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Management

David M. TraversiDavid M. Traversi, Chief Executive Officer, has over 25 years’ experience as an investment banker, strategic advisor, corporate executive, lawyer, executive coach, author, speaker, and entrepreneur. Prior to co-founding Traversi & Company, the sole shareholder of Traversi Capital Advisors, in 1999, Mr. Traversi served as President of Sirrom Capital Corporation, an NYSE-listed specialty finance company. Sirrom was the nation’s leading provider of mezzanine capital to private growth companies in amounts less than $5 million. Its portfolio of over 250 investments totaled over $600 million. Sirrom was sold in 1999.

Prior to Sirrom, Mr. Traversi was a General Partner and Senior Managing Director in the Corporate Finance Department of Montgomery Securities (now Banc of America Securities LLC), one of the nation’s top investment banks providing growth businesses in the 1990s with public and private offering, research, and trading services. There he founded and ran two highly successful industry groups. Over the course of seven years at Montgomery, Mr. Traversi managed over 75 major transactions totaling over $3 billion, including initial public offerings, secondary stock offerings, private placements of debt and equity, public debt offerings and mergers and acquisitions.

Subsequent to Sirrom, in a Traversi & Company merchant banking engagement, Mr. Traversi co-founded and served as Chief Executive Officer of PRE Solutions, Inc. With the financial backing of ITC Holding Co. (the financial sponsors of MindSpring, Telecom USA, Powertel, Intercall, HeadHunter.net, Knology, and ITC DeltaCom), PRE Solutions built the nation’s largest electronic processor of prepaid telecom products, with a distribution base of over 70,000 retail locations across the nation.

Subsequent to PRE Solutions, in other merchant banking assignments, Mr. Traversi co-founded, arranged financing for, and served various executive roles with a fabless semiconductor manufacturing start-up and a digital media services start-up.

Mr. Traversi has an M.B.A., Haas School of Business, University of California, Berkeley, a J.D., University of California, Davis, and B.S. in Business Administration and Finance, California State University, Chico. Mr. Traversi has also practiced as a business lawyer and mediator in California and Alaska. He serves or has served on a number of for-profit and non-profit boards of directors and is a frequent speaker on a variety of business and leadership topics. Mr. Traversi’s revolutionary, highly acclaimed book on leadership, The Source of Leadership: Eight Drivers of the High-Impact Leader was released by New Harbinger Publications in 2007. He holds FINRA Series 7, 24, 27, 63, and 79 licenses and a California Real Estate Broker License, and is a member of the California State Bar Association and Alaska Bar Association.

Email: dtraversi@traversi.com

Carl StrattonCarl Stratton, Managing Director, has over 25 years of senior-level experience as a financial advisor, chief financial officer, operating executive, principal investor, and entrepreneur in a wide range of industries. Prior to joining Traversi Capital Advisors, Mr. Stratton founded Stratton Ltd., a provider of part-time and project chief financial officer services to small-to-medium-sized businesses in the Philadelphia, PA region. His experience prior to Stratton Ltd. includes the founding of Carlton Services, LLC, an outsourced bookkeeping firm, and 2020 Growth Partners, a management and financial consulting firm. He also held Chief Financial Officer positions at Sirrom Capital Corporation (an NYSE-traded specialty finance company), PRE Solutions, Inc. (a venture-backed start-up that grew to be the largest processor of prepaid telecom transactions), International Citrus Corporation (a public citrus and real estate company), Dove Computer Corporation (an Apple Macintosh peripherals manufacturer). He also held various engineering and manufacturing positions at DuPont. Mr. Stratton holds an M.B.A. from the University of North Carolina at Chapel Hill and a B.S. Degree in Chemical Engineering from Lafayette College. He holds FINRA Series 63 and 79 licenses and is a Certified Public Accountant (inactive).

Email: cstratton@traversi.com

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