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Inside the Public Markets with Grassi: IPOs, PCAOB Audits & Raising Capital

On this episode of Off Road with Frank Ferraro, Frank sits down with Lou Pizzileo, Partner and Leader of Grassi’s SEC & Capital Markets Practice, and Paul Plevritis, Audit Manager specializing in PCAOB audits and public companies, for an inside look at what small- and micro-cap companies are facing in today’s public markets.

The conversation explores the current IPO environment and how tighter exchange requirements are affecting companies seeking to go public, even as the SEC review process has shown improvement. Lou discusses how growth companies continue to find creative financing structures when traditional paths become more difficult.

Lou and Paul also break down what it really takes for a private company to become public—from assembling the right investment bankers, securities counsel and accounting team to cleaning up cap tables, financial records and complex securities before the filing process begins.

Paul provides a PCAOB auditor's perspective on a problem many management teams underestimate: the accounting may be correct, but the documentation supporting it often isn't ready for a public-company audit. They also discuss why IPO-readiness professionals and experienced public-company CFOs can significantly shorten the process.

The discussion also covers:

• Complex debt, warrants, derivatives and other financing structures
• PCAOB audits and internal-control requirements
• The importance of experienced public-company finance teams
• Maintaining auditor independence while helping management navigate the process
• Why going public is only the beginning of the financial reporting burden
• How Grassi approaches client relationships and responsiveness
• The changing IPO market and alternative paths companies are using to access capital

Lou also discusses Grassi's work with VENU, including the company's path through the S-1 and IPO process, and explains why its commitment to building a strong finance and accounting team provides a useful example for other companies entering the public markets.

The episode closes with a discussion about something increasingly rare in professional services: responsiveness and accountability. Lou explains Grassi's philosophy simply—say what you're going to do, and then do it—and why that approach has become part of the firm's culture.

Guests: Lou Pizzileo and Paul Plevritis, Grassi
Host: Frank Ferraro, Andrea Cataneo
Podcast: Off Road with Frank Ferraro

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On this episode of Off Road with Frank Ferraro, Frank sits down with Rajiv Radia, Partner and Head of Public Company Advisory at Whiteford, Taylor & Preston LLP, for a practical discussion about raising capital and navigating today’s public markets.

Rajiv explains why choosing Rajiv Radia — Navigating Capital Formation & the Public Markets

between Reg D, Reg CF, Reg A, registered offerings and other financing structures starts with understanding the company—not simply selecting an exemption. Capital needs, investor base, valuation, market conditions, cap table and the company’s stage all play a role in determining what is realistically executable.

Frank and Rajiv also discuss some of the challenges facing small-cap and microcap companies, including unrealistic valuations, financing groups promising easy access to capital, large upfront fees, broker-dealer considerations and the importance of conducting due diligence before entering a transaction.

The conversation takes a deeper look at convertible debt, warrants, resets, registration rights and dilution, and how accepting unfavorable financing when a company is short on runway can restrict its ability to raise capital later.

They also explore where Regulation Crowdfunding and Reg A fit into the capital formation landscape and what separates a compelling story from a genuinely financeable company—including credible financials, experienced management, realistic valuation, defined use of proceeds, governance, internal controls and capitalization.

Finally, Rajiv discusses the evolving role of securities counsel and why lawyers serving public companies increasingly need to understand not only SEC, Nasdaq and NYSE requirements, but also the underlying business objectives and structure of a financing.

Topics include: Capital formation • Reg D • Reg CF • Reg A • Public offerings • Small-cap and microcap financing • Warrants and convertible securities • Dilution • Valuation • Crowdfunding • SEC compliance • Nasdaq and NYSE requirements • Corporate governance • Securities counsel 

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On this episode of Off Road with Frank Ferraro, Frank sits down with Sarah Martello, CEO and Co-Founder of AgWise, for a conversation about the rapidly changing future of American agriculture — and how technology can help farmers become more efficient, profitable and sustainable.

