Marc Wolf – Rothstein KassPrincipal Marc Wolf is a Senior Audit Principal in the Beverly Hills office of Rothstein Kass. Marc’s areas of specialization are focused within the Firm’s Financial Services Group, specifically hedge funds, RICs, commodity pools, real estate, private equity, and other types of investment partnerships, broker-dealers, private foundations and family offices. He is a certified public accountant in California, Colorado, New Jersey, New York and Texas.His experience includes advising clients on organizational structure, supervision of audits and ongoing consultation with management regarding various operational, transactional and tax matters. He also advises clients on various regulatory issues impacting the industry. Marc regularly lectures on a wide variety of topics at securities industry and family office conferences, such as SALT, MAR, OPAL, IMN, Alternative Asset Summit, Institute for International Research and Family Office Wealth Conference. He has served as a guest lecturer at USC and CSUN as well as for the Estate Planning Committee and Technology User Groups of the Los Angeles Chapter of the California Society of CPAs.Marc earned a Bachelor of Science degree in accounting from California State University at Northridge. He is a member of numerous CPA state societies, including the California Society of CPAs (CalCPA), and he has served as chairman of the Securities Industry Committee for the Los Angeles Chapter. In addition, Marc is a member of the American Institute of Certified Public Accountants (AICPA), The National Society of Compliance Professionals and The Southern California Compliance Group.He has served on boards of various nonprofit organizations and currently serves on the Deans Council for the School of Business and Economics at California State University at Northridge, the California Hedge Fund Association and the Beverly Hills Chamber of Commerce.e-mail: email@example.com
Ron S. Geffner - Sadis & GoldbergPartnerRon S. Geffner is a member of Sadis & Goldberg LLP and oversees the Financial Services Group. He regularly structures, organizes and counsels private investment vehicles, investment advisory organizations, broker-dealers, commodity pool operators and other investment fiduciaries. Mr. Geffner also routinely counsels clients in connection with regulatory investigations and actions. Mr. Geffner's broad background with federal and state securities laws and the rules and regulations of the Financial Industry Regulatory Authority, Commodities Futures Trading Commission and various other regulatory bodies, enables him to provide strategic guidance to a diverse clientele. He provides legal services to several hundred hedge funds and private equity funds organized in the United States and offshore.Mr. Geffner began his legal career with the United States Securities and Exchange Commission, where he investigated and prosecuted violations of the Federal securities laws. He also assisted federal and state criminal agencies such as the Federal Bureau of Investigation, U.S. Attorney's Office and the Attorney General's Office, in connection with their investigations of possible criminal violations of federal and state securities laws. Prior to joining Sadis & Goldberg, Mr. Geffner was associated with two other New York City based law firms, where he represented domestic and offshore private investment vehicles, as well as broker-dealers, registered investment advisers and registered investment companies. He began his corporate legal career as in-house counsel to the Investment Management Industry Services Group of PricewaterhouseCoopers LLP. He provided legal advice to the Group regarding investment advisers, registered investment companies and broker-dealers.Mr. Geffner is often interviewed as a legal expert in the securities industry and has been interviewed on television on Fox News, CBS Morning Show, CBS Evening News with Dan Rather, Squawk Box and Power Lunch on CNBC, British Broadcasting Channel, Bloomberg Radio, and is regularly quoted in The New York Times, The Wall Street Journal, Bloomberg News, Barron's, Barron's Online, Reuters, Dow Jones, Financial Times, New York Newsday, London Daily News, TheStreet.com, Private Equity Week and other national and international publications. On April 6, 2005, Mr. Geffner was invited to speak to the U.S. Commodity Futures Trading Commission in Washington D.C. as a panelist on the CPO and Commodity Pool Roundtable in connection with recent developments in the hedge fund industry. In addition, he has published a number of leading industry and legal articles. Mr. Geffner received his J.D. in 1991 from Benjamin N. Cardozo School of Law, and received his B.A. degree in 1988 from Rutgers University. He is a member of the New York and New Jersey Bars.
Kenneth J. Heinz, CFA - Hedge Fund ResearchPresident Kenneth J. Heinz, CFA is the President of Hedge Fund Research, Inc. (HFR) and is a leading authority on the global hedge fund industry. Mr. Heinz oversees the aggregation and distribution of content for HFR’s industry‐leading hedge fund database and also oversees HFR’s hedge fund indexation and analysis franchises. Mr. Heinz has provided consulting services to the hedge fund industry’s most significant institutional investors globally and has worked directly with thousands of hedge fund managers, including many of the industry’s most influential firms.He has also contributed authoritative research and commentary to some of the industry’s bestknown conferences and organizations, having given presentations at GAIM (Monaco), the Swiss Funds Association (SFA), University of Chicago Booth School of Business, Alternative Investment Council of Switzerland (AIC), University of Chicago Center for Research and Security Prices (CRSP), Skybridge Investor Conference (Las Vegas), Money Talks (China) and various CFA Society Events. He is also a highly sought after source of expert commentary for leading media outlets such as The Wall Street Journal (WSJ), Dow Jones Newswires, The Financial Times (FT), CNBC (U.S., European and Asian networks), The New York Times, London Times, the Guardian, CNN, Fortune, Time, Pensions & Investments, Barron’s and many more.Prior to his role with Hedge Fund Research, Inc., Mr. Heinz was a Manager of the Investment Management Division with HFR Asset Management (HFRAM) where he was responsible for strategic evaluation and due diligence of hedge funds for investment. Prior to joining HFRAM, he had over 5 years of experience as a trading member of the Chicago Mercantile Exchange and the Chicago Board of Options Exchange. He has a Master's in Business Administration from the University of Chicago with a concentration in Finance, Statistics and Econometrics, as well as a Bachelor's Degree in Finance from the University of Illinois; he maintains the designation of Chartered Financial Analyst.
Rachel S.L. Minard - Minard Capital LLCFounder and CEO Rachel Minard is the Founder and CEO of Minard Capital LLC, a global institutional marketing intelligence and asset raising firm based in San Francisco and New York City. Before building Minard Capital, Rachel has built and managed global institutional investment businesses for twenty years, including ten years building fund of hedge fund firms, notably Cadogan Management and Corbin Capital Partners. Having raised over $9 billion in her career, Rachel started her marketing career in 1991 after her company was hired to build the Ronald Reagan Presidential Library. Rachel holds a B.A. in journalism with honors from Northeastern University with notable distinction as a Wesley W. Marple Distinguished Lecturer by the university. Rachel serves on several-high profile advisory boards, has won numerous industry awards for institutional marketing and serves on the Investment Sub-Committee of the Westover School Endowment. With the publication of her first book, Speaking in Thumbs: The Handbook of Empathy, Rachel Minard adds the title of “author” to her accomplished career.
Danny Tarkanian Nevada State Senate CandidateDaniel John Tarkanian was born December 18, 1961 in Redlands, California. He is third in a family of four children, having two older sisters and a younger brother. His father, Jerry is one of the winningst coaches in college basketball history.
His mother, Lois Huter Tarkanian, was an educator of handicapped children who went on to become an administrator and earn a PhD degree in Human Behavior. While in California, she started the first private school for the deaf in California, chaired the state's aphasia committee and started one of the first programs for autistic children.
Danny spent his younger years in three different California cities (Riverside, Pasadena, Huntington Beach) as his father advanced professionally. He consistently excelled in academics and sports, showing focus and dedication from an early age.
Danny moved to Nevada in 1973, at the age of 12. He continued to excel in sports and academics at Hyde Park Junior High School. He led his 8th grade basketball team to the City Championship and was inducted into the school's academic honor society.
Danny attended Bishop Gorman High School, a private school attended by many of Nevada's future leaders, achieving honors all four years at the school. He was selected as the freshman male student of the year.
As a point guard, he took the school's basketball team that had mediocre success in the past and led them to two straight State Championships. He was named All-Conference and All-State each of those years.
Bishop Gorman High School has always had a great tradition in football; however, it experienced some hard times in the mid 1970's. After one of the school's worse seasons, (2-7 record) Danny was named quarterback and led the team to its first undefeated season and the State Championship.
Two years in a row, Danny was named All-Conference and All-State in football. His senior year he was named the State's Most Valuable Player. In addition, for his performance in the State Championship game, Danny received the national Hertz Number One award given to the player who had the best athletic performance in the State during that year. Danny was the only player ever to be selected as the Most Valuable Player in both the football and basketball all-star games.
Following high school, Danny attended one year of junior college at Dixie State College in Southern Utah. He maintained a perfect 4.0 grade point average in the classroom and he led the school basketball team to the Regional playoffs. He was also honored as male freshman of the year.
After one year of junior college, Danny decided to return to Las Vegas and help his father's basketball team which had just experienced its worse season while he was the coach (16-12). By the second year, Danny, as its starting point guard and captain, led the team to 24 straight wins and the school's first Number One national ranking. Danny's last two teams were both ranked in the top 10 nationally and lost to the eventual National Champions in the NCAA tournament.
Danny was twice named All-Conference and honorable mention All-American. Three years in a row he finished second in the nation in assists. He was twice named First-Team Academic All-American by the NCAA, the first time a student/athlete at UNLV earned such a distinction. He was drafted by the San Antonio Spurs in the 1984 draft.
At UNLV, he graduated with high honors and was the school's first Rhodes Scholar candidate. Danny also received the prestigious NCAA post-graduate award, given to the student/athletes that most excel in both the classroom and in athletics.
Upon graduating, Danny decided to attend law school at the University of San Diego. With no legal background and no family history in law, Danny received the highest grade in each of his 5 courses, including three perfect score, during his first semester. He was named a member of the school's Law Review and graduated Magna Cum Laude. He finished third in his class of 254 students.
Danny returned to Las Vegas and passed the Nevada Bar exam. He practiced law for eight years, four as an associate for Cohen, Lee, Johnson and Merialdo and four in his own law firm.
During this time period, his father was achieving unparalleled success as a basketball coach, creating incredible energy, pride and excitement around the State of Nevada. He led the UNLV Rebels to four Final Four appearances and the National Championship in 1990. Danny accompanied the team on its trip to the White House and visit with President Bush.
