Our Team

 

 

 

Liam F. Dalton

CEO and CIO

Liam F. Dalton founded Axiom Capital Management in 1990. Prior to founding Axiom, Liam was a General Partner and Managing Director of Bear Stearns Companies, Inc. Liam worked in the asset management division of Bear Stearns (BSAM), and later managed equity, credit, and fixed income assets for pension and profit-sharing, corporate, and wealthy individual investors while at Bear Stearns. Liam has decades of experience in the industry and also serves as the Chief Investment Officer for Axiom, overseeing allocation strategies.

 

Maria DiChiara

Executive Vice President & Director of Operations

Maria DiChiara joined Axiom Capital Management at its inception and has over 35 years’ experience in the financial services industry. As Director of Operations and a registered principal, Maria acts as the point of contact between Axiom and its clearing agent, National Financial Services (NFS), a Fidelity Investments Company. She also works closely with Axiom’s CEO, FINOP and CCO on the required needs of Axiom’s day-to-day operations. Prior to joining Axiom, Maria accumulated extensive financial experience as a Senior Registered Sales Assistant at L.F. Rothschild, Unterberg, Towbin.

 

Eric Miller

Chief Compliance Officer

Eric Miller has guided Axiom through the ever-changing regulatory environment since joining in 2003. With 30 years of compliance experience and numerous industry licenses he is also Axiom’s Senior Registered Options/Futures Principal, National Commodities Futures Principal as well as a Municipal Securities Principal. From 1995 through 2002 Eric was the Senior Vice President and the Chief Compliance Officer of Ladenburg Capital Management Inc. Prior to joining Ladenburg Capital in 1995, Eric was a Senior Compliance Analyst at Oppenheimer & Co., Inc. (OPCO), and prior to joining OPCO in 1991 was a Senior Compliance Analyst at the American Stock Exchange.

 

David Charles Wright

Chief Financial Officer

David Wright joined Axiom in January 2016, bringing 25 years of financial leadership from various public and private firms. David is a Certified Public Accountant. Prior to joining Axiom, David was the Chief Financial Officer at SQN Investments, a boutique alternative investment entity, from 2007 through 2013. David received his bachelor’s degree from Ohio Wesleyan University and MBA from the Zicklin School of Business at Baruch College.

 

Liam F.T. Dalton

Associate Portfolio Manager

Liam F.T. Dalton joined Axiom in May 2019 and serves as an Associate Portfolio Manager. As a member of Axiom’s investment team, Liam provides idea generation, research, and portfolio review for the Chief Investment Officer. Prior to joining Axiom, Liam received his bachelor’s degree at the University of Notre Dame.

 

Robert D. LeBeau

Registered Representative

Robert LeBeau joined Axiom’s Starfinder division in June 2014 to continue to implement its disciplined approach to investing utilizing sound, proven methods to preserve capital, while focusing on long term growth with the objective of maximizing returns through the combination of dividends and distributions. Robert’s career spans over 40 years of industry experience providing asset management services at some of Wall Street’s premier brokerage firms including Merrill Lynch, Lehman Brothers, Hambrecht & Quist and Oppenheimer & Co.

 

Richard Dyke Benjamin

Registered Representative

Richard Dyke Benjamin joined Axiom in 2009 after having served as a Director of Lazard Asset Management, where he was an Investment Consultant and Securities Analyst for more than thirty years. Richard is also a Project Consultant for AKA Strategy, a strategic advisor to nonprofit organizations worldwide. In addition, he serves as an Advisor and Board Member for a variety of philanthropic and religious organizations. Richard is a member of the New York Society of Security Analysts and the NYC based Analysts Club. He holds a BA from Harvard College and a MBA from Harvard Graduate School of Business Administration.

