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Speaker Bios
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Michael Balkin
Michael Balkin has been with Magnetar since its inception as Magnetar Investment Management chief investment officer and member of the Magnetar Executive Committee. Prior to Magnetar, Mr. Balkin was a principal of William Blair & Company, LLC (Blair) where he co-managed the Five-Star Morningstar rated William Blair Small Cap Growth Fund since its inception in 1999. Mr. Balkin, along with his co-manager Karl Brewer, was ranked fourth on the Barron's/Value Line "Top 100 Mutual Fund Manager" list in both 2003 and 2004. Additionally, the William Blair Small Cap Growth Fund was recognized by Lipper as the Top Small Cap Growth Fund in 2004 and 2005 for risk-adjusted performance on both a three- and five-year basis for the years 2000-2004. Mr. Balkin began his career with Blair in institutional sales where he focused on small-to-mid-capitalization growth companies. Mr. Balkin earned a B.A. in economics from Northwestern University.
Barry P. Barbash
Barry Barbash rejoined Willkie Farr & Gallagher LLP in February 2006 as a partner in the firm's Corporate and Financial Services Department and head of the firm's Investment Management Group. Prior to his return, he had been in private practice in Washington, D.C. for seven years. From September 1993 until October 1998, he served as the director of the Securities and Exchange Commission's Division of Investment Management.
Mr. Barbash has a diverse practice covering all aspects of the asset management business. He regularly advises mutual fund and hedge fund clients on a variety of transactional, compliance and regulatory matters. His areas of expertise include mutual fund operations and regulation, hedge fund formation and regulation, private equity fund structuring and financing, venture capital fund operations and offerings, and fund governance. He regularly represents buyers and sellers in asset management merger and acquisition transactions, and advises asset managers of all types in connection with administrative and court actions brought by securities regulators. Mr. Barbash regularly advises mutual fund, hedge fund, investment adviser, and broker-dealer clients on a wide variety of regulatory compliance matters. When counseling these clients, he is often called upon to conduct detailed reviews of their investment management, administrative and marketing operations, and to assist in the development of policies and procedures intended to enable them to meet their fiduciary and other legal obligations. Mr. Barbash's recent significant matters include representing Legg Mason, Inc. in its $3.7 billion acquisition of a major portion of the asset management business of Citigroup, and Marsh & McLennan in its independent review of the compliance operations of its subsidiary, Putnam Investments.
While serving as the director of the SEC's Division of Investment Management, Mr. Barbash was among the most senior financial services regulators in the U.S., with principal oversight for, among other businesses, the multi-trillion dollar mutual fund industry. During his tenure as division director, he played a central role in a number of well-publicized SEC initiatives, including: improving the usefulness and readability of fund prospectuses; responding to alleged improper trading by fund portfolio managers in securities held by their funds; seeking to enhance the ways in which funds communicate their investment risks to their shareholders; upgrading the education and knowledge of fund investors; participating in a major legislative effort completed in 1996 to overhaul and modernize the U.S. federal securities laws; developing the SEC's rules relating to the formation and operations of pooled investment entities not generally available to the public, such as private equity funds, venture capital funds and hedge funds; and clarifying the responsibilities of fund independent directors and trustees. As division director, Mr. Barbash served as the SEC's principal contact with investment management regulators from around the globe. This experience makes him one of the best-known authorities in the world on investment management law and practice.
Prior to becoming division of investment management director, Mr. Barbash spent 13 years in private law practice with Willkie, where he specialized in the area of institutional investor law, representing investment adviser, broker-dealer, hedge fund and U.S. and offshore investment company clients. Prior to this time in private practice, he held staff attorney positions with the SEC's Division of Investment Management and the Plan Benefits Security Division of the Office of the Solicitor of the U.S. Department of Labor, which has responsibility for the administration of the fiduciary responsibility provisions of the U.S. federal pension laws.
Mr. Barbash was ranked in the number 1 tier for leading individuals practicing investment management law in Washington, D.C. by Chambers USA (2006). Mr. Barbash is a member of the New York, Massachusetts and American Bar Associations. He is also a member of the Program Committee of the Investment Company Institute's Mutual Funds and Investment Management Conference; the Advisory Board of Board IQ; and the Steering Committee of the Mutual Fund Directors Forum. Mr. Barbash serves as co-chairman of the Investment Management Institute sponsored by the Practising Law Institute. He previously served as co-chairman of PLI's "The SEC Speaks" (1997, 1998). He was awarded the Presidential Distinguished Rank Award for exceptional achievement during his tenure as a member of the Senior Executive Service of the United States.
