|Board of Directors|
The CalALTs Board of Directors consists of up to 15 elected members. The Board is the governing body and is comprised of members who work directly for a hedge fund, fund of hedge funds, or other asset management firm that offers investment into: one or more private investment funds; separately managed accounts; or other investment products that are generally considered to be "alternative" or "liquid alternative." In addition, there are seats for Service Provider members and "At Large" seats that include the following types of individuals: family office representative, institutional investor, academic in the field of investing, finance or economics.
Jason Gerlach is the CEO and Managing Partner of Sunrise Capital Partners, a San Diego-based alternative asset management firm that has operated since 1980. In his role at Sunrise, Gerlach determines and drives the firm’s overall business strategy and oversees the firm’s day-to-day business operations and activities. Gerlach also chairs Sunrise’s Management Committee. Before joining Sunrise, Gerlach was a Sunrise investor and an attorney with Hale and Dorr LLP (now WilmerHale) in Boston and later, Howard Rice Nemerovski Canady Falk & Rabkin (now Arnold & Porter LLP) in San Francisco. Gerlach holds a J.D. cum laude and an M.A. in Public Policy Analysis and Public Administration from the University of Wisconsin (1996) and a B.A. in Government from Cornell University (1993). Gerlach has completed additional finance and business studies at the Wharton School and Harvard Business School. Gerlach has been a member of the Board of Directors of the California Alternative Investments Association “CalALTs” (formerly the CHFA) since its 2010 inception and effective January 1, 2013, began serving as CalALTs’ President.
Christopher Ainsworth is Managing Director and the Regional Investment Executive for the Greater Los Angeles and Pacific South West regions within U.S. Trust. In his role, Chris oversees six U.S. Trust offices throughout Southern California and the state of Arizona and leads a team of 38 talented and dedicated investment professionals. He is responsible for delivering customized wealth management solutions to high-net-worth and ultra-high-net-worth families. He currently oversees more than $12 billion in assets under management and frequently speaks to groups on the financial markets and the global economy. Before assuming this role, Chris’ experience ranges from traditional asset management to alternative investments. From 2001 to early 2005, Chris was previously with Bank of America Capital Management’s Alternative Investment Group where he helped grow the business from a start-up to a multi-billion dollar asset management group in just under three years. Since 2005, Chris has worked in various capacities of the investment industry and specifically focused much of his time working with family offices and multi-family offices on their investments. Chris has been a regular speaker and commentator on the financial service industry including CNN, CNNfn, and other media outlets. In 2010, Chris was recruited by hedge fund and alternative investment industry participants to develop an association for California-based hedge funds to act in a unified manner to become more involved in the future financial service regulatory process. From July 2010 through December 2012, Chris served as the President of the California Hedge Fund Association, a non-profit member based organization to serve the California hedge fund community. Since January 2013, Chris has served as the Chairman of the California Hedge Fund Association. Since 2011, Chris has served on the Los Angeles Committee for Help for Children | Hedge Funds Care. Hedge Funds Care is an international charity, supported largely by the hedge fund industry, whose sole mission is preventing and treating child abuse. Chris received a Bachelor of Science in Economics with Financial Applications from Southern Methodist University.
Jim Lopiccolo is Senior Vice President and Partner at Woodruff-Sawyer & Co., a 100-year old employee owned risk and insurance advisory firm. He has over 25 years' experience helping clients mitigate risk, solve problems, and make better business decisions. Jim specializes in the negotiation and placement of Management and Professional Liability Insurance for the Asset Management, Private Equity (Venture and Buyout), and Real Estate industry segments - both at the fund and portfolio company levels - including products to facilitate transactions or address special contingencies. Jim graduated from the University of Notre Dame with a Bachelors in Business Administration, Finance. He founded the Notre Dame Executive Network of Southern California - a group dedicated to promoting business networking and education among Notre Dame graduates, as well as the Ethics Affinity Group within Orange County Forum for Corporate Directors. Jim currently serves on the Boards of CalALTs and the Notre Dame Alumni Club of Orange County.
Kathlyne Kiaie is Chief Compliance Officer at SailingStone Capital Partners LLC in San Francisco. Previously she was Managing Director and Chief Compliance Officer of First Oak Capital. Prior to founding First Oak, Ms. Kiaie was the Chief Compliance Officer for Seasons Capital Management LLC with responsibility for the firm’s legal and compliance infrastructure from 2005 through 2010. From 2001 through 2005, she was the Chief Compliance Officer for Seneca Capital Management. In 1995 Ms. Kiaie established Knob Hill Compliance Group which she ran until 2001. From 1994 – 1995, Ms. Kiaie was the Director of Compliance at Genesis Merchant Group Securities. Ms. Kiaie worked at Montgomery Securities from 1988 – 1994 where she held various positions in firm’s administration and legal department. Ms. Kiaie received her B.A. from the California State University, San Francisco in 1987.
