Expert Details
Alternative Investments
ID: 733449
California, USA
Expert is an investment management professional and entrepreneur with over two decades working in the financial services industry. His financial background began with a career on the sell side with such firms as Morgan Stanley, Wells Fargo and Bear Stearns. He later worked as Chief Investment Officer for a family office and made his transition to the buy side with a long only growth equity manager. For several years he also worked for an independent third party marketing
firm raising money in both traditional and alternative asset classes. Alpha Strategies was formed through a group of highly experienced investment professionals with a shared belief that boutique investment managers as well as qualified investors are still underserved in their access to deep domain expertise in alternative investments generating consistently high levels of “pure” alpha. It has since grown into a diversified financial services company with specialties in alternative investment consulting, management and marketing.
He is a trusted advisor to several family offices and is instrumental in syndicating private investment opportunities among family offices and institutional investors nationwide. These opportunities include real estate, private equity, and venture capital.
Expert acts as advisor to several Native American Tribal Nations in the area of economic development and investment opportunities. An advocate for tribal independence he has provided financial solutions to several tribes and is the founder of a foundation, championing the purchase of goods and services originating on Native American Reservations.
He is also a frequent speaker at industry events on family office and alternative investment issues. He has appeared on CNN’s Your Money and is frequently quoted and interviewed for financial publications including the Wall Street Journal, Bloomberg News and NPR. He has presented to audiences at IMN, Opal Financial, IvyPlus, World Research Congress, Alternative Assets Summit and other investment conferences around the country. Expert is also a guest lecturer at USC Marshall School of Business.
Expert holds a BS from Northeastern University and is also a graduate of the USMC Officer Candidate School in Quantico, VA. He holds multiple securities licenses and has completed professional courses in Advanced Estate Planning, Asset Allocation, and Retirement Planning. He is a member of the CFA Institute and the CFA Society of Orange County (CFAOC). He is active in his local community as President of the Board of Directors for a community services organization. Expert is also an Assistant Scoutmaster for a Boy Scout Troop and is a member of the National Eagle Scout Association and the Order of the Arrow.
Education
| Year | Degree | Subject | Institution |
|---|---|---|---|
| Year: 1990 | Degree: BS | Subject: Criminal Justice | Institution: Northeastern University |
Work History
| Years | Employer | Title | Department |
|---|---|---|---|
| Years: 2009 to Present | Employer: Undisclosed | Title: President | Department: |
Responsibilities:Investment consulting – work as a fiduciary with UHNW individuals and single-family offices on manager selection and due diligence on alternative investment opportunities including funds, co-investments and special purpose vehicles. Primarily focused on private equity/credit and real estate with some oversight on hedge funds and venture capital.Business consulting – provide strategy and growth support to family-owned enterprises. Investment business consulting – provide advice and guidance to companies looking to grow, expand their offerings or take on new initiatives. Worked with RIA’s, trust companies and fund managers. Litigation support – work with law firms to provide both litigation strategy and expert witness services. |
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| Years | Employer | Title | Department |
| Years: 2019 to Present | Employer: Undisclosed | Title: CEO | Department: |
Responsibilities:Hired as Chief Executive Officer to establish the strategic vision, goals and priorities for a single-family office holding company and its related entities. Served as senior trusted advisor to all family members while overseeing staff, contractors, service providers and the strategic direction of the company and all related holdings. Chair of the investment committee and liaison with all related entities including family foundation, real estate and private equity interests.• Provide vision, direction and leadership to family office by fostering a high performance, collaborative environment. Hire, develop and motivate staff to provide exceptional service while ensure the privacy of the family. Act with the highest level of confidentiality while promoting an environment of respect and teamwork that encourages close collaboration and long-term commitment by staff. • Oversee and ensure high quality service delivery to family members, their trusts and other entities in an efficient and cost-effective manner. Family office services include accounting/finance and trust services; investment and portfolio management; real estate; family governance, development and education; legal, tax and estate planning. • Oversee office staff in the implementation and management of all processes and procedures including internal controls, technology, and systems to ensure