Sarah's connection to agriculture runs deep. She grew up in a multigenerational farming family, but watched firsthand as the economics of farming became increasingly difficult. Encouraged by her father to pursue an education outside agriculture, Sarah went on to become an attorney, earn an advanced degree in tax law, build and sell a tax law firm, and eventually enter the technology industry.

Years later, her career has come full circle.

Sarah explains how an initial effort to create greater food traceability ultimately led to the development of agricultural technology capable of addressing challenges throughout the farming ecosystem.

Frank and Sarah discuss AgWise and Foliar Scripts, including how plant tissue testing, data and precision nutrient recommendations can help farmers reduce unnecessary fertilizer applications, lower costs and improve decision-making.

They also explore how artificial intelligence can help farmers evaluate crop selection, environmental conditions and agricultural economics — and why AI becomes particularly valuable in an industry where weather, commodity prices, tariffs and other variables can change quickly.

The conversation moves into blockchain technology and agricultural traceability, where Sarah explains how an immutable ledger can create greater transparency across the food supply chain and potentially allow consumers to verify where food originated, how it was raised and what was applied during production.

Sarah also discusses an often-overlooked financial opportunity for farmers: tax incentives and deductions, including circumstances where ordinary farming practices may potentially qualify for R&D-related tax benefits.

Frank and Sarah also discuss:

• Why farming has become increasingly difficult for independent family farms
• Sarah's journey from a Kansas farm to law, tax and technology
• How AgWise evolved from food traceability into precision agriculture
• Using AI to improve agricultural planning and decision-making
• Precision nutrient recommendations and reducing unnecessary fertilizer costs
• Blockchain's role in food traceability and authenticity
• The challenge of getting agricultural data out of notebooks, equipment and disconnected systems
• Designing technology that farmers can actually use
• Why AgWise has largely resisted traditional outside equity financing
• The massive generational transfer of American farmland
• The risk of family farms disappearing into corporate agriculture or commercial development
• Why Sarah believes technology can help preserve the future of American farming

It's a conversation about much more than agricultural software. It's about technology meeting one of America's oldest industries — and whether innovation can help keep the family farm economically viable for the next generation.

Guest: Sarah Martello, CEO & Co-Founder, AgWise
Website: AgWise.io 

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🌊 Can Ocean Waves Power the Future? A Conversation with Eco Wave Power CEO Inna Braverman

In this episode of Off Road with Frank Ferraro, Frank and co-host Andrea Cataneo sit down with Inna Braverman, founder and CEO of Eco Wave Power Global AB (Nasdaq: WAVE).

Inna shares her remarkable journey—from surviving the effects of the Chernobyl nuclear disaster as an infant to launching a clean-energy company at just 24 years old. Today, she is working to transform one of the world’s largest untapped renewable resources—the power of ocean waves—into usable electricity.

The conversation explores what makes Eco Wave Power’s technology different, why earlier wave-energy projects struggled, and how the company uses existing breakwaters, piers and jetties to generate electricity while keeping its expensive equipment safely on land.

Inna also discusses Eco Wave Power’s projects in Israel and at the Port of Los Angeles, its international expansion, and a potentially significant new opportunity: helping supply clean electricity to energy-intensive AI data centers located near coastlines.

In this episode:

• Inna’s powerful personal connection to clean energy
• Founding Eco Wave Power without money, industry contacts or an engineering background
• Why wave energy has been so difficult to commercialize
• What makes Eco Wave Power’s technology different
• The company’s projects in Israel, Los Angeles and international markets
• The growing electricity demands of AI and data centers
• Regulatory and policy challenges facing wave energy
• Eco Wave Power’s path toward commercialization
• Inna’s vision for the next three to five years

Nasdaq: WAVE
Learn more: www.ecowavepower.com

Disclosure: Corporate Roadshow and the hosts received no compensation for this interview. This program is for informational purposes only and is not an offer, solicitation or recommendation to buy or sell any security. Listeners should conduct their own research before making investment decisions

Come be a part of our investment community at corporateroadshow.com

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In this episode of Off Road with Frank Ferraro, Frank reconnects with serial entrepreneur Shai Stern, co-founder of Vintage Filings and V Stock Transfer, and now the driving force behind Gotavi.co

With multiple successful exits and decades in fintech and capital markets, Shai shares the story behind building disruptive companies—and why execution, relationships, and trust have been the foundation of his success. 