Jeffrey C. Blockinger
Jeffrey Blockinger joined Och-Ziff Capital Management as chief legal officer in April 2005. Previously, Mr. Blockinger was an associate with Schulte Roth & Zabel LLP in New York in its Investment Management/Regulatory Practice. His principal practice consisted of advising registered and unregistered hedge fund managers regarding compliance and regulatory matters, and structuring domestic and offshore hedge funds, including private equity and crossover funds. Mr. Blockinger also served as counsel to registered investment companies and their boards of directors. Before joining Schulte Roth, Mr. Blockinger was of counsel with Crowell & Moring LLP in Washington, D.C. and an associate with Morgan, Lewis & Bockius LLP in Washington, D.C.
Mr. Blockinger received his J.D. cum laude from the University of Miami School of Law where he served on the executive board of the University of Miami Law Review. Mr. Blockinger received his B.A. from Purdue University.
Senator John B. Breaux
Senator John Breaux joined Patton Boggs as senior counsel upon his retirement from the United States Senate in 2005. He provides strategic advice to the firm's attorneys and clients on a wide range of public policy matters, with special concentration in the areas of health care and energy law.
Senator Breaux led a long and distinguished career in Congress. He was elected to the House of Representatives in 1972 at the age of 28 - at the time of his election he was the youngest member of the U.S. Congress. He represented the 7th District of Louisiana for 14 years before being elected to fill Senator Russell Long's seat in 1986.
Senator Breaux was a widely recognized bipartisan leader in the Senate, and in 1993 was elected by his Democratic colleagues to the post of Deputy Minority Whip, a position he held until his retirement. He also held a number of key Senate committee positions. A senior member of the Finance Committee, Senator Breaux served as the chairman of the Subcommittee on Social Security and Family Policy. He also held positions on two other finance subcommittees, the Subcommittee on Health Care and the Subcommittee on Taxation and IRS Oversight. From his position on the Finance Committee, he played instrumental roles in forging the compromises that led to passage of the welfare reform and health insurance reform bills in 1996. He was also a leader in the efforts to reduce the capital gains tax and to provide tax relief for college education expenses.
As chairman of the Special Committee on Aging, Senator Breaux highlighted the importance of protecting and strengthening Social Security, Medicare, and other programs. In 1998, he was selected by the White House and House and Senate leaders to chair the National Bipartisan Commission on the Future of Medicare. Also in 1998, Senator Breaux co-chaired the National Commission on Retirement Policy, which produced legislation to help reform Social Security.
While in the Senate, Senator Breaux was a recognized leader on energy issues. He served as co-chair of the Oil and Gas Caucus and was a conferee on the energy legislation that eventually was written into the 2005 Energy Bill. Senator Breaux was active in advancing legislation to promote domestic oil and gas production, and was a co-sponsor of the Marginal Well Preservation Act, a tax-incentive program to encourage oil production from marginal oil wells. He was also a principal author of the Outer Continental Shelf Land Act.
Senator Breaux was a founder of the Centrist Coalition of Senate Democrats and Republicans and served as chairman of the Democratic Leadership Council. In 2005 President George W. Bush appointed Senator Beaux as the co-chair of the President's Advisory Panel on Federal Tax Reform.
Senator Breaux earned his B.A. from the University of Southwestern Louisiana in 1964 and his L.L.B. from Louisiana State University, Paul M. Herbert Law Center, in 1967. He is author to the essay
"Congress' Lost Art of Compromise," Special to Roll Call, (April 19, 2005).
Joel Chernoff
Joel Chernoff is the executive editor of Pensions & Investments (P&I), and has covered institutional investment issues in the U.S. and Europe for P&I since 1982. As executive editor, he helps direct the Publication's coverage, manages reporters, and contributes to the newspaper's future development. He has written about many subjects at P&I, from CAPM to CalPERS. Currently based in San Francisco, Mr. Chernoff will be relocating to New York in spring 2007. He previously has been located in the Paris, London, New York and Washington offices. Mr. Chernoff has a B.A. in history from the University of North Carolina at Chapel Hill.
Amy Coty
Amy Coty is managing director of sales & client development at DPM Mellon, part of Mellon Financial Corporation's Asset Servicing Group. DPM Mellon provides on- and offshore fund administration, back- and middle-office outsourcing and integrated risk administration solutions to hedge funds, funds of funds, CTAs, tax exempt organizations and institutional investors. Ms. Coty has been a member of MFA since 1992 and has contributed in key roles on both the buy and sell sides of the managed funds industry.
Most recently, Ms. Coty was executive vice president of JPD Enterprises, Inc., the alternative asset management firm founded in 1985, responsible for its global business development. Prior to JPD, Ms. Coty served as vice president of investor relations for Webster Management Group, Inc. a CTA at the forefront of development and implementation of straight-through-processing and risk management technologies. Ms. Coty was vice president of institutional sales for Refco, Inc., first trading for its hedge fund and CTA clients, and then building its exchange-traded derivatives business worldwide. She began her career on the trading floors of the NYMEX and COMEX during undergraduate session breaks.