effective and efficient operation of the office. Leverage technology to optimize effectiveness and efficiency, oversee information security environment ensuring protections are in place for confidential family information. • Proactively identify client and office needs, issues and opportunities while being creative and innovative in recommending appropriate actions and effectively implement solutions. • Proactively identify emerging external issues and opportunities and provide information, advice and counsel to help the family determine the best path forward. Identify and engage subject matter experts, as appropriate, to ensure options and tradeoffs are offered to the family for their consideration and informed decision making. Effectively implement decisions made by the family. • Proactively serve as trusted advisor to family members. Provide education and counsel to support them in making well-informed decisions. Advise and counsel family on the concepts underlying wealth creation, management, asset protection and wealth transfer strategies. • Promote open and transparent lines of communication with all family members and staff and effectively listen to all sides of multigenerational issues. Facilitate discourse and advocate solutions that are objective and equitable for all. Continually update clients regarding priorities, changes to services, reporting structure, etc. • Synthesize and communicate complex financial, business, investment and wealth management concepts, needs and issues in a straightforward and easy to understand manner, utilizing a consultative approach. • Provide strategic advice, counsel and support to the family in their oversight of portfolio assets. Identify business and financial transactions and investment opportunities that align with family objectives. Oversee due diligence and risk assessment to facilitate informed decision-making. • Oversee continuous monitoring and improvement of the investment platform to ensure achievement of the family’s long-term goals. Monitor asset classes in relation to the investment policy statement and rebalance quarterly. Evaluate incoming opportunities and maintain a dynamic and opportunistic approach to event driven and special situations. Work with the team and investment committee to strategically determine future investment objectives and optimal solutions to successfully achieve objectives. Maintain network and leverage relationships with outside family offices and other buy and sell side constituencies to identify investment ideas/opportunities. • Proactively build relationships with peers and thought leaders in the market. Identify, inform and advise the family on best practices, including generational transitions and succession planning, responsible ownership, family governance, wealth management and family education. • Develop and manage relationships with all current and future external advisors, acting as liaison between family members and external advisors. Proactively coordinate with all parties to ensure that family needs and objectives are met. Coordinate strategies, monitor fees, commitments, agreements and advisor performance. • Support the future adult family members in family office education program offerings and other services. Collaborate with the family to engage future family members and collaborate on educating next generation family members on their responsibilities, obligations and knowledge of the family enterprises. • Represent the family to all internal and external constituencies in a highly professional and ethical manner. |
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| Years | Employer | Title | Department |
| Years: 2022 to Present | Employer: Undisclosed | Title: Advisory Board | Department: |
Responsibilities:Altriarch is an alternative investment platform with a focused approach, investing in targeted market niches with the goal of delivering strong risk-adjusted returns. The name Altriarch highlights our three core competencies within the alternative strategies industry; private equity, private real estate, and private credit.Through proprietary funds, programmatic joint-ventures and direct co-investment vehicles, we provide niche alternative product offerings for investors looking for access to unique funds and direct investments. We take a focused approach, investing in targeted market niches with the goal of delivering superior risk-adjusted returns. Our portfolio management teams identify investment strategies that offer current income and appreciation, non-correlation to the traditional markets, and risk mitigation. |
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| Years | Employer | Title | Department |
| Years: 2021 to Present | Employer: Undisclosed | Title: Family Office Advisor | Department: |
Responsibilities:Post Lake Capital Partners is a boutique private equity real estate firm that invests and operates generational real estate assets across the United States. The firm’s primary investment strategies are value-add and development opportunities across various asset types. PLCP’s diversified investment approach adapts with market conditions in order to mitigate risk, enhance value creation, and prioritize capital preservation. |
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| Years | Employer | Title | Department |
| Years: 2015 to 2020 | Employer: WM Development | Title: Board Chair | Department: |
