About this event

Unlike for large public companies, capital formation for middle market companies is a minefield for the unwary. Varying degrees of trading liquidity, equity research coverage, and C-Suite and director experience often lead to equity capital market transactions that are sometimes needlessly dilutive. To make matters worse, there are no report cards issued for capital raising in the public company ecosystem. A public company seeks $50 million in growth financing, and secures it. The officers and directors think the financing was terrific. In fact, their investment bankers confirmed it. But down the street, the hedge funds that supplied the growth capital are literally laughing all the way to the bank. This happens hundreds of times a year, to the tune of $30b+. We’re going to hear precisely how and why from the perspective of someone who co-managed an investment fund that invested in more than 500 such small-cap growth financings.


Coco Brown CEO

Coco is founder and CEO of Athena Alliance. Prior to her current roles, Coco served as President, COO, and Board Director of Taos, a market leader in IT Services serving hundreds of F1000 companies, including Apple, Cisco, ebay, Facebook, and Silicon Valley Bank. Coco brings rich experience across F1000 companies, start-ups, and nonprofits in the roles of CEO, COO, advisor, and Board member to Athena. She possesses a unique understanding of the breadth of challenges and opportunities of leadership. She empowers leaders to execute successfully, working with them to develop the relationship between a company’s strategy and its organizational design and environment. Coco’s expertise in developing and strengthening these important linkages makes her a powerful C-level advisor and Board member. In addition to serving on the Board of Taos from 2004 to 2014, Coco served as a Board Director for MentorNet during its rebranding, product transformation, and subsequent acquisition by Great Minds in STEM. Coco was on the finance committee supporting the Board of Directors of Samasource and established the Operating Committee for the Silicon Valley arm of Golden Seeds, a New York-based early-stage investment firm. She also currently serves as Chair of the Nominating Committee for the Anita Borg Technology Leadership Award, one of the most prestigious awards honoring women in technology.


Adam Epstein Founder

Adam J. Epstein is a former institutional investor, and, now, an advisor to CEOs and boards of small-cap companies through his firm, Third Creek Advisors, LLC. He is a key contributor to Nasdaq’s Amplify small-cap content platform, a mentor at the Nasdaq Entrepreneurial Center, and he’s on the editorial advisory board of Small-Cap Institute, Inc. Mr. Epstein is the author of The Perfect Corporate Board: A Handbook for Mastering the Unique Challenges of Small-Cap Companies (McGraw Hill, 2012). In June 2017, The Perfect Corporate Board was the #1 ranked corporate governance book on Amazon.com. Mr. Epstein has been featured in print (The Wall Street Journal and Bloomberg Businessweek), on TV (Nasdaq Livestream and CNN Presents), and he has testified in front of the U.S. Securities and Exchange Commission. He earned a Juris Doctor from Boston University, and a Bachelor of Arts, cum laude, from Vassar College.

Tags: Investing

Key Details


A Step-by-Step Guide: How Institutional Investors Outsmart Small-Cap Companies

Wed, Oct 28 @ 9:00am PT (1 hrs)

Virtual (RSVP for link)


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