His father left UNLV, and after a brief retirement, accepted the coaching job at Fresno State, his alma mater. Danny accepted his father's offer to be one of his assistant coaches. The Tarkanians took over a program that had only two winning seasons and one postseason appearance (NIT) in the previous 10 years and won 20 or more games 6 straight years and appeared in post-season play every year including two NCAA appearances.
During this time period, Danny's mother started her successful political career. She was overwhelming elected to the Clark County School Board for 12 straight years.
After his father retired from coaching, Danny moved back to Las Vegas to make his mark on the community in which he grew up. He started a non-profit youth basketball organization and has seen tremendous growth. He currently owns and operates the largest private sports facility in Las Vegas.
Danny also formed a company to process software which would assist students in their preparation for the SAT and ACT tests. In addition, he started a company which developed the Tarkanian Professional Center, a 93,000 square foot commercial center.
In October of 2001, Danny married Amy Hanson. They have four children. Lois is the olders, born on June 1, 2003. Ava and Ashley were born March 2, 2005. Their only son, Jerry, was born on December 17, 2009.
Danny's background has had a strong three-fold effect. He has excelled in academics, athletics and as a businessman. While excelling in these areas he has mixed successfully with diverse ethnic groups, particularly in the black and Hispanic communities.
Amy served as Chairman of the Nevada Republican Party and helped to energize and motive the State party.
The Tarkanians are proud to call Nevada their home and have worked tirelessly to make their community and state a better place to live.
Thomas Lee - Lee Equity Partners FounderAfter taking Warner Music public last May with Edgar Bronfman Jr., flipped commodities outfit Refco in August. Refco quickly fell apart after chief executive Peter Bennett accused of securities of fraud; company's assets bought up by London-based hedge fund Man Group. The arvard grad started investing with $150,000 inheritance 1974. Greatest hit: Snapple, bought for $135 million 1992, sold to Quaker Oats for $1.7 billion in 1994.
Lance Baraker - Celadon FinancialSR VP of Institutional SalesLance Baraker graduated in 1993 from Lehigh University with a degree in Finance and received his MBA and Certificate in International Business from Fordham University in 1997. His trading career began with Timber Hill, making markets in equities and index options on the floor of the American Stock Exchange. Through a JBO with Spear, Leeds & Kellogg, he became a partner in El Lobo Trading Group. He continued options trading on the floor through 2004 when he joined Shoreline Trading Group in New York, where he was head of business development and prime brokerage sales. Lance left Shoreline in 2007 and was one of the founding partners of Saratoga Prime Services. In 2009, Lance Baraker was hired to build from scratch TradeStation Prime Services based in NY. His most recent position is with Celadon Financial Group, where he is SR VP of Institutional sales. Lance holds the NASD series 3, 7 and 63 licenses.
Jason Barger - SchrodersHead of Alternative UCITS SalesJason is responsible for distribution of both Alternative and Traditional UCITS at Schroders. He leads all UCITS origination and downstream sales with family offices, private banks and broker dealers in the Americas. Throughout Jason’s 18-year career, he has held senior distribution positions at Fidelity Investments, Citigroup Asset Management, Scudder Stevens & Clark and Franklin Templeton. Jason joined Schroders in 2004 and has a Bachelor of the Arts degree from Eckerd.
Gary Berger is a principal at Rothstein Kass. He is extensively involved in the Firm’s financial services practice and has over 25 years of experience serving domestic and offshore hedge funds, private equity funds and fund of funds. He provides advice on fund start up issues including organizational structure, economic and tax issues and general business consultation. Gary’s recent experience includes serving as a senior vice president at a large global administrator. Gary is a frequent speaker at financial services conferences and seminars. He has presented on numerous topics including convergence of private equity and hedge funds, how to launch a hedge fund, valuation and fair value of investment portfolios, organizational and tax issues associated with investment partnerships, and accounting and technical issues for investment partnerships. Gary received an M.S. in taxation from Fairleigh Dickinson University. He is a member of the New Jersey Society of Certified Public Accountants (NJSCPA), the New York State Society of Certified Public Accountants (NYSSCPA), and the American Institute of Certified Public Accountants (AICPA).
Steve Bernat - Lemanik Asset ManagementHead of Distribution ServicesSteve Bernat has joined Lemanik Asset Management, one of the leading third party Management Companies in Luxembourg, in April 2012 as Head of Distribution Services. In this role, he is assisting asset managers globally in creating a successful distribution strategy.
Steve has 15 years of experience in the international fund industry and has spent most of his career focusing on the theme of distribution from various perspectives and has thus become an expert in cross-border fund distribution matters.Between 2005 and 2012, he has worked for Citibank within its Securities and Fund Services division. He has held positions within Operations, Product Management and has most recently been responsible for Citi’s business development efforts with global asset managers.Prior to joining Citi, Steve has held positions at State Street/IFDS, Linedata Services and Pioneer Investments. Steve is an active member of a number of local, European and international fund industry committees and working groups. He is also the chairman of ALFI’s Distribution Support working group.
Michael Bernstein is responsible for Lyxor’s Business Development activities in North America. Michael originally joined Lyxor's New York office in November 2009 to develop relationships with US institutional investors and consultants. He was named to his current post in August 2012. Prior to Lyxor, he spent five years at FRM Americas LLC. Earlier in his career, Michael was a marketing and strategy consultant for major asset management and financial services firms. He began his career as a marketing technology analyst for Gartner, Inc.
Michael graduated with Distinction from Swarthmore College. He holds the CFA and CAIA charters and is a member of the New York Society of Security Analysts.
James P. Canales joined StoneWater Capital in 2009 as a partner and Chief Operating Officer. Mr. Canales was most recently with Octane Research Inc. where during various periods he served as Chief Investment Officer, Chief Operating Officer and Head of Risk for this Switzerland-based fund of hedge funds group. Mr. Canales previously was Chief Operating Officer of Parker Global Strategies, LLC a Connecticut-based fund of funds and was a partner at Aletheia Research and Management, a predominantly traditional long-only manager. Prior to entering the financial industry, he spent twenty years in various senior management roles with firms in the distribution and manufacturing sectors. Mr. Canales has worked and travelled extensively in emerging markets for over 30 years. He holds a B.S. in economics from Santa Clara University and completed the Advanced Management College, an executive program offered by Stanford University. He also completed coursework in economics and politics at the London School of Economics through IES.
Ovis Creative was founded in 2008, by Lauren Colonna, in order to offer the hedge fund industry unique and sophisticated marketing communication solutions. Ms. Colonna serves as the Principal and Creative Director of the firm and leads a seasoned team of financial services design, production and editorial professionals. She is a specialist in the development of strategic marketing communication materials for the hedge fund and alternative asset management space. Ms. Colonna has over 16 years of experience, exclusively in financial services, where she designed and produced award winning corporate communication products for top-tier institutions. Each of the 10 experienced industry professionals at Ovis brings an innovative and client-oriented approach to each project. Before founding Ovis Creative, Ms. Colonna served as the Vice President of Business Development and the Director of Creative and Client Solutions at Synergy Graphix, a marketing design firm. At Synergy, Ms. Colonna personally led the development of all marketing communication materials and was integral in establishing the firm’s hedge fund and financial services business. In addition to her hands on creative role, she built the team from a 3-person design group to a 17-person marketing firm. Prior to Synergy, she worked at Morgan Stanley where she personally executed the creative design and production of high-level communication programs for the Investment Banking Division and Individual Investor Group. Her background also includes creative and strategic roles at Prudential Financial and Lord Abbott & Co where she developed marketing communication programs for the investment management, mutual fund, annuities and managed account departments. Ms. Colonna has earned her BA in Design and Digital Imaging from the Rochester Institute of Technology. She also completed specialization courses in both Corporate Design and Print Management from the Rochester Institute of Technology and in Media Communications from Rutgers University.
Geremy Connor - Attalus CapitalPortfolio Manager, Director of Research
Geremy serves as Director of Research and Portfolio Manager for Attalus Capital, a global asset manager. He manages the firm’s hedge fund research and due diligence efforts with a focus on sourcing emerging managers. He has co-managed a multi-strategy and long short equity hedge fund of funds, as well as customized hedge fund solutions. He serves as a partner in the firm and sits on the firm’s investment committee. Prior to joining Attalus, Geremy was an investment analyst for Lehman Brothers Neuberger Berman Wealth Management. He was also a risk consultant at National Economic Research Associates. Geremy began his investment career as a financial analyst with Credit Suisse First Boston.
Geremy received his Master in Business Administration degree from Harvard Business School and his bachelor degree in economics at Princeton University.
Chun Ding - CRCM Founder, Principal and Portfolio/Risk ManagerIn 2006, Chun Ding started managing China-dedicated capital. Prior to founding CRCM, he worked at Farallon Capital Management since 1997. In July 2003, he was elected a Managing Member of Farallon Capital Management in charge of Risk Arbitrage. Prior to business school, Chun Ding worked as a financial analyst at Goldman Sachs. He graduated from Middlebury College in 1993 with a B.A. in Economics, where he was Valedictorian of his class, and he received his Masters of Business Administration from Harvard Business School in 1997 where he was elected a Baker Scholar.
Kirk Dizon - IGI Co-Founder and Managing DirectorKirk Dizon is Co-Founder and a Managing Director of IGI. Prior to IGI, he was a Managing Director at Hall Capital Partners where he spearheaded many of the firm's investment activities in Asia and served as Co-Head of the firm's Private Equity group. Earlier at Hall Capital, Mr. Dizon also had co-management responsibilities over the operations of the firm's Pooled Vehicles program, and served as the firm's General Counsel and Chief Compliance Officer. Mr. Dizon currently serves on the Executive Boards of Asia Infinity Partners, Cendana Capital, and ChrysCapital Investment Advisors, as well as the City of San Francisco's Ad Hoc Technology Advisory Council. He formerly served on the Limited Partner Advisory Boards of Asia Environmental Partners, Freestyle Capital, Friedman Fleischer & Lowe, Gemini Israel, Khosla Ventures, Longreach Capital, New Horizon Capital, and Qiming Venture Partners. Prior to joining Hall Capital, Mr. Dizon practiced law at Cooley Godward LLP, where he was a Partner in the Fund Formation Group and served as counsel for many of the early vanguard private equity and venture capital firms in Asia. Importantly, he was a leading China and India fund attorney during the mid-1990s and early 2000s when the industry was at its nascent stages and the entrants were first-movers. Mr. Dizon earned a B.A. in Economics from Pepperdine University, a J.D. from Loyola Law School, and an LL.M. in Taxation from Georgetown University Law Center.
