About Us

John W. Barrett – President and Founder

After serving in the U.S. Marine Corps and receiving a Bachelor of Arts in Philosophy, Mr. Barrett began his career in the financial services industry in 1972, as a stockbroker with Bateman Eicher, Hill Richards, a Los Angeles based regional investment banking firm. While at the firm, he participated in the successful underwriting of several well known Southern California based companies, such as Vagabond Motor Inns, Executive Industries, and WD-40.

In 1976, he joined the management team of Paine Webber in their Los Angeles Regional Office. During his tenure, he established the high-yield fixed income sales operation in Southern California.  While at Paine Webber, he was instrumental in the restructuring, in conjunction with the firm’s New York fixed income trading operation, of a number of publicly traded Real Estate Investment Trusts (REIT’s), such as Midland Mortgage Investors, North American Mortgage Trust, GMR Properties, and Institutional Investor’s Trust.

Mr. Barrett continued his work with high-yield securities and in 1980 joined Oppenheimer & Company to enhance their Southern California high-yield, risk and tax arbitrage capabilities. He participated in the structuring and placement of a number of sophisticated securities used by corporations and high net worth individual investors to legally reduce or adjust their tax liabilities. While at Oppenheimer, he also participated in the successful restructuring of a number of bankrupt railroads such as Penn Central, Reading Railroad, and the Erie Lackawanna.

After Oppenheimer and their related partnerships were sold in mid 1982, he was recruited to join New York and Paris based A.G. Becker/Paribas in their New York corporate offices to direct their tax arbitrage activities. At Becker/Paribas, he also participated in the design and successful private placement of the first Biogen, Inc research funding for its European clinical trials, and the expansion of the Mauna Loa Macadamia Nuts agricultural operations.

After the sale of Becker/Paribas by its French Partner in December 1994, Mr. Barrett joined the institutional trading firm Jefferies & Company in Los Angeles.  At Jefferies, he expanded the firm’s ability to offer its clients various tax arbitrage strategies including the dividend capture on preferred securities, and leveraged corporate leasing.

In 1988, he was appointed Senior Managing Principal and a member of the board of directors of a regional investment banking firm headquartered in Southern California. In that capacity, he formed the corporate finance, insurance, institutional sales and trading departments. Through his efforts, the firm was recognized in January 1989 as the first full service securities brokerage approved under the new Women Business Enterprise (WBE) regulations by the State of California. He was able to secure as clients The California Lottery, CALPERS and CALSTERS, the City and County of Los Angeles, and a number of other state and municipal agencies.

In September 1991, he founded Palisades Capital to offer investment banking advisory services, valuation, research, and consulting services to privately held enterprises, and those companies trading or expecting to trade on the Nasdaq Small Cap market place, Electronic Bulletin Board (EBB) and “Pink Sheets” (PK) marketplace

In 2004, in partnership with Palisades Capital Group, Mr. Barrett formed Health Insurance Brokers to capitalize on the upheaval in the health insurance industry, and to meet the needs of individuals, business owners and their employees seeking affordable health insurance and related supplemental benefits.

Mr. Barrett advises the management and boards of a number of public and private companies, including several non-profit organizations.  He is a frequent lecturer to business and government sponsored forums, and has written articles for a number of Southern California newspapers and magazines, and has appeared on local radio and cable television programs.

Kathleen Barrett – Director of Research and Valuation Services

Ms. Barrett is responsible for valuation, research and management consulting services performed by Palisades Capital Group.  She also oversees the production of general economic, industry, and historical business research provided by the firm’s strategic associates. Ms. Barrett also is a Partner and Director of Administration of Health Insurance Brokers, an independent health insurance brokerage firm.

Her recent valuation assignments include a fair market valuation and opinion for a private media company specializing in a relatively new media form known as virtual worlds; and a fairness opinion for a Chinese hi-tech indoor entertainment and outdoor theme parks company.

Her recent consulting assignments have provided administrative and financial accounting services to a San Gabriel Valley construction company specializing in medical and dental office buildings, and administrative services to a Southern California contractor specializing in construction of local government buildings.  She also provided internal research capabilities and assistance to a Pasadena based public internet company during their merger with a larger public internet search company.

She regularly acts as a free-lance editor for manuscripts and business reports for traditional and on-line publications, and edits academic research papers for various publications. As an example, from 1998 until 2000, she provided consulting, communication and administration services for a Public Health Project conducted at Rand Corporation.

During the late 1990s, she was a Lecturer and Instructor in the California State University and Junior College Systems. From 1991 until 2003, she lectured in the fields of United States Business and Economic history, as well as Japanese History, at the University of Southern California. In addition, during the 1990s, she provided services as the Assistant Speechwriter for President Stephen Sample of the University of Southern California.

During the late 1970’s, she was a stockbroker with the investment banking firms of Bateman Eichler, Hill Richards and Paine Webber in Southern California.  From 1971 through 1975, she was a Lecturer at USC, and in 1975 traveled to Tehran, Iran on behalf of the University of Southern California to assist in the establishment of the USC American Language Institute for the Iranian Government.

Ms. Barrett received a Bachelor of Arts in Asian Studies (Phi Beta Kappa), an MBA in Corporate Finance (Beta Gamma Sigma), and Masters Degrees in Business and Economic History, and Linguistics from the University of Southern California. She has completed her written and oral exams leading to a PhD in Business and Economic History.