The conversation dives into his latest venture, GoTavi, a platform designed to simplify the “plumbing” of running a business—bringing compliance, operations, and vendor coordination into one streamlined system. 

They cover: 

• How Shai disrupted the SEC filings industry early on
• The importance of strong partnerships and complementary skill sets
• Why most businesses struggle with fragmented operations
• The rise of AI and Answer Engine Optimization (AEO)
• Building solutions that are simple, scalable, and actually useful

Key takeaway:
 

Disclosure: This content is for informational and entertainment purposes only and should not be construed as investment advice or a solicitation to buy or sell any securities.
The views expressed are those of the guest and do not necessarily reflect the views of the host or Corporate Roadshow, Inc.
Always conduct your own due diligence and consult with a licensed financial advisor before making any investment decisions. 

Come be a part of our investment community at corporateroadshow.com

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 Thanks for listening to Off-Road with Frank Ferraro.
 Subscribe for new conversations on capital markets, innovation, and the future of business. 

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From Resource to Revenue: Kimberly Ann on Building a Gold Company That Actually Makes Money  

🔑 Episode Summary 

In this episode of Off Road with Frank Ferraro, Frank sits down with Kimberly Ann, Founder, President, CEO, and Executive Chair of Lahontan Gold Corp., alongside co-host Andrea Cataneo. 

Kimberly breaks away from the typical junior mining narrative—focusing not on “how big the resource is,” but on how fast the company can generate cash flow. With over $200M raised in her career and significant personal capital invested, she brings a capital markets-first mindset to an industry often driven by geology over economics. 

From advancing a past-producing Nevada asset toward near-term production, to her ambitions for a NYSE listing, Kimberly outlines what separates companies that actually make it from those that never do.  

📊 Key Topics Covered 

💰 Cash Flow Over Hype 

• Why Kimberly prioritizes revenue generation over exploration hype
• The flaw in junior mining: “falling in love with assets instead of profits”
• Building a company designed to print cash, not just issue press releases

⛏️ The Santa Fe Project Advantage
 

• Past-producing Nevada asset with existing infrastructure
• ~2M+ ounces (and growing) with strong economics
• Low projected costs (~$1,150–$1,200 per ounce)
• Near-term goal: breaking ground and pouring gold

🧠 What Most Mining CEOs Get Wrong
 

• Over-romanticizing geology
• Underestimating operational and permitting risks
• Lack of business discipline in capital allocation

🇺🇸 U.S. Market Opportunity
 

• Challenges of investing in Canadian-listed mining companies
• Why U.S. investors are underexposed to junior mining
• Strategic push toward a NYSE listing for broader access and liquidity

🚀 Investor Mindset & Strategy
 

• Kimberly’s personal framework:
  • Back proven teams
  • Focus on jurisdiction
  • Identify scalability
• “30–50x upside” potential vs. large-cap mining

👤 The “Gold Girl” Brand
 

• Building a personal platform to educate investors
• Making mining accessible to a broader audience
• Positioning herself as both operator and industry advocate

 
📣 Call to Action
 
If you're a CEO, founder, or dealmaker looking to elevate your story and connect with capital:
 
🎙️ Off Road with Frank Ferraro is a Top Wall Street podcast spotlighting companies raising, building, and executing in today’s markets.

Disclosure: 
This content is for informational and entertainment purposes only and should not be construed as investment advice or a solicitation to buy or sell any securities.
The views expressed are those of the guest and do not necessarily reflect the views of the host or Corporate Roadshow, Inc.
Always conduct your own due diligence and consult with a licensed financial advisor before making any investment decisions. 
 