Huy Do - PrideCo Capital Management LLC CPA
Huy is responsible for deal sourcing, reporting, technology, and the family back office at PrideCo Capital Management, LLC, an established single family office with locations in Oakland, CA, Irvine, CA, and Naples, FL. With experience in corporate finance, audit, operations, and workouts, Huy has a diverse set of experiences required to manage a family office. He has a BA in Accounting from Pepperdine University, a MBA from the University of Southern California, and is a CPA in the state of California.
George T Dowd III - Newedge USA Head of Chicago Foreign Exchange Mr. Dowd joined Newedge Group in 2007 and currently manages the Chicago Foreign Exchange Desk. He is also a committee member of the Newedge FX Risk Allocation Program. He has extensive experience trading foreign exchange, fixed income, equity index and commodity markets and creating portfolios of foreign exchange managers. In addition, he has done extensive work in trading system development and volatility adjusted position sizing as applied to both multi-product commodity portfolios and multi-manager investment portfolios.Prior Experience Mr. Dowd joined Spectrum Asset Management in July 2003 to establish the Spectrum Currency Program and to assist in marketing both the Currency and Global Diversified Programs to institutional investors. His responsibilities also included managing trading for both programs.Mr. Dowd contributed a chapter titled “The Move to Electronic Trading: What to Expect in the Natural-Resources Commodity Markets” for the book "Intelligent Commodity Investing" (Risk Books, 2007). He is a frequent speaker at industry events and appears regularly on CNBC, Bloomberg TV and the Fox Business Network.Prior to 2003, Mr. Dowd was on the institutional foreign exchange desks of JP Morgan Chase and Bank of America. His responsibilities included managing proprietary capital and advising major hedge fund and CTA clients. Prior to 1997, Mr. Dowd's experience includes proprietary trading and trading systemdevelopment at Credit Suisse and Gelber Management Inc.Mr. Dowd graduated from the College of the Holy Cross where he received a Bachelor of Arts in Economics and played varsity men’s ice hockey. He attended Skeleton Development Camp at the U.S. Olympic Training Center in Lake Placid, NY and has run both the Boston Marathon and the New York City Marathon.
Andrew Dreaneen - Schroders Head of Alternative UCITSAndrew is responsible for Alternative UCITS at Schroders and is involved in the strategy and development of Schroders Alternative UCITS program GAIA (Global Alternative Investor Access). Prior to this Andrew was Head of Product Development for a number of Schroders UCITS and alternative fund ranges. Andrew joined Schroders in 2000 and has a Postgraduate Diploma in Business Administration and a Business Degree from Massey University, New Zealand.
Ben Durrant is a director at ICG Advisors, LLC; an independent investment consulting firm based in Los Angeles. ICG acts as an “Outsourced chief investment officer” for wealthy families, endowments, and foundations, and currently consults to just over $3.5 billion in assets for approximately 60 clients. Ben has many roles at the firm including investment manager due diligence, client servicing, and portfolio construction and modeling. Further, he serves as a member of the investment committee. Prior to ICG, Ben spent several years as an institutional trader at both Morgan Stanley and Deutsche Bank in New York, he was head trader at Vantis Capital; a global macro hedge fund in Los Angeles and was a partner on a team within Merrill Lynch’s Private Banking & Investment Group in Los Angeles that managed $4.5 billion for high-net-worth individuals.
Benjamin Fanger - Shoreline Capital Co Founder & Managing DirectorMr. Fanger co‐founded Shoreline Capital Management, Ltd. in 2004 to invest in distressed assets and special situations in China. The firm currently manages over US$550 million, with principal balances on its distressed debt holdings totaling over US$2 billion. Mr. Fanger works with the team to formulate the company’s investment strategies and is involved in the sourcing, analysis, negotiations, restructurings and liquidations related to acquiring and disposing distressed assets in China. He has worked directly with Chinese sellers, borrowers, judges and high‐level government officials. Prior to founding Shoreline, Mr. Fanger was involved as a founding member in the start‐up and exits of several firms, with the majority of his career being China‐focused. He has done work on Chinese nonperforming loans investments and private equity deals with the field’s leading team of attorneys. Mr. Fanger has been fluent in spoken and written Chinese for fifteen years and has spent three years living in Greater China. He also holds a JD and MBA from University of Chicago and is a licensed attorney in the State of California.
David N. Feldman - Richardson & Patel PartnerDavid N. Feldman is a Partner of Richardson & Patel in its New York City office. His practice focuses on corporate and securities matters and general representation of public and private companies, investment banks, private equity firms and high net worth individuals. He also actively advises on mergers and acquisitions and private equity, debt, venture capital and other financings. David is considered one of the country's leading experts on alternatives to traditional initial public offerings, including reverse mergers, in which a private company becomes publicly traded through a merger with a publicly held "shell" company. His book on the subject, Reverse Mergers and Other Alternatives to a Traditional IPO, Second Edition (Bloomberg Press) was originally published in 2006, has been translated into Chinese and the second edition was released in December 2009. In 2011, TheStreet.com labeled the book the “seminal text” on reverse mergers. A Wharton School graduate, David is the former Chair of Wharton’s worldwide alumni association board. He is a frequent public speaker, seminar leader and counsel on issues unique to small and midcap companies. He has appeared on Bloomberg TV and National Public Radio and been quoted in the New York Times, Wall Street Journal, The Financial Times, The New York Law Journal, The Deal, Forbes, Entrepreneur, CFO magazine and others. David is also a contributor to An Issuer’s Guide to PIPEs (Bloomberg Press, 2009) and PIPES: A Guide to Private Investments in Public Equity, Revised and Updated Edition (Bloomberg Press, 2005). David's blog, www.reversemergerblog.com, is visited by thousands of professionals each month. David is also a regular contributor on entrepreneurship to Slate.com's small business site at http://bizbox.slate.com. David serves on a number of charitable boards as well as those of public companies. He has previously been a member of or associated with the law firms of Feldman LLP, Feldman & Ellenoff; Pryor Cashman LLP; Reavis & McGrath (now Fulbright & Jaworski); and Rivkin Radler LLP. He received his JD from the University of Pennsylvania Law School and his BS from the Wharton School of the University of Pennsylvania.
Jonathan N. Feniak, MBA - Wells Fargo Advisors, LLC.Financial Advisor Jonathan Feniak is a Financial Advisor with Wells Fargo Advisors, LLC and is based out of the firm’s Cherry Creek Colorado office. Jonathan’s investment philosophy centers on minimizing downside risk in his clients’ portfolios. This is achieved by developing custom investment strategies which utilize alternative portfolio solutions and separately managed accounts. Prior to joining Wells Fargo Advisors, Jonathan served in various executive and partner roles with alternative investment firms in Colorado, New Jersey and Connecticut. Jonathan co-founded the Colorado Alternative Investment Group in April, 2009 in order to create a forum for the open exchange of information and ideas between investment professionals within Colorado's alternative investment community. Jonathan earned his MBA from Rutgers University Graduate School of Management and his B.A. in English from Rutgers University. He resides in Denver Colorado with his wife, Meredith and twin 10-year old boys.
Mr. Fitzmaurice received his BA from Georgetown University in 1982 and his JD from Georgetown University Law Center in 1986. Mr. Fitzmaurice resides in Minneapolis, Minnesota.
Svein Floden - Deutsche Bank Asset & Wealth Managment Director and Head of Hedge Fund Distribution-Americas
Svein Floden is a Director and Head of Hedge Fund Distribution-Americas for Deutsche Bank Asset & Wealth Management. Previously, Mr. Floden was Head of Hedge Fund Distribution for Private Wealth Management – International in Geneva, Switzerland. Prior to that, he was a Senior Hedge Fund Advisor providing technical sales support coverage for Latin America, Spain, Italy and Scandinavia. Mr. Floden also held several management and sales positions within PWM Latin America in New York. Before joining Deutsche Bank, Mr. Floden was a Relationship Officer at the Citigroup Private Bank, responsible for client relationships for the Latin America team based in New York. Mr. Floden holds a B.S. in finance from the University of Maryland and an M.B.A. from the Kellogg School of Management at Northwestern University. He is a native Spanish and Norwegian speaker, and is also fluent in English, Italian and Portuguese.
Bertrand Fry - Pryor Cashman's Coporate Group PartnerBertrand Fry is a partner in Pryor Cashman’s Corporate Group and is co-head of the firm’s Investment Management Group. Bert has nearly twenty years of general corporate and transactional experience that includes extensive experience with alternative investment vehicles. In addition to having launched and advised a diverse array of U.S. and non-U.S. investment products, including vehicles engaged in macro, distressed, private equity, venture capital, and real estate investing, debt origination, and quantitative trading of securities and futures, his practice has included, among other things, structuring and advising investment managers and advisers, private company mergers & acquisitions, and joint ventures. Bert is particularly well attuned to the business needs of his clients, based on more than a decade of in-house experience at the D. E. Shaw group, where Bert was a Senior Vice President and served for a period as Acting General Counsel. During his tenure there, the D. E. Shaw group included several SEC-registered investment advisers and, at its apex, managed approximately $40 billion across various strategies and multiple funds. Bert also launched and advised a wide range of hedge funds, funds of funds, and their managers as a member of the London office of
Dechert LLP. Bert earned his J.D., with honors, from The University of Texas at Austin School of Law, where he was also an articles editor for the Texas Law Review and received the Outstanding Second-Year Member Award from the Texas Law Review, the Gilbert I. Low Endowed Presidential Scholarship in Law, and Highest Achievement in Contracts.
Charles Flynn - North ChannelPortfolio ManagerCharles Flynn is a portfolio manager for North Channel, a single family office, where he has responsibility for investments in all asset classes. Before North Channel, he was Co-Portfolio Manager of the Mariner Explorer Fund, a fund of hedge funds focusing on non-traditional investment strategies such as insurance-linked securities, commodities and royalty assets. Prior to joining Mariner Mr. Flynn was a Director and Portfolio Manager for K2 Advisors, a fund of hedge funds firm. Before joining K2, Mr. Flynn worked for Securitas Capital, LLC, a private equity firm focusing on investments in the financial services industry. Mr. Flynn graduated from Yale University in 2000 with a B.A. degree in Economics.
