LEVERAGING THE INTELLECT OF OUR COMMUNITY

APRIL 5, 2017 AT 10 ON THE PARK, NEW YORK CITY

2017 TABLE TALKS // YOUR HOSTS

Best Practices for Capital Raising and SEC Compliance

Irwin Latner/Gregory Nowak
Pepper Hamilton
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Irwin M. Latner is a partner in the Corporate and Securities Practice Group of Pepper Hamilton LLP, resident in the New York office. Mr. Latner has a broad based practice that focuses on representing hedge fund and private equity fund managers in the establishment of private investment funds and their ongoing operations. He represents both domestic and offshore managers who employ varied investment strategies and need assistance with fund set up and structuring, SEC registration and reporting, agreements with strategic investors, developing effective compliance programs, marketing and advertising practices, employment and compensation arrangements, portfolio investment transactions, derivatives, and compliance with the myriad of federal and state laws applicable to their business. Mr. Latner also represents U.S. and non-U.S. based broker dealers, placement agents, commodity trading advisers, seeding and incubation firms, and other types of financial service companies and alternative investment firms.

Mr. Latner actively advises and assists clients in achieving their legal and business goals, including making strategic introductions to potential funding sources, key employees, consultants and service providers.

He also represents various private equity firms in transactional matters as well as both investors and fund managers/operators in joint venture funding transactions. In addition, Mr. Latner counsels family offices in all aspects of their business structure and investment operations and works with emerging companies on early stage financing and capital raising transactions, governance structures, and employment agreements and related compensation structures.

Prior to joining Pepper, Mr. Latner was a partner and chair of the Hedge Fund Group at Herrick, Feinstein LLP in New York. He also co-founded Herrick's Family Office Group.
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Gregory J. Nowak is a partner in the Philadelphia office of Pepper Hamilton LLP and a practice leader for hedge funds in the firm's Funds Services Practice Group. He concentrates his practice in securities law, particularly in representing investment management companies and other clients on matters arising under the Investment Company Act of 1940 and the related Investment Advisers Act of 1940. Mr. Nowak also handles mergers and acquisitions, corporate and regulated investment company tax work and other corporate matters. He also represents broker-dealers and CTAs and CPOs with respect to matters under the Securities Exchange Act of 1934 and the Commodity Exchange Act.

In addition, Mr. Nowak represents many hedge funds and other alternative investment funds in fund formation and investment and compliance matters, including compliance audits and preparation work. Mr. Nowak has represented a broad range of investment funds, from funds that use the traditional broad investment charters and invest globally in virtually any financial asset that can be readily traded to specialty niche funds with narrowly defined investment strategies that invest in distressed debt and other illiquid securities. He also represents fund managers with products spanning both the private equity and hedge fund markets.

Mr. Nowak also handles mergers and acquisitions, tax matters for corporations and registered investment companies and other corporate matters.

Mr. Nowak also has represented hospitals, health care systems and health care providers and other health care entities as outside general counsel and as special counsel in regulatory, corporate and transactional matters, business operations and many other issues.

Mr. Nowak writes and speaks frequently on issues involving investment management, health care and other matters. Mr. Nowak is the author of four books on hedge funds. Hedge Fund Disclosure Documents Line by Line - A User's Guide to Confidential Private Placement Memoranda for Funds Formed as Limited Liability Companies (the 2nd edition was published in January 2011; the 1st edition was published in 2004) and Hedge Fund Agreements Line by Line - A User's Guide to LLC Operating Contracts, (the 2nd edition was published in September 2009; and the 1st edition was published in 2004) All were published by Aspatore Publishing.

Mr. Nowak joined Pepper from Gartmore Global Investments, Inc., an asset management subsidiary of Nationwide Mutual Insurance Company. Mr. Nowak was Gartmore's executive vice president for mergers and acquisitions and was responsible for all aspects of acquisitions of investment advisory firms. He also was instrumental in developing and managing Gartmore's hedge fund business and in developing a compliance module that allows Gartmore to manage alternative assets, such as hedge funds, along with traditional investment products.

Before joining Gartmore, Mr. Nowak was in private practice as a partner in another large, Center City Philadelphia law firm.

