Our Team

  

Jim Upchurch

President & CEO


Jim is President and Chief Executive Officer of Caltius. Prior to founding Caltius, Jim was the President of U.S. Bancorp Libra and its predecessor, Libra Investments, an investment banking firm focused on the sale, trading and placement of debt securities. Previously, Jim was a Portfolio Manager for high yield bonds at Columbia Savings and Loan Association, managing an investment portfolio of $4 billion. Jim began his career as Certified Public Accountant at KPMG. Jim currently serves on the board of directors of the following portfolio companies: Davex Labs, Starpoint Health, The Institute of Audio Research, Kiss My Face, MCC Control Systems and SeniorBridge Family Companies, and he served on the board of directors of Arrowhead Brass, Scientech, CampGroup, CRC Health, Consolidated Fire Protection, LaDove and Northwest Coatings during Caltius' ownership of those companies. Jim received his B.S. in Accounting from Northern Arizona University.


jupchurch@caltius.com

  

Michael Kane

Managing Director


Michael joined Caltius Mezzanine in 1997. Previously, Michael was a Managing Director of Richard C. Blum and Associates, responsible for managing Building and Construction Capital Partners, L.P., a private equity fund focused on the building and construction industries. Prior to this, he spent seven years with the Industrial Finance Division of General Electric Capital Corporation, focused on making loans to companies in various sectors. Michael began his career with Metropolitan Life Insurance in the private placements group. He received his B.A. in Economics, M.B.A. and a Masters in Accounting from Rice University and is a Chartered Financial Analyst.


mkane@caltius.com

  

Greg Howorth

Managing Director


Greg joined Caltius Mezzanine in 1997. Previously, he was a Vice President at FINOVA Capital and a Senior Credit Officer responsible for pre-screening prospective transactions in FINOVA's Corporate Finance Group. Prior to FINOVA, Greg worked at Heller Financial for eight years and was responsible for underwriting cash flow based senior and subordinated debt transactions for California-based equity sponsors. Greg received his B.S., magna cum laude, from the University of Southern California.


ghoworth@caltius.com

  

Alisa Frederick

Managing Director


Alisa joined Caltius Mezzanine in 2000. Previously, she was a Senior Vice President and Portfolio Manager at Fleet Capital Corporation, where she served on the Fleet Capital Credit Committee and was responsible for managing a portfolio of over $500 million. Prior to Fleet, she served as Assistant Vice President and Senior Underwriter at Chemical Bank. Alisa received her B.A., cum laude, from Wellesley College.


afrederick@caltius.com

  

Gavin Bates

Principal


Gavin joined Caltius in 2008. Previously, Gavin was a Director at CapitalSource, responsible for sourcing and underwriting cash flow based senior and subordinated debt transactions for equity sponsors. Prior to CapitalSource, Gavin worked for Compass Partners and Permira, two London based private equity funds, where he originated, executed and managed private equity investments. Gavin started his career with HSBC Investment Bank. Gavin received an MBA from the Haas School of Business at the University of California, Berkeley and a BA with Honors from the University of Nottingham.


gbates@caltius.com

  

Zoltan Berty

Principal


Zoltan joined Caltius Mezzanine in 2011. Previously, Zoltan was a Vice President at D. E. Shaw Direct Capital, where he was responsible for originating new investment opportunities across all levels of the capital structure, including senior debt, mezzanine capital, and equity. Prior to D. E. Shaw, Zoltan was a Director at CapitalSource, where he focused on senior and subordinated debt investments to support buyout and recapitalization transactions. His previous lending experience also includes credit management and underwriting positions at Bay View Capital Corporation, Transamerica Technology Finance, and Fleet Capital Corporation. Zoltan received his B.S., magna cum laude, from the University of Southern California.


zberty@caltius.com

  

Rick Shuart

Principal


Rick initially joined Caltius in 1999. Previously, he was a Financial Analyst in the Construction and Forest Products Group at Dillon, Read & Company, where he was involved in several publicly and privately negotiated M&A and public financing transactions. Upon joining Caltius, he was an Associate with Caltius Equity, a position he held until 2002 when he left Caltius to attend the UCLA Anderson School of Management. Rick joined Caltius Mezzanine in 2004 upon completion of his M.B.A. Rick also holds a B.A. from Columbia University.


rshuart@caltius.com

  

