Expert Details
Alternative Investments, Portfolio Construction, Asset Management, Financial Advisory Services, Hedge Funds, Private Equity Funds, and Venture Capital
ID: 732550
Connecticut, USA
Expert evaluates, creates, and understands investments in hedge funds, managed accounts, and private equity. He has over 25 years in executive roles in the U.S., London, Hong Kong and Tokyo. Since 1982, he has held senior management positions in asset management and trading at Credit Suisse, UBS, Merrill Lynch and JP Morgan Chase. His skills were developed while trading fixed income and equity derivative products and while structuring and managing large portfolios of alternative investments -- many created via managed accounts -- in amounts as large as $6 billion. In these roles, he was responsible for hiring administrators, lawyers, accountants and auditors to assist in product developments.
Expert has undertaken over 100 separate consulting assignments across fund management, asset management, hedge funds, private equity funds, venture capital, compliance, process and procedures, asset allocation, portfolio management, administration, operations, trading, sales, and marketing.
Education
| Year | Degree | Subject | Institution |
|---|---|---|---|
| Year: 1982 | Degree: MBA | Subject: Finance | Institution: University of Chicago |
| Year: 1978 | Degree: BA | Subject: Mathematics / Economics | Institution: Denison University |
Work History
| Years | Employer | Title | Department |
|---|---|---|---|
| Years: 2009 to Present | Employer: Undisclosed | Title: Investments and Financial Manager | Department: Investment Management |
Responsibilities:Expert is an Investment Manager who performs compliance, due diligence, investment advisory and financial services at the $3.6 billion level. He is a specialist in hedge funds, private equity, and other alternative investment products.He frequently serves as an expert witness on alternative investments disputes in multiple litigation cases. He is also Chief Compliance Officer at broker dealer. Expert has completed 21 cases, 3 trial, with 8 depositions. He is currently under a long-term consulting contract with the SEC (U.S. Securities and Exchange Commission). |
|||
| Years | Employer | Title | Department |
| Years: 2003 to 2009 | Employer: Weston Capital Management, LLC | Title: Chief Investment Officer | Department: Investment Division |
Responsibilities:Expert managed more than $2.6 million in hedge fund and private equity fund portfolios for multiple institutional clients. During this time, he also served as head of the investment committee and the oversight committee. |
|||
| Years | Employer | Title | Department |
| Years: 2000 to 2003 | Employer: Credit Suisse | Title: Group Manager, Hedge Fund Investment Group | Department: Investment Management |
Responsibilities:Expert managed multiple investment portfolios exceeding $6 billion with a dozen professional staff. He generated significant revenues for the asset management area of the bank. |
|||
| Years | Employer | Title | Department |
| Years: 1991 to 2000 | Employer: UBS LLC | Title: Executive Director | Department: |
Responsibilities:A senior trader, Expert built a stable platform upon which the hedge fund and asset management business could expand profitably. He assisted in 6 merger processes.Expert's responsibilities also included hedge fund trading and business development, PERLES product innovation, and sales-trading management. During this time, he expanded derivatives trading and sales operation, created structured products, and implemented changes to policies and procedures. |
|||
| Years | Employer | Title | Department |
| Years: 1989 to 1991 | Employer: Merrill Lynch International | Title: Director, London | Department: Derivatives Trading |
Responsibilities:Expert's responsibilities included interest rate and currency derivatives trading for multiple European countries. |
|||
| Years | Employer | Title | Department |
| Years: 1982 to 1989 | Employer: JPMorgan Chase | Title: Director, Hong Kong/ Director, Tokyo | Department: Derivatives Trading |
Responsibilities:Expert's responsibilities included interest rate and currency derivatives trading in Japan and Pan-Asian countries. |
|||
Government Experience
| Years | Agency | Role | Description |
|---|---|---|---|
| Years: 2016 to Present | Agency: USA / SEC | Role: Consultant and Expert Witness | Description: Expert currently consults to the SEC (U.S. Securities and Exchange Commission), wherein he furnishes industry expert reports and provides consultation, deposition and testimony preparation. |
International Experience
| Years | Country / Region | Summary |
|---|---|---|
| Years: 1984 to 1985 | Country / Region: Japan | Summary: Head of Derivatives Trading |
| Years: 1985 to 1989 | Country / Region: Hong Kong | Summary: Head of Derivatives Trading |
| Years: 1989 to 1998 | Country / Region: England | Summary: Investment Management and Trading |
Career Accomplishments
| Licenses / Certifications |
|---|
| FINRA Licenses Series 7, 24, 63, 79, SIE |
| Professional Appointments |
|---|
| Board memberships: • Private equity, early-stage investment fund ($300 million under management); Head of fund investment committee; • Hedge fund ($550 million under management), Chairman of board for Dublin, Ireland-based, off-shore investment vehicles; • Swiss bank pension fund (over $1 billion under management), Chairman of pension fund Investment Committee |
Additional Experience
| Expert Witness Experience |
|---|
| Significant experience with very high success rate. |
Language Skills
| Language | Proficiency |
|---|---|
| Spanish | Somewhat proficient, but not fluent |
| French | Academic language, not fluent |