Thomas Zucosky
Discovery Capital
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In addition to operating the firm's business, Mr. Zucosky oversees manager selection, portfolio management and monitoring for the Investment Adviser. Previously, as Senior Vice President in charge of alternative investments for InvestorForce (Philadelphia), he oversaw all institutional searches for hedge funds done through the firm's on-line RFP platform. As Head of Marketable Alternative Strategies for Strategic Investment Group (Washington, DC), he analyzed and managed portfolios for institutional investors. Tom also partnered with Olympia Capital Management (Paris), where he oversaw all US-based hedge fund due diligence. In 1985, he co-founded Aegis Capital, a hedge fund/registered investment adviser. Tom graduated with honors with an M.A. from Montclair State University and a BS (Business) from The College of New Jersey.

 

Understanding The Global Cyber Threat And Pragmatic Steps To Mitigate Your Risks

Michael Brice
BW Cyber Services
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Michael has more than 28 years providing technology, security, and related cybersecurity consulting solutions for multiple industries, including deep commercial and military experience in the financial services industry as well as classified government operations.

After graduating from college he served as an officer in the US Marine Corps (to include 7 months in Saudi Arabia, Kuwait & Iraq during the 1st Gulf War) where he received specialized training by the National Security Agency in Cryptology and Signals Intelligence.

Upon departure from the military, he has held executive positions leading IT strategy, cybersecurity, and related enterprise software services for blue chip consultancies and publicly traded corporations including: Principal at Booz-Allen, Partner at Unisys, Chief Information Officer at the Industrial Distribution Group, Inc.and Sr. Director at Infor.

As the co-founder of BW Cyber Services, Michael has provided cyber-consulting support to multiple small-to medium-size NFA & SEC Members as well as one of the world's largest hedge funds.

Eric Golberg
V2V Associates
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Eric R. Golberg is Managing Partner, Alternative Investments Research for V2V Associates. His responsibilities include leading the manager sourcing, due diligence, selection and portfolio construction, designing bespoke multi-manager portfolios, and driving the new/emerging manager investment initiatives. Eric's career features a unique combination of alternative investment industry and Asia-Pacific Japan financial market experience. He was a founding member of Minerva Alternative Strategies Inc. (a wholly owned subsidiary of Mitsubishi Corporation). At Minerva Eric built multi-manager portfolios for Japanese institutional investors. Prior to joining Mitsubishi, Eric worked at Chemical/Chase/JP Morgan, where he initially spent two years in Tokyo covering Japanese and foreign financial institutions, then eight years in New York City covering hedge funds, CTA's, fund of funds, and private equity firms. Eric holds a BA in English from Luther College and an MA from the Columbia University School of International and Public Affairs, specializing in the political economy of Japan and East Asia.

 

Investors Expectations and Concerns Related to Third Party Valuation

Thalius Hecksher
Trident Trust
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Thalius has over 18 years experience in the Global Financial Markets with an emphasis on the Asset Management, Private Equity, Hedge Funds, Capital Raising, Emerging Managers and Technology Platforms. Throughout his career he has established strong relationships globally with all major Banks, Brokerages, and Legal firms. Thalius joined Apex in 2009 and has been part of the growth from AUM$6B to in excess of USD$25B. He relocated in 2012 to Florida to lead the development growth of the business in North and South America . He has been instrumental in promoting Florida as a state of choice to the world of Finance with the famous headline in the NY Post "Wall Street Flees NY for Tax Free Florida". Thalius has appeared on CNBC, FOX Business and been working closely with Gov Scott and the BDB board of Palm Beach. He was recently appointed as Director of the Hedge Funds Association of Florida.

Prior to joining Apex, Thalius was Head of European Sales at Linedata driving growth in Europe and into CEE. Thalius was also Sales director at Thomson Financial (now Thomson Reuters). Thalius had responsibility for spearheading the significant growth in the institutional equities and wealth management for UK and Ireland. Managing USD$35 million turnover and annual growth of USD$7m.