Ms. Coty has been a member of MFA since 1992 and has served on its Government Relations and Standards/Technology Committees. Additionally, she has been a member of FIA's Technology Committee and was co-author of AIMA's U.S. Regulatory Roundup publication. Ms. Coty has presented in various industry-specific educational forums including lecturing on the manager selection process for funds of funds at the Chicago Mercantile Exchange. Ms. Coty holds a B.A. cum laude from Brandeis University and an M.B.A. from North Park University where she was a presidential scholar.
Patrick Daly
Patrick Daly joined Park Hill Group with over fifteen years in the alternative asset and investment space. Prior to Park Hill, Mr. Daly was a director in Credit Suisse First Boston's Private Fund Group. Previously, he was a managing director at Norfolk Markets and a senior derivative trader on the mortgage desks of Morgan Stanley and Credit Suisse First Boston. Mr. Daly received a B.B.A. at James Madison University.
Kate Dressel
Kate Dressel, CRCP, is president of Strategic Compliance Solutions, LLC, (SCS) a consulting firm with offices in Connecticut and the U.S. Virgin Islands. SCS assists alternative investment firms with regulatory compliance and operational issues. Prior to forming SCS in 2003, Ms. Dressel spent over 10 years at ARA Portfolio Management Company, LLC, a commodity trading advisor, commodity pool operator, registered investment advisor and hedge fund with maximum assets under management of approximately $625 million. As vice president of client services and compliance, Ms. Dressel had complete responsibility for those areas of firm operations. Ms. Dressel earned the CRCP designation upon completing the NASD / Wharton School of Business Certified Regulatory Compliance Professional program. She is active in Managed Funds Association, serving on committees and in the mentoring program. Ms. Dressel is a member of Managed Funds Association, National Society of Compliance Professionals and 100 Women in Hedge Funds.
Philip N. Duff
Phil Duff is chairman and CEO of Robson Ventures LLC launched in January 2007. Robson Ventures is a new enterprise that is creating a platform to provide new business propositions across asset management, liability solutions and retirement schemes--the next generation investment management company. Robson Ventures will provide institutional clients integrated portfolio solutions to fund and manage liabilities.
Mr. Duff was co-founder, chairman & chief executive officer of FrontPoint Partners LLC. FrontPoint Partners was founded in 2000 and was sold to Morgan Stanley in December 2006. FrontPoint Partners is an integrated investment management firm currently managing over $7 billion in client assets in single manager and multi-strategy vehicles offering an institutional-quality platform for incorporating non-correlated investment strategies into large asset portfolios.
Prior to FrontPoint, Mr. Duff was formerly chief operating officer and senior managing director of Tiger Management, where he served as a member of Tiger's Management Committee and Advisory Board. Prior to joining Tiger, he worked for much of his career at Morgan Stanley. Mr. Duff was the chief financial officer of Morgan Stanley and served on the firm's Management Committee. He served as president and CEO of Van Kampen American Capital, a $70 billion mutual fund company which was acquired by Morgan Stanley, and had previously headed Morgan Stanley's Financial Institutions Group in investment banking. He began his career as a grain trader for Louis Dreyfus Corporation.
Mr. Duff currently serves on the Board of Directors of Greenwich Academy (where he is currently chairman), Black Diamond Equipment Ltd., Solar Power Corporation, RiskMetrics Group, and the Managed Funds Association. He previously served on the Board of Trustees of the Financial Accounting Foundation. He received a B.A. degree in mathematics from Harvard College and a MBA from Massachusetts Institute of Technology.
Uwe Eberle
Uwe Eberle is global head of institutional relationship management for Man Investments worldwide and chief executive, institutional sales of Man Investments Inc. in the U.S. He is also a member of the management committee of Man Investments.
Prior to joining Man Investments, Mr. Eberle was head of hedge fund research at RMF Investment Management in Pfäffikon, Switzerland, one of the core managers of Man Investments. The team of 35 was based throughout New York, Tokyo, London, and Pfäffikon, and was responsible for over USD 17 billion of hedge fund investments at that time. From 2002-2004, Mr. Eberle built up the new alternative unit at RMF out of New York, a unit focusing on the search for new alpha opportunities. Prior to that, he worked in the private equity team at RMF. Before joining RMF in 2000, Mr. Eberle spent more than 13 years with the HypoVereinsbank Group in Frankfurt, Munich, and New York. His most recent position was senior fund manager, building up their emerging market fund management team. From 1994-1996, Mr. Eberle worked in a small group of senior people, re-setting the strategic direction of the asset management business at Vereinsbank. From 1992-1994, he worked in research/marketing for Vereinsbank Capital Corp. in New York, and prior to that, he worked as an equity trader and senior options trader for five years.
Mr. Eberle received a degree in banking, in addition to a degree in economics from the Verwaltungs- and Wirtschaftsakademie (VWA) in Frankfurt, Germany. He is also a CFA charter holder and a member of the German Association of Investment Professionals.