Michael Fox - Park City Capital LLCFounder and Managing PartnerMichael J. Fox is the Founder and Managing Partner of Park City Capital, a research intensive investment management firm that he launched in 2008. Prior to founding Park City Capital, Mr. Fox spent eight years in equity research at J.P.Morgan in New York, most recently as Vice President and Senior Business Services Analyst since 2005. From 2000 to 2005 Mr. Fox was a member of J.P.Morgan’s Leisure equity research group, which was consistently recognized by Institutional Investor’s All America Research Team. Mr. Fox received a BBA in Finance from Texas Christian University in 1999. While at TCU, Mr. Fox was selected as an analyst on the William C. Connor Educational Investment Fund, an entirely student-managed endowment fund.
Ben is an Investment Consultant to foundations, endowments, and families. In that role, he advises clients in the areas of investment strategy, manager selection, risk management, and portfolio construction and monitoring. Prior to Canterbury, Ben was with Bunker Hill Capital, a control-oriented private equity fund. From 2001-2008, Ben managed SFP, a multi-generational family office, performing asset allocation, manager selection, and making direct debt and equity investments. He serves as a Philanthropic Partner of the USC Center on Philanthropy and Public Policy and is a member of the Milken Institute’s Young Leaders Circle. Ben holds an MBA in Finance and Entrepreneurial Management from The Wharton School at The University of Pennsylvania and a BA from the University of Southern California where he was a Dean’s Scholar.
Charles P. Friedberg - Stride Capital GroupCFA-Partner, Cheif Investment Officer Charles brings over 17 years of industry experience to the Stride team. Charles, as Managing Director and Portfolio Manager, most recently started a fund-of-funds business for Angelo Gordon & Co. in 2003 that focused on emerging and undiscovered investment managers and grew to $1 billion in assets under management. Prior to that, while working at SEI Investments, Charles, as Director, conceptualized, developed and grew what became SEI's Pension Connect 360 pension management platform that has advised $23 billion in retirement plan assets through December 2010. Previously, Charles was a Senior Vice President and formerly the fifth employee at InvestorForce, helping lead and grow the firm. In addition, he was a key member of the management team responsible for raising over $70 million in strategic capital. Charles began his career as an investment analyst at SEI Investments, leading the development and management of the firm's International Equity funds. Charles studied finance and Japanese at Lehigh University, graduating in 1994 with honors. He is also a Chartered Financial Analyst charterholder.
Philip Gocke - Options Industry Council (OIC).Managing Director of Research and Educational StratergyPhil Gocke is Managing Director of research and educational strategy for institutional investors at the Options Industry Council (OIC). In this role, he is responsible for educating pension funds, hedge funds and money management firms about the benefits and risks of exchange-traded options. Mr. Gocke also works with academic institutions to commission research, serves as a spokesperson for OIC, presents options material at educational seminars and writes options-related articles. Mr. Gocke is also the founder and President of the options trading firm, Brite Sky LLC. Brite Sky uses proprietary mathematical and technical models for electronic execution on broad and narrow equity option indices. Previously Mr. Gocke was a Managing Director and CEO of Van Der Moolen Options U.S.A. LLC. Prior to that Mr. Gocke was a Managing Director of Tague Van Der Moolen LLC and held a similar position for 15 years with Tague Securities Corporation/BancAmerica Options, Inc. until TSC was acquired by TVDM in April 1999. Earlier in his career, Mr. Gocke was a Vice President and Chief Advisor for Bank of America's Financial Market Advisory Group and a senior foreign exchange trader for the Federal Reserve Bank of New York. Mr. Gocke received an MBA degree from New York University and a BA in Economics from Lafayette College.
Eli R. Goodman - comScore, IncMedia Evangelist Mr. Goodman leads the business development and research team for comScore’s Product Specialty division, where he plays an integral role in educating the industry on how to best merge marketing functions across platforms, including traditional portals, online video, television, search, social media, display advertising, and mobile. He is a 13-year veteran of the technology and market research industry, with experience in search, display advertising, mobile, video, branding, public relations, and marketing.
Prior to joining comScore, Eli worked at Hitwise, where he honed his knowledge of the web analytics industry, specifically focusing on search projects related to retail, travel, financial services and publishing.
Eli began his career at Gartner, Inc. as a member of the business development team for the Research & Consulting division. In this capacity, he worked with technology vendors utilizing Gartner research for market sizing, product development direction and public relations.
Eli earned a BA in Organizational and Behavior Management from Brown University in Providence, RI and currently resides in New York City.
Please follow this link to view Eli’s profile on LinkedIn. http://www.linkedin.com/pub/eli-goodman/7/1bb/152
Joseph Greco - Meridian Equity PartnersManaging DirectorJoseph provides equity & option trade strategy and execution to clients with activist, event arbitrage, L/S, and proprietary strategies for various family offices, institutions, hedge & pension funds. He coordinates personal & team aspects of the client experience: position management; algorithm/venue selection & optimization; cost-reduction strategies; risk management consultation; soft-dollar initiatives. He interacts with head-of-desk and PM-level clients in an outsourced trading capacity for accretive idea generation, trusted agency execution, and intelligent position management. Joseph also appears in major financial media to provide insightful and accurate market commentary as a reputable practitioner.Prior to joining Meridian, Joseph traded merger spreads at Cuttone & Co, and spent time researching and advising private clients on financial strategies for their HNW families. He graduated from Rensselaer Polytechnic Institute in 2001 with a degree in Financial Systems, and spent time studying in Maastricht, the Netherlands. Joseph continues to broaden his understanding of the industry through various courses, literature and trade organizations, like TAAAPs, where he contributes as an Executive Board Member. He maintains Series 7, 55, and 63 licenses.
Ari Gendason - Arlon Group Managing Principal and Portfolio ManagerAri Gendason is Managing Principal and Portfolio Manager of Arlon Group and is focused on the activities of Arlon Opportunities Investors, a long/short equities and commodities hedge fund focused on the food & agriculture sectors. Prior to this, Mr. Gendason was an Associate at VantagePoint Venture Partners and related fund Greenbridge Capital. He was also an Associate in the M&A group at RSL Communications and an Investment Banking Analyst at CIBC Oppenheimer. Mr. Gendason received both his Bachelor of Science degree in Finance and Accounting and his Master of Business Administration degree in Finance from The Wharton School of the University of Pennsylvania. Alan D. Glatt - Protocol Capital ManagementManaging PartnerPrior to establishing Protocol Capital Management, an outsourced capital placement and consulting firm, Alan was a Partner with Alpha Equity Management (“AEM”), a Quantitative Hedge. In 2007, Trusco Capital Management, the $75 billion dollar asset management division of SunTrust Bank (“STI”) purchased a significant minority interest in AEM. Subsequently, Mr. Glatt sold his remaining interest in the firm. Mr. Glatt has over 20 years experience in financial services, began his career with Smith Barney Harris, Upham, in the institutional sales area. He subsequently worked as a vice president in the Institutional and Individual Service Group at Donaldson, Lufkin & Jenrette (“DLJ”). In 1991 he joined Morgan Stanley in the Private Client Group and left as a principal of the firm in 2002. In late 2002, he joined Mariner Investment Group, as the President of Mariner Wealth Management.Mr. Glatt is on the Board of Trustees of the Southampton Hospital Foundation and Honorary member of Trustees for New York’s Henry Street Settlement. In addition, he is a long time member of the Steering Committee for the Henry Street Settlement’s Armory Art show. Kenneth Goldberg - Abaci Capital, LLCCo-founder and Managing MemberKenneth Goldberg is a co-founder and Managing Member of the General Partner. Mr. Goldberg has held various positions in his nearly 30 year career in the in the securities industry. He is the President of TWW, Inc., a firm offering market analysis and risk management consulting services to high net worth and institutional clients. Mr. Goldberg has appeared on CNBC, and has been a twice-weekly contributor to TheStreet.com’s RealMoneyPro.com service since 2010. He regularly offers training classes for professional and institutional stock and futures traders, and has become a well-respected authority on the Elliott Wave Theory.Mr. Goldberg is a graduate of the University of Washington, from which he obtained a Bachelor of Science degree with Honors in Psychology in March 1985. He is FINRA Series 65 (Uniform Investment Advisor Law Examination) examination qualified. John R. Halasz - Ameriprise Financial Services, Inc.Financial Advisor Since 1997 John has been managing assets and evaluating & allocating to alternative investments for families and UHNW Individuals. He has spoken to institutional investors globally about risk management, where to invest and evaluating alternative investments. He is a director on the board of The Hedge Fund Association and has spent several years consulting to and working for alternative investment managers, in both the hedge fund and the real estate markets. John is currently a founding partner and managing director of The Marche’ Group a financial advisory practice of Ameriprise Financial Services, Inc. Mark Hawkins - Commodity CapitalFounderMark Hawkins was born in Nairobi, Kenya in 1953. He attended Nottingham University in Nottingham, England where he received a B.A. in Economics (1974). He then graduated with an MBA from the University of California, Berkeley, in 1976.From 1976 until 1978 he was employed by the Continental Grain Company in London, England where he worked on the soybean and proteins desk.In 1979 he returned to the United States to work for the Louis Dreyfus Corporation (LDC). AtLDC, Mr. Hawkins spent one year in Springfield, Illinois where he became responsible for trading the south-east rail corn market.From May 1980 until June 1984 he worked at the LDC headquarters in Stamford, Connecticut where he traded domestic and global feedgrains for the company.In July of 1984 Mr. Hawkins founded Commodity Capital, a Commodity Trading Advisor (CTA) specializing in the grains, oilseeds and other agricultural markets.Spencer Hempleman - Ardsley Portfolio Manager Spencer Hempleman, Portfolio Manager: Joined Ardsley in August 2002. Prior to Ardsley he was a Director at CIBC Oppenheimer serving as an equity position trader focused on utilities and alternative energy. Spencer was the head of CIBC World Market’s US equity desk in London in 2001. Spencer received his MBA from New York University and a BA from Tufts University. Richard A. Hermann, Portside Group, LLC Managing PartnerMr. Hermann has served as a Managing Partner and Director of Research at Portside Group, LLC since 2003. Portside Group, LLC provides 