The NEXUS of Capital
& Opportunity™

Our platform enables Affiliate Partners, companies, and investors to
strategically connect across the globe, leveraging our robust
infrastructure, intelligent NEXUS technology operating system and
collaborative community.

Founded in 2001 by David Frank, Stonehaven, LLC is an SEC
Registered Broker Dealer and FINRA Member Firm.

Infinite possibilities

We've curated a synergistic ecosystem of
specialists across all asset classes

We support a wide range of investment banking and placement agent services to help Affiliate
Partners strategically connect companies and investors.

233+ INVESTMENT OPPORTUNITIES

venture
capital

venture capital

26 Managers
67 Direct Deals

private
equity

private equity

8 Managers
14 Direct Deals

private
credit

private credit

13 Managers
10 Direct Deals

real
estate

real estate

26 Managers
40 Direct Deals

infra-
structure

infrastructure

Coming soon

hedge
funds

hedge funds

25 Managers

long-
only

long-only

4 Managers

public
companies

public companies

Coming soon

venture capital

26 Managers
67 Direct Deals

private equity

8 Managers
14 Direct Deals

private credit

13 Managers
10 Direct Deals

real estate

26 Managers
40 Direct Deals

infrastructure

Coming soon

hedge funds

25 Managers

long-only

4 Managers

public companies

Coming soon

OUR VALUES

We’re
dedicated to
our community
values

We embrace core values to
elevate our industry

Operational Excellence

We streamline the capital markets process by designing intelligent workflows and systems

Innovative & Intuitive Technology

We build a proprietary technology operating system to support the full needs of our community: NEXUS

Collaborative Community

We facilitate collaboration between all members of our community through technology and direct human engagement

PROFESSIONAL TEAM

We're a seasoned team of finance,
technology, legal, compliance, accounting
and operations professionals

Our team utilizes experience, insights, process and technology
to build and support a world-class platform

David Frank, CFA

CEO, Founder & Managing Partner

Steven Jafarzadeh, CAIA

Chief Compliance Officer

Mark J. Sullivan, CFA

Chief Growth Officer

Chris Yager, CPA

Chief Financial Officer

Brian Gaffney

Head of Due Diligence & Mandate Management

Rishi Shukla

Director of Technology

Clint McGowan

Director of Compliance

Kevin Constantine

Mandate Operations Counsel

Vy Theologidy

Mandate Due Diligence & Operations Manager

Danielle Henderson

Partner Success Manager

Mohammad Athar, CA

Manager, Accounting

Gautam Shrivastav

Associate, Finance

Soumya Sharma

Senior Associate, Legal Operations

Shubham Patel

Associate, Mandate Operations

Sonali Srivastava

Associate, Operations

Kristina Yezhkova

Senior Developer

Mikhail Feler

Technology Business Analyst

Bhavya Singh

Research and Data Analyst

Aditi Arora

Research and Data Analyst

Amrita Pandey

Associate, Operations

Alex Brooks

Advisor

We have a diverse community of
Affiliate Partners

Our Affiliate Partners are trusted investment banking and placement agent teams
who originate and distribute deals both individually and collaboratively.

