr. Loofbourrow holds a B.S. degree in Engineering from Rensselear Polytechnic Institute and did graduate work at Case Western Reserve Business School. Mr. Loofbourrow holds a Series 24, General Securities, license.

 

 

Scott T. Schauer

Scott T. Schauer
Managing Director

Scott Schauer joined Loofbourrow in 1998, and has over 15 years of experience in the financial services industry.

Before coming to Loofbourrow, Mr. Schauer was responsible for originating asset-backed purchases for Sumitomo Bank, Limited and its various Commercial Paper conduits. Prior to his experience at Sumitomo, he was with the Private Placement Group of Prudential Insurance, where he analyzed various types of asset-backed securities and developed risk and portfolio management tools.

Mr. Schauer holds a B.S. in Management from Saint John Fisher College and an MBA from the Stern School of Business at NYU. He holds a Series 24, General Securities Principal, license.

 

 

Scott T. Schauer

James Boston
Managing Director

James D. Boston, as Principal of James Boston & Co, helps grow, access capital and exit pre-middle market and middle market companies. His primary practice areas are the GrowthToExit, Funding of the Fittest and FairExit programs. He also assists companies implement Strategic Results Management – comprised of Change Management, Project Management and Process Management.

Mr. Boston, through his affiliation with John W. Loofbourrow Associates, Inc. is licensed to complete growth capital transactions as well as mergers and acquisitions.

He has held a variety of investment related positions with financial services firms including Merrill Lynch Hubbard, Life Investors Insurance and a $1.5 Billion depository institution. Currently, Mr. Boston is the Chief Investment Officer for the GrowthToExit Funds for which James Boston & Co acts as co-sponsor and co-manager with SLG Capital Partners, LLC in Dallas, Texas.

 

 

 Brian Foley

 Managing Director

Brian Foley is an independent market analyst in the general aviation industry and is often quoted in trade press and business journals.

Assignments typically include market research, guidance retainers and other high level activities for the investment community, aviation companies and other consultancies.

He formed Brian Foley Associates (BRiFO) in 2006 after 20 years as Dassault Falcon Jet’s Director of Marketing. His career began at the Boeing Company in Flight Test and Marketing.

The firm is often chosen on the basis of Foley’s reputation and recognition in the industry, being independent and opinionated and having actual management work experience in the aviation industry. He also maintains a footprint in the investment banking community through affiliate John W. Loofbourrow Associates, and in branding with affiliate SocialVoice LLC.

Mr. Foley holds a dual degree in mechanical and aerospace engineering from Syracuse University, MBA from Seattle University. He serves in Board Member and Senior Advisor capacities having completed the Wharton Executive Education Program on Corporate Governance.

 

 

 Daniel G. Eastman

 Managing Director

 

 

Daniel Eastman joined Loofbourrow in 2010, an has over 30 years experience in the financial services industry.  In addition to C&I lending, Mr. Eastman's experience includes project finance, high tech, biotech, media & telecom, and asset based lending. 

 

 

Prior to joining Bay Colony Capital, Mr. Eastman represented a number of prominent banking institutions ranging from small regional banks to major multi-national competitors.  In 2005, he launched Citibank's successful entry into the Boston Market, which culminated in the opening of 30 de novo retail branches, the recruitment of 500 employees and the origination of over $1 billion in new business.  Prior to Citibank, he represented the Citizens Bank subsidiary of the Royal Bank of Scotland, where he was responsible for originating large corporate relationships in New England.  Prior to Citizens, he managed Sumitomo Bank's loan production office in Boston, and served as a top commercial lender for Lloyds Bank Plc., Daiwa Bank Ltd. and Bank of Boston.

 

 

 

Mr. Eastman holds a B.S. degree in Engineering from Cornell University, and completed post-graduate courses in banking and accounting at Boston University and the Darden School of Business in Virginia.  He holds a Series 7, General Securities, license.