1) consulting advice to fund-of-funds and 2) asset raising assistance to hedge funds. Between 1999 and 2003 Mr. Hermann was the Director of Operations at Fuller & Thaler Asset Management. Prior to joining Fuller & Thaler, Mr. Hermann consulted to hedge fund managers on both portfolio and operational risk management, product positioning in the ERISA marketplace, and on business strategy. Between 1993 and 1999, he worked at Collins Associates, a fund-of-funds which managed over $1.5 billion. At Collins Associates worked as a member of the firm’s research team and served as the firm's Risk Manager. Mr. Hermann holds a B.A. in Mathematics from the University of California, Riverside Matthew Hoffman - RoundTable Financial Group, LLC Partner Matt Hoffman is a Partner of RoundTable Financial Group, LLC, established in early 2009. RoundTable is a global, financial advisory and investment firm specializing in merchant banking activities, alternative investment products and services. RoundTable works with institutional investors, family offices, and wealth management firms to create value from portfolio investments in hedge funds, private equity and investments in direct deals. Matt has over 25 years of experience in global investment markets, serving in various executive and management roles at JPMorgan Chase, Merrill Lynch, UBS and Credit Suisse in the US, London, Hong Kong and Tokyo. His background is in both derivatives trading and asset management. Matt has degrees from Denison University in Mathematics, Economics and Biology, and an MBA in Finance from the University of Chicago. Jason Huemer - Visium Asset ManagementPresidentJason joined Visium in 2010. He was previously CEO of Atlas Capital Management, a global macro and emerging markets hedge fund firm. Prior to that, he spent four years at SAC Capital, where he was a managing director and the chief operating officer of SAC's Sigma Capital unit. Jason was also a managing director at Merrill Lynch; President and Founder of Synthesis Funds, a hedge-fund seeding business; and Chief Operating Officer at York Capital Management. Jason has a BA in Philosophy and Economics from Columbia University, where he graduated cum laude and was elected to Phi Beta Kappa, and an MBA in finance from New York University. Aisha Hunt - Dechert LLPAisha Hunt advises investment managers and registered funds on complex investment management legal issues, including new product initiatives, optimal business structures and risk mitigation strategies. In particular, Ms. Hunt has extensive experience handling legal issues arising under the Investment Company Act of 1940 and other federal securities laws. She handles regulatory and compliance matters including: the organization and registration of new funds (traditional and alternative mutual funds, closed-end funds and other pooled investment vehicles); exemptive applications and no-action requests; SEC examinations; and matters relating to investment advisory, brokerage, custody and transfer agent services. She is also experienced in structuring and forming UCITS funds and advising on cross-border registrations and private placements in the United States, European Union, Asia and Latin America.Ms. Hunt applies her significant in-house experience and industry-specific knowledge to developing legal solutions that meet both clients’ business objectives and regulatory requirements. Her in-house experience includes serving as Senior Counsel at Wells Fargo Bank, N.A. and Vice President of Wells Fargo Funds Management, LLC. She has also served as Associate General Counsel at Dodge & Cox, one of the oldest independent investment management firms in the United States. Prior to joining Dechert, Ms. Hunt led the registered fund practice at Cole-Frieman Mallon & Hunt LLP. Mazin Jadallah - AlphaClone, LLC CEO Mazin founded AlphaClone in 2008 with one simple purpose–empower the average investor by giving them intelligent, instant and transparent access to the investment ideas of hedge fund and institutional investors. Since its founding, AlphaClone has established itself as the pioneer research and investment firm for hedge fund position replication. Prior to founding AlphaClone, Mazin was a 12-year veteran of technology driven media businesses and has held several senior analyst and advisory roles at companies such as Time Warner Inc. and OpenTV Inc. He is a lifelong investor, a registered investment advisor representative (Series 65 Registration) and is a Chartered Alternative Investment Analyst Level 2 candidate. He holds an MBA with honors in Finance and Management from Rollins College and a BS in Industrial Engineering from Texas Tech University. For more information, visit www.alphaclone.com. Adam B. Joffe - Boston Company Asset Management, LLC Director of Alternatives and Chief Administrative Officer Adam is the Director of Alternatives and Chief Administrative Officer for The Boston Company Asset Management, LLC where he has executive management oversight over Operations and Distribution Support. He is a member of the firm’s management committee. Adam joined The Boston Company in 2012 and has nearly 20 years of industry experience. Before joining The Boston Company, Adam was Senior Vice President and Chief Financial Officer at First Eagle Investment Management. In that role, he was responsible for all financial aspects of the firm, board and regulatory reporting and new product development. Previously, Adam spent 10 years at Deutsche Bank where his most recent position was COO of Hedge Funds and Fund of Funds. Other positions he held at Deutsche Bank include Head of US Business Management, CFO of Hedge Funds and Fund of Funds, Director, MIS and Strategic Planning, Global Business Controller and BAC Institutional Sales/Legal Entity Controller. He was a member of the Hedge Fund Investment Oversight Committee, the Hedge Fund Infrastructure Committee, the Fund of Funds Operational Due Diligence Committee and several others. Prior to this, he was Controller and Chief Financial Officer of Bolger and O’Hearn, Inc., a textile chemical manufacturer. Adam earned a Bachelor’s Degree in Finance and an MBA in Accounting from Bryant University. Cem Karsan - AEGEA Capital Management, LLCFounder and Senior Managing Partner Cem Karsan is founder and senior managing partner of AEGEA Capital Management, LLC as well as its Head of Research and Risk Management. He graduated with honors from Rice University in 1999 with a triple major in Mathematical Economic Analysis, Policy Studies, and English. He later graduated from Northwestern University’s Kellogg School of Management in 2006 with an MBA with emphasis in Analytical Finance and Management.Following his undergraduate studies, he worked as a volatility trader as part of RBC Dominion Securities’ Derivatives Arbitrage Group. In 2002, Mr. Karsan left his post at RBC to work directly under renowned Wall Street investor John Mulheren at Bear Wagner Specialists, where he helped expand the firm’s fledgling derivatives arbitrage arm into a competitive force within the industry. During the peak of his tenure heading the Volatility Arbitrage Group for Bear Wagner, Mr. Karsan managed a team of approximately 30 employees and utilized a sizable portion of the firm’s tradable capital. During this period, Mr. Karsan recruited and trained many investment professionals, several of whom are currently leaders in the industry. In 2005, as Bear Wagner’s declining specialist operations put the firm’s viability at risk, Mr. Karsan took a portion of the trading arm he managed and founded a market-making firm specializing in equity index volatility arbitrage. From 2007 to 2010, over the course of the financial crisis, his firm, Precision Capital Management, earned a compounded return to investors of many multiples of their initial investment. With its success, the firm quickly became a significant player in the products it traded, constituting approximately 13% of CBOE S&P 500 index option volume at its peak. In 2010, Mr. Karsan sold his stake in Precision and founded AEGEA Capital Management, LLC. Tami Kautzman - Family Office ServicesConsultantTami is a marketing business development professional with over fifteen years’ experience working within the financial community focusing on Alternative Investments and High Net-Worth, Family Office Investing. Over the course of her career she has established a comprehensive network of solid business relationships throughout the United States. Prior to working as a Consultant, Tami was a Business Development Director at Rothstein Kass and lead the firm’s national efforts to cultivate and build relationships within the family office and high net-worth community. As a leading financial services firm with a focus on “Alternative Investments” she developed programs to bring the investors and clients closer together through thought leadership programs and education. As a result, she developed deep relationships in Family Office, High Net-Worth and the Alternative Investment Community, with a primary focus on Hedge Funds, Fund of Funds, Private Equity, Real Estate and Specialized Funds. As an Entrepreneur and successful recruiter, she started and ran Right Move and KautzMorgan, LLC, located in Beverly Hills for over eight years. The firm concentrated on servicing financial clients in Southern California. Tami’s corporate experience includes working at Citicorp, Merrill Lynch and Oppenheimer.A. Todd Ladda - FortressManaging DirectorMr. Todd Ladda is a Managing Director based in New York.Responsible for capital raising and investor relationship management for the Credit Funds at Fortress Investment Group LLC. Mr. Ladda is also a member of the Management Committee of Fortress. Prior to joining Fortress in July 2006, Mr. Ladda was a managing director at Trust Company of the West ("TCW") where he was responsible for the United States hedge fund joint venture between TCW and its parent company, Societe Generale Asset Management. He previously served as managing director and head of sales, marketing and distribution for Oppenheimer and Company's Alternative Investment Group. Mr. Ladda was also on the group's risk management and due diligence committees. Mr. Ladda was a founder of Green Wave Capital, an investment firm focusing on developing and distributing hedge fund products for the high net worth and institutional marketplace. He received a B.A from Princeton University in Political Science.Brett Langbert - HedgeCoPresident and COOBrett Langbert joined HedgeCo as President and COO in May of 2012 after enjoying a very successful 17 year career on Wall Street. Brett has a wealth of hedge fund experience that he is bringing to HedgeCo Networks. He has spent his entire career focusing on hedge funds and has tremendous capital markets knowledge across equities, convertibles, volatility products, high yield, distressed and credit. Further, he has excellent knowledge of hedge fund infrastructure and operational themes as well as the capital raising environment. Most recently, Brett was a Managing Director at UBS overseeing Prime Brokerage Sales for the Americas. His responsibilities included Prime Brokerage sales and origination for a platform that covered 750 institutional accounts across the United States, Canada, Latin America and South America. Before joining UBS, Brett was a Managing Director at Morgan Stanley. He was Co-Manager of Cash Sales Trading for the Americas, Manager of Merger Arbitrage, Manager of Capital Structure Arbitrage and Co-Headed a joint venture between Credit and Equities focusing on high yield, credit and distressed hedge funds transacting across the Equity product curve. Brett also segmented Morgan's institutional coverage model across cash, convertibles, derivatives, program and swaps execution services. Brett started his career at Goldman Sachs, where he spent multiple years as a cash sales trader before joining the convertible arbitrage