Jeffrey Spotts
Prophecy Asset Management
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Jeffrey Spotts, CMT has 27 years of professional experience providing portfolio management services to institutions and high-net-worth clients. He launched the firm in 2001, with a single strategy, technical trading fund focused on equities. Mr. Spotts has managed a first-loss capital allocation since 2000.

Prior to Prophecy, Mr. Spotts worked at Merrill Lynch from 1989 to 2001. During his tenure, he worked in various areas of the firm, including origination, research and asset management. He lead a portfolio management team with $500 million of AUM. He also managed a discretionary hedged product from 1999-2001 at Merrill Lynch, and from 2001 to present at Prophecy.

Mr. Spotts is published on trading strategies. He graduated in 1989 from the Pennsylvania State University with a Bachelor of Science in Business Administration.

 

Demystifying the Black Box

Parker Binion
Kerns Capital Management
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Parker serves as Chief Investment Officer for the firm. In this role, he works in conjunction with Marty Kerns as Portfolio Manager for the firm's flagship mutual fund KCMTX. In addition, Parker manages the firm's separately managed account strategies and hedging/net exposure strategies. Separately managed accounts include the firm's Valarian tactical ETF lineup as well as stock-based strategies. Prior to joining Kerns Capital Management, Parker worked as an investment advisor representative for Heritage Capital headquartered in Connecticut.

Parker graduated from Duke University on the Dean's List in 1988 and served as an Articles Editor on the Law Review at University of Texas where he completed his J.D. degree with honors in 1991. Locally, Parker's favorite charity is the University of Houston.

Larry Chiarello
SkyView Investment Advisors
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* Conducts manager sourcing, research and due diligence in addition to portfolio construction and management. Investment Management Committee (IMC) member. Manages operational due diligence process.

* Riverview Alternative Investment Advisors: Partner and Portfolio Manager
- Senior Investment Management Committee member involved in manager sourcing, research and portfolio management. Managed the operational due diligence.

* Soros Fund Management: Senior Director of Manager Research & Risk Analysis
- Directed outside hedge fund manager investments & risk analysis. In this role he sourced outside hedge fund managers (satellite managers), drafted investment agreements and oversaw invested managers. Sourced and executed seeding relationships. Provided gatekeeper role for private equity investments.
- Director of Operations managing department performing daily reconciliations and valuation of funds managed by the Soros organization.
- During his tenure at Soros, AUM grew from $350 million to over $25 billion.

* Drexel Burnham Lambert: High Yield & Convertible Bond Department
- Managed syndicate relationships.
- Supported investment banking and sales efforts for Michael Milken, Gary Winnick and other senior staff.

* Held Senior Regulatory Accounting & Analyst positions at Merrill Lynch and Drexel Burnham Lambert responsible for focus reporting in addition to Rule 15c3-1 (net capital), 15c3-3 (operations).

Education & Registrations:
- MBA in Finance & Investments from NYU's Stern School of Business
- B.A., Accounting, Queens College, CUNY, magna cum laude, with a minor in Economics.
- Series 65 registered

Community:
- Director of the Mid Atlantic Hedge Fund Association (MAHFA) (3yr term)
- Supports many local philanthropic organizations on budgeting and finance.

 

Uncovering High Quality Companies in The Search for Alpha

Ted Theodore
TrimTabs
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Mr. Theodore has specialized both in portfolio management and investment strategy. In addition to being a senior portfolio manager at Citibank and Morgan Stanley, he was head of equity strategy at Citibank and author of the first published research analysis of growth vs. value investing while at Morgan Stanley. Ted was chair of the Asset Allocation Congress and has conducted half-day workshops on global active asset allocation. He was an early adopter of ETFs and started one of the first ETF strategist products in 1999. Ted earned both his MBA in Finance and his undergraduate degree in Economics from the University of Michigan. He is a member of the Institute of Chartered Financial Analysts, the New York Society of Security Analysts and the Market Technicians Association.