John G. Gaine
John G. Gaine has been president of Managed Funds Association (MFA) since 1997. MFA, headquartered in Washington, D.C., is the only U.S.-based membership organization that represents the interests of managed funds professionals internationally. MFA promotes a beneficial regulatory environment, improved public relations, growth of the managed funds industry, and increased member and investor knowledge. Prior to becoming MFA's president, from 1993 to 1997, Mr. Gaine was MFA's director of government relations and general counsel.
From 1981 to1993, Mr. Gaine worked in private practice specializing in commodities and related areas, and, from 1977 to 1981, he was the General Counsel for the Commodity Futures Trading Commission. Mr. Gaine received his B.A. from the University of Notre Dame in 1964, and his LL.B. from Harvard University in 1967. He is admitted both to the Washington, D.C. bar and the New York bar.
James Graves
James Graves is a portfolio specialist and head of global investor relations for liquid markets and portable alpha portfolios at Morgan Stanley AIP. He joined Morgan Stanley AIP in 2004 and has 29 years of relevant industry experience. Before joining the firm, Mr. Graves was a managing director at HedgeFund.net and a managing director at Zurich Capital Markets, responsible for the sales and marketing of style specific, institutionally oriented hedge funds. Previously, Mr. Graves was a senior vice president and co-head of institutional business development for American General Investment Management as well as a senior vice president at Acadian Asset Management, where he was responsible for marketing and client service and served on the firm's Operating Committee. Prior to that, he was a vice president at T. Rowe Price Investment Services and WTC Capital Advisors. Mr. Graves received a B.A. in political science from Trinity College and an MBA from New York University.
Barry Y. Greenberg
Barry Greenberg is a partner at Akin Gump Strauss Hauer and Feld LLP. Mr. Greenberg focuses on advising both registered and unregistered investment companies and investment advisers. He provides guidance regarding the formation and operation of both U.S. and offshore investment advisers and their related private investment funds and compliance with registered investment adviser and broker-dealer regulations. He also advises clients regarding potential investments in a variety of private equity and hedge funds. He has extensive experience in counseling clients regarding registered investment company matters. In addition to providing advice to clients regarding fund formation and investing, Mr. Greenberg conducts in-depth investigations of accounting and financial statement issues for public companies, and represents clients in various investigations by securities regulators.
Prior to joining Akin Gump, Mr. Greenberg served for 10 years as vice president, legal, compliance and administration at American Beacon Advisors, Inc., a wholly owned investment management subsidiary of AMR Corp. As the company's general counsel, he advised on a variety of matters, with an emphasis on investment adviser and mutual fund legal and compliance issues. Mr. Greenberg began his legal career in the Fort Worth District Office of the Securities and Exchange Commission. He served for seven years in the Enforcement Division as an enforcement attorney and branch chief, managing investigations of matters involving violations of investment adviser, investment company, broker-dealer and general corporate securities regulations.
Mr. Greenberg received his B.A. in 1985 from Emory University and his J.D. cum laude in 1988 from Tulane Law School. He is a member of the State Bar of Texas. Mr. Greenberg is a frequent lecturer regarding a variety of topics affecting investment managers.
Damian Handzy
Damian Handzy is chairman & CEO of Investor Analytics (IA), a leading risk analysis and risk management services firm whose clients include hedge funds, funds of funds, banks, private offices and other portfolio managers investing in alternatives. Mr. Handzy is also on the board of the Foundation for Managed Derivatives Research, which funds new research in the area of managed derivatives. Before co-founding IA, Mr. Handzy was a consultant in Deloitte's New York practice, where he advised financial services firms on business and technical issues including risk management, Internet-based customer reporting and data management. He has also held positions as a research fellow at a major U.S. nuclear laboratory and as an operations research analyst for a boutique consulting firm. Mr. Handzy has experience in advanced technology applications, numerical simulations and mathematical modeling. His background is in experimental sciences and numerical techniques applicable to securities analysis. He is extensively published in scientific peer-reviewed and financial journals. Mr. Handzy received his undergraduate degree from the University of Pennsylvania and his doctorate in nuclear physics while working at the National Superconducting Cyclotron Laboratory in Michigan.
Denise Haymon-Loa
Denise Haymon-Loa is a managing director in the Business Development Group at Hamilton Lane, Richcourt, where she focuses on developing new domestic opportunities and relationships for the firm. She has over 20 years of investment experience, with a particular focus on institutional investors. Most recently, Denise acted as co-head of Morgan Stanley's Pension Strategies Group. Prior to that, she was at Goldman Sachs for six years starting up the pension coverage team for the Equity Division, covering the range of pension and endowment clients on strategic investment topics. Before joining Goldman Sachs, Denise was a partner at Ernst & Young, focusing on business strategy solutions for financial services firms. She also was a contributing author and the co-editor of "The Practice of Risk Management" published by Euromoney. Denise received a B.S. from Sarah Lawrence College.