desk and ultimately running parts of the convertibles business as well as managing volatility products for Goldman's middle market institutional platform. Brett graduated Colgate University in 1995 with Honors in Political Science. He also served on the Alumni Board of Directors at Colgate. He holds the Series 7, 63, 3, 55, 9, 10 and 24 securities licenses.Marc X. LoPresti Esq. - Tagliaferro & LoPrestiFounding Partner Marc X. LoPresti is a founding partner of Tagliaferro & LoPresti, LLP, a law firm specializing in the representation of market participants in the alternative investment management industry. A graduate of New York Law School, Marc manages the New York office of the Firm. He has structured and formed numerous alternative investment vehicles including hedge funds, fund-of-funds, private equity and venture capital funds, and has also represented these clients in all manner of corporate transactions and regulatory enforcement defense. Marc also oversees the Firm’s buy-side practice, which represents investors in alternative asset managers and the funds they manage. Marc has served as lead counsel in various matters and transactions that have been covered by national publications including the Wall Street Journal, Vanity Fair and The Chicago Tribune, and has been a featured speaker on international financial news network reports on global markets and the U.S. economy. He is regularly quoted by industry publications on issues impacting the hedge fund industry. Marc is a Member of the Bar of the State of New York, and is admitted to practice in the Southern and Eastern Districts of New York, as well as the First Circuit Court of Appeal. He obtained practical experience in finance at Lehman Brothers. Kevin Lyons - Aberdeen Asset Management, Inc.Senior Strategy Analyst Kevin Lyons is a Senior Strategy Analyst on the hedge funds team. Kevin joined Aberdeen in 2012 from Attalus Capital where he was a senior analyst covering relative value strategies. Prior to Attalus, Kevin worked for Morgan Stanley and Goldman Sachs within their Prime Brokerage groups. Kevin graduated with a BS in Finance from University of Scranton and an MBA with a concentration in Finance from Fordham University. Frank A. Magnani - Celadon Financial Group LLCManaging DirectorFrank A. Magnani is Managing Director, Head of Prime Brokerage Sales and Marketing in the Prime Brokerage Division at Celadon Financial Group LLC, a FINRA registered broker dealer. The division was founded and formed by Mr. Magnani in January 2007 for the purpose of providing prime brokerage and execution services to emerging managers, small to mid- sized hedge funds, trading groups, and family offices in the United States and abroad. Mr. Magnani has implemented the prime brokerage infrastructure through Celadon’s custodians, as well as offering a broad spectrum of services to hedge fund clients including capital introductions. Mr. Magnani has direct responsibility for overseeing and expanding Celadon’s prime brokerage client base, directing the overall sales effort, and marketing the prime brokerage product offering to clients globally. In his position, he represents the firm at various events in the U.S., as well as Europe and the Middle East.Prior to joining Celadon, Mr. Magnani has extensive experience as a financial services executive spanning across a career of over 25 years. Earlier in his career, Mr. Magnani held various senior executive marketing positions at the American Stock Exchange in the Derivatives Division, most notably, representing the exchange in Europe at its Amsterdam Office, The Netherlands, as well as assisting in the first-cross border clearing relationship between the European Options Exchange and American Stock Exchange for the Major Market Index Option (XMI). In addition, Mr. Magnani co-chaired the member firm institutional derivatives committee, as well as assisted in numerous product launches including the “Standard & Poor’s Depository Receipts (SPY)” also referred to as “spiders”. In the mid 1990’s, Mr. Magnani assisted Israel Englander & Co. in expanding their options brokerage business to institutional clients throughout Europe. Following this position, Mr. Magnani joined the Investec Group as a Senior Vice President responsible for correspondent clearing sales, prime brokerage sales, customer support and services, overseeing corporate marketing and advertising, and public relations. In this capacity, Mr. Magnani also represented Investec Group at various industry events in the US, Europe, and South Africa.Over the years, Mr. Magnani has been actively involved with a number of organizations including the Swiss Futures and Options Association (SFOA) as a participant, speaker, and moderator and as a member of Arab Banking Association (ABANA).Heather Malloy - Fairhills Capital Management, LLCPrincipal Ms. Malloy is a Principal of Fairhills Capital Management, LLC. She is responsible for the Firm’s strategic asset allocation and infrastructure, as well as major transactions. She has spent 18 years in financial services, and prior to joining the Fairhills Group, she was a Principal of Kingsland Capital Management, a $2 billion asset manager specializing in credit. She previously was a Partner of Kaplan Capital, Director of Alternative Investments for Societe Generale, and a Managing Director of Bear, Stearns & Co. where she served as the Global Product Manager for all Bear, Stearns branded hedge funds. Ms. Malloy was educated at the University of Wisconsin where she earned her B.A. in Political Science.
Ari Gendason - Arlon Group Managing Principal and Portfolio ManagerAri Gendason is Managing Principal and Portfolio Manager of Arlon Group and is focused on the activities of Arlon Opportunities Investors, a long/short equities and commodities hedge fund focused on the food & agriculture sectors. Prior to this, Mr. Gendason was an Associate at VantagePoint Venture Partners and related fund Greenbridge Capital. He was also an Associate in the M&A group at RSL Communications and an Investment Banking Analyst at CIBC Oppenheimer. Mr. Gendason received both his Bachelor of Science degree in Finance and Accounting and his Master of Business Administration degree in Finance from The Wharton School of the University of Pennsylvania.
Prior to establishing Protocol Capital Management, an outsourced capital placement and consulting firm, Alan was a Partner with Alpha Equity Management (“AEM”), a Quantitative Hedge. In 2007, Trusco Capital Management, the $75 billion dollar asset management division of SunTrust Bank (“STI”) purchased a significant minority interest in AEM. Subsequently, Mr. Glatt sold his remaining interest in the firm. Mr. Glatt has over 20 years experience in financial services, began his career with Smith Barney Harris, Upham, in the institutional sales area. He subsequently worked as a vice president in the Institutional and Individual Service Group at Donaldson, Lufkin & Jenrette (“DLJ”). In 1991 he joined Morgan Stanley in the Private Client Group and left as a principal of the firm in 2002. In late 2002, he joined Mariner Investment Group, as the President of Mariner Wealth Management.Mr. Glatt is on the Board of Trustees of the Southampton Hospital Foundation and Honorary member of Trustees for New York’s Henry Street Settlement. In addition, he is a long time member of the Steering Committee for the Henry Street Settlement’s Armory Art show.
Kenneth Goldberg - Abaci Capital, LLCCo-founder and Managing MemberKenneth Goldberg is a co-founder and Managing Member of the General Partner. Mr. Goldberg has held various positions in his nearly 30 year career in the in the securities industry. He is the President of TWW, Inc., a firm offering market analysis and risk management consulting services to high net worth and institutional clients. Mr. Goldberg has appeared on CNBC, and has been a twice-weekly contributor to TheStreet.com’s RealMoneyPro.com service since 2010. He regularly offers training classes for professional and institutional stock and futures traders, and has become a well-respected authority on the Elliott Wave Theory.Mr. Goldberg is a graduate of the University of Washington, from which he obtained a Bachelor of Science degree with Honors in Psychology in March 1985. He is FINRA Series 65 (Uniform Investment Advisor Law Examination) examination qualified.
John R. Halasz - Ameriprise Financial Services, Inc.Financial Advisor
Since 1997 John has been managing assets and evaluating & allocating to alternative investments for families and UHNW Individuals. He has spoken to institutional investors globally about risk management, where to invest and evaluating alternative investments. He is a director on the board of The Hedge Fund Association and has spent several years consulting to and working for alternative investment managers, in both the hedge fund and the real estate markets. John is currently a founding partner and managing director of The Marche’ Group a financial advisory practice of Ameriprise Financial Services, Inc.
Mark Hawkins - Commodity CapitalFounderMark Hawkins was born in Nairobi, Kenya in 1953. He attended Nottingham University in Nottingham, England where he received a B.A. in Economics (1974). He then graduated with an MBA from the University of California, Berkeley, in 1976.
From 1976 until 1978 he was employed by the Continental Grain Company in London, England where he worked on the soybean and proteins desk.
In 1979 he returned to the United States to work for the Louis Dreyfus Corporation (LDC). At
LDC, Mr. Hawkins spent one year in Springfield, Illinois where he became responsible for trading the south-east rail corn market.
From May 1980 until June 1984 he worked at the LDC headquarters in Stamford, Connecticut where he traded domestic and global feedgrains for the company.
In July of 1984 Mr. Hawkins founded Commodity Capital, a Commodity Trading Advisor (CTA) specializing in the grains, oilseeds and other agricultural markets.
Spencer Hempleman - Ardsley Portfolio Manager Spencer Hempleman, Portfolio Manager: Joined Ardsley in August 2002. Prior to Ardsley he was a Director at CIBC Oppenheimer serving as an equity position trader focused on utilities and alternative energy. Spencer was the head of CIBC World Market’s US equity desk in London in 2001. Spencer received his MBA from New York University and a BA from Tufts University.
Matt Hoffman is a Partner of RoundTable Financial Group, LLC, established in early 2009. RoundTable is a global, financial advisory and investment firm specializing in merchant banking activities, alternative investment products and services. RoundTable works with institutional investors, family offices, and wealth management firms to create value from portfolio investments in hedge funds, private equity and investments in direct deals. Matt has over 25 years of experience in global investment markets, serving in various executive and management roles at JPMorgan Chase, Merrill Lynch, UBS and Credit Suisse in the US, London, Hong Kong and Tokyo. His background is in both derivatives trading and asset management. Matt has degrees from Denison University in Mathematics, Economics and Biology, and an MBA in Finance from the University of Chicago.
Jason Huemer - Visium Asset ManagementPresidentJason joined Visium in 2010. He was previously CEO of Atlas Capital Management, a global macro and emerging markets hedge fund firm. Prior to that, he spent four years at SAC Capital, where he was a managing director and the chief operating officer of SAC's Sigma Capital unit. Jason was also a managing director at Merrill Lynch; President and Founder of Synthesis Funds, a hedge-fund seeding business; and Chief Operating Officer at York Capital Management. Jason has a BA in Philosophy and Economics from Columbia University, where he graduated cum laude and was elected to Phi Beta Kappa, and an MBA in finance from New York University.