Learn more

News

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","spans":[]},{"type":"paragraph","text":"Mr. Frank leads the strategy, design and execution of all aspects of the Firm\u2019s technology, data, compliance, legal, due diligence, finance, and operations architecture.\u00a0 Mr. Frank focuses on curating a highly engaged Stonehaven community and building key relationships across the broader finance and technology industries.\u00a0 Mr. Frank pivoted Stonehaven into a FinTech business in 2018 to create a next-generation platform to support the needs of capital market professionals.\u00a0 Mr. Frank founded Stonehaven in 2001, initially cutting his teeth raising capital and then building teams to orchestrate a broad range of investment banking and placement agent activity.\u00a0 ","spans":[]},{"type":"paragraph","text":"Prior to founding Stonehaven, Mr. Frank worked in the Mergers & Acquisitions group of Robertson Stephens in San Francisco.","spans":[]},{"type":"paragraph","text":"Mr. Frank has expertise across a wide range of disciplines including venture capital, real estate, private equity, private credit, hedge funds, infrastructure, M&A, secondaries, private placements and traditional asset management. 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Mr. Jafarzadeh coordinates all cycle examinations with regulatory organizations as the Firm\u2019s CCO and has maintained the Firm\u2019s exemplary record through each regulatory exam despite the complexities of a dynamic regulatory landscape, a growing team, and a business model unique to regulators.","spans":[],"direction":"ltr"},{"type":"paragraph","text":"\u00a0","spans":[],"direction":"ltr"},{"type":"paragraph","text":"Prior to joining Stonehaven in 2007, Mr. Jafarzadeh served in principal compliance roles at multiple small investment banking firms in Los Angeles.\u00a0 He began his career serving in various private wealth management roles at Morgan Stanley.\u00a0","spans":[],"direction":"ltr"},{"type":"paragraph","text":"\u00a0","spans":[],"direction":"ltr"},{"type":"paragraph","text":"Mr. Jafarzadeh attended the University of Vermont with a focus in economics and earned a B.S. in Business Management from the University of Phoenix. 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He served as an elected member and Small Firm Representative of the FINRA New York City Regional Committee which serves the greater metropolitan area of New York and its five boroughs between 2017 and 2020. \u00a0\u00a0Mr. Jafarzadeh is currently a member of FINRA\u2019s Small Firm Advisory Committee (SFAC), appointed to this position by the FINRA Board of Governors.\u00a0 Mr. Jafarzadeh also currently serves as a Hearing Panelist for FINRA disciplinary hearings.\u00a0 He is also a former member of the Board of Directors for 3PM.org nka Global Asset Management Marketing Association (GAMMA) where he served as Director of Communications for the Regulatory Committee.","spans":[],"direction":"ltr"},{"type":"paragraph","text":"\u00a0","spans":[],"direction":"ltr"},{"type":"paragraph","text":"Mr. Jafarzadeh holds the Series 7, 14, 24, 31, 55, 57, 63, 79 and 99 registrations with FINRA. 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Sullivan, CFA","spans":[{"start":0,"end":18,"type":"strong"}]}],"photo":{"dimensions":{"width":475,"height":400},"alt":null,"copyright":null,"url":"https:\/\/images.prismic.io\/stonehaven\/ffd97a27-e6ac-4edb-a8b9-3d908e8e7933_Group+1194.png?auto=compress,format","id":"Ybj31REAACEAFN-u","edit":{"x":0,"y":0,"zoom":1,"background":"transparent"}},"tag":[{"type":"paragraph","text":"Chief Growth Officer","spans":[]}],"category":"management","category1":{"id":"Yt7LGBIAACsA0hXr","type":"team_category","tags":[],"lang":"en-us","slug":"management","first_publication_date":"2022-07-25T16:55:54+0000","last_publication_date":"2022-07-25T16:55:54+0000","link_type":"Document","key":"82775ff0-dfbe-44a6-bfb6-e6024bfe8fff","isBroken":false},"linkedin":[{"type":"paragraph","text":"https:\/\/www.linkedin.com\/in\/mark-sullivan-cfa-11b87511\/","spans":[]}],"description":[{"type":"paragraph","text":"Mark Sullivan is the Chief Growth Officer at Stonehaven, LLC.