Don Jamieson

Vice President


Don joined Caltius in 2000. Previously, he was a Financial Analyst in the Acquisition Finance Group at Salomon Smith Barney, where he supported deal teams in underwriting leveraged loans and high yield bonds for private equity related transactions. Don received a B.A., cum laude, in Economics from Harvard University.


djamieson@caltius.com

  

Davin Lin

Senior Associate


Davin joined Caltius Mezzanine in 2009. Previously, he was an Associate at Ares Management, where he originated, structured, executed, and arranged private debt and equity financings for private equity sponsored leveraged buyouts, recapitalizations, and refinancings of middle market companies. Prior to Ares, he was a Financial Analyst in the Financial Institutions Group at Lehman Brothers, where he was involved in several publicly negotiated M&A and public financing transactions. Davin received his B.A. in Economics from Pomona College.


dlin@caltius.com

  

Bob Morrish

General Counsel & Executive VP


Bob has managed corporate governance, partnership and legal issues for Caltius since it was founded in 1997. Since 1994, Bob has been Executive Vice President and General Counsel of Libra Securities, an investment banking firm focused on the sale, trading and placement of debt securities. Previously, he was a partner at Riordan & McKinzie, specializing in corporate and securities law. Bob graduated from Harvard Law School, cum laude, and the University of California, Berkeley.


bmorrish@caltius.com

  

Greg Brackett

CFO


Greg joined Caltius in 2000. Previously, he was a Senior Accountant in the Investment Management Services Assurance Group of KPMG, where his clients included private equity firms, investment banks, mutual funds and credit unions. Greg received his B.A., magna cum laude, in Business Economics from the University of California at Los Angeles. Greg is a Certified Public Accountant and Chartered Financial Analyst.


gbrackett@caltius.com

  

Melissa Gee

Assistant Controller


Melissa joined Caltius in 2002. She participates in the areas of accounting, human resources and limited partner relations for Caltius. Melissa received her B.A., summa cum laude, in Mathematics and Psychology from Chaminade University of Honolulu.


mgee@caltius.com

  

Alana Getz

Accounting Staff


Alana joined Caltius in 2006. Alana manages limited partner and public relations for Caltius and supports the CFO in the daily financial operations of the firm. Alana received her B.A., summa cum laude, in Sociology from the University of California, Los Angeles.


agetz@caltius.com

  

Marcelo Sciurano

Director of IT


Marcelo has worked with Caltius as an IT Consultant since Caltius’ founding in 1997 and joined Caltius as its full-time IT Director in 2010. Marcelo has over twenty years of experience working as an IT Consultant for firms such as Libra Securities LLC, where he was responsible for their internal technology set-ups, desktop support and office relocations. His prior experience also includes IT setup and office relocations for Morgan Joseph TriArtisan LLC west coast offices as well as Software Support at Executive Life Insurance Company and at Mainsaver, a maker of software to track and manage machinery maintenance. Marcelo received his B.S. in Mathematics at the University of California, Los Angeles.


msciurano@caltius.com

  

Donna Ashton

Executive Assistant


Donna joined Caltius as an Executive Assistant in 2003. Her previous experience includes 15 years of administrative support and office coordination at Dorchester Capital Advisors, Goldman Sachs, Merrill Lynch and National Geographic in England and South Africa. Donna is currently completing her Bachelor of Fine Arts degree in Web Design and New Media at the Academy of Art University of San Francisco.


dashton@caltius.com

  

Elsie Mercado

Executive Assistant


Elsie joined Caltius as Executive Assistant to General Counsel in 2009. Her previous experience includes 18 years as Executive Assistant to General Counsel at Libra Securities, LLC and two years as Executive Assistant to Head of Corporate Security at Columbia Savings & Loan. Elsie received her B.S. in Business Education from California State University, Northridge.


emercado@caltius.com


Investment Team


Jim Upchurch

President & CEO

Michael Kane

Managing Director

Greg Howorth

Managing Director

Alisa Frederick

Managing Director

Gavin Bates

Principal

Zoltan Berty

Principal

Rick Shuart

Principal

Don Jamieson

Vice President

Davin Lin

Senior Associate


Operations Team


Bob Morrish

General Counsel & Executive VP

Greg Brackett

CFO

Melissa Gee

Assistant Controller

Alana Getz

Accounting Staff

Marcelo Sciurano

Director of IT

Donna Ashton

Executive Assistant

Elsie Mercado

Executive Assistant