Adam is the Director of Alternatives and Chief Administrative Officer for The Boston Company Asset Management, LLC where he has executive management oversight over Operations and Distribution Support. He is a member of the firm’s management committee.
Adam joined The Boston Company in 2012 and has nearly 20 years of industry experience. Before joining The Boston Company, Adam was Senior Vice President and Chief Financial Officer at First Eagle Investment Management. In that role, he was responsible for all financial aspects of the firm, board and regulatory reporting and new product development. Previously, Adam spent 10 years at Deutsche Bank where his most recent position was COO of Hedge Funds and Fund of Funds. Other positions he held at Deutsche Bank include Head of US Business Management, CFO of Hedge Funds and Fund of Funds, Director, MIS and Strategic Planning, Global Business Controller and BAC Institutional Sales/Legal Entity Controller. He was a member of the Hedge Fund Investment Oversight Committee, the Hedge Fund Infrastructure Committee, the Fund of Funds Operational Due Diligence Committee and several others. Prior to this, he was Controller and Chief Financial Officer of Bolger and O’Hearn, Inc., a textile chemical manufacturer. Adam earned a Bachelor’s Degree in Finance and an MBA in Accounting from Bryant University.
A. Todd Ladda - FortressManaging DirectorMr. Todd Ladda is a Managing Director based in New York.Responsible for capital raising and investor relationship management for the Credit Funds at Fortress Investment Group LLC. Mr. Ladda is also a member of the Management Committee of Fortress. Prior to joining Fortress in July 2006, Mr. Ladda was a managing director at Trust Company of the West ("TCW") where he was responsible for the United States hedge fund joint venture between TCW and its parent company, Societe Generale Asset Management. He previously served as managing director and head of sales, marketing and distribution for Oppenheimer and Company's Alternative Investment Group. Mr. Ladda was also on the group's risk management and due diligence committees. Mr. Ladda was a founder of Green Wave Capital, an investment firm focusing on developing and distributing hedge fund products for the high net worth and institutional marketplace. He received a B.A from Princeton University in Political Science.
Marc X. LoPresti is a founding partner of Tagliaferro & LoPresti, LLP, a law firm specializing in the representation of market participants in the alternative investment management industry. A graduate of New York Law School, Marc manages the New York office of the Firm. He has structured and formed numerous alternative investment vehicles including hedge funds, fund-of-funds, private equity and venture capital funds, and has also represented these clients in all manner of corporate transactions and regulatory enforcement defense. Marc also oversees the Firm’s buy-side practice, which represents investors in alternative asset managers and the funds they manage. Marc has served as lead counsel in various matters and transactions that have been covered by national publications including the Wall Street Journal, Vanity Fair and The Chicago Tribune, and has been a featured speaker on international financial news network reports on global markets and the U.S. economy. He is regularly quoted by industry publications on issues impacting the hedge fund industry. Marc is a Member of the Bar of the State of New York, and is admitted to practice in the Southern and Eastern Districts of New York, as well as the First Circuit Court of Appeal. He obtained practical experience in finance at Lehman Brothers.
Ms. Malloy is a Principal of Fairhills Capital Management, LLC. She is responsible for the Firm’s strategic asset allocation and infrastructure, as well as major transactions. She has spent 18 years in financial services, and prior to joining the Fairhills Group, she was a Principal of Kingsland Capital Management, a $2 billion asset manager specializing in credit. She previously was a Partner of Kaplan Capital, Director of Alternative Investments for Societe Generale, and a Managing Director of Bear, Stearns & Co. where she served as the Global Product Manager for all Bear, Stearns branded hedge funds. Ms. Malloy was educated at the University of Wisconsin where she earned her B.A. in Political Science.
Jeremy May joined ALPS in 1995 from Deloitte & Touche LLP where he earned his CPA and worked with audit clients primarily in the financial services industry. Mr. May is President of ALPS Fund Services, Inc. and Executive Vice President of ALPS Holdings, Inc., ALPS Advisors, Inc. and ALPS Distributors, Inc. Mr. May is the Treasurer of a number of registered open-end and closed-end investment companies and is a Director and Chairman of the Board of the Reaves Utility Income Fund and ALPS Series Trust. Mr. May is also on the Board of Directors and is Vice Chairman of the University of Colorado Foundation. Mr. May received his BS in Accounting from the University of Colorado at Boulder.
Daniel D. O'Connor, CAIA - Rochdale Investment ManagementSenior Vice President, Alternative Investment SalesMr. O’Connor joined Rochdale in 2012 and is responsible for managing the sales and capital-raising efforts for the Firm’s alternative investment strategies. He has over 15 years of investment industry experience, and has worked extensively with hedge funds and other alternative investment vehicles since 2004.
Most recently, Mr. O’Connor was the Head of North American Development & Investor Relations at FQS Capital Partners, a multi-strategy hedge fund of funds. Prior to FQS, he was a Senior Managing Director for Sales at Asset Alliance, and he held several sales roles within Citigroup’s alternative investments and asset management businesses. He began his career at Alliance Capital Management in 1997.
Mr. O’Connor graduated with a B.S. in Psychology and Economics from Tulane University and is a past president of the Tulane Alumni Association. He later earned his M.B.A. in Finance from Fordham University’s Graduate School of Business Administration. Mr. O’Connor holds the Chartered Alternative Investment Analyst designation.
University with a BA in 1997. Mr. Osorio is the Colombian Chapter Director of the International Hedge Fund Association.
Keith Pagan - Belvedere Asset Management, LLCCEO and Chief Investment OfficerKeith Pagan is the CEO and Chief Investment Officer of Belvedere Asset Management, LLC, an SEC registered investment adviser and CFTC registered commodity pool operator.
Belvedere is the manager of nine single-strategy hedge funds and a fund of funds. It is also the adviser to [ name to be provided after the prospectus is declared effective; expected in early October ], an alternative strategy mutual fund that is part of initial launch of the Two Roads Shared Trust.
Mr. Pagan has over 20 years of experience in investment management. Prior to launching Belvedere in 2010, he founded and operated a FINRA member broker-dealer and an SEC-registered investment adviser, merging the business activities of each into Belvedere Global Investors and Belvedere Advisors, respectively, in 2008. From 2001 to 2006, Mr. Pagan was with Blue River Asset Management as the managing director responsible for business development, sales, marketing, and investor relations. During this period, assets increased from approximately $50 million to $2.2 billion. Prior, Mr. Pagan was with Salomon Smith Barney & Merrill Lynch, where he structured products for family office & institutional investors. From 1992 to 1997, he was with BankAmerica Capital Corp., Bank of America’s venture capital arm, where he was a portfolio manager in charge of two proprietary investment portfolios worth approximately $700 million.
Mr. Pagan holds an A.B. in economics from Princeton University.
Ty POWERS, CFA - Hatteras Alternativen mutual Funds VICE PRESIDENT, PORTFOLIO MANAGEMENT Mr. Power's primary responsibilities include manager research for the Hatteras Alternative Mutual Funds including hedge fund manager sourcing and due diligence. Prior to joining Hatteras, Mr. Powers was a senior analyst at Brightleaf Capital, a long/short equity hedge fund. His responsibilities at Brightleaf included fundamental security analysis, financial modeling, and stock selection. Mr. Powers previously worked at BB&T Capital Markets as an Equity Research Analyst covering the specialty finance sector. He also spent several years at Deutsche Bank Alex. Brown, most recently as Vice President in the firm's High Net Worth Private Client Division. Mr. Powers received his Bachelor of Arts degree in Economics from Washington and Lee University and his Master of Business Administration degree with a concentration in Investment Management from the Kenan-Flagler Business School at the University of North Carolina at Chapel Hill. Mr. Powers has also earned his designation as a Chartered Financial Analyst (CFA).
Richard S. Rankin joined Ardsley Partners in March, 2012 to manage the marketing and investor relations effort from Atheneum Capital LLC, a firm he founded and was Managing Partner of since 2005.
Prior to Atheneum, Mr. Rankin was a Managing Director in Morgan Stanley’s head office in New York. He was head of Morgan Stanley’s institutional equity division in Toronto, Canada from 1998-2002. Richard worked as a Vice President at UBS in New York from 1991 to 1998 and started his career as a Credit Analyst at the Federal Business Development Bank, a division of the Bank of Canada, in Calgary, Canada.
Richard completed his BA program in Economics and Political Science at the University of Western Ontario and earned his accounting certificate at the University of Calgary.
Co-Chair Alan B. Roth is a partner at Edwards Wildman and Co-Chair of the Fund Formation Practice Group. His practice is focused primarily in the areas of venture capital and private equity representation, including SBIC licensing, investment and compliance, fund formation, corporate acquisitions, and representation of closely-held corporations and individuals. He has been recognized by Chambers USA as a leader for his work in the area of Corporate/M&A and Private Equity.
Alan has built a strong reputation in the venture capital and private equity community. He leads one of the most active SBIC practices in the country and his specialized knowledge of the SBIC program provides clients with an additional investing edge. Alan regularly counsels venture capitalists and private equity professionals on fund formation including becoming licensed as small business investment companies, encompassing both the pre-licensing and post-licensing stages of the process. He works closely with the Small Business Administration and the Small Business Investor Alliance.
Alan graduated from Washington University with a J.D, and from New York University with a LL.M in Tax. He received his Bachelors from Duke University.
Mark Rinaldi s the partner-in-charge of O’Connor Davies, LLP - Financial Services Group, a division of O’Connor Davies, LLP, recently named second fastest growing Certified Public Accounting and consulting firm in the United States. Marc is also CEO of ODB Fund Services, LLC, our investment administration firm. Mr. Rinaldi’s clients include private foundations and endowments, family offices, hedge funds, fund of funds, private equity funds. He combines over 33 years of broad and extensive experience in the financial services industry. Marc is a leader in the field of investment and partnership accounting, alternative investment accounting, ASU 820 Valuation work, risk management and proprietary trading. Marc also provides investment consulting on investor due diligence, risk based compliance management and performance reporting and risk metrics. His accounting, trading and risk management experiences include: Goldman Sachs & Co.—New York and London; Merrill Lynch International Bank, Ltd.; Kleinwort Benson, Ltd.; and Bank of America, Ltd.—London and founder of OBA Partners, LLC (a private hedge fund). Marc was a Manager with a Big Four firm.