Come be a part of our investment community at corporateroadshow.com

Support the show

 Thanks for listening to Off-Road with Frank Ferraro.
 Subscribe for new conversations on capital markets, innovation, and the future of business. 

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📌 Episode Overview 

In this episode of Off Road with Frank Ferraro, Frank Ferraro and Andrea Cataneo sit down with Noah Hershcoviz, CEO of HUB Cyber Security Ltd. (NASDAQ: HUBC)—a company operating at the intersection of cybersecurity, AI infrastructure, and global compliance. 

HUB is undergoing a significant transformation—from its origins in military-grade cybersecurity to building what it calls “Trust Rails”—a foundational layer designed to verify identity, data, and assets across digital systems. 

With over 200 global clients, operations in six countries, and relationships spanning major banks, governments, and enterprise clients, HUB is tackling one of the biggest challenges in today’s digital economy: how to scale trust in a world where everything can be faked.  

🔑 Key Topics Covered 

🔐 From Cybersecurity to “Trust Infrastructure” 

• Why security ≠ trust in today’s digital systems
• The evolution from military-grade cybersecurity to trust verification platforms
• What “Trust Rails” are and why they matter

🏦 The Broken Financial System
 

• Why banks rely on 600+ fragmented data systems
• The inefficiencies of onboarding and identity verification
• How HUB simplifies data fusion and identity validation

🌍 Real-World Applications
 

• Use cases across:
  • Global banking institutions
  • Government systems
  • Aerospace and supply chain verification
• Expansion into real assets and compliance-driven industries

📈 Public Market Reality Check
 

• Navigating life as a NASDAQ-listed CEO
• Market volatility, reverse splits, and investor perception
• The impact of convertible debt and trading dynamics
• Why fundamentals and stock price can diverge

📣 Communication & Investor Trust
 

• The importance of transparent communication with shareholders
• Lessons learned from market feedback
• Building credibility in a skeptical market

🚀 Vision for 2026
 

• Growth, expansion, and enterprise adoption
• Increasing market awareness and validation
• Delivering long-term shareholder value

 
💡 Key Takeaways
 

• The next phase of digital infrastructure isn’t just about security—it’s about verifiable trust
• Legacy financial systems are massively inefficient and fragmented
• Companies like HUB are building foundational layers, not just applications
• Public company success requires both execution AND communication
• Market volatility doesn’t always reflect underlying fundamentals

 
Disclosure: Corporate Roadshow, Inc. received a fee of $3,500 for media production and distribution services in connection with this interview.
This content is for informational and entertainment purposes only and should not be construed as investment advice or a solicitation to buy or sell any securities.
The views expressed are those of the guest and do not necessarily reflect the views of the host or Corporate Roadshow, Inc.
Always conduct your own due diligence and consult with a licensed financial advisor before making any investment decisions. 

Come be a part of our investment community at corporateroadshow.com

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 Thanks for listening to Off-Road with Frank Ferraro.
 Subscribe for new conversations on capital markets, innovation, and the future of business. 

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In this episode of Off Road with Frank Ferraro, Frank and co-host Andrea Cataneo sit down with industry veteran Jim Hock, Chairman of the National Investment Banking Association (NIBA) and Founder of Hanover International. 

With more than 50 years of experience advising emerging growth companies, Jim shares practical insights on what separates companies that successfully raise capital from those that struggle. The discussion covers the importance of preparation, transparency, conference strategy, and why companies should “act public” even when they’re private. 

Jim also explains how disciplined planning, persistence, and strong follow-up can turn relationships into real transactions — including examples of companies that achieved major financings and growth through the NIBA ecosystem. 

This episode is a must-listen for CEOs, founders, and advisors navigating the capital markets.  

🔑 Topics Covered 

• How companies can improve their chances of raising capital
• Why preparation and rehearsal matter when presenting to investors
• The value of conferences like NIBA for building relationships
• The entrepreneurial traits needed to succeed
• Real success stories from the microcap world

 
🎯 Who Should Listen
 
CEOs, entrepreneurs, investment professionals, and anyone involved in growth companies or capital formation.
 