 

 

 Ashok Sharma

 Managing Director

 

 

Ashok has over 20 years of diverse experience in investment management, finance and corporate development. Prior to joining Loofbourrow, Ashok was head of Investments at Eight Capital, an emerging markets special situations hedge fund. He structured, negotiated and closed fund's investments in several companies in various sectors including textiles, retail and durable foods. He also served on board of directors of two portfolio companies and actively advised them on financial turnaround and growth strategies. Before Eight Capital, Ashok spent several years in corporate management in Fortune 500 companies as well as in entrepreneurial ventures. His experience includes head of financial reporting, analysis and budgeting team for Large Business division at Sprint Telecom, Group Manager for cloud based hosted services at Avaya (formerly Lucent/AT&T) and Senior Director for Products at Sitara Networks. He also served as a senior executive at MaxComm Technologies, a telecom start up where he led business planning and strategy functions and played a key role in the company’s acquisition by Cisco. 

 

 

Ashok started his career with Tata Consultancy Services where he managed development teams for financial services products for clients including Hong Kong Bank, Westpac of New Zealand and PSK Bank of Austria. Ashok has a BS degree in Mechanical Engineering and an MBA in Finance from Wharton Business School, University of Pennsylvania. He holds a Series 79, Investment Banking license.

 

 

 Dr. Craig A. Zabala

 Managing Director & Registered Representative

 

 

Dr. Zabala is also the Founder, Chairman, President, and Chief Executive Officer of Concorde Group Holdings, Inc. since 2015; The Concorde Group, Inc. since 1998; Blackhawk Capital Group BDC, Inc., since 2004; Concorde Europe Limited (United Kingdom), since 2001; DBL Holdings LLC (dba Drexel Burnham Lambert), since 2000; and Co-Founder and President of Concorde Investment Managers since 2000. From 2007 to 2013, Dr. Zabala was also a Registered Representative at Torsiello Securities, Inc. From 2010 – 2011, he was Managing Director of Merchant Banking at 787 Capital Group LLC, a privately-held merchant banking firm in New York City, under a joint venture with The Concorde Group, Inc. The former Governor of New York State, Mario M. Cuomo, was Chairman of the Board of 787 Capital. Additionally, Dr. Zabala was on the editorial board of Global Focus, an academic journal on international business, economics, and social policy at the Zicklin School of Business, Baruch College, City University of New York. From 2002 to 2003, he was a Registered Representative and an Investment Advisor with Brean Murray & Co., Inc. in New York City. From 1999 to 2001, Dr. Zabala was Senior Vice President of Merchant Banking and Investment Advisor with Trautman, Wasserman & Company, a merchant bank and broker dealer in New York City under a joint venture with Concorde Group. From 1998 to 2002, he was Scholar in Residence and Visiting Lecturer at the Zicklin School of Business and the Department of Finance, Graduate School, Baruch College, CUNY, where he taught an MBA course on Entrepreneurial Strategy and a course on Special Topics in Investment Banking for the M.S. degree in Finance. Prior to this, from 1997 to 1998, Dr. Zabala was Vice President and Investment Advisor, Private Client Group, Merrill Lynch & Co., New York City. From 1996 to 1997, Dr. Zabala was an investment banker at Baird Patrick & Company, Inc., New York City. Prior to this, from 1994 to 1995, Dr. Zabala was an Acting Chief Financial Officer for portfolio companies and Investment Banker at Gilman Securities, Inc. in New York City. From 1992 through April 1996, Dr. Zabala was Vice Chairman of the Board of Directors of Golf Reservations of America, Inc., Sherman Oaks, California. From 1991 to 1993, Dr. Zabala was Visiting Scholar and Visiting Lecturer, teaching the following courses, Entrepreneurship, Venture Capital and Applied Finance, at the Walter A. Haas School of Business, University of California at Berkeley. From 1990 to 1991, he was Visiting Fellow at the School of Industrial and Business Studies, University of Warwick, Coventry, England. From 1989 to 1990, he was Assistant of the President and Investment Banker and Vice President of Corporate Finance at D.H. Blair and Company, an investment bank and broker dealer in New York City. From 1986 to 1990, he served as Assistant Professor of Management at the School of Management, Rensselaer Polytechnic Institute, in Troy, New York. Dr. Zabala was a Doctoral Fellow conferred by the U.S. Senate (1979 to 1981) and an Economist at the U.S. Department of Labor (1979 to 1982) and an Economist at the U.S. Department of Commerce (1982 to 1986) in Washington, D.C. He was also a full-time autoworker from 1976 to 1983 at the General Motors Assembly Division, General Motors Corporation, Van Nuys, California, where he worked and also performed doctoral research on production relations in the U.S. automobile industry. Dr. Zabala received his A.B., magna cum laude, Pi Gamma Mu and Phi Beta Kappa, in 1974, and Chancellor Fellow conferred by the Graduate Division (1974 to 1983) leading to the M.A. in 1977 and Chancellor Fellow and Doctoral Fellow, conferred by the U.S. Senate and the U.S. Department of Labor (1979-1981), for the Ph.D. in 1983 from the University of California, Los Angeles (UCLA). He was Postdoctoral Scholar at UCLA in 1986. He pursued postgraduate studies in production theory and econometrics in the Department of Economics, The George Washington University, Washington, D.C., from 1980 to 1984. He is currently completing a MSc in Finance with a focus on globalization and central banking at the Center for Financial and Management Studies, School of Oriental and African Studies, University of London, UK, degree expected 2016. Dr. Zabala is also a Ph.D. candidate in Finance at École des Hautes Études Commerciales du Nord, a Grande école, EDHEC-Risk Institute, Nice, France, with a concentration in stochastic calculus and continuous-time financial models, degree expected 2018. Dr. Zabala has published widely in academic books and journals in the fields of business, economics, finance, industrial relations, management, sociology, and federal government and financial services industry publications. Dr. Zabala holds the General Securities Registered Representative (Series 7), Uniform State Securities Agent (Series 63), Investment Advisor Representative (Series 65), Limited Securities Representative-Investment Banking (Series 79) and Operational Professional (Series 99) securities licenses.  