\u00a0 Mr. Sullivan leads efforts to expand the firm\u2019s footprint by expanding the platform\u2019s Affiliate Partner constituency in the US and abroad, establishing marketplace partnerships and promoting market presence.\u00a0 Mr. Sullivan also works closely with the CEO and senior management to design all aspects of the firm\u2019s product offering.\u00a0","spans":[]},{"type":"paragraph","text":"Prior to Stonehaven, Mr. Sullivan was the Director of US Sales Management at Man Investments Inc. where he coordinated product operations and development and managed related workflow across stakeholders including investment management, marketing, third-party investors, service providers, legal, compliance, operations, reporting and management. Mr. Sullivan came to Man Investments Inc. following the acquisition of Ore Hill Partners LLC in May 2011, where Mr. Sullivan was a Partner and served as the firm\u2019s CFO and COO for over 8 years. Mr. Sullivan built and managed all non-investment functions for the multi-product alternative asset management firm and was integral in helping grow the firm from $70 million to $3 billion AUM.\u00a0","spans":[]},{"type":"paragraph","text":"Prior to Ore Hill Partners LLC, Mr. Sullivan worked for Credit Suisse First Boston \/ Donaldson, Lufkin & Jenrette within their Private Client Services division from 2000 to 2003.\u00a0","spans":[]},{"type":"paragraph","text":"Mr. Sullivan also worked with Morgan Stanley Dean Witter in their Private Wealth Management division from 1998 to 2000.\u00a0","spans":[]},{"type":"paragraph","text":"Mr. Sullivan earned an M.B.A. from the Leonard Stern School of Business at NYU with a concentration in Finance and a B.A. in Economics from Boston College. Mr. Sullivan is a CFA charter holder and member of the CFA Institute and the CFA Society of New York. Currently, Mr. Sullivan holds the Series 3, 7, 24, and 63 registrations with FINRA. Mr. Sullivan lives in Larchmont, NY with his wife and four children.","spans":[]}]}},{"id":"YY0PYBEAACMAF04P","uid":null,"url":null,"type":"about_team","href":"https:\/\/stonehaven.cdn.prismic.io\/api\/v2\/documents\/search?ref=Z1mTihIAACkAF8Gz&q=%5B%5B%3Ad+%3D+at%28document.id%2C+%22YY0PYBEAACMAF04P%22%29+%5D%5D","tags":[],"first_publication_date":"2021-11-11T12:41:08+0000","last_publication_date":"2022-07-26T17:47:31+0000","slugs":["chris-yager-cpa","chris-yagercpa"],"linked_documents":[],"lang":"en-us","alternate_languages":[],"data":{"name":[{"type":"paragraph","text":"Chris Yager, CPA","spans":[{"start":0,"end":13,"type":"strong"}]}],"photo":{"dimensions":{"width":475,"height":400},"alt":null,"copyright":null,"url":"https:\/\/images.prismic.io\/stonehaven\/5c8dbc9b-89a8-486e-8bbe-c9d4e837883e_Group+1191.png?auto=compress,format","id":"Ybj31REAACEAFN-r","edit":{"x":0,"y":0,"zoom":1,"background":"transparent"}},"tag":[{"type":"paragraph","text":"Chief Financial Officer","spans":[]}],"category":"management","category1":{"id":"Yt7LGBIAACsA0hXr","type":"team_category","tags":[],"lang":"en-us","slug":"management","first_publication_date":"2022-07-25T16:55:54+0000","last_publication_date":"2022-07-25T16:55:54+0000","link_type":"Document","key":"b6320d9a-8de5-4f02-a080-af0e17422996","isBroken":false},"linkedin":[{"type":"paragraph","text":"https:\/\/www.linkedin.com\/in\/christopher-yager-cpa-ctp-0369685\/","spans":[]}],"description":[{"type":"paragraph","text":"Christopher Yager is a Partner and the CFO of Stonehaven LLC. 