Katherine Hill-Ritchie
Private Capital Investments LLC
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Ms. Hill Ritchie is founder of Private Capital Investments, LLC as well as CEO of PEX Global, an investment platform for family offices backed by a family office. She joined PEX in 2013 to grow the company, increase deal flow and launch a direct deal, co-investment and secondaries online platform. She is an advisor and consultant to several prominent single family offices and companies including Eden Capital. Her previous work history includes Stream Capital, investment consulting work with Palladio Alternative Research SA in Switzerland and as a Senior Analyst and a member of the Investment Committee for the family office Saad Financial Services in Geneva, where she conducted due diligence and manager selection for their $3.5 billion investment portfolio. Before working in Geneva, Ms. Hill Ritchie was in New York City, where she worked as a Director for Wedge Alternatives, a family office backed fund marketing firm and also Hedgefund.net. Katherine received her MBA from the Fordham Graduate School of Business and her BS in Psychology from the University of Maryland. She is an Family Office Advisory Board Member of TriState Capital Private Bank, has been an active member of the Philanthropy and Education Committees of 100 Women in Finance, Fordham Graduate School of Business Overseers Board, ASK (All Special Kids), Lighthouse Organization and Cancer101 and is a mentor to 3 MBA students. Ms. Hill Ritchie holds the Series 7, 24, and 63 Securities Licenses.

 

The Benefits of Investing in Emerging Managers

Herman Laret
Titan Advisors
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Herman Laret joined Titan Advisors in 2014. Mr. Laret is Director of Titan's Global Macro/CTA Strategies. Prior to joining Titan, he was a Managing Director at Credit Suisse in global macro product sales, and held positions that included co-head of interest rate sales and treasury product manager. Previously, he was on the firm's Proprietary Fund Investment Committee responsible for investing the firm's capital in hedge funds. Mr. Laret spent almost 14 years at Credit Suisse, interrupted by a three year period when he was a partner and senior portfolio manager at MKP Capital, trading G10 rates products, before returning to Credit Suisse in 2005. Mr. Laret began his career in 1990 at Salomon Brothers in London working in M&A before transferring to Salomon's New York office to become a government bond trader. Mr. Laret has a degree in Medicine from Leiden University in the Netherlands.

Eric Gruseke
Titan Advisors
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Eric Gruseke joined Titan Advisors in March of 2011 as a member of the business development team. His responsibilities include acting as liaison to family offices, foundations, endowments and private pension funds. Prior to joining Titan Eric served as Director, Investor Relations at ArcherOak Capital Management, LP from June 2010 until joining Titan in 2011. Mr. Gruseke also spent more than 20 years in the publishing industry, where he assumed senior management positions at a number of media companies, most notably serving as Vice President and Publisher of Reader's Digest. Mr. Gruseke graduated from Susquehanna University in 1984 with a Bachelor of Arts in Marketing.

 

An Investors Perspective: What to Look for When Choosing a Service Provider

Rom Beneche
Gemini Fund Services
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Romulad joined Gemini Hedge Fund Services, LLC in 2015 and is currently the Vice President of Business Development focusing on Hedge Funds. Romulad is responsible for new business development, including managing the sales process used to attract new Gemini Hedge Fund clients. Part of Romulad's role includes educating investment advisors on the many pooled investment products of Gemini Hedge Fund Services and helping them identify the best solution for their business. Romulad's past experience in the Hedge Fund industry allows him to serve as both a partner and consultant to prospective Hedge Fund clients.

A New York native, Romulad currently resides in New Jersey with his wife Luella and two children. In his spare time, he enjoys spending time with his family and friends, taking his sons to various team sporting activities and mentoring young professionals in the finance area. Romulad graduated from Baruch College in New York earning a degree in Business Administration with an emphasis in Accounting. Romulad is also a Certified Public Accountant licensed in the state of New York.

Vincent Molino
Shadmoor Advisors
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Vincent Molino joined Shadmoor as a Consultant in March 2017.

Prior to working with Shadmoor, Mr. Molino was a Senior Vice President at EnTrustPermal, and the Director's Head of Operational Due Diligence of Permal Group (a predecessor of EnTrustPermal), an international alternative asset management firm with over $20 billion in assets under management. As Head of Operational Due Diligence at Permal, Mr. Molino led a team of nine professionals based in New York and London, conducting operational due diligence on hundreds of funds across various strategies, with fund managers located in North America, South America, Europe and Asia.

