Stephen M. Hicks is the Chief Executive Officer and founding principal of Southridge. Mr. Hicks sets the overall strategic direction for the Southridge group of companies, and is responsible for business development and execution. Mr. Hicks founded Southridge in 1996. Active in the investment industry for over 25 years, Mr. Hicks has broad experience in financial structuring, derivatives, risk arbitrage, and investment banking. He received his BS in Business Administration from King’s College in Briarcliff Manor, New York, and an MBA from Fordham University, in New York City.

Henry M. Sargent, JD, CFA

Henry Sargent, JD, CFA, is Southridge’s Chief Operating Officer and General Counsel. His responsibilities include investment selection, deal structuring and monitoring, workouts, and reorganization. Prior to joining Southridge in 1998, Mr. Sargent spent several years at a New York-based corporate and securities law firm, specializing in private placements, venture capital financing, and corporate reorganizations. He received a BA from Connecticut College and his JD from Fordham University School of Law, NY. Mr. Sargent is a member of the New York Bar Association, the CFA Institute, and the New York Society of Security Analysts.

Matthew A. Carrara, CAIA

Matthew A. Carrara is the Chief Executive Officer of Southridge Asset Management LLC. Mr. Carrara is responsible for new business development and growth of the asset management platform. Prior to Joining Southridge, Mr. Carrara has held numerous positions over 23 years in the Capital Markets arena. Mr. Carrara most recently was a Portfolio Manager and Managing Director of Carlyle Blue Wave Fund and Managing Director of Everest Capital, an investment advisory firm with over $2 billion under management. Previously, Mr. Carrara was Head of Equity Derivatives in the Americas with Deutsche Bank and also spent 11 years with Morgan Stanley in New York and Chicago. Mr. Carrara is a graduate of the College of Business Administration of St. John's University and is a member of The Chartered Alternative Investment Analyst Association.

William Schloth, CPA

William Schloth is the Chief Executive Officer of Southridge Investment Group LLC. Mr. Schloth has been investing in and advising private and public startup and middle market companies for over 20 years. Mr. Schloth's investment experience includes recapitalizations, crisis turnaround situations, growth equity, mergers and acquisitions, negotiated investments into public companies and non-traditional financing. Mr. Schloth held senior management positions with GE Capital's M&A group and spent five years with Coopers & Lybrand. Mr. Schloth also successfully co-founded, grew and sold his own full-service securities brokerage firm. Mr. Schloth is a certified public accountant and has an MBA from NYU's Stern School of Business in Marketing and Finance. Mr. Schloth holds series 24, 7, 27, 66 and 63 securities and investment advisory licenses.

Tom Saunders, CPA

Tom Saunders, CPA, is Chief Financial Officer of Southridge. His responsibilities are overseeing the financial accounting for the Southridge group of companies. He started his career in public accounting with KPMG. Subsequently, he spent 22 years with various New York and New Jersey financial institutions He received his BA in Mathematics from the State University of New York at Potsdam and his MBA on Professional Accounting from Rutgers University. He received his Certified Public Accountant license from the state of New York.

Laurence J. Ditkoff, CFA, CPA

Laurence J. Ditkoff, CFA, CPA, is Director of Research and responsible for investment evaluation and selection, due diligence, and transaction structuring. Prior to joining the firm in 2000, Mr. Ditkoff gained broad experience in corporate financing and accounting. He spent 14 years at Bell Atlantic Corporation and NYNEX, where he was responsible for financial oversight, cash flow forecasting, financial statement analysis, competitive threat analysis, and financial evaluation of new products. Mr. Ditkoff received a BA in Accounting from the University of Pennsylvania, and an MBA in Finance from Pace University, NY. He is a Certified Public Accountant for the state of New York.

Jonathan Martin, JD

Jonathan Martin, JD, is a member of the portfolio management team. His responsibilities include investment selection, portfolio management and deal monitoring as well as legal support and development of new firm initiatives. His background includes experience as a licensed equities trader at a private equities firm, and as a representative for a real estate development firm located in Miami, Florida. Mr. Martin received a BS in Finance from the University of Miami, and a JD from Florida International University School of Law and is a member of the Florida Bar Association.

Thaddeus J. North

Thaddeus J. North is Chief Compliance Officer of Southridge. Mr. North is responsible for ensuring compliance with all federal and state regulations as well as those of the SEC and FINRA. Mr. North served as CCO at a CT based Broker/Dealer and Registered Investment Advisor prior to joining Southridge. Prior to working in compliance, Mr. North was an Institutional and retail broker at Oppenheimer & Co. in New York. Before becoming a broker Mr. North worked for a NYSE specialist firm. Mr. North received his BS in History from Northeastern University in Boston and his CRCP designation from the FINRA Institute at Wharton.

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