 

Robert Doyle

Registered Representative

Robert Doyle joined Axiom Capital in October of 2002. Robert uses his more than 20 years of experience to handle various asset management needs of a variety of clients. Robert specializes in restricted and control stock transactions as well as complex option strategies. Robert got his start in 1992 at Prudential Securities working in the Treasury Department and Corporate Executive Services Group. In 1996 he was recruited to start the Executive Services Group at CIBC Oppenheimer. At Oppenheimer he worked with an elite group of brokers and their clients as well as the firm’s investment banking clients handling all of their corporate and restricted stock transactions. Robert Doyle holds a B.S. in Business Administration from Longwood University and an MBA in Banking and Finance from Dowling University.

 

Louis W. Pemberton

Managing Director

Louis W. Pemberton became a Managing Director at Axiom in 1996 and manages portfolios principally for family trusts and individuals. Early in his career, Louis spent seven years with Citibank, three as a credit analyst in Brazil, and four years as a loan officer in New York. He spent the next thirteen years at Lehman Brothers as a Vice President in Institutional Sales, but in 1973 shifted to the portfolio management side. Between 1973 and 1996, Lou served as President of Pemberton Associates, Managing Director at Bear Stearns, and Senior Vice President and Limited Partner at Oppenheimer. Louis graduated from Princeton University in 1951.

 

Audrey Seth

Vice President of Operations

Audrey M. Seth joined Axiom in 1994 and has over 41 years of experience in the financial service industry. As Vice President of Operations and a registered sales assistant, Audrey deals closely with the back office of our clearing agent, National Financial Services (NFS) a Fidelity Investments Company. As part of the Operations team, Audrey assists in required needs of Axiom's day-to-day operations. Prior to joining Axiom, Audrey worked as a registered sales assistant at Sloate, Weisman & Murray Inc.

 

Christine Ronga

Vice President of Operations

Christine Ronga joined Axiom Capital Management in 2002 as Vice President and has 25 years of experience in the financial services industry. Christine provides administrative and operational support to Axiom's financial advisors, while reporting to C-level executives and working across departments to resolve business issues. She started in 1995 at CIBC Oppenheimer as a Registered Sales Assistant.

 

Frederick G. Horan Jr

Senior VP of Institutional Sales & Trading

Frederick Horan joined Axiom in 2016 bringing over 3 decades of Wall Street experience covering institutions, hedge funds and Commission Sharing Accounts. Mr. Horan’s career commenced on the Floor of the NYSE as a specialist. After over 10 years on the Floor, Mr. Horan moved “upstairs” commencing his coverage of a wide variety of institutional accounts while working for a number of institutional firms including Reynders Gray and Dominick and Dominick. Mr. Horan holds a Bachelor’s degree from Lynchburg College.

 

Neal Richard

Senior VP of Institutional Sales & Trading

Neal Richard became a staple of Axiom’s trading desk in 2014. Neal ensures seamless executions for Axiom’s clients by leveraging his 20 years of institutional equity trading experience during which he held positions as the director of sales and trading at a number of boutique investment banks including Brean Murray & Co. Mr. Richard is a graduate of the University of California, Los Angeles, with a Bachelor of Arts degree in Business Economics.

 

Mark Neuberger

Senior VP of Institutional Sales & Trading

Mark Neuberger joined Axiom in 2013 to continue his 35-year career utilizing options strategies and executions to enhance returns for both buy side and sell side institutional accounts. Mark began his career in 1981 at Morgan Stanley and spent the next 23 years there, ultimately heading the US Single Stock Options desk as a Managing Director. Following his tenure at Morgan Stanley, he joined hedge fund Titan Capital, JP Morgan and Direct Access Partners. Mark holds a BS degree from Boston University.

 

Anthony W. Fitzgerald

Senior Vice President

Anthony Fitzgerald joined Axiom in 2005 and has over 20 years of buy-side and sell-side experience with global investment banking firms and hedge funds. During his extensive career, Tony has completed a variety of financings in the biotech, medical device, technology, telecom, and manufacturing arenas. Prior to joining Axiom, Tony was a Senior Director with Lucent Technologies’ Project Finance Group. During his 15 years with The Chase Manhattan Bank, N.A., he completed credit training, served as an officer of the Bank and its two equity investment subsidiaries, Chase Manhattan Investment Holdings and Chase Manhattan Capital Corp. Tony holds an MBA from Pace University and a BA degree from Middlebury College (Vermont).

