Board Experience
Governance Across Regulated Industries
Board service spanning Wall Street's first generation of SEC-registered Business Development Companies, publicly traded financial institutions, national securities clearing, and emerging-sector companies — with deep experience in audit, risk, regulatory oversight, and capital formation for both public and private companies.
Board Seats
E.F. Hutton Business Development Company
Director
Served as a director of one of the first SEC-registered, regulated Business Development Companies in the country — a $225 million vehicle providing capital formation for both public and private companies. One of the earliest board roles in the BDC structure that would later become a cornerstone of middle-market finance.
- Member of the Board of Directors
- One of the first SEC-registered BDCs in the country
- $225 million in assets under management
- Capital formation for both public and private companies
United Western Bancorp, Inc.
Director & Executive Officer
Director and executive officer of a $2.3 billion publicly traded bank holding company. Supervised SEC reporting, legal and regulatory affairs, IT, non-bank subsidiaries, and risk management. Represented the company before the SEC, FDIC, and other regulatory bodies.
- Member of the Board of Directors
- Served concurrently as EVP, COO, and General Counsel
- Oversaw SEC reporting and regulatory relations
- Supervised risk management and non-bank subsidiaries
Legent Holdings, LLC
Director & Executive Officer
Board director of a national securities clearing firm. Led governance and legal functions, designed an FDIC-insured stable value product that significantly increased earnings, and played a key role in the company's sale to a strategic acquirer.
- Member of the Board of Directors
- Served concurrently as EVP and General Counsel
- Designed FDIC-insured stable value product
- Led governance through strategic sale process
Committee Experience
Audit Committee
Financial reporting oversight, internal controls, and external auditor relations at a publicly traded bank holding company and an SEC-registered BDC.
Risk Committee
Enterprise risk management, regulatory examination preparation, and risk appetite frameworks in regulated financial services.
Governance & Nominating
Board composition, director succession, and corporate governance best practices at public and private companies.
Compensation Committee
Executive compensation design, incentive alignment, and succession planning across multiple board engagements.
Board-Level Strengths
Governance & Audit Leadership
Deep experience chairing and serving on audit and risk committees at regulated financial institutions, with direct oversight of SEC reporting, internal controls, and regulatory examination processes — beginning with one of the first SEC-registered BDCs in the country.
Regulatory Strategy
Hands-on regulatory interface with the SEC, FDIC, OTS, Options Clearing Corp., DTC, NYSE, and state regulators across financial services, energy, aviation, and emerging industries — translating complex regulatory environments into actionable board-level guidance.
Capital Structure & Formation
Led or co-led capital formation transactions in excess of $1 billion, including a $205 million offering with Goldman Sachs. Experienced in BDC structures, public offerings, recapitalizations, and complex financings for both public and private companies.
Turnarounds & Special Situations
Proven track record guiding companies through restructurings, strategic sales, and special situations — including the successful sale of Legent Holdings to a strategic acquirer.
CEO Mentorship & Succession
Experienced working alongside founders and CEOs to build institutional-grade governance, management teams, and succession plans without sacrificing entrepreneurial agility.
Emerging-Sector Institutionalization
Built institutional-grade policies, controls, and regulatory interfaces in medical technology, regulated monitoring services, and new financial products — sectors where governance infrastructure often lags growth.
Industries Served
Considering Michael for Your Board?
Nominating committees and executive search firms are welcome to reach out directly. Michael is selectively considering new board opportunities in regulated industries.