Waterville Research provides fundamental Wall Street investment research and financing expertise for Small-Cap companies. While many firms talk about long term plans, Waterville delivers on this promise by taking the majority of our compensation in 144 stock. Institutional Investor cited Waterville's growth in their Wall Street Letter. Forbes Magazine acknowledged the Waterville Philosophy in an article on Independent Research. Waterville's goal is to increase investor awareness in the Client, increase the Client's shareholder base, and increase trading activity in the Client Company's stock.
In partnership with FilmAnnex.com, Waterville Research has created SmallCapTube.com. Film Annex is a global platform that enables CEO’s to promote their corporate videos and films. With over 30 million annual visitors worldwide, the SmallCapTube.com/Film Annex network is one of the heaviest trafficked sites on the Internet as referenced by Alexa.
Waterville Research was started in October of 2002 when the Dow was at 7500, NASDAQ was at 1200 and the Russell 2000 was at 340. That was the bottom of that market, and the belief was that after three down years, it was a good time to jump back into the Small-Cap market. Wall Street is typically very severe in its reaction to small companies in down markets, so the focus at Waterville is exclusively on Small-Cap stocks which Wall Street has ignored, abused and/or forgotten. Here we are again with the new market in 2009. The Waterville model works and we now head into the new market of 2009 and beyond. Waterville owns a long-term stock position next to management and investors.
Management Profiles
Bill Hayde - Partner
Bill Hayde has been a securities industry professional for over twenty years starting as a stockbroker, then managing and operating retail branch offices throughout the East Coast. Bill is currently Director of Corporate Finance for Brockington Securities which is located on Long Island, New York, and his current NASD licenses include Series 6, 7, 24, 55 and 63. Prior to Brockington, Bill was at Aegis Capital Corp. and was responsible for compliance with all facets of the firm's underwriting and selling group participation. Through his experience, Bill has extensive knowledge about the NASD, NASDAQ and a variety of other regulatory bodies and issues. Bill currently sits on the board of BiosecurityTechnologies as the companys Co-Chairman , and he was the President and Founder of The Paris Group Ltd., a Venture Capital and Management Service business. A past Officer and Director of W3 Group which was successfully merged with Aftersoft Group which is a public company. Bill is also a current Director and Officer of the Toscana Group, Inc. a private investor and consulting company. Bill and his wife Beth live on Long Island with their two girls.
Michael Sweeney - Partner
Mike Sweeney is the Analyst of Waterville Research and has over sixteen years of experience on Wall Street and was the Managing Partner at Stanhope Capital, a private equity firm which focused on small-cap technology and medical companies. Mike and Bill Hayde were partnering shareholders in a number of Stanhope portfolio companies. Prior to Stanhope, Mike worked at Shearson Lehman Brothers and Chase Securities. In the technology field, Mike was the Co-Founder of 4th Peripheral Technologies, a wireless speech/telecommunications company in Silicon Valley that was taken over by a management team from Motorola and Lucent. Mike received his M.B.A. in 1989 from The Johnson Graduate School of Management at Cornell University, and his B.A. in 1984 from Boston College. Mike sits on the Board of Directors of OutsideIn Strategies, Inc., a private family owned qualitative research firm. He is a member of the Financial Communications Society, Cooper-Hewitt National Design Museum, The Cornell Club, the Cornell University Real Estate Council and the Chase Business Advisory Board. He lives in New York City with his wife Katie and their two boys, and is very active in a number of Autism causes and charities including The Hawthorne Foundation, a pioneering school for Autistic children in Manhattan and Westchester and SNACK, an after school program in Manhattan. The Sweeney's also participate in the Simons Simplex Collection at Columbia University Medical Center, an Autism study funded by Jim Simons of Renaissance Technolgies LLC. 
Beatriz Riehle – Director of Research
Beatriz has been in the securities industry for over 15 years, and she started her career at Paine Webber as a research assistant. At Aegis Capital, Beatriz work with Bill Hayde as a Securities Trader specializing in NASDAQ NMS stocks. She has also worked at Pond Equities in New York. After a successful trading career, Beatriz went on to work at T.D. Waterhouse and Etrade Securities as a broker for their high net worth and Latin American clientele. Beatriz currently has her Series 7, 63, and 4 licenses. She attained her B.A. at Adelphi University in 1995. She's fluent in Spanish and has traveled extensively in Latin America as well as Spain. Beatriz and her husband live in New York City with their son.
Waterville Philosophy On Compensation
While many firms talk about long term plans, Waterville delivers on this promise by taking the majority of our compensation (90+%) in 144 restricted stock. Cash is king to our clients. We take a long term look at the company so we are not going to do a report on one we feel is well overvalued or one that may not survive in a year but look for companies that are undervalued so we can share in their success
The maximum fee is $50,000 of Rule 144 stock per report. Forbes Magazine acknowledged the Waterville Philosophy in an article on Independent Research, where it stated, "Waterville Investment Research, founded in October 2002, gets further into bed with the subjects of its reports. It asks companies for compensation in restricted stock." Our interpretation is that "getting into bed" means believing in the long term view of the Client and the market. As 144 stock holders, all sales will be recorded so that client companies and potential investors can see the fully disclosed transactions. We are looking for long term growth of stocks.
Why Us ?
- 144 Stock Holders
- Many Competitors Seek Free Trading Shares, Thus Diluting Client's Stock From Day 1
- Long Term Market Professionals Who Have The Experience That Most Competitors Lack