 

Jay Linde

Managing Director

Jay Linde serves as a Managing Director at Axiom. He has over 25 years of banking experienced focused on providing capital markets and M&A advisory services to a diverse client base. Over the course of his career, Jay has raised in excess of $14 billion and has executed M&A transactions with an aggregate value that exceeds $3.5 billion. Jay’s industry expertise includes steel, metals, mining, building materials, and diverse manufacturing. Additionally, he has been actively advising Asia-based companies for the past 13 years. Prior to Axiom, Jay led the banking team and established the Asia practice at Burnham Securities. He previously was the head of Investment Banking at Glocap advisors and has held senior roles at Bank of America and JP Morgan Chase. Jay holds an MBA from NYU’s Stern School of Business and a BS/BA from Boston University’s Questrom School of Business.

 

Stacey Sun

Associate

Stacey is associate on the IB team responsible for providing analytical and due diligence support for transactions as well as client development. She has experience with public offerings, M&A and private placement transactions with companies in the financial, consumer, healthcare, automotive, AR and industrial sectors located internationally. Stacey previously worked at KIG Wealth Management, a boutique advisory and investment firm based in New York, and ICBC, a commercial bank in China.

Stacey Sun hold M.S. in Finance degree from Johns Hopkins Carey Business school, and a B.S. degree in Business Study from University of Manchester.

 

James Leidel

Associate Portfolio Manager

Jimmy Leidel joined Axiom in 2019 and serves as an Associate Portfolio Manager. Jimmy analyzes existing positions, provides investment candidates, and tracks macro data for the investment team, reporting directly to the Chief Investment Officer. Prior to joining Axiom, Jimmy graduated from the University of Wisconsin-Madison with a Bachelor’s degree in Economics.

 

Liam F. Dalton

CEO and CIO

Liam F. Dalton founded Axiom Capital Management in 1990. Prior to founding Axiom, Liam was a General Partner and Managing Director of Bear Stearns Companies, Inc. Liam worked in the asset management division of Bear Stearns (BSAM), and later managed equity, credit, and fixed income assets for pension and profit-sharing, corporate, and wealthy individual investors while at Bear Stearns. Liam has decades of experience in the industry and also serves as the Chief Investment Officer for Axiom, overseeing allocation strategies.

 

Maria DiChiara

Executive Vice President & Director of Operations

Maria DiChiara joined Axiom Capital Management at its inception and has over 35 years’ experience in the financial services industry. As Director of Operations and a registered principal, Maria acts as the point of contact between Axiom and its clearing agent, National Financial Services (NFS), a Fidelity Investments Company. She also works closely with Axiom’s CEO, FINOP and CCO on the required needs of Axiom’s day-to-day operations. Prior to joining Axiom, Maria accumulated extensive financial experience as a Senior Registered Sales Assistant at L.F. Rothschild, Unterberg, Towbin.

 

Eric Miller

Chief Compliance Officer

Eric Miller has guided Axiom through the ever-changing regulatory environment since joining in 2003. With 30 years of compliance experience and numerous industry licenses he is also Axiom’s Senior Registered Options/Futures Principal, National Commodities Futures Principal as well as a Municipal Securities Principal. From 1995 through 2002 Eric was the Senior Vice President and the Chief Compliance Officer of Ladenburg Capital Management Inc. Prior to joining Ladenburg Capital in 1995, Eric was a Senior Compliance Analyst at Oppenheimer & Co., Inc. (OPCO), and prior to joining OPCO in 1991 was a Senior Compliance Analyst at the American Stock Exchange.

