Our Team

• David (Chip) W. Unsworth, Jr.: Chairman
  and CEO

  Mr. Unsworth has a long history of success as an investment banker, corporate finance strategist and financial services entrepreneur. A co-founder of Legend in 2002, he provides the strategic vision and commitment to client service that has fueled the bank’s rapid growth in recent years. From 1997 to 2001, Mr. Unsworth served as a founding partner and owner of the San Francisco capital markets group of Broadmark Capital. He played a key role in the expansion of Broadmark's banking, asset management and distribution businesses, which raised more than $300 million in private equity, primarily for venture stage companies. Prior to Broadmark, Mr. Unsworth was SVP and owner at Gilford Securities for six years, handling High-Net-Worth, institutional equity and fixed income accounts. He held similar positions with Gruntal & Co. and Oppenheimer & Co. Throughout his career, Mr. Unsworth has been an active advisor to early-stage companies in both public and private markets. He has also helped create shareholder value in public companies by spearheading re-capitalizations, proxy contests, and corporate strategy changes alongside owners and managers. Mr. Unsworth graduated with a Bachelor of Science in Business Administration from the University of Rhode Island. He holds Series 7, 24, 63 and 65 Registrations.

• Samuel F. Ottensoser, Managing Director & General Counsel

  Since 2004, Mr. Ottensoser has served as Legend’s General Counsel, drawing upon over 30 years of experience as a capital markets attorney focusing on corporate financing transactions. Prior to joining Legend, Mr. Ottensoser represented both issuers and underwriters and has structured and negotiated IPO’s, secondary offerings, private placements, PIPES and mergers and acquisition transactions as a senior and managing partner at several New York law firms. He has represented clients in front of the SEC, FINRA, foreign and other such regulatory authorities. Mr. Ottensoser received his BA from Yeshiva University and his JD from Harvard Law School.

• James Palmer: Managing Director & Co-Head of Syndicate

  Mr. Palmer has over 16 years of experience originating and funding early, mid and late stage private equity and venture capital transactions in several industries. Through his network of institutions and Ultra-High-Net-Worth individuals he has structured and raised close to $1 billion in capital for entities including public and private companies, hedge funds, venture funds and structured finance products. In addition to his responsibilities at Legend, Mr. Palmer is a Managing Member of the TW 8701 Opportunities Fund I and the TW Opportunities Fund II, both early/mid stage venture capital and private equity funds that have invested in approximately 25 companies. Mr. Palmer founded these funds while serving as a Managing Director at Trautman Wasserman & Co. (“TW”), a money management/private equity firm that invests in alternative assets. Mr. Palmer spent five years at TW building its West Coast Corporate Finance Group. Prior to that he was a Managing Director of an NYSE investment bank where he had more than nine years of experience managing over $400 million dollars for High-Net-Worth individuals and small institutions in both public and private investment vehicles. Mr. Palmer received a Bachelor’s Degree in Economics from Rollins College. He holds Series 7 and 63 Registrations.

• Bradley W. McGowan, Managing Director

  Brad McGowan is responsible for deal sourcing & business development for Legend’s Investment Banking Division. Mr. McGowan conducts outreach and builds relationships with institutional investors, Private Equity Groups, Venture Capital Firms and strategic corporate buyers/sellers. Mr. McGowan has over 20 years of financial services and investment banking experience at Merrill Lynch, Lehman Brothers, and UBS. Prior to joining Legend, he was a Managing Director at Jefferies & Co. and worked closely with its subsidiaries including the Aerospace, Defense & Homeland Security group (Quarterdeck Investment Partners), Broadview, the Technology Banking Group, and the Biotech Banking Group. Throughout his career, Mr. McGowan has been an active adviser to small, emerging growth companies. He is a founding partner of MLI Ventures which provides strategic advisory, management and business development assistance to seed and early-stage companies with an emphasis in the technology, security, and biotech / life sciences field, while utilizing the resources at New Jersey Institute of Technology, UMDNJ, and his network at Stevens Institute of Technology and also at Rutgers University -- all major hubs of technology, bio-engineering, and designated Centers for U.S. Homeland Security. Mr. McGowan earned an Executive MBA in Finance at the Stern Business School at New York University (NYU) in 1998 and served as his class president two years in a row. He earned a Bachelor’s Degree in Finance from Lehigh University in 1987. Mr. McGowan is currently a member of the Alumni Board of Trustees of Lehigh University. Mr. McGowan holds Series 7, 63 and 65 Registrations.

• Mark Sauter, Managing Director

  Mr. Sauter specializes in leading complex M&A transactions to successful completion and supports Legend’s SPAC, security, bio-med and technology practices. He also helps clients of the firm’s Convergent Security Group increase the value of their enterprises by improving their strategies, raising capital and making acquisitions. Mr. Sauter previously served as COO of the Chesapeake Innovation Center, a public-private security technology partnership where his expertise in venture financing, growth strategies and the security market helped member companies win substantial financing, major contracts and profitable exits. His analysis of the security market includes co-authoring widely-quoted white papers and McGraw-Hill’s leading university textbook: “Homeland Security: A Complete Guide to Understanding, Preventing and Surviving Terrorism.” Mr. Sauter’s experience includes serving as a senior executive at several venture capital-backed companies; principal investigator/program manager for a contract with a major U.S. intelligence agency; and an Army officer in infantry and special forces units. Mr. Sauter is a graduate of Harvard University, magna cum laude, and the Columbia Graduate School of Journalism. He holds Series 7 and 63 Registrations.