Mr. Molino has over 13 years of experience in operational due diligence and fund operations. Prior to Permal, Mr. Molino was at Barclays Wealth and Investment Management, responsible for conducting operational due diligence on hedge funds, funds of hedge funds, private asset funds, real estate funds and long-only funds. Mr. Molino was at J.P. Morgan Alternative Asset Management, where he conducted operational due diligence and fund operations, and was at HSBC, working within the fund administration group.

Mr. Molino began his career working within mutual fund operations at Morgan Stanley. Mr. Molino is a 2001 graduate of St. John's University.

 

Institutionalize Your Offering Through Outsourcing

Catherine Ayers-Rigsby
Advisors Preferred, LLC
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Catherine Ayers-Rigsby has served as President of Advisors Preferred, LLC since its establishment in April, 2011. She has over 30 years' management experience in the financial services industry in the U.S. and Germany, ranging from investment management, sales, product development and supporting infrastructure for investment advisors and their clients. Catherine is a Chartered Financial Analyst (CFA) and carries FINRA 3, 7, 24, 27, and 55 securities licenses.

Fabien Pavlowsky
Lyxor Inc.
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Fabien Pavlowsky joined Lyxor Inc. in September 2010 as the Head of Global Macro and CTA Strategies. Since January 2015, he has served as the Head of U.S. Product Development. From 2002 to 2010, he worked for fund-of-funds Financial Risk Management ("FRM"), both in New York and London. While at FRM, Mr. Pavlowsky headed the directional trading sector and was responsible for manager selection of global macro and CTA funds, as well as portfolio management for sector-specific fund-of-funds.

Mr. Pavlowsky holds a M.Sc. from the Ecole Centrale Paris in France with a major in Computer Science and a minor in Finance.

 

Promote & Access a Global Network of Investors Using the Opportunity Network

Garrett Smith
Opportunity Network
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GARRETT SMITH, Head of North America & Member of the Founding Team

Garrett leads all the commercial activities in North America. Prior to Opportunity Network, Garrett started and led GSM Systems for eight years, focusing on global expansion and securing long-term contracts with leading technology and telecom companies. While establishing the business in the Asia Pacific Region, Garrett studied at INSEAD in Singapore, becoming the youngest student to complete an Executive MBA program. Garrett also holds a BS in International Business from Miami University.

Mark Valentino
Citizens Financial Group, Inc.
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Bio TBA

 

Adding Alpha using a Niche Strategy - The Opportunity in FinTech

Warren Fisher
Manole Capital Management
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Following 19 years as a Portfolio Manager with Goldman Sachs Asset Management's Growth Equity team, Warren helped create the first equity manager for Fortress Investments traditional asset manager called Logan Circle. Over 20 years of asset management experience, Warren has covered small, mid and large capitalization companies primarily in the financial and technology sectors. Warren founded Manole Capital Management, based in Tampa Florida, in February of 2015. Manole currently offers 4 equity products including: Fin Tech, Pure Payments, Non-Traditional Financials and High Quality Growth. Warren graduated from Lehigh University in 1994 with a Bachelor of Science in Business and Economics (Accounting) and he has a Chartered Financial Analyst designation.

George Lucaci
Mercury Capital Advisors
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George Lucaci is a Partner and Senior Advisor for Wealth Management and Electronic Distribution of Alternatives for Mercury Capital Advisors. Prior to this, he was the head of Capital Alternatives Group, an independent hedge fund capital raising enterprise. He was also Senior Managing Director of HedgeFund.net, one of Wall Street's first electronic alternative asset distribution platforms and spearheaded its capital raising business and broker-dealer.

Mr. Lucaci has served variously as head of Proprietary FX Futures Arbitrage Trading at Citibank, was National Product and Sales Manager for Nomura Securities and Head of U.S. Fixed Income, and also served as Managing Director of Merrill Lynch's Mortgage-Backed Securities business.

He earned a Bachelor of Arts degree from Duke University where he established the George Lucaci Endowment for Imaginative Writing. He received an M.B.A. from The George Washington University where he was a member of the Business School Board of Advisors.