 

 

 

 Richard J. Kelly

 Managing Director & Registered Representative

 

 

Richard J. Kelly is Managing Director and Registered Representative of John W. Loofbourrow Associates, Inc., Member FINRA, SIPC, MSRB, since 2014, a Managing Director of Concorde Group Holdings Inc. since 2015, and a Managing Director of Investment Banking at The Concorde Group, Inc. since 2008, and. He has more than 32 years of experience in the financial services industry. Mr. Kelly has advised on merger-and-acquisition transactions with over $7 billion in transaction value and has been involved in public and private debt and equity transactions that have raised approximately $1.5 billion. Notable transactions that Mr. Kelly has been involved with over his career have included representing National Bancorp of Alaska in its sale to Wells Fargo & Co., as well as initiating and representing Chittenden Corporation in its acquisition of Vermont Financial Services Corp. and the sale of Merchants New York Bancorp to Valley National Corp. In addition, Mr. Kelly represented Household International in the sale of its banking charter to facilitate its sale to HSBC. Prior to joining Concorde Group, from 2006 to 2008, Mr. Kelly was Head of Financial Services, Investment Banking Group at SHM Capital, New York, NY, specializing in commercial banks, thrifts, broker/dealers and specialty finance companies. Responsibilities included initial and secondary offerings of equity-capital securities, issuance of a full range of fixed-income securities, mergers and acquisitions and the complete spectrum of advisory services for the financial-services industry. From 2003 to 2005, he was Managing Director at Friedman Billings Ramsey & Co., Inc. From 2001 to 2003, he was Managing Director at Putnam Lovell NBF. From 1998 to 2000, Mr. Kelly was Managing Director at CIBC World Markets. From 1991 to 1997, he was Managing Director and Head of Investment Banking at M.A. Schapiro & Co., Inc. From 1987 to 1991, Mr. Kelly was a Vice President and Head of Financial Services at Tucker Anthony, Inc. From 1982 to 1987, Mr. Kelly was an Associate at Keefe, Bruyette & Woods, Inc. in the BankWatch credit rating/advisory service (1982-1984), and then an Assistant Vice President in the Investment Banking Department (from 1984-1987). Mr. Kelly began his career in 1979 as a financial analyst in the commercial banking and insurance industries at The First National Bank of Boston. Mr. Kelly is a graduate of Amherst College in 1979 majoring in Anthropology and attended the Graduate School of Management at Babson College majoring in Finance. Mr. Kelly has been published in numerous periodicals and newspapers. Mr. Kelly holds the General Securities Registered Representative (Series 7), General Supervisory (Series 24), and Uniform State Securities Agent (Series 63). 

 

 

 

 

Our Promise to You

We promise to work with you to create the most appropriate, innovative solution to your financial needs by listening; by involving only the most reliable and responsible lenders; and by applying all our expertise and creativity to deliver a product that precisely matches your requirements each and every time. You can trust Loofbourrow to partner with you to expand the realm of the possible.

 

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