New York

Founder, Chief Executive Officer

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Joe founded Roc Global in 2011, an investment bank providing placement, advisory and investment in early stage to mid-cap company and special situations financings. He is involved in all aspects of the firm's origination and placement efforts. He was previously managing director and co-founder of KBC Financial Products, which specialized in trading convertible, credit-oriented, and derivative securities. While at KBC he established their market-leading sales and trading businesses as well as their hedge fund seeding business. Joe also formed and led D.E. Shaw & Co.'s global equity-linked business in New York. Prior to D.E. Shaw, he was President of Cresvale International, Inc.

Joe serves on the University of New Hampshire Foundation Board and also the Leadership Committee of Americares, a non-profit emergency response and global health organization.

Co-Founder, Chief Operating Officer & Chief Financial Officer

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Art co-founded Roc Global in 2011 and contributes over 30 years of public accounting and private financial services sector experience. Art’s professional experience includes accounting, finance, operations, regulatory, treasury and tax. He was previously Managing Director, Chief Operating Officer and Chief Financial Officer at KBC Financial Products and headed the U.S.-based infrastructure groups. Before that, Art was Finance, Operations and Controls Director at D. E. Shaw & Co., and Senior Manager at both Ernst & Young and Spicer & Oppenheim. Art received his B.S. degree in Accounting from New York University Stern School of Business. He is a Chartered Global Management Accountant and a Certified Public Accountant.

Managing Director, Cross Border Origination and Distribution

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John is a financial services industry veteran whose career spans across the globe. He brings to Roc Global extensive experience in covering institutional investors and capital raising throughout Asia. Prior to joining Roc Global, he was a co-founder and partner at a macro hedge fund and commodity trading advisor. Before that, he served as a managing director at Bank of America and Citigroup advising clients on complex capital markets transactions. He led sales and trading activities for Crédit Agricole Lazard Financial Products in Asia, as well as developed Union Bancaire Privée's Asian institutional business. He started his career as a derivative trader and arbitrager, working in Europe and in the US. John graduated summa cum laude with bachelor’s degrees in mathematics, statistics, and economics from the University of Rochester in 1992 and earned a master's degree in finance from the Wharton School of the University of Pennsylvania in 1994. John is fluent in Mandarin Chinese.



Managing Director, Origination - Power & Energy

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Peter has spent most of his career in New York in senior banking positions advising corporate, institutional and significant private clients in the U.S. and Latin America. Prior to Roc Global, he was responsible for financial sponsor coverage (power, energy & infrastructure) at BBVA in New York for 7 years and ran the capital markets group at the U.S. Citi Private Bank for 6 years. Previously, he built and managed deal origination businesses in corporate equity derivatives at CAL FP (a Lazard affiliate), Morgan Stanley and Bear Stearns. He brings to Roc Global experience in structured finance, capital markets and strategic equity solutions. Peter holds a B.A. degree in Physics and a Master’s in Operations Research, both from Cornell University. He is on the advisory board of CFEM, a Cornell University graduate program in applied quantitative finance. Peter is fluent in French and Spanish.



Managing Director Roc Global Minería

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Juan is a civil engineer who has held top executive positions in Codelco, namely Vice-President of Shared Services, General Manager of the Radomiro Tomic and Ministro Hales divisions. Juan was also responsible for setting up the capital investment system of Codelco and was the key project evaluator overseeing over 450 projects a year. He has expertise in developing and implementing management guidance and models, managerial, professional and technical training and administration concerning corporate and social responsibility, designing and implementing successful organization policies, analyzing and implementing internalization and process outsourcing models and evaluating and negotiating contracts including collective negotiations. Juan is currently Chairman of the Board of Juan Rayo Ingeniería, one of the largest engineering firms in Chile specializing in mining projects.

Managing Director Roc Global Minería

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Héctor co-founded the consultancy Gestión Estratégica SpA. In Codelco he held the following positions: Deputy Comptroller, Strategy and Management Control Director, Deputy Investment Manager, Corporate Comptroller Manager and Vice President of Administration and Finance (Interim). He was Regional Executive Director of the East Prosecutor's Office of the Public Ministry. He was Head of Human Resources Development and Coordinator of Strategic Planning at ENAMI, and Head of the Public Company Department of the National Budget Office.