 

David Charles Wright

Chief Financial Officer

David Wright joined Axiom in January 2016, bringing 25 years of financial leadership from various public and private firms. David is a Certified Public Accountant. Prior to joining Axiom, David was the Chief Financial Officer at SQN Investments, a boutique alternative investment entity, from 2007 through 2013. David received his bachelor’s degree from Ohio Wesleyan University and MBA from the Zicklin School of Business at Baruch College.

 

Liam F.T. Dalton

Associate Portfolio Manager

Liam F.T. Dalton joined Axiom in May 2019 and serves as an Associate Portfolio Manager. As a member of Axiom’s investment team, Liam provides idea generation, research, and portfolio review for the Chief Investment Officer. Prior to joining Axiom, Liam received his bachelor’s degree at the University of Notre Dame.

 

Robert D. LeBeau

Registered Representative

Robert LeBeau joined Axiom’s Starfinder division in June 2014 to continue to implement its disciplined approach to investing utilizing sound, proven methods to preserve capital, while focusing on long term growth with the objective of maximizing returns through the combination of dividends and distributions. Robert’s career spans over 40 years of industry experience providing asset management services at some of Wall Street’s premier brokerage firms including Merrill Lynch, Lehman Brothers, Hambrecht & Quist and Oppenheimer & Co.

 

Richard Dyke Benjamin

Registered Representative

Richard Dyke Benjamin joined Axiom in 2009 after having served as a Director of Lazard Asset Management, where he was an Investment Consultant and Securities Analyst for more than thirty years. Richard is also a Project Consultant for AKA Strategy, a strategic advisor to nonprofit organizations worldwide. In addition, he serves as an Advisor and Board Member for a variety of philanthropic and religious organizations. Richard is a member of the New York Society of Security Analysts and the NYC based Analysts Club. He holds a BA from Harvard College and a MBA from Harvard Graduate School of Business Administration.

 

Robert Doyle

Registered Representative

Robert Doyle joined Axiom Capital in October of 2002. Robert uses his more than 20 years of experience to handle various asset management needs of a variety of clients. Robert specializes in restricted and control stock transactions as well as complex option strategies. Robert got his start in 1992 at Prudential Securities working in the Treasury Department and Corporate Executive Services Group. In 1996 he was recruited to start the Executive Services Group at CIBC Oppenheimer. At Oppenheimer he worked with an elite group of brokers and their clients as well as the firm’s investment banking clients handling all of their corporate and restricted stock transactions. Robert Doyle holds a B.S. in Business Administration from Longwood University and an MBA in Banking and Finance from Dowling University.

 

Louis W. Pemberton

Managing Director

Louis W. Pemberton became a Managing Director at Axiom in 1996 and manages portfolios principally for family trusts and individuals. Early in his career, Louis spent seven years with Citibank, three as a credit analyst in Brazil, and four years as a loan officer in New York. He spent the next thirteen years at Lehman Brothers as a Vice President in Institutional Sales, but in 1973 shifted to the portfolio management side. Between 1973 and 1996, Lou served as President of Pemberton Associates, Managing Director at Bear Stearns, and Senior Vice President and Limited Partner at Oppenheimer. Louis graduated from Princeton University in 1951.

 

Audrey Seth

Vice President of Operations

Audrey M. Seth joined Axiom in 1994 and has over 41 years of experience in the financial service industry. As Vice President of Operations and a registered sales assistant, Audrey deals closely with the back office of our clearing agent, National Financial Services (NFS) a Fidelity Investments Company. As part of the Operations team, Audrey assists in required needs of Axiom's day-to-day operations. Prior to joining Axiom, Audrey worked as a registered sales assistant at Sloate, Weisman & Murray Inc.

 

Christine Ronga

Vice President of Operations

Christine Ronga joined Axiom Capital Management in 2002 as Vice President and has 25 years of experience in the financial services industry. Christine provides administrative and operational support to Axiom's financial advisors, while reporting to C-level executives and working across departments to resolve business issues. She started in 1995 at CIBC Oppenheimer as a Registered Sales Assistant.

