About Adam J. Epstein
Globally recognized small-cap expert & boardroom advisor
ADAM J. EPSTEIN
A globally recognized small-cap expert, Mr. Epstein has advised, governed, and invested in hundreds of small-cap companies. His capital markets and corporate governance acumen are products of a singular perspective – a former corporate attorney, operating executive, institutional investor, and, now, board advisor. As Bloomberg Businessweek commented regarding Mr. Epstein’s category-defining corporate governance book, “attention, directors of small-cap companies. Help is on the way.”
Mr. Epstein is an advisor to CEOs and boards of pre-IPO and small-cap companies through his firm, Third Creek Advisors, LLC. He speaks monthly at corporate governance and investor conferences, and has appeared internationally more than 150 times since 2012. Mr. Epstein is a member of Small-Cap Institute, Inc.’s editorial advisory board, he is a key contributor to Nasdaq’s Amplify small-cap content initiative, and he is a mentor at the Nasdaq Entrepreneurial Center.
“Trust me, you want Adam in your boardroom. Incidentally, so do your investors.”
Peter Holt, CEO (Nasdaq: JYNT)
He is the author of The Perfect Corporate Board: A Handbook for Mastering the Unique Challenges of Small-Cap Companies (New York: McGraw Hill, 2012), and he is a contributing author to The Handbook of Board Governance: A Comprehensive Guide for Public, Private and Not for Profit Board Members (New Jersey: Wiley, 2016). In June 2017, The Perfect Corporate Board was the “#1 Best Seller” in the corporate governance vertical on Amazon.com, and in June 2016, The Handbook of Board Governance was the “#1 New Release” in corporate governance on Amazon.com. From 2012 through 2019, Mr. Epstein co-founded and wrote the “Entrepreneurial Governance” column in Directorship magazine.
Previously, Mr. Epstein was lead independent director, then chairman of OCZ Technology Group, Inc., a designer and manufacturer of solid-state drive storage and computer components. Prior to founding Third Creek, he co-founded and was a principal of Enable Capital Management, LLC (ECM). During his tenure, ECM’s special situation hedge funds invested in more than 500 small-cap financings in the United States, the European Union, and Australasia. Before ECM, Mr. Epstein held senior operating roles with Enable Capital, LLC, a merchant bank, Surge Components, Inc., a vendor of discrete capacitors and semiconductors, MailEncrypt.com, Inc., a provider of encrypted email services, Tickets.com, Inc., an entertainment ticketing company, Vertical Horizons, a continuing education vendor, and Achilles’ Wheels, Inc., an operator of skate and snowboard retail locations. He started his career as an attorney at Brobeck, Phleger & Harrison, after having been a law clerk at Willkie Farr & Gallagher.
Mr. Epstein has been featured in The Wall Street Journal, Bloomberg Businessweek and on Nasdaq Livestream and CNN Presents, and has been quoted in, among others, The Wall Street Journal, The Washington Post, The Information, Forbes, Agenda (Financial Times), Dagens Industri, Compliance Week, CBS Marketwatch, San Francisco Chronicle, Reuters, and American Bar Association Journal. In April 2018, Mr. Epstein was invited to provide small-cap capital markets testimony to the U.S. Securities and Exchange Commission.
He is an active supporter of U.S. veterans and their families; all of his royalties from The Perfect Corporate Board are donated to Fisher House Foundation.
Mr. Epstein earned a Juris Doctor from Boston University School of Law, and a Bachelor of Arts, cum laude, from Vassar College. Preceding undergraduate study, he graduated from the American School in London.
Boardrooms in the News
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Read Adam's latest insights on the unique challenges that face small-cap boardrooms.
ADAM CAN ADVISE YOUR COMPANY HOW TO:
Attract Better Investors
As a former institutional investor, Adam knows precisely what’s required in this regard.
Raise Capital Less Dilutively
Adam has invested in 500+ small-cap financings; he knows exactly where companies always go wrong.
Optimize Your Board of Directors
Adam has helped countless small-cap companies transform their boards into competitive advantages.
Imagine if your storytelling was so effective that employees, customers, and investors could become brand ambassadors.
Attract Better Employees
Adam can help you create and oversee a corporate culture that attracts and retains better employees.