Seán D.S. Sebastian – Birchmere VenturesFounding PartnerSeán Sebastian is the founding partner of Birchmere Ventures, a multi-stage venture capital group primarily funded by family offices. Among his many successful investments are CyOptics (acquired by TA Associates), ServiceWare (IPO), FreeMarkets (IPO), Eximias Pharmaceuticals (acquired by YM BioSciences), Lightningcast (acquired by AOL), MediaSite (acquired by Sonic Foundry), NeoLinear (acquired by Cadence Design Systems), and Safeguard Interactive (acquired by Storage Technologies). Mr. Sebastian's current portfolio of private companies includes Alpine Thermal Technologies, NoWait, Precision Therapeutics, ZeaChem, Plextronics, and TenMarks. He was previously director of technology commercialization at General Electric Information Services and an applied artificial intelligence systems consultant at American Management Systems. Mr. Sebastian holds a B.S. in mechanical engineering from Worcester Polytechnic Institute and an M.B.A. from Rensselaer Polytechnic Institute.
Mr. Sebastian launched Birchmere in 1996 to serve the private equity interests of an ultra-HNW Pittsburgh-based family, developing an investment platform geared toward their industrial and advanced materials expertise. Birchmere has since expanded to Palo Alto and New York to address other ultra-HNW family interests such as digital media and online commerce. This uniquely focused investment model enables families to leverage Birchmere's well-established administrative and operational processes, while tailoring an investment platform to their specific areas of interest.
Steven Saltzstein is a partner at LXE Marketing and Media. LXE Marketing and Media is an agency that is focused on creating branding, marketing and advertising strategies for funds. As the restriction on general solicitation is lifted; Hedge Funds, Private Equity Funds and VCs have an unprecedented opportunity to increase AUM. Our focus is on helping funds develop advertising and marketing strategies targeted toward; accredited investors, pension funds, SFOs, MFOs, sovereign wealth funds and platforms. With in-house strategy and brand planning, creative, production, talent management, venues and sponsorship, social and digital and program management, the agency excels at assembling cohesive marketing that is focused on results.
Dennis J. Schall - Marcum LLP Partner
Brandon Small - PCOperations and Investo RelationsBrandon Small is responsible for operations and investor relations at PCM. He has experience with some of the most sophisticated investment advisory practices in the United States. Mr. Small has been recognized in the Wall Street Journal for his work on investment research software, has been a guest commentator on financial television programs and frequently appears as a speaker at financial industry conferences.
Matthew Spiro - J.P Morgan Alternative Asset ManagementVice President Mr. Spiro is a vice president of J.P. Morgan Alternative Asset Management and is responsible for investment analysis, research and due diligence with a focus in Relative Value, Macro and Credit strategies. He also oversees co-investment and opportunistic investments for JPMAAM and is the chair of the Strategic Capital Investment Committee. Prior to joining JPMAAM in July 2006, Mr. Spiro completed a summer analyst position with Freddie Mac in McLean, VA, where he worked with the debt issuance desk and performed research on mortgage backed securities along with other interest rate products. Mr. Spiro received a B.S with University Honors in Computational Finance from the Department of Mathematics and an additional major in Business Administration from the Tepper School of Business at Carnegie Mellon University. Mr. Spiro has passed all three examinations for the Chartered Financial Analyst program.
Edward joined Rothstein Kass in 2012 and, in addition to client service, he applies his expertise towards expanding the Firm’s Business Advisory Services in the areas of senior project management, strategic business planning, strategic relationship development, start-up/lift-out planning and implementation, due diligence services, service provider analysis and selection, compliance services, strategic mergers and acquisitions, business transformation and C-Level role expertise.
Edward has over 30 years of experience in the Financial Services industry. Prior to joining Rothstein Kass, he spent the majority of his career as the Founder and Chairman of HC Associates. He was also Senior Vice President at Lehman Brothers, heading the Western Region for Prime Brokerage and Equity Finance, Chief Operating Officer of Genesis Merchant Group, and Vice President at Morgan Stanley, where he was one of the founding members of Correspondent Clearing, International Operations and Prime Brokerage and performed various roles in global wealth management.
Edward holds FINRA Series 4, 7, 8, 24 and 63 licenses. He currently serves as a Senior Advisor to Capital Markets Advisory Partners and GFS Advisors, and is a founding member of the California Hedge Fund Association.
Mr. Tusay is a Certified Public Accountant who has managed a family office since 1989. This office services 3 generations; 2 G-1’s; 2 G-2’s and spouses; and 9 G-3’s (under age 19). Alternative investments (Primarily Hedge Funds and Fund of Funds) comprise the majority of the asset allocations. Family office services include investment analysis & review & reporting, cash management, legal and accounting coordination for family members, and leverage origination and maintenance issues.
Mr. Tusay earned his undergraduate degree at New York University in 1977 and his CPA in 1981. He worked with KPMG Peat Marwick in their New York office tax department from 1977 until 1983 where he specialized in the tax aspects of partnership structuring, and securities and commodities trading. Mr. Tusay was employed by Commodities Corporation of Princeton New Jersey as a personal investment advisor to the officers and directors of the firm until 1985 when he established his own financial consulting practice to these same offices and directors, as well as several other clients including E.D. & F. Man. During this time he also took on the responsibilities as CFO for a commodity trading firm affiliated with Commodities Corporation.
After leaving the SEC, Mr. Viola founded VIOCO, Ltd. (“VIOCO”), which provided consulting services to registered investment advisers and broker-dealers in the field of regulatory compliance including compliance policy planning and implementation of soft dollar reviews, mock SEC compliance audits, and compliance training for supervisory personnel. VIOCO served as a consultant to provide mandated corrective consulting to investment advisers that were sanctioned by the SEC.
From 1997 to 2002, Mr. Viola served as General Counsel for Andover Brokerage, LLC (“Andover”), which was ultimately acquired by SunGard (NYSE:SDS) in January 2003. Andover was a self-clearing member firm of the NASD and a trading/technology firm that provided direct-access trading, order routing, and brokerage and clearing services to the professional investor community. From 2002 to March 2006, Mr. Viola was the General Counsel to the Carlin Financial Group (“Carlin”). Mr. Viola, monitored directly all litigation, arbitration and compliance matters for Carlin and its related entities, including Generic Trading of Philadelphia, LLC, a proprietary trading broker-dealer registered with the Philadelphia Stock Exchange. Mr. Viola, a former member of the SIA, has lectured and has been published in the field of investment adviser regulation. Among his publications are “Congressional Hearings Concerning Hedge Funds and Derivatives: A Regulatory Perspective for Hedge Funds,” 2 The Investment Lawyer No. 5 (May/June 1995) and compliance columns for various BD/RIA Investment industry client publications. He has been a lecturer for the Advisor’s Education Group, Inc. since 1996 and has conducted quarterly seminars on adviser regulatory compliance. Mr. Viola received a Juris Doctor degree from St. John’s School of Law in 1996 and a B.S. Degree in Finance from St. John’s University in 1992. He is a member of the New York Bar and a FINRA arbitrator. Mr. Viola has also obtained several brokerage licenses, including the Series 4, 7, 24, 55, 63 and 65.
Mark Watson - UCITSMarketing Director Marketing Director at North of South Capital from June 2012.Previously, 25 years as an Asian institutional equities salesman, most recently Managing Director and Team Leader at Daiwa Capital Markets, and prior positions at JPM Cazenove, Credit Suisse, HSBC. Started working life in Singapore at First Chicago. Has spent considerable time in multiple countries across Asia, from Sri Lanka, Hong Kong, and the Philippines to name a few.
Richard C. Wilson provides institutional best-of-breed fund manager ideas to family office investors. Richard wrote the #1 most popular book on hedge funds, which has been read by over 100,000 people. He runs several associations including the 40,000 member Family Offices Group and a pair of alternative investment associations, the Hedge Fund Group and Private Equity Investment Group with over 125,000 members in total. He is a leading global speaker on family offices who has spoken at and chaired over 50 industry conferences and summits in Zurich, Monaco, Singapore, New York, Liechtenstein, Brussels, Sao Paulo, Tokyo and the Cayman Islands. Richard has worked with and interviewed many of the top family offices in the world. He continues to serve them through providing family offices with Family Office Monthly Interview Series Newsletter, a monthly newsletter for the UHNW individuals and family offices; the Family Office Portal, which is the industry's first true training portal dedicated exclusively to training family office employees and executives; and Richard Wilson Capital Partners, which helps family offices increase their access to best-of-breed investment fund managers.Richard has been named one of America's Premier Experts, and recently has appeared on the Brian Tracy TV Show that is shown on ABC, NBC, and Fox affiliate channels around the United States. Richard has written several books in the past, including a bestselling book last year on hedge funds called The HedgeFund Book: A Training Manual for Capital Raising Executives and Professionals. It has since sold several thousand copies in hardcover format and has been rated the #1 investing book on the Kindle platform. (ISBN# 978-047052063). His next book being released through Wiley will be available this summer and is titled, "The Family Office Book: Investing Capital for the Ultra-Affluent." Richard's educational background includes earning a Bachelors in Business from Oregon State University and an M.B.A. from the University of Portland. He has also completed masters level coursework at Harvard University within their ALM program focusing on the Psychology of Influence studying under Dr. Wolman and the research of Dr. Cialdini.
Richard Zack - Artis Advisors, LLCChief Risk OfficerMr. Zack has 22 years of industry experience and is currently Chief Risk Officer at Artis Advisors, LLC. He was previously co-heading businesses at National Bank of Canada Financial and Lehman Brothers. He also co-founded a private wealth management firm that was a registered broker-dealer and state-registered investment adviser. Mr. Zack started his career at the SEC where he held various positions and ultimately became the Options Branch Chief within the SEC’s Division of Market Regulation.
Mr. Zack earned an L.L.M. in Taxation from Georgetown University Law Center, a J.D. from Rutgers University School of Law and a B.A. in Economics from Emory University. He is a FINRA-approved arbitrator.