 

Frederick G. Horan Jr

Senior VP of Institutional Sales & Trading

Frederick Horan joined Axiom in 2016 bringing over 3 decades of Wall Street experience covering institutions, hedge funds and Commission Sharing Accounts. Mr. Horan’s career commenced on the Floor of the NYSE as a specialist. After over 10 years on the Floor, Mr. Horan moved “upstairs” commencing his coverage of a wide variety of institutional accounts while working for a number of institutional firms including Reynders Gray and Dominick and Dominick. Mr. Horan holds a Bachelor’s degree from Lynchburg College.

 

Neal Richard

Senior VP of Institutional Sales & Trading

Neal Richard became a staple of Axiom’s trading desk in 2014. Neal ensures seamless executions for Axiom’s clients by leveraging his 20 years of institutional equity trading experience during which he held positions as the director of sales and trading at a number of boutique investment banks including Brean Murray & Co. Mr. Richard is a graduate of the University of California, Los Angeles, with a Bachelor of Arts degree in Business Economics.

 

Mark Neuberger

Senior VP of Institutional Sales & Trading

Mark Neuberger joined Axiom in 2013 to continue his 35-year career utilizing options strategies and executions to enhance returns for both buy side and sell side institutional accounts. Mark began his career in 1981 at Morgan Stanley and spent the next 23 years there, ultimately heading the US Single Stock Options desk as a Managing Director. Following his tenure at Morgan Stanley, he joined hedge fund Titan Capital, JP Morgan and Direct Access Partners. Mark holds a BS degree from Boston University.

 

Anthony W. Fitzgerald

Senior Vice President

Anthony Fitzgerald joined Axiom in 2005 and has over 20 years of buy-side and sell-side experience with global investment banking firms and hedge funds. During his extensive career, Tony has completed a variety of financings in the biotech, medical device, technology, telecom, and manufacturing arenas. Prior to joining Axiom, Tony was a Senior Director with Lucent Technologies’ Project Finance Group. During his 15 years with The Chase Manhattan Bank, N.A., he completed credit training, served as an officer of the Bank and its two equity investment subsidiaries, Chase Manhattan Investment Holdings and Chase Manhattan Capital Corp. Tony holds an MBA from Pace University and a BA degree from Middlebury College (Vermont).

 

Jay Linde

Managing Director

Jay Linde serves as a Managing Director at Axiom. He has over 25 years of banking experienced focused on providing capital markets and M&A advisory services to a diverse client base. Over the course of his career, Jay has raised in excess of $14 billion and has executed M&A transactions with an aggregate value that exceeds $3.5 billion. Jay’s industry expertise includes steel, metals, mining, building materials, and diverse manufacturing. Additionally, he has been actively advising Asia-based companies for the past 13 years. Prior to Axiom, Jay led the banking team and established the Asia practice at Burnham Securities. He previously was the head of Investment Banking at Glocap advisors and has held senior roles at Bank of America and JP Morgan Chase. Jay holds an MBA from NYU’s Stern School of Business and a BS/BA from Boston University’s Questrom School of Business.

 

Stacey Sun

Associate

Stacey is associate on the IB team responsible for providing analytical and due diligence support for transactions as well as client development. She has experience with public offerings, M&A and private placement transactions with companies in the financial, consumer, healthcare, automotive, AR and industrial sectors located internationally. Stacey previously worked at KIG Wealth Management, a boutique advisory and investment firm based in New York, and ICBC, a commercial bank in China.

Stacey Sun hold M.S. in Finance degree from Johns Hopkins Carey Business school, and a B.S. degree in Business Study from University of Manchester.

 

James Leidel

Associate Portfolio Manager

Jimmy Leidel joined Axiom in 2019 and serves as an Associate Portfolio Manager. Jimmy analyzes existing positions, provides investment candidates, and tracks macro data for the investment team, reporting directly to the Chief Investment Officer. Prior to joining Axiom, Jimmy graduated from the University of Wisconsin-Madison with a Bachelor’s degree in Economics.