Richard Horwitz
Richard Horwitz is managing director of Manager Assessment and Risk Management of Merrill Lynch's Hedge Fund Development and Management Group (HFDMG). He has implemented Risk Fundamentals, a proprietary risk transparency and management system. The system is risk factor based, permitting underlying funds to provide structural risk transparency without requiring position disclosure, and for this transparency to be used to provide a fundamental understanding of each underlying fund and to construct risk-efficient portfolios of funds. Previously, Mr. Horwitz was senior vice president and director of risk management and investment analytics at Kenmar, a $2 billion fund of funds. He gained his fundamental knowledge of hedge funds as a principal at Capital Market Risk Advisors, the boutique risk management consulting firm. Mr. Horwitz had previously been a buy-side senior equity analyst at Sanford C. Bernstein and a consultant in financial services at Booz Allen and Hamilton. Mr. Horwitz earned a M.S. in management (Sloan School) and a B.S. in electrical engineering from the Massachusetts Institute of Technology. In addition to numerous articles on hedge funds, he authored Hedge Fund Risk Fundamentals, Solving the Risk Management and Transparency Challenge, published by Bloomberg Press.
Ron Insana
Ron Insana is CNBC's senior analyst and commentator giving his perspective on important business stories. He also appears on "Squawk Box" once a month. Previously, Mr. Insana was the anchor of CNBC's "Street Signs."
Mr. Insana joined CNBC in the 1991 merger with the Financial News Network. He has been a regular contributor to NBC's "Today:" and "NBC Nightly News with Brian Williams," as well as "Imus in the Morning" on MSNBC, and other programs when market activity warrants.
Mr. Insana began his career in 1984 as an FNN production assistant, rising to managing editor and chief of FNN's Los Angeles bureau at the time the two networks combined. While at FNN, he was nominated for a Golden ACE Award for his role in covering the 1987 stock market crash. "Trend Watching: " How to Avoid Wall Street's Next Fads, Manias and Bubbles ," his third book, was published by Harpers Business in November, 2002. His first book, "Traders' Tales" (John Wiley), a compendium of anecdotes about Wall Street Life, was published in 1996. His second book, "The Message of the Markets," was published by Harpers Business in October 2000.
Mr. Insana was nominated for a News and Documentary Emmy Award as part of NBC's coverage of 9/11, and in 1999, he was named one of the top 100 business news journalists of the century by TJFR Group.
He is also actively involved in Junior Achievement of New York, The Michael J. Fox Foundation, The Robin Hood Foundation and Autism Speaks.
Mr. Insana graduated with honors from California State University at Northridge.
Carol R. Kaufman
Carol Kaufman is founder and CEO of Alternatives TLC. She previously served as the founder and leader of Organizer Systems, Inc., a former 20 year-old Web-based, investment accounting software firm that was acquired by SunGard in November, 2002. Ms. Kaufman also served as the president of the InvesTier business unit of SunGard from November, 2002 until December, 2004. Her responsibilities included the executive management of the unit, overseeing marketing, training, systems and new product development.
The breadth and depth of Ms. Kaufmann's 25 years of hands-on management, product design, marketing, training and lecturing in the industry have provided her with the skill sets and the contacts to help firms evaluate and grow their product offerings through strategic business consulting. She has the proven, practical ability to take complicated concepts and break them down to their most basic components to bridge the gap between clients and programmers, and between industry professionals and laypeople. In addition to growing a successful business, Ms. Kaufman is an operational consultant to firms, interviewing key departmental personnel, writing up description and assessment of tools and procedures used for tasks being performed, and recommending ways to streamline operations, with a resultant foundation for procedural manuals. She is an active industry lecturer and an author of articles on such topics as growing a successful business, back office operations, transparency, outsourcing and shadow accounting. Concurrent with her role at OSI, Ms. Kaufman was a Y2K consultant to a major investment bank, evaluating over 120 third-party firms with whom they did business, to ensure that firms were ready for Y2K, including their having proper project and business continuity plans. She was also an active consultant to a major brokerage firm for six months, as their interim head of fund accounting. Ms. Kaufman's educational background includes undergraduate and graduate degrees from the University of Michigan in education and consulting. She is a member of the conference and membership committees of the Managed Funds Association (MFA).
