Where Deals Actually Happen: Seth Farbman on Transfer Agents, Networking & NIBA

Send us Fan Mail 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 successThe real role of shareholder servicingHow CEOs should think about conferences strategicallyWhy most executives underutilize LinkedIn (huge missed opportunity)Building visibility before, during, and after eventsHow relationships — not decks — close dealsWhy “Go Home Tired” is the only conference strategy that worksYou’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. 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.