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","spans":[]},{"type":"paragraph","text":"Mr. Yager has a B.S. in Accounting from the Peter J. Tobin College of Business at St. John\u2019s University. He is a Certified Public Accountant, holds the Series 27 registration with FINRA, and earned the Certified Treasury Professional certification.","spans":[]}]}},{"id":"YY0PjhEAACAAF07w","uid":null,"url":null,"type":"about_team","href":"https:\/\/stonehaven.cdn.prismic.io\/api\/v2\/documents\/search?ref=Z1mTihIAACkAF8Gz&q=%5B%5B%3Ad+%3D+at%28document.id%2C+%22YY0PjhEAACAAF07w%22%29+%5D%5D","tags":[],"first_publication_date":"2021-11-11T12:41:53+0000","last_publication_date":"2023-11-03T00:57:32+0000","slugs":["brian-gaffney"],"linked_documents":[],"lang":"en-us","alternate_languages":[],"data":{"name":[{"type":"paragraph","text":"Brian Gaffney","spans":[{"start":0,"end":13,"type":"strong"}]}],"photo":{"dimensions":{"width":475,"height":400},"alt":null,"copyright":null,"url":"https:\/\/images.prismic.io\/stonehaven\/713cd12e-8f80-441c-8379-7c813f6c2133_Group+1188.png?auto=compress,format","id":"Ybj31BEAAB4AFN-m","edit":{"x":0,"y":0,"zoom":1,"background":"transparent"}},"tag":[{"type":"paragraph","text":"Head of Due Diligence & Mandate Management","spans":[]}],"category":"management","category1":{"id":"Yt7LGBIAACsA0hXr","type":"team_category","tags":[],"lang":"en-us","slug":"management","first_publication_date":"2022-07-25T16:55:54+0000","last_publication_date":"2022-07-25T16:55:54+0000","link_type":"Document","key":"b3016429-d7a3-42f9-932b-8b68d1e18f60","isBroken":false},"linkedin":[{"type":"paragraph","text":"https:\/\/www.linkedin.com\/in\/brian-gaffney\/","spans":[]}],"description":[{"type":"paragraph","text":"Brian Gaffney is the Head of Due Diligence & Mandate Management and a Partner of Stonehaven. In this role, Mr. Gaffney manages all aspects of Mandate operations, including onboarding, due diligence, marketing preparedness, visibility and ongoing support, across direct investments and alternative investment funds & managers. He also works closely with the CEO, senior management and technology team to develop processes and design technology to streamline workflows, improve content delivery and increase value for stakeholders ","spans":[]},{"type":"paragraph","text":"Prior to Stonehaven, Mr. Gaffney most recently led GIC\u2019s operational due diligence efforts for over 3 years on alternative investment funds, sponsors, platform companies and operating partners for private equity, venture, real estate, infrastructure, credit and secondaries strategies across the Americas and Europe. ","spans":[]},{"type":"paragraph","text":"Prior to GIC, Mr. Gaffney worked at Blackstone, where he managed the Sarbanes-Oxley (SOx) compliance program and worked on other governance, risk and compliance projects for the Corporate Finance and the Real Estate groups. ","spans":[]},{"type":"paragraph","text":"Mr. Gaffney previously worked at KPMG from 2012 to 2016 as a Senior Associate in their asset management practice focusing on real estate and broker-dealer clients. ","spans":[]},{"type":"paragraph","text":"Mr. Gaffney earned a combined BS\/MBA from the Kania School of Management at the University of Scranton where he was awarded a Graduate Assistantship position in the Economics and Finance Department. Mr. Gaffney is a licensed CPA (New York) and a Certified Fraud Examiner. Mr. Gaffney holds the series 24 registration with FINRA. Mr. Gaffney lives in Oyster Bay, NY, with his wife, three children, and golden