Arthur Zwickel is a partner in the firm of Paul Hastings working in the Corporate Department. He practices in the areas of securities, corporate, and investment management law. He represents broker-dealers, investment partnerships, investment advisers, and investment companies on formation, financing and regulatory issues. In addition, Mr. Zwickel advises privately held, emerging growth, and publicly traded companies in a variety of transactions, including mergers and acquisitions, private placements, and public offerings. Before attending law school, Mr. Zwickel worked for the accounting firm of Spicer & Oppenheim as an accountant concentrating in the audits of commodities and securities brokers and dealers. Between February 2000 and September 2003, Mr. Zwickel served as Chief Financial Officer and General Counsel for two venture-backed companies in the semiconductor and Internet industries. Mr. Zwickel received his B.S. degree in accounting from Loyola Marymount University in 1986, and is a Certified Public Accountant in the state of California. He received his J.D. degree in 1993 from Loyola Law School, Los Angeles, where he graduated Order of the Coif. While there, Mr. Zwickel served as a Note & Comment Editor of Loyola of Los Angeles Law Review.
Jay Gould co-chairs the Financial Services and Investment Management practice at Winston & Strawn LLP in San Francisco. He provides enhanced and expanded services to investment funds, investment advisers, and other regulated financial market participants. Mr. Gould counsels clients involved in all aspects of the financial services industry, including registered investment companies, hedge funds, offshore investment companies, investment advisers, and broker-dealers. He previously served as chief counsel for E*TRADE Global Asset Management, Inc., vice president with TransAmerica Life Companies, senior counsel to Bank of America NT&SA, and as an attorney with the Securities and Exchange Commission, and several international law firms. Mr. Gould received his B.A. from the University of Washington in 1978, and he received his J.D. from The Catholic University of America, Columbus School of Law in 1983. Mr. Gould is ranked as a leading lawyer by 2010 Legal 500 US.
Vincent is the CEO of Agile Fund Solutions, LLC. He specializes in operational, financial, compliance, accounting, tax and consulting for hedge funds, private equity funds, venture capital funds, fund of funds, and investment advisors that sponsor these products. Leveraging his extensive operational experience from his dealings in the private and public sector of the financial services industry he has both operated and advised these entities on business structure and strategy, as well as the management of financial, operational, compliance and tax matters. Prior to joining Agile, as part of KPMG’s strategic transaction with Rothstein Kass, Vincent led KPMG’s Alternative Investments practice in Los Angeles. While at Rothstein Kass Vincent was a member of the Firm’s Executive Committee and was the Principal-in-Charge of RK’s Beverly Hills office. He is the former chairman of Rothstein Kass’ Best Practices and Learning and Development committees, was a member of the Human Resources Committee and was extensively involved with internal recruitment and professional development programs. Prior to joining Rothstein Kass in 2003, Vincent served as the CFO of a family office for several affiliated limited partnerships and a related broker-dealer, based in New York. In that role, he was responsible for managing all accounting, finance, and operations departments as well as monitoring numerous active portfolio managers. Additionally, Vincent gained valuable industry experience as a member of the Capital Markets Business Assurance Group for Price Waterhouse Coopers in New York, where he was responsible for audit design and implementation as well as coordination with international offices on capital markets engagements. Vincent graduated cum laude from Fordham University with a BS in Accounting. He is a member of the American Institute of Certified Public Accounts, California Society of Certified Public Accounts and New York State Society of Certified Public Accountants. Vincent was also recently named the Vice President of the Water Buffalo Club. A charitable organization whose vision is a Los Angeles where each child can experience a sense of well-being and have the opportunity to reach their full potential.
Anne-Gaelle Carlton is a Director at PAAMCO, a privately held institutional fund of hedge funds with over $9 billion in assets under management. Firm headquarters are in Irvine California, with additional offices in London and Singapore. At PAAMCO, Anne-Gaelle works on strategy allocation for both the flagship portfolio and for several large East Coast public pension plans. In addition to her portfolio responsibilities, she serves on the firm’s Risk Management Committee and runs several initiatives contributing to the firm’s overall business success and direction. Anne-Gaelle began her financial career at UBS Investment Bank’s London headquarters in 2000 and accrued global transactional experience by working on several high profile M&A transactions, notably in the Transportation and Insurance sectors. Originally from France, Anne-Gaelle earned her Bachelor of Science in Pure Mathematics from Imperial College London, before earning a Masters Degree with Distinction from the London School of Economics. In 2007 she went on to earn her MBA from Harvard Business School. Anne also earned the Chartered Financial Analyst (CFA) designation and the Certificate in Quantitative Finance (CQF).