Come be a part of our investment community at corporateroadshow.com

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 Subscribe for new conversations on capital markets, innovation, and the future of business. 

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On this episode of Off Road with Frank Ferraro, Frank and Andrea Cataneo sit down with capital markets veteran Seth Farbman — CEO, board member, and one of the most respected operators in the small-cap ecosystem. 

If you’ve ever wondered: 

👉 Who actually manages your cap table?
 👉 Who protects shareholders behind the scenes?
 👉 And where real deals get done (not just pitched)? 

This conversation pulls back the curtain. 

Seth explains why transfer agents are the “glue” of the public markets — quietly managing ownership records, safeguarding shareholder trust, and acting as the gatekeeper between issuers and investors. It’s one of the most critical — yet overlooked — functions in every IPO and public company. 

But this episode goes beyond operations… 

It turns into a masterclass on relationships, networking, and visibility in today’s capital markets. 

As a board member of National Investment Bankers Association (NIBA), Seth shares why their conferences are different from the typical 5,000-person cattle call events — and why NIBA’s smaller, relationship-driven format consistently leads to real conversations, real partnerships, and real capital. 

💡 Key themes include: 

• Why transfer agents are essential to IPO success
• The real role of shareholder servicing
• How CEOs should think about conferences strategically
• Why most executives underutilize LinkedIn (huge missed opportunity)
• Building visibility before, during, and after events
• How relationships — not decks — close deals
• Why “Go Home Tired” is the only conference strategy that works

You’ll also hear:
 ✔ Stories from early Corporate Roadshow days
 ✔ Seth’s experience scaling multiple exits
 ✔ Behind-the-scenes insights from the NIBA board
 ✔ Practical tips for small-cap CEOs trying to raise capital
 
If you’re a CEO, IR pro, banker, service provider, or investor in the small-cap space — this is a must-listen playbook episode.


🎧 Connect with Seth

📩 Email: [email protected]

🔗 LinkedIn: Reach out directly (he actually answers!)


🚀 About Off Road

Hosted by Frank Ferraro and Andrea Cataneo, Off Road features unfiltered conversations with the builders, operators, and connectors powering Wall Street and the small-cap markets.
 
New episodes weekly.
 
👉 Follow • Share • Subscribe
👉 And if you’re attending or want to attend NIBA — Just reach out to us.

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In this episode of Off Road, Frank Ferraro and co-host Andrea Cataneo sit down with Emily Foshee, Executive Director of the National Investment Banking Association (NIBA) — the nonprofit organization that has quietly powered small-cap and growth company capital formation for nearly 50 years. 

If you’re a CEO, founder, or public company executive trying to raise capital, meet investment bankers, or connect with real investors, this conversation breaks down where those relationships actually happen. 

Not empty conference rooms.
 Not random pitch events.
 But curated, face-to-face meetings with bankers, family offices, private equity, and real check writers. 

Emily shares how NIBA’s unique format — single-track presentations, one-on-one investor meetings, and a relationship-first culture — consistently helps companies secure financing and build long-term capital markets partnerships. 

Frank also dives into:
 💼 Why most investor conferences fail issuers
 🤝 How syndication between banks is making a comeback
 📈 What today’s small-cap CEOs must do differently to raise money
 🎯 Who should attend NIBA (public, private, and growth companies)
 🔥 And why the right room changes everything 

If you’re serious about capital formation, this episode is your inside look at the conference where deals actually get done.  

📍 Connect with Emily & NIBA 

🌐 Website: https://www.nibanet.org

📧 General inquiries: [email protected]

🔗 LinkedIn: Search Emily Foshee – NIBA or National Investment Banking Association (NIBA) 

For presenting companies, sponsors, or attendee info, visit the NIBA site directly for conference details and registration. 

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 Subscribe for new conversations on capital markets, innovation, and the future of business.