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.


 

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.

 

 

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.

 

 

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.

 

 

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.

 

 

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.

 

 

Michael Wu is a partner in Winston & Strawn's Corporate Department who has extensive experience in the area of investment management regulation. Michael represents investment advisers, broker dealers, and sponsors of investments funds, including: private equity funds; real estate funds; hedge funds; commodity funds; fund of funds; venture capital funds; and registered funds. Michael counsels clients on a wide variety of legal and regulatory matters, including: forming, structuring, and operating U.S. and non-U.S. investment funds; offering, advertising, and marketing investment funds in the U.S. and Europe; investment adviser, broker-dealer, and commodity pool operator registration and exemptions; fiduciary duties and obligations; internal compliance policies and procedures; Securities and Exchange Commission (SEC) regulatory filings; SEC regulatory examinations and enforcement actions; SEC interpretive guidance and “no-action” requests; and mergers and acquisitions involving investment companies, broker-dealers and/or investment advisers. In addition, Michael assists fund managers in negotiating the terms of their partnership agreements, side letters, separate accounts, and co-investment vehicles with some of the largest institutional investors in the world. A significant portion of Michael’s clients invest in or have operations outside of the U.S., including in Europe, Asia, India, Africa, and Latin America. Many of these clients (as well as many of his U.S.-based clients) organize their funds outside of the U.S. or have non-U.S. parallel funds to accommodate their non-U.S.

 

Anne-Gaelle Carlton CFA, CQF is a Managing Director and Partner at PAAMCO. As a member of the firm’s Portfolio Construction Group since 2012, Anne-Gaelle focuses on setting strategy and asset allocation for the firm’s flagship moderate multi-strategy portfolios. She also manages several hedge fund solutions for large institutions, with a focus on opportunistic investing using emerging managers. Since 2015 Anne-Gaelle also serves as Head of Client Service globally, as such she has been responsible for executing on the delivery of the firm’s value proposition. Previously she managed PAAMCO’s Event-Driven Equity Sector and spent her early career at PAAMCO conducting due diligence on a broad spectrum of hedge fund strategies.

Prior to joining PAAMCO in 2007, Anne-Gaelle was an M&A banker at UBS Investment Bank, focused on the transportation and insurance sectors. Anne-Gaelle received her MBA from Harvard Business School, her MS (Distinction) from the London School of Economics, and her BS (First) in Pure Mathematics from Imperial College London. Anne-Gaelle resides in Laguna Beach, CA with her husband Slade and their 4 children. She is also an avid traveler with a taste for the quirky and unknown and has journeyed to over 65 countries.

 

 

Robin Fink is Founder & CEO of TAKU Partners, LLC a San Francisco based consultancy to Corporate Startups and Emerging Hedge Fund Managers focusing on their business process to affect a successful capital raising campaign. Mr. Fink is a seasoned Wall Street Investment Banking executive who through his 20 years of experience at Jefferies as Head of West Coast Sales in the Prime Brokerage Group, at ReFlow, where he introduced a solution to 40 Act funds Boards of Directors to help them create performance efficiencies around their subscription and redemption process that was built into a prominent Family Office, and as Principal, Institutional Sales at Montgomery Securities/Bank of America has established himself as a trusted partner to his constituents. Having spent his first 10 years based in San Francisco as a generalist equity research salesman at Montgomery Securities and later Bank of America, he’s worked directly with corporate leaders in the Bay Area’s unique startup culture as well as CEO’s and CFO's of small, mid and large Cap corporations and verticals of all kinds. In his new role, while embracing his past prime brokerage experience, he has now pivoted to a new role as consultant to the corporate business startup community. Mr. Fink holds Series 7 & 63 licenses and is a registered representative of Five 9 Securities, LLC, member FINRA/SIPC. He earned his Bachelor of Arts degree from the University of California, Berkeley.

 

 

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 Director of Marketing and Operations of DAFNA Capital Management LLC. In his current role, Mr. Wagner is responsible for capital raising, investor relations and other related operational functions at the firm. DAFNA Capital Management, LLC is a Los Angeles based SEC registered investment advisor, specializes in managing long/short portfolios of predominantly publicly traded biotechnology and medical device companies. In his previous role, Mr. Wagner was the Chief Operating Officer of Blue Jay Capital Management LLC. At Blue Jay, Mr. Wagner was responsible for the daily trading operations, marketing and investor relations. Before 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, CPA, is a partner in the Accounting and Assurance Department and is the Financial Services Industry Leader for the South and West at CohnReznick. He has more than 25 years of diverse experience in audit, tax and consulting services, specializing in Regulated Investment Companies (RICS), venture capital funds, hedge funds, fund of funds, private equity funds, mutual funds, real estate fund, management companies, registered investment advisors and broker-dealers.

 

Marc’s experience includes advising companies on organizational structure, supervision of audits and ongoing consultation with management regarding various operational, transactional and tax matters. He also advises companies on various regulatory issues impacting the industry. Marc regularly lectures on a wide variety of topics at securities industry and family office conferences, such as SALT, MAR, OPAL, IMN, GAIM, Alternative Asset Summit, Institute for International Research and Family Office Wealth Conference.

 

Prior to joining CohnReznick, Marc was the alternative investments market leader for KPMG’s Pacific Southwest region and spent the bulk of his career at Rothstein Kass, where he served a portion of his time as the Office Managing Partner and on the firm’s Executive Committee. Marc also led the alternative practice in the West.

 

 

CalALTs Bylaws, updated March 21, 2017

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