Robin Fink is an advisor to hedge fund managers and emerging technology companies helping them ascertain best practice solutions with the goal of growing business. Additionally, he is involved in raising capital, business development, and business formation. Formerly he was head of West Coast Sales in the Prime Brokerage Group at Jefferies and Co. at the San Francisco office, a position he held until May 2017. Prior to joining Jefferies, Mr. Fink served as senior salesman at Reflow, a division of Forward Management. There, he introduced the Reflow solution to 40 Act firms Boards of Directors to help them create performance efficiencies around their subscription and redemption process. Mr. Fink began his Wall Street career in 1996 at Montgomery Securities as an Institutional Equity salesman, remaining in that role until March of 2005. Mr. Fink has a BA degree in Political Science from the University of California at Berkeley and currently serves on the Board of Directors of the California Alternative Investments Association (CalALTs).
Lauri Martin Haas is the founder of PRISM LLC, a hedge fund advisor that provides operational due diligence services to institutional investors. She has significant experience evaluating operational risk at hedge funds, private equity funds, fund administrators, and banks. Since 1995, she has participated in over 2,000 extensive private fund due diligence reviews managed across the United States, Europe, Asia, and the Middle East, and has evaluated operations at hundreds of other financial companies. Prior to launching PRISM, she worked in the fund of funds and private banking industry from 2001 to 2009 at Union Bancaire Privee (UBP), overseeing their global operational due diligence efforts on several billion dollars in hedge fund allocations.
Rachel Roth is a Director of Marketing and Sales at Citco Fund Services. Ms. Roth has worked in the financial industry for the past 15 years working with hedge funds and private equity firms. For the past 10 years, Ms. Roth has worked at Citco Fund Services working with clients to determine the most efficient administration solution. Prior to Citco, Ms. Roth used her knowledge of global capital markets as well as the Israeli business world having worked with Israeli technology and engineering companies as a financial and strategic advisor. At both Blumberg Capital and prior to that at Meisenbach Capital, Ms. Roth acquired private equity investing and strategic advisory experience by conducting business due diligence and market research, and assisting in structuring investment deals. Ms. Roth received her MBA in Marketing and International Business from the University of San Francisco and her B.A. from University of California at San Diego. She is fluent in English and Hebrew.
Mick Swartz is a financial economist whose research has been published in the Journal of Accounting, Auditing and Finance and Financial Review. In 1997, he won the ANBAR Award for a paper that is listed as among the top 150 business papers in the world. Professor Swartz has made over twenty presentations at finance conferences, has consulted the US Senate on derivatives legislation, appeared on CNN and NBC and appeared before state legislators concerning executive compensation and merger legislation. He has taught in many countries, including Ukraine, United Kingdom, Canada, Poland, and Germany. Before joining USC, Professor Swartz taught at Purdue University, where he was recognized as Distinguished Professor numerous times for his teaching.
Adam Wagner is the Chief Operating Officer of Blue Jay Capital Management LLC. In his current role, Mr. Wagner is responsible for the daily trading operations, marketing and investor relations functions at Blue Jay which manages long/short equity healthcare portfolios. Prior to joining Blue Jay in 2013, Mr. Wagner was a vice president of Pershing LLC, a BNY Mellon company, where he was a senior member of the Sales and Relationship Management group within Pershing Prime Services. Mr. Wagner was responsible for establishing and maintaining prime brokerage and financing relationships with hedge funds, mutual funds and other alternative managers. Before joining Pershing, Mr. Wagner served as a Relationship Manager in the prime brokerage divisions of J.P. Morgan and Bear Stearns where he supported the clearing and trading needs of the firm’s hedge fund clients. Mr. Wagner earned a Bachelor of Science degree in Finance from Villanova University.
Marc Wolf is a principal in the Beverly Hills office of KPMG LLP and a member of the Firm’s Executive Committee. Marc’s areas of specialization are focused within the Firm’s Financial Services Group, specifically hedge funds, private equity, real estate and other types of investment partnerships, broker-dealers and family offices. He is a certified public accountant in California, Colorado, New Jersey, New York and Texas. His experience includes advising clients on initial fund and broker-dealer organizational structure, real estate, supervision of audits and ongoing consultation with management regarding various operational and tax matters. He also advises clients on various regulatory issues affecting the industry. Marc regularly lectures on a wide variety of topics at securities industry and family office conferences, such as MAR, OPAL, Family Office Wealth Conference, Alternative Asset Summit, and Institute for International Research. He has served as a guest speaker for the Estate Planning Committee and Technology User Groups of the Los Angeles Chapter of the California Society of CPAs. Marc earned a Bachelor of Science degree in accounting from California State University at Northridge. He is a member of numerous CPA state societies, including the California Society of CPAs (CalCPA), and he has served as chairman of the Securities Industry Committee for the Los Angeles Chapter. In addition, Marc is a member of the American Institute of Certified Public Accountants (AICPA). He has served on boards of various nonprofit organizations and currently serves on the Deans Council for the School of Business and Economics at California State University at Northridge and as a Director of the Mary Pickford Institute and the Beverly Hills Chamber of Commerce.
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NRS Spring 2017 Compliance Conference: Managing Uncertainty
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RIA Interactive Series: Alternative Investments
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Context Summits Europe 2017