New York
Co-founder & CEO, Rothswell • Managing Director, Oberon Securities
Investment banker, fund founder, bank chairman and lawyer by training. I build financial institutions and the businesses around them.
Business Council member
In the room
Images are credited to their sources. All rights remain with their owners.
Ventures
Each one applies the same approach: understand the client's whole position, then build the structure that serves it.
Co-founder and CEO
Rothswell is an investment-management and financial-services platform built around four areas: asset management, the American Legacy Fund, wealth management, and insurance.
rothswell.usFlagship fund of Rothswell
American Legacy Fund is the intended flagship investment vehicle of Rothswell, to be managed by Rothswell Asset Management. Its primary strategy is U.S.-focused, with private investments held in a separate pocket that investors may elect to join.
rothswell.us/american-legacy-fund.htmlManaging Director, Investment Banking
Oberon Securities LLC is an investment bank headquartered in Manhattan. My work there covers mergers and acquisitions, debt advisory, private credit and financial restructuring for middle-market companies and real asset owners, with a focus on senior and mezzanine debt and asset-backed lending.
oberonsecurities.com/team/New project
Bobby is a New York City app for everyday services: ride-hailing and taxis, cleaning, babysitting and nannies, elderly care, home repair and grooming. Providers pay a flat $1 for each completed service instead of a percentage of the price.
bobby.appForbes Business Council
Member and published author. Read my Forbes articles
Recognition and affiliations
Rothswell partners
Rothswell works with established fund service providers for American Legacy Fund and with leading insurers for its insurance agency.
Established Rothswell Asset Management and American Legacy Fund.
Prime brokerage for American Legacy Fund: custody, clearing and settlement.
Independent administration, net asset value and investor reporting.
Independent audit of the fund's financial statements.
Home, auto, business and valuables coverage through the Brightway franchise network in New York.
Insurers and partners
Partners are independent firms and are not affiliated with Rothswell except as described. American Legacy Fund is under development and is not being offered. Insurer access is through Rothswell and other distribution channels and varies by product, carrier appointment and underwriting. Logos are trademarks of their respective owners; their use does not imply endorsement.
A client's finances are not divided into departments, and the advice should not be either.Ardi Shita
Insights
On building Rothswell, New York insurance regulation and the thinking behind Bobby.
Investment BankingThe capital stack behind a modern data center, what lenders actually underwrite, and what a sponsor should have ready before going to market.
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AI and CapitalWhere artificial intelligence is already moving real capital, where it is running into physical limits, and where it is still missing from the deal process.
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InsuranceThe main ways a New York founder or freelancer can get health coverage, and what to compare before choosing a plan.
5 min read