Arthur J. Lev
Arthur Lev is a managing director and general counsel of Morgan Stanley Investment Management, the global investment management division of Morgan Stanley & Co. He was most recently a partner and general counsel of FrontPoint Partners LLC, a hedge fund firm based in Greenwich, Connecticut, which was acquired by Morgan Stanley in December 2006. Prior to joining FrontPoint Partners, Mr. Lev was managing director and general counsel of Morgan Stanley Investment Management Inc., where he also chaired their Risk Management Committee. While at Morgan Stanley, he also served as head of operational risk management within the firm’s Risk Management division. Prior to Morgan Stanley, Mr. Lev was a vice president in the Global Investment Management division within Bankers Trust Company, and vice president and chief legal officer of CS First Boston Investment Management Inc. He was also formerly associated with the New York firm of Sullivan & Cromwell. Mr. Lev received a J.D. from Harvard University, graduated summa cum laude with an AB from the University of Southern California, and is a member of the Bar in New York. Mr. Lev is a regular speaker and participant on panels and seminars relating to hedge fund regulation.
David M. Matteson
David Matteson is a partner in the Chicago office of Drinker Biddle Gardner Carton. He is head of the firm's Hedge Funds Practice Team and is the vice chair of the Investment Management Practice Group. For more than 20 years, he has concentrated his practice in the area of private investment management, with an emphasis on derivatives. He has represented hedge funds, commodity pool operators (CPOs), commodity trading advisors (CTAs), investment advisers and offshore and onshore funds. Mr. Matteson has advised clients as to the various structures and strategies with respect to the formation of funds and their management companies, SEC and CFTC regulatory issues, offering memoranda and marketing materials and negotiated investment agreements and terms of specific investment funds. Mr. Matteson was recently named one of the Best Lawyers in America® by Corporate Counsel magazine. He graduated from Occidental College with a B.A. in 1974, and from Loyola University of Chicago, with a J.D. in 1977.
Drinker Biddle Gardner Carton's Investment Management Group advises a broad array of investment management clients on financial services, products, registration issues and related matters, including products such as hedge funds and other alternative products (including registered funds of hedge funds and private equity funds), registered investment companies, common trust funds, and collective investment funds.
Rita M. Molesworth
Rita Molesworth is a partner in the Corporate and Financial Services Department of Willkie Farr & Gallagher LLP in New York. Ms. Molesworth's practice includes regularly advising hedge fund managers, commodity pool operators, commodity trading advisors and investment advisers on securities and futures law matters. Ms. Molesworth is active in assisting clients in U.S. and non-U.S. offerings of public and private commodity pools and hedge funds employing stand-alone and master-feeder structures. She also assists clients with futures and securities regulatory compliance. Ms. Molesworth is the immediate past chair and currently an adjunct member of the Committee on Futures and Derivatives Regulation of the Association of the Bar of the City of New York. Ms. Molesworth is also a member of the New York City Bar's Energy Committee. She has published articles and participated on educational panels with respect to futures and investment management issues. Ms. Molesworth received her bachelor's degree in accounting from the University of Massachusetts and her juris doctor degree from Seton Hall University School of Law.
Rishi K. Narang
Rishi K Narang has been involved with hedge funds for over ten years, both as a fund of funds manager and as a hedge fund practitioner. He founded Telesis Capital LLC in January 2005 to manage customized, niche fund of funds portfolios for a select group of clients.
Prior to founding Telesis, Rishi was a Managing Director of Santa Barbara Alpha Strategies and Co-Portfolio Manager of the Santa Barbara Market Neutral Fund, a Fund of Funds focused on systematic market neutral hedge funds. He joined Santa Barbara in Summer 2002. In early 1999, he co-founded Tradeworx, Inc., a quantitative hedge fund manager in New York. There, he helped create, launch and manage two quantitative equity trading strategies. Previously, Rishi was the Global Market Strategist for Citibank’s Alternative Investment Strategies group in San Francisco, having joined in 1996 as the strategist and quantitative analyst for the Legion Strategies funds of funds.
Rishi graduated from the University of California at Berkeley with a degree in Economics. He currently lives in Los Angeles with his wife.
Terrance J. O'Malley
Terrance O'Malley is a partner in the asset management group at Fried, Frank, Harris, Shriver & Jacobson LLP. Mr. O'Malley represents both registered and unregistered investment advisers, with an emphasis on advisers to hedge funds and private equity funds. He provides advice on a broad range of SEC and related regulatory matters with respect to registration requirements and exemptions, client negotiations, product development, day-to-day compliance matters, and issues that arise in connection with mergers and acquisition involving investment managers and their fund clients. In addition, Mr. O'Malley represents investment advisers as they prepare for and undergo examination by the SEC's inspection staff. He is author of two books, The Regulation of Hedge Fund Managers by the SEC (Institutional Investor) and The Investment Adviser's Legal and Compliance Guide (Aspen). He also frequently contributes articles to leading trade publications and regularly speaks at industry conferences. Mr.O'Malley graduated from Boston College in 1985 and Cornell Law School in 1990. He began his legal career as an attorney in the SEC's Division of Enforcement.
