Roberts W. Brokaw III

Roberts W. Brokaw III

Education & Credentials

  • BA & MA (combined), Economics – Yale University
  • MBA – Harvard Business School
  • Series 7, 24 and 63 Securities Licenses – Financial Industry Regulatory Authority (FINRA)



Roberts Brokaw has three decades of client-coverage and transaction investment banking experience, most recently as a Senior Managing Director at Bear Stearns and spanning senior roles at both Merrill Lynch and PaineWebber. As an investment banker, he advised such companies as American Airlines, Boeing, Burlington Northern, Citizens Utilities, Continental Airlines, Federal Express, Georgia Pacific, IBM, International Paper, KLM, Masco, National Medical Enterprises, Northwestern National Life, Pacific Telephone, Pennzoil, Time Warner and Volvo. Mr. Brokaw also served on both the Merrill Lynch and PaineWebber equity commitment and fairness opinion committees. In addition, he oversaw and implemented investment banking professional development programs for junior bankers.

Mr. Brokaw has served as an Adjunct Professor of Finance at New York University’s Leonard N. Stern School of Business, where he created a new MBA-level course on the structure and valuation of equities, as well a Senior Professional Fellow at NYU’s Center for Law and Business. He has also taught classes at the Wharton School of the University of Pennsylvania and the Amos Tuck School of Business Administration at Dartmouth College.

Mr. Brokaw left investment banking in 2002, and currently provides advisory services to corporate clients and law firms nationwide. He has advised law firms, securities firms, regulators, consulting firms and companies on topics such as appropriate investment banking practices, valuations, corporate finance, mergers and complex equity structures. He has provided expert testimony and other expert witness services in a number of federal jurisdictions, as well as in the Delaware Chancery Court. His corporate and government clients have included AT&T, Coeur d’Alene Mines, Hartford Life, Merrill Lynch, News Corporation, the Securities & Exchange Commission and XRoads Solutions Group.