Responsibilities:Hospitality company with interests in full serve and quick serve restaurants, private clubs and hotel food and beverage operations. Assist with growth initiatives and organized the future growth plans and rollout of the different business lines across multiple states. |
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| Years | Employer | Title | Department |
| Years: 2011 to 2015 | Employer: Alpha Strategies Investment Management | Title: President | Department: |
Responsibilities:Provide investment management services to hedge and private equity funds on a sub-advised basis.Hedge Fund – organized, set up and sub-advised a small/micro-cap hedge fund. Private Equity Fund-of-funds – Sub-advised two private equity fund-of-funds totaling $90+ million. |
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| Years | Employer | Title | Department |
| Years: 2003 to 2008 | Employer: Diamond Portfolio Advisors, LLC | Title: Managing Director | Department: |
Responsibilities:Responsible for sales, marketing and relationship management of separate account institutional money management firm located in Los Angeles. Company sold in 2008. |
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| Years | Employer | Title | Department |
| Years: 2001 to 2005 | Employer: R&L Partners, LLC | Title: Principal | Department: |
Responsibilities:A professional service corporation focused on private investment opportunities for single family office clients. Primary duties included evaluation and due diligence of private equity and real estate opportunities and overseeing development of multiple real estate projects. |
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| Years | Employer | Title | Department |
| Years: 2001 to 2001 | Employer: Bear Stearns | Title: Vice president | Department: |
Responsibilities:• Assisted in developing national Wealth Management Group for UHNW investors of over $25 million.• Liaison to allied professional community including CPA’s, business managers and attorneys. |
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| Years | Employer | Title | Department |
| Years: 1998 to 2001 | Employer: Wells Fargo Bank | Title: Private Client Manager | Department: |
Responsibilities:• Specialized in wealth management for the affluent including complex estate planning, trust, banking, credit, mortgage and business consulting, directly oversee $517 million in client assets.• Sale of insurance products consistent with client goals. |
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| Years | Employer | Title | Department |
| Years: 1995 to 1997 | Employer: Morgan Stanley | Title: Financial Advisor | Department: |
Responsibilities:• Completed comprehensive Wall Street training program in top 5% of peers.• Worked with business owners to establish/replace retirement and pension plans. • Executed Rule 144 transactions with corporate insiders . |
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Career Accomplishments
| Associations / Societies |
|---|
| Family Office Association – Advisory Board Investment Management Consultants Association CFA Institute and CFA Society of Orange County National Eagle Scout Association – Orange County Chapter National Rifle Association – Life Member |
| Licenses / Certifications |
|---|
| FINRA Series 65 (current), 7, 24, 31, 63, 99 (expired) |
| Awards / Recognition |
|---|
| International Hedge Fund Awards – Rising Star of Hedge Funds AI Finance Awards winner – Investment Consultancy (California) International Hedge Fund Awards – Family Office Choice: Consultancy Firm of the Year M&A Awards – Excellence in Private Investment Solutions - USA Hedge Fund Awards – Best Alternative Investment Consultancy Firm – USA AI Private Equity Awards – Best for Family Office Private Equity Investments – Southern California AI Leading Advisors of the Year – Leading Private Equity Financial Advisor of the Year, USA AI Hedge Fund Awards – Best for Sophisticated Alternative Investment Opportunities AI Hedge Fund Awards – Family Office of the Year & Recognized Leaders in Asset Allocation & Due Diligence Orange Coast Magazine – Five Star Wealth Manager – Highest in Service & Overall Satisfaction Global Business Awards (Corp Today Magazine) – Best Family Office Outsourced CIO Global Business Awards – Best Family Office Outsourced CIO (USA) Corp Today Awards – Best for Alternative Investment Opportunities – California Corp Today Awards – Most Innovative Alternative Investment Manager - California |
| Publications and Patents Summary |
|---|
| One publication on investors' productivity and best practices (2012). One publication regarding portfolio risks and hedge funds (2013). |
Additional Experience
| Expert Witness Experience |
|---|
| Two expert witness cases (both defense side). |
| Marketing Experience |
|---|
| Expert has been active in marketing investment related products since 2005. His role has been to help investment managers with simplifying their story into a comprehensive message that is easily understood and compliant with industry standards. His focus is on content only. |
Fields of Expertise
government securities, fixed income securities, equity, structured finance, investment management, venture capital, securities arbitration, investment dispute, investment banking, securities fraud, alternative investment, hedge fund, private equity fund, commercial real estate, capital investment advisor