Team


Paul Harrigan  • Managing Director 

Paul Harrigan - Managing DirectorMr. Harrigan has led Mergers and Acquisition and Strategic Planning activity at several Fortune 500 Companies including: Rockwell Automation, Eaton Hydraulics, ITT Fluid Technologies (now Xylem), and AMETEK’s Electromechanical Group.

He has extensive global experience including deals in: United States, Brazil, China, India, Japan, United Kingdom, Italy, Germany, Scandinavia and The Netherlands.

He is well respected and has extensive deal making experience in industrial automation, electric motors and generators, motion control, hydraulics, fluid technology, water and waste water treatment, engineered materials, metals and electrical connectors.

He has lead 37 transactions with a total enterprise value in excess of $2.0 billion.

Mr. Harrrigan graduated with honors from the University of Connecticut with a Bachelor in Mechanical Engineering and from The Wharton School with an MBA in Finance and Entrepreneurial Management.

Professional Credentials

  • Registered Investment Banking Representative (Series 79 and 63)
  • Registered Representative (Series 7)
  • Registered General Securities Principal (Series 24)
  • Registered Financial and Operations Principal (Series 28)
  • Certified Public Accountant (CPA)
  • Professional Engineer (PE)


Mike Smith • Managing Director

Mr. Smith has a broad experience base in strategic planning, business development, and mergers, acquisitions, and integration.

He has been a senior executive responsible for Mergers and Acquisition programs at several respected Fortune Corporations including Rockwell Automation, Rockwell Collins and Weir Minerals.

He is well respected and has extensive deal making and strategy experience in industrial automation, motion control, electric motors, aerospace, avionics, oil and gas, fluid technologies and minerals and mining equipment industries among others.

He has extensive global experience in locations including: Australia, India, China, Chile, Brazil, The UK, The Netherlands, France, Finland, Germany, and South Africa.

Mr. Smith frequently speaks on acquisition integration and mergers and acquisitions to business groups and associations in the upper Midwest. In total, Mr. Smith has executed approximately $3.0 billion deals throughout his career.

Mr. Smith graduated with honors from Texas Tech University with a Bachelor in Petroleum Engineering and an MBA.

Professional Credentials

  • Registered Investment Banking Representative (Series 79 and 63) and MBA.  


Robert Barreca • Chief Compliance Officer

Robert BarrecaMr. Barreca serves as the Chief Compliance Officer of the firm’s FINRA registered Broker Dealer, Wharton MidMarket Securities Inc. He has over 15 years of experience in the capacity of Chief Compliance Officer and Branch Manager at several FINRA registered Broker Dealers.

Mr. Barreca’s focus is leading the firm’s compliance program and ensuring the firms compliance with all state and federal securities laws.

He is experienced in assisting Investment Bankers with transactions including contractual and deal structuring issues. He also has extensive experience in business development and planning in the securities industry.

He graduated with honors from The State University New York at Buffalo. Robert is active in The State University New York Buffalo School of Management’s alumni organization and is a recipient the Intern Supervisor of the Year Award for his volunteer mentoring work.

Professional Credentials: 

  • Registered Representative (Series 7)
  • Registered General Securities Principal (Series 24)
  • Registered Options Principal (Series 4)
  • Registered Municipal Securities Principal (Series 53)
  • Registered Investment Banking Representative (Series 79 and 63)
  • Registered Operations Professional (Series 99).


Daniel Beaton • Chief Financial Officer

DanBeaton180Mr. Beaton serves as the Chief Financial Officer of the firm’s FINRA registered Broker Dealer Wharton MidMarket Securities Inc. He has more than a dozen years of experience as a professional in the securities industry.

Mr. Beaton has worked for a variety of broker dealers ranging from firms specializing in everything from municipal security underwriting, institutional equity trading, mergers and acquisitions, private placements and third party marketing.

He has extensive experience as a CFO, mastering the regulatory requirements imposed on broker dealers by the Securities and Exchange Commission. This has provided him vast knowledge of the regulatory requirements and security laws and rules broker dealers abide by.

He is also the owner and operator of FINOP Consulting, a financial and operations principal outsourcing firm. Prior to this, he was a partner and CFO of Alpha Equity Research, an institutional equity research broker dealer.

Mr. Beaton graduated Magna Cum Laude from the University of New Hampshire, Whittemore School of Business with a degree in Accounting and Finance. He was a member of the Beta Gamma Sigma Society.

Professional Credentials:

  • Financial and Operations Principal (Series 27 and 28)
  • Operations Professional (Series 99)
  • General Securities Principal (Series 24)
  • Registered Representative (Series 7 and 63).