retriever.","spans":[]}]}},{"id":"YnI6iBIAACEAOo0t","uid":null,"url":null,"type":"about_team","href":"https:\/\/stonehaven.cdn.prismic.io\/api\/v2\/documents\/search?ref=Z1mTihIAACkAF8Gz&q=%5B%5B%3Ad+%3D+at%28document.id%2C+%22YnI6iBIAACEAOo0t%22%29+%5D%5D","tags":[],"first_publication_date":"2022-05-04T08:45:57+0000","last_publication_date":"2024-11-11T21:35:19+0000","slugs":["rishi-shukla"],"linked_documents":[],"lang":"en-us","alternate_languages":[],"data":{"name":[{"type":"paragraph","text":"Rishi Shukla","spans":[]}],"photo":{"dimensions":{"width":476,"height":301},"alt":null,"copyright":null,"url":"https:\/\/images.prismic.io\/stonehaven\/0cf4e6d6-7ebb-4286-a0a4-010f02ad2c87_Rishi+11.png?auto=compress,format","id":"YzWWQhEAAEAHnSrQ","edit":{"x":0,"y":0,"zoom":1,"background":"transparent"}},"tag":[{"type":"paragraph","text":"Director of Technology","spans":[],"direction":"ltr"}],"category":"development","category1":{"id":"Yt7LGBIAACsA0hXr","type":"team_category","tags":[],"lang":"en-us","slug":"management","first_publication_date":"2022-07-25T16:55:54+0000","last_publication_date":"2022-07-25T16:55:54+0000","link_type":"Document","key":"cd72b58a-8db1-4797-bcc4-ae920cb144ea","isBroken":false},"linkedin":[{"type":"paragraph","text":"https:\/\/www.linkedin.com\/in\/rishi-shukla-94470871\/","spans":[]}],"description":[{"type":"paragraph","text":"Rishi Shukla is the Director of Technology at Stonehaven. Mr. Shukla develops, executes and maintains the end-to-end product roadmap. He works closely with other members of the executive team and manages a team of developers and analysts to\u00a0help scale development operations and\u00a0create value across the Stonehaven platform.","spans":[],"direction":"ltr"},{"type":"paragraph","text":"Prior to Stonehaven, Mr. Shukla spent over ten years managing and leading projects in the law, healthcare, and pharmaceutical industries focusing on software development, business solutions, efficiency, productivity improvements, and troubleshooting. He recently worked extensively in Salesforce on enterprise projects focusing on implementations and product enhancements for pharmaceutical clients.","spans":[],"direction":"ltr"},{"type":"paragraph","text":"Mr. Shukla has a B.S. in Business Administration with certificates in Information Technology and Operations Management from the Georgia Institute of Technology. He is currently pursuing Administrator and Platform App Builder Salesforce certificates. ","spans":[],"direction":"ltr"},{"type":"paragraph","text":"Mr. Shukla currently resides in Northern Jersey, although his heart will always remain in Philadelphia.","spans":[],"direction":"ltr"}]}},{"id":"YrV5bREAAC0ASMi8","uid":null,"url":null,"type":"about_team","href":"https:\/\/stonehaven.cdn.prismic.io\/api\/v2\/documents\/search?ref=Z1mTihIAACkAF8Gz&q=%5B%5B%3Ad+%3D+at%28document.id%2C+%22YrV5bREAAC0ASMi8%22%29+%5D%5D","tags":[],"first_publication_date":"2022-06-24T08:47:16+0000","last_publication_date":"2022-07-25T16:58:33+0000","slugs":["clint-mcgowan"],"linked_documents":[],"lang":"en-us","alternate_languages":[],"data":{"name":[{"type":"paragraph","text":"Clint McGowan","spans":[]}],"photo":{"dimensions":{"width":1350,"height":619},"alt":null,"copyright":null,"url":"https:\/\/images.prismic.io\/stonehaven\/be9ff4dd-76f2-43ec-b152-caee6acffa3d_CLint+02.png?auto=compress,format","id":"YrWCjREAACkASOcw","edit":{"x":0,"y":0,"zoom":1,"background":"transparent"}},"tag":[{"type":"paragraph","text":"Director of