Daniel O'Rourke
Daniel O'Rourke is a managing director of Swiss Re Financial Products based in New York, where he is responsible for equity trading and risk management. Prior to joining Swiss Re, Mr. O'Rourke was a managing director of Goldman Sachs Group from 1989 to 2005. There he was global equities division risk manager, CEO of OptEx Services, managed equity derivatives sales and trading in Asia, managed equity derivatives trading in Europe and senior trader of U.S. equity options. He has served on various committees for the American Stock Exchange, International Stock Exchange, and Securities Industry Association. He is currently a member of the Philadelphia Stock Exchange Board of Governors. A native of Miami, Florida, Mr. O'Rourke graduated with a Bachelor's degree in physics and an MBA from the University of Florida.
John Roe
John Roe is chief operating officer at Abrams Bison. Mr. Roe was previously with McKinsey & Company, where he served as an engagement manager for over three years and advised senior executives and government officials on a wide variety of issues. He specialized in operations, mergers & acquisitions, and growth strategy while serving a diverse group of industries. Previously, he served on the White House Staff in the Office of Presidential Personnel and worked as a project manager and design engineer at Compaq Computer Corporation. Mr. Roe holds an MBA in strategy and finance from Rice University (Jones Scholar) and a B.S. in electrical engineering. Mr. Roe currently serves as an officer in the United States Coast Guard Reserve.
Jacob D. Rosengarten
Jacob Rosengarten is head of the Risk and Performance Analytics Group within Goldman Sachs Asset Management. He became a managing director in 1998. Prior to 1998, he was the director of risk analysis and quantitative analysis at Commodities Corporation (acquired by Goldman Sachs in 1997). In this capacity, he directed a group of professionals responsible for measuring risk associated with individual positions, managers and portfolios of managers who traded a variety of products including futures, derivatives, equities and emerging markets. In earlier roles at Commodities Corporation, he also functioned as controller, assistant controller, and director of accounting. Prior to his tenure at Commodities Corporation, he worked as an auditor for Arthur Young & Company, where he was responsible for managing audits for a variety of diversified clients. Mr. Rosengarten holds a B.A. in economics from Brandeis University and an MBA in accounting from the University of Chicago. He is also a Certified Public Accountant.
Paul N. Roth
Paul Roth is a founding partner of Schulte Roth & Zabel LLP. He is the coordinator of the firm's corporate practice and he is head of the firm's private investment funds' practice, an area in which he has more than 35 years of experience and which involves over 70 attorneys and approximately 1,500 hedge funds, private equity funds and offshore funds. In addition, his practice focuses primarily on investment advisers and broker/dealers, cross-border acquisitions to the United States, securities regulation, mergers and acquisitions and financial transactions. He represents clients in structuring both domestic and foreign investment companies, collective investment trusts, illiquid funds, leveraged buyout funds and commodity pools.
Mr. Roth is a magna cum laude graduate of Harvard College where he was elected to Phi Beta Kappa. He graduated cum laude from Harvard Law School and received a Fulbright Fellowship for Study of Law in The Netherlands during 1964-1965. Mr. Roth serves on the National Association of Securities Dealers, Inc. (NASD) Legal Advisory Board and is vice chair of the Subcommittee on Private Investment Entities of the American Bar Association. In addition, he has served as the chair of the Committee on Securities Regulation of the Association of the Bar of the City of New York and is a past president of the Harvard Law School Association of New York City. He is listed in Who's Who in American Law and in The Best Lawyers in America.
A frequent lecturer, Mr. Roth has spoken at conferences sponsored by the Securities Industry Association, Practising Law Institute, the American Bar Association, the Institute for International Research, Executive Enterprises, the International Bar Association, MAR/Hedge and Morgan Stanley Dean Witter. He is the author of "Proposed Section 3(c) 7: A New Exception for Private Pool Investing," which appeared in The Investment Lawyer, "Critical Legal and Regulatory Issues," published in Hedge Funds- Investment and Portfolio Strategies for the Institutional Investor, published by Irwin Professional Publishing and co-authored a chapter on "Hedge Fund Regulation in the Aftermath of Long-Term Capital Management" in Hedge Funds: Law and Regulation published by Sweet & Maxwell in 2001.
Marilyn Selby Okoshi
Marilyn Selby Okoshi is a partner at Katten Muchin Rosenman LLP, where she focuses her practice on investment funds and managers, finance, structured finance, derivatives and financial products. She concentrates on, and has significant experience in, the organization and representation of on-shore and off-shore hedge funds and private equity funds. In particular, she advises funds and fund investors with respect to derivatives, loan transactions, loan trading, financial products and investments in Japan and other Asian countries. She also has experience as lender and borrower counsel in traditional bank loans, private placements of securities and structured transactions, and has advised clients on mergers and acquisitions, joint ventures, securities offerings and general corporate matters.
