A nationally 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, “[a]ttention, 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 100 times since 2012. Mr. Epstein is a key contributor to Nasdaq’s Amplify small-cap content initiative, a mentor at the Nasdaq Entrepreneurial Center, and a National Association of Corporate Directors (NACD) Board Leadership Fellow and faculty member. He writes the "Entrepreneurial Governance" column in Directorship magazine, 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 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.
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 CNN Presents, and has been quoted in, among others, Forbes, Agenda (Financial Times), Compliance Week, CBS Marketwatch, San Francisco Chronicle, Reuters, and American Bar Association Journal.
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, and he serves as a mentor to retired military officers seeking board of directors positions through NACD’s “From Battlefield to Boardroom” initiative.
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.
Connect With Adam
Adam has consistently supported our Board Development Program as a speaker sharing his unique perspective regarding the challenges of governing small-cap companies. He is one of the highest rated speakers at every session. We have been fortunate to benefit from his extensive knowledge on the realities of serving on small-cap boards and appreciate his contributions to our program.
Rick Sanders, Managing Director, Office of the Chairman
I consider myself to have found a friend and ally on a mutual quest to impart knowledge to boards of directors, particular those of smaller organizations who face unique challenges. Having now had several opportunities to work with Adam in a speaking capacity, I have seen first-hand how he breaks down and defines relevant issues faced by boards and management of smaller and mid-size companies with refinement and proficiency, but further provides tangible guidance and solutions that organizations can use to bolster decision-making and resource allocation in the areas of capital structuring and formation as well as overall sound governance practices. His writings and teachings reflect deep knowledge and demonstrate a sincere passion for education and advising.
Amy Rojik, Partner and Director of the Center for Corporate Governance and Financial Reporting
Experiencing Adam speaking about small company corporate governance is like watching a locomotive come out of a closet! His passion and energy are palpable, and the perspective he brings as a former special situations investor is quite unique. I have invited Adam to speak on several panels for the American Bar Association and The Practising Law Institute, and he never fails to open the eyes of the audience to the particular trials of, and skills needed within, small-cap boards.
Frank M. Placenti, Leader, Corporate Governance Practice of Squire Patton Boggs LLP, and President, American College of Governance Counsel
As a teacher at the Center, Adam inspires founders to think differently about company oversight and gives them tools to support growth while creating long term, sustainable value to shareholders and stakeholders.
Adam has a unique and passionate way of breaking down the principals of corporate governance through stories and experiences that highlight actionable steps any entrepreneur can take to make their business stronger and better able to overcome the big challenges that come their way.
Celena Aponte, Director of Strategic Initiatives
Adam is a thoughtful and engaging speaker with an astute and informed perspective on early stage start-up and small-cap public companies. His experience as an institutional investor and as a board member, give him a holistic understanding of the complex challenges facing these companies, their board and CEOs. Adam is able to distill down the most important elements and deliver them in a clear, compelling, no-nonsense way that audiences really connect with. It's the reason that we have invited Adam back to speak at multiple events year-over-year. To top it off, he's a complete joy to work with.