Compliance","spans":[]}],"category":"operations","category1":{"id":"Yt7LJRIAAC4A0hYq","type":"team_category","tags":[],"lang":"en-us","slug":"operations","first_publication_date":"2022-07-25T16:56:08+0000","last_publication_date":"2022-07-25T16:56:08+0000","link_type":"Document","key":"96e5f1e6-846a-44cb-834e-e445b060f1ab","isBroken":false},"linkedin":[{"type":"paragraph","text":"https:\/\/www.linkedin.com\/in\/clint-mcgowan-1a33a0237\/","spans":[]}],"description":[{"type":"paragraph","text":"Mr. Clint McGowan is the Director of Compliance at Stonehaven. Mr. McGowan manages the compliance systems and performs supervisory oversight relating to the Firm\u2019s activities in supporting the CCO. He also contributes to planning the overall strategic direction of the Firm, supervising operations, creating and implementing systems that provide scale to the Firm\u2019s platform, providing strategic guidance to employees and Affiliate Partners, and identifying and cultivating long-term strategic relationships.","spans":[]},{"type":"paragraph","text":"Prior to joining Stonehaven, Mr. McGowan worked for the last 16 years with the AYCO Company, L.P., a Goldman Sachs Company (Ayco) as Vice President of Compliance and Anti-Money Laundering. Prior to Ayco, he worked at Fidelity Investments as a Service & Trading Representative on their Merrimack NH phone site.","spans":[]},{"type":"paragraph","text":"Mr. McGowan is also proud to serve the community as a volunteer firefighter with the Greenfield NY fire district.","spans":[]},{"type":"paragraph","text":"Mr. McGowan currently resides in beautiful upstate NY where he enjoys hiking and camping with his wife and three dogs.","spans":[]},{"type":"paragraph","text":"Mr. McGowan currently holds Series 7, 9, 10, 24, and 63 registrations with FINRA.","spans":[]}]}},{"id":"ZkxUEhEAACkAWDQK","uid":null,"url":null,"type":"about_team","href":"https:\/\/stonehaven.cdn.prismic.io\/api\/v2\/documents\/search?ref=Z1mTihIAACkAF8Gz&q=%5B%5B%3Ad+%3D+at%28document.id%2C+%22ZkxUEhEAACkAWDQK%22%29+%5D%5D","tags":[],"first_publication_date":"2024-06-04T07:23:36+0000","last_publication_date":"2024-06-04T07:37:56+0000","slugs":["kevin-constantine"],"linked_documents":[],"lang":"en-us","alternate_languages":[],"data":{"name":[{"type":"paragraph","text":"Kevin Constantine","spans":[],"direction":"ltr"}],"photo":{"dimensions":{"width":1350,"height":619},"alt":null,"copyright":null,"url":"https:\/\/images.prismic.io\/stonehaven\/Zl7ESJm069VX1bl5_KevinT4.png?auto=format,compress","id":"Zl7ESJm069VX1bl5","edit":{"x":0,"y":0,"zoom":1,"background":"transparent"}},"tag":[{"type":"paragraph","text":"Mandate Operations Counsel","spans":[],"direction":"ltr"}],"category":"operations","category1":{"id":"Yt7LJRIAAC4A0hYq","type":"team_category","tags":[],"lang":"en-us","slug":"operations","first_publication_date":"2022-07-25T16:56:08+0000","last_publication_date":"2022-07-25T16:56:08+0000","link_type":"Document","key":"f37bb67a-9831-4431-a240-4cd9ccdf7309","isBroken":false},"linkedin":[{"type":"paragraph","text":"https:\/\/www.linkedin.com\/in\/kevin-constantine-700aa1a9\/","spans":[],"direction":"ltr"}],"description":[{"type":"paragraph","text":"Kevin Constantine is the Mandate Operations Counsel at Stonehaven. 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The NEXUS of Capital & Opportunity™

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Operational Excellence

Innovative & Intuitive Technology

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We're a seasoned team of finance, technology, legal, compliance, accounting and operations professionals

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The NEXUS of Capital
& Opportunity™

We've curated a synergistic ecosystem of
specialists across all asset classes

We’re
dedicated to
our community
values

We're a seasoned team of finance,
technology, legal, compliance, accounting
and operations professionals

We have a diverse community of
Affiliate Partners