Our People
Dennis Azary
Co-CCO (Chief Compliance Officer) and FinOp
Based in the San Francisco bay area, Dennis Azary is Co-Chief Compliance Officer and Financial Operations Principal (FINOP) of Ballast Rock Capital, LLC. Specializing in risk management, securities rules & regulations, and execution of compliant transactions involving mergers & acquisitions and private placements, Dennis is responsible for oversight of the firm’s regulated activities.
Carrie Schneidman
Co-CCO (Chief Compliance Officer)
A senior financial services professional with over 20 years of experience supporting investment banking transactions, including M&A, private placements, capital raises, pre-IPO offerings, and secondary transactions. She has extensive expertise supervising Regulation D offerings, conducting transaction-level due diligence, and guiding boutique investment banking firms through SEC and FINRA regulatory requirements.
Thomas Carroll
Founder & CEO
Mike Schmansky
Chief Financial Officer
Juan Pablo Novoa
Director of Digital Engagement
Nate Lewis
General Counsel
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