Ms. Okoshi is fluent in English, Japanese and Mandarin Chinese and has spoken in Japan on hedge fund offerings. She has authored articles for numerous publications regarding the United States regulation of hedge funds and spoken at conferences on hedge fund regulation and OTC derivatives. She is chair of the Governance Committee and co-chair of the Legal Peer Advisory Council of 100 Women in Hedge Funds. Ms. Okoshi is listed as a 2006 Asialaw Leading Lawyer by Asia Law & Practice.
Ms. Okoshi earned her B.A. and M.A. from the University of Pennsylvania in 1984 and her J.D. from Stanford Law School in 1989. She is admitted to practice in New York.
Matthew Stadtmauer
Matthew Stadtmauer is a senior managing director and chief marketing officer in charge of Union Bancaire Private Asset Management's marketing and sales efforts. Prior to joining the UBP, Mr. Stadtmauer was a vice president at Salomon Smith Barney's Managed Futures Division. In his role as regional sales director, his responsibilities included sales and marketing of all Salomon Smith Barney's proprietary managed futures funds. Prior to joining Salomon Smith Barney, Mr. Stadtmauer worked at Mellon Private Asset Management as the portfolio administrator for Mellon's value and growth funds. He passed his Series 7, 31 and 63 exams administered by the National Association of Securities Dealers, Inc. Mr. Stadtmauer earned a B.S. degree in economics from the University of Delaware.
Michael G. Tannenbaum
Michael Tannenbaum is a founding partner of Tannenbaum Helpern Syracuse and Hirschtritt LLP, with offices in New York and London, where he heads the firm's financial services, hedge funds and capital markets group. For close to 30 years, he has concentrated on U.S. and non-U.S. based hedge funds, funds of funds, investment partnerships, investment adviser and SEC, NFA, ERISA, NASD and CFTC regulations, venture capital and private equity matters, futures, swaps, derivatives, structured finance deals and corporate and securities law and regulation. He regularly advises clients as to registrations of advisers, complex global structures, operating agreements and business combinations in the hedge fund and investment adviser space, seed and incubation arrangements, and represents funds, advisers and sponsors as part of his global practice. Mr. Tannenbaum is a frequent panelist at industry conferences and is regularly quoted in the business press including The Wall Street Journal, The New York Times and Bloomberg. He has served as an arbitrator in many NFA arbitration matters and is well-respected in his field for delivering complex legal advice in the context of sound business judgment.
He is listed in Who's Who of Private Fund Lawyers and was a participant in the SEC Hedge Fund Roundtable in Washington D.C. during 2003. Mr. Tannenbaum is active with industry associations here and in the UK and serves as Co Chair of the MFA's Legal Issues Forum.
Brian Walls
Brian Walls is an executive vice president at Calyon Financial Inc. He co-founded and co-manages the Alternative Investments Group at Calyon Financial. The group has representatives in Chicago, New York, London, Bahrain and Hong Kong. The group develops a dialog with investors and manages in the CTA and global macro sector through published research, manager review forums and customized brokerage services. The results are strong relationships across several niches including fund of funds, institutional investors, family offices, CTAs and macro hedge funds.
Christopher M. Wells
Chris Wells is partner in the law firm Proskauer Rose LLP in New York and head of its Hedge Fund Practice. Mr. Wells has more than 20 years experience in the organization and representation of hedge funds, private equity funds, funds of funds, registered investment companies, commodity pools, investment advisers and commodity trading advisors. He advises clients on all aspects of fund formation and ongoing compliance with securities, commodities and tax laws. His clients range from large financial institutions to small independent hedge fund managers. Mr. Wells has organized onshore and offshore open and closed-end funds using a wide range of investment and trading strategies in financial markets throughout the world. He has been especially active in the formation of funds offered simultaneously to investors in multiple jurisdictions, and in the development of tax-efficient management structures for U.S. and non-U.S. investment managers.
Before joining Proskauer Rose in 2005, Mr. Wells was a partner at Coudert Brothers LLP, where he was head of the Global Investment Funds Practice and a member of the firm's executive board. He received his B.A. from Kalamazoo College in 1978 and his J.D. from the University of Michigan in 1981. He was recognized in the 2005-2006 edition of Best Lawyers in America. Chris is a frequent speaker at conferences on investment funds and money managers, and is the author of various articles on the private equity and hedge fund industries.
Tracy Wills-Zapata
Tracy Wills-Zapata is a managing director of Campbell & Company responsible for Campbell's institutional clientele - primarily in the U.S. and Western Europe. Prior to joining Campbell in February 2006, Ms. Wills-Zapata was a managing director of DB Absolute Return Strategies where she was responsible for distribution of DB's single manager hedge fund platform. For 10 years prior to Deutsche Bank, Ms. Wills-Zapata was employed by Dominion Capital Management, Inc. where she served as a principal and executive vice president. Prior to the launch of Dominion Capital Management in 1994, Ms. Wills-Zapata was employed by R.J. O'Brien & Associates, Inc. & Swiss Financial Services, Inc.
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