Our Team: Investment Bankers

Steven Bathgate
Founder

Steve has over 30 years of experience in the securities industry. Prior to starting GVC Capital, he was the Chairman and Chief Executive Officer of Cohig & Associates, Inc., an NASD member firm specializing in public and private financing for emerging growth companies. His other previous experience includes employment by Wall Street West, Dain Bosworth, Inc., and the National Association of Securities Dealers, Inc. He received his BS degree in Finance from the University of Colorado.


Vicki Barone
Senior Managing Partner
Commitment Committee Member

Our dear friend and partner passed away on 4/8/2019. Vicki served as the Chief Financial and Compliance Officer for GVC Capital. In addition, as a member of the Commitment Committee, she actively managed the corporate finance projects of the firm. She was very active in the National Investment Banking Association (NIBA) and served on the board from 2005 to 2007 and served as Chairperson for 2007 and Secretary and Treasurer for 2006. Prior to joining GVC in 1996, she owned and operated her own financial services firm for five years, offering accounting and financial planning services to small businesses and individuals. She served as the Chief Financial Officer of a small public company and gained auditing experience with KPMG Peat Marwick (Denver). She was a Certified Public Accountant and a Certified Financial Planner and had been licensed to sell securities since 1983. Vicki received her BS in Finance and MS in Accounting from the University of Colorado. She is greatly missed.

Richard Huebner
Senior Managing Partner
Commitment Committee Member

Dick joined GVC in October of 2001 in a management capacity to plan and facilitate its growth. He now serves as the Co-Head of Investment Banking and is a member of the Commitment Committee. He has been in the securities industry for nearly 30 years. His experience includes General Counsel for Hanifen, Imhoff, Inc. from January 1984 through September 1995. While at the firm, he served in numerous positions including E.V.P., Director, and member of the Executive Committee of Hanifen, Imhoff Holdings, Inc. In 1995, Dick became an E.V.P., Director and member of the Executive Committee of Hanifen, Imhoff Clearing Corporation, which was sold to Fiserv, Inc., in December 1997. He continued in those capacities for Fiserv Correspondent Services. Dick received a BA in Economics and Business Administration from Hastings College and a J.D. from the University of Nebraska.
Raoul Clark

Investment Banking

Raoul Clark joined GVC Capital in October, 2018 as Managing Director, Capital Markets.  Prior to joining GVC, Raoul was Managing Director, Institutional Sales from 2001 to 2018 for D.A. Davidson’s Equity Capital Markets team. In addition, Raoul served as D.A. Davidson’s Head of Institutional Sales from 2013-2017. Prior to joining D.A. Davidson, he worked as a Senior Institutional Salesperson for Tucker Anthony and Hanifen Imhoff.  Before entering the investment business, Raoul served for 17 years as CEO and President of Clark Graphics Corporation in Huntsville, Alabama. Raoul holds a bachelor’s degree in history from the University of Virginia, where he played on the varsity tennis team.  Raoul has been active on the Board of Directors of the Denver Children’s Home for over nine years, and served as its President in 2017.

Randy Swenson
Investment Banking

Randy has over 25 years of experience in strategic consulting, mergers and acquisitions, and investment banking, and over ten years of experience in executive management.  Prior to joining GVC Capital, Randy spent time at Hilman Ventures, Mercer Management Consulting, Corning, American Management Systems, and Oberon LLC.  Randy focuses on life sciences mergers and acquisitions and investment banking.

Kent J. Lund

Interim CEO and CCO

Commitment Committee Member

Kent  is GVC’s interim CEO, Co-Head of Investment Banking (with Dick Huebner) and Co-CCO (with Andrea Kidd).  Since late 1998, Kent has worked principally in the securities and financial services business, serving in a variety of business, compliance and legal roles.   For example, he has served as a Director, executive officer, CCO and/or General Counsel of: a NYSE member securities clearing firm; a full service B/D, and its two affiliated RIAs and trust company; a municipal securities-focused B/D, and its affiliated investment banking firm and RIA; a retail-focused independent contractor-model B/D; and an investment banking firm focused principally on M&A.  Kent holds currently or has held previously nine securities licenses: Series 7, 9, 10, 14, 24, 53, 63, 66 and 79.  Prior to entering the securities business, Kent clerked for two federal court of appeals judges, worked as an associate attorney in a large private law firm (litigation and employment departments), and worked as an in-house corporate attorney for a large multinational corporation (including completing two expatriate assignments).  He holds J.D., M.B.A. and LL.M. (in Entrepreneurial Law) degrees.  Kent currently serves as a member (and Vice Chair) of the Colorado Securities Board, and as an independent director (and member of the Audit Committee) of a large private, P/E-controlled wireless internet services provider.

 

http://brokercheck.finra.