George lives in Summit, NJ with his wife Barbara, has three grown children, and is former President of the Summit Board of Education. He is a Series 7, 63, and 24 registered person with Mercury Capital Advisors, LLC, which is a member of FINRA and a securities broker-dealer in the United States.

 

Beyond Red Carpets: Strategies to Mitigate Risk in Film Financing

Bayard Outerbridge
Newbold Harbor Entertainment
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Bayard is an independent film producer and principal of Newbold Harbor Entertainment, LLC. He is currently developing a slate of feature film properties including psychological thriller Fallen Grace and heist comedy Palm Beach Santa Claus with Michael Douglas and Furthur Films.

Bayard hails from the twenty-three square mile island nation of Bermuda, with local ancestry dating back to 1619. With over ten years of experience as a film, TV and digital media producer, he has worked on productions from London to Montreal, New York and Los Angeles. Producing credits include multiple award winning AFI films Machsom and Wild Horses, starring Brooke Shields and World War Z's Mireille Enos and shot by Academy Award winning cinematographer Robert Richardson. With experience in film finance, development and complex productions involving everything from stunts, helicopters and horses to foreign languages, children and multi-jurisdictional shoots, Bayard brings a range of honed assets to any project. He recently wrapped Seasons 4 and 5 of Emmy Award winning Sea Rescue (ABC), for which he produced 60 episodes shot in every coastal U.S. state. Bayard received his BFA in film production with distinction from the Mel Hoppenheim School of Cinema at Concordia University and his Masters in Producing from the American Film Institute. He travels frequently between Bermuda and Los Angeles.

Mark Jennings
Forefront Wealth Management
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Mark began his finance career in the summer of 2000 as a Marketing Intern at the Blackstone Group in their Public Relations Department, helping a team raise over a billion dollars. During his senior year he was a Finance Intern at Prudential Securities in Wheeling, WV doing Asset Allocation Research. Upon graduation from Wheeling Jesuit University, with a degree in Business Management, he joined The Bank of New York as a Mutual Fund Accountant.

In 2003, Mark accepted a position as an Equity Portfolio Accountant with Alliance BernsteinInvestments, Inc. He was promoted to a Portfolio Assistant in their Corporate Bond Insurance Group in 2004 which managed over 200 billion dollars, some of which was for the Re-Insurance/Insurance Companies in Bermuda. In 2005 he helped start their Credit Default Swap Group.

Mark was recruited by Highbridge Capital Management in 2006 to be an Associate on their Fixed Income/Credit Opportunity Fund trading desk. Mark then joined GSO Capital Partners/The Blackstone Group in 2007 as an Associate in the Treasury Group. He was promoted to a Junior Trader in 2008 and went on to work in their Profit and Loss Group.

In the spring of 2009, Mark moved to Bermuda to work for LOM Securities (Bermuda) Ltd. as a Deputy Manager. In 2010, he moved over to the Client Relationship Management Group as an Investment Advisor. In 2011, he was promoted to Assistant Vice President and broke out of the group to manage his own book of business where he amassed over $46 million in assets under management, and a prominent international client list. When Mark resigned from LOM to Morgan Stanley in New York this past October, he was promoted to Vice President and is an International Client Advisor.

Mark holds both the Series 7 and Series 66 licenses.Ã'  He previously held a membership with the Pembroke Rotary Club and served on their board for International Fundraising. Mark is also a member of the Confrerie des Chevaliers du Tastevin, an exclusive internationally recognized organization of professional gastronomes.Ã'  While in Bermuda, he was elected Deputy Chairman of the Board of Directors for Focus Counseling Service, a non-for- profit organization.Ã'  He has been a guest speaker for Hamilton Rotary Club and Deputy Chairman of the Captive Re-Insurance Committee for Business Bermuda.Ã'  He is currently on the Committee for the Bermuda Captive Re-Insurance Conference and being proposed as an Ambassador to Mid Ocean Golf Club for New York. As an avid swimmer, squash and golf player, Mark is a member of Shenorock Shore Club, the Bermuda Squash Club and the Mid-Ocean Golf Club.Ã'  Mark resides in Bronxville, New York with his wife Kira and their daughter, Eleanor.

Distinctions
International Client Advisor