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TRENDS IN FAMILY OFFICES
SEPTEMBER 14TH
On September 14th we will host a full day seminar on Trends in Family Offices. This event is oriented towards persons in the Family Office
industry working primarily for single family offices as well as multi-family offices. We will spend the day reviewing trends in
family offices with leading experts on the subject matter. This event is for people who presently run or are involved in
Family Office business related info. To get through security, you must register. The event starts at 8 a.m. and ends at 5:30 p.m. A reception will follow.
MAXWELL DREVER, CHAIRMAN EMERITUS - CROSSBEAM HOLDINGS
Mr. Drever, the founder of Concierge Asset Management, a firm that merged with Crossbeam Capital, continues to specialize in acquiring and re-developing challenged workforce apartments as well as condominiums, and other properties.
Over a 40 year-career, Drever companies have garnered a verb in acquiring and redeveloping more than 135 nonperforming or underperforming apartments and condominiums in growth cities during real estate cycle downturns and redeveloped them into Class B and Class A units. In acquiring over 18,000 units, Concierge was one of the RTC’s largest, if not the largest, early buyers of multifamily housing (apartments and failing condominium developments). The firm, along with its fund investors, has a legacy of social responsibility. Concierge acquired and redeveloped over 10,000 distressed apartments in Houston alone.
In the current real estate cycle, Drever is a co-founder and one of the investment strategists for RENOVO, a next generation triple bottom line fund. RENOVO is focused to new institutional partners as well as legacy investors the opportunity to invest again in acquiring “workforce housing” with each bottom line incorporating long-term sustainability:
1st Bottom Line: Financial Returns from stabilized assets that generate 8% or more each year;
2nd Bottom Line: Job Creation and Enduring Workforce Housing;
3rd Bottom Line: Environmental Sustainability.Drever, along with legacy investor families and friends, invests on a pari passu basis with his firm’s institutional funds. Currently they are committing to invest in RENOVO Parallel Fund II and benefit in having the same wholesale (single promote), terms as their institutional investors enjoy in the triple bottom line, RENOVO Fund.
PETER KIRKBRIDE, PARTNER - 808 INVESTMENTS
Peter Kirkbride is a partner in 808 Investments, the financial arm of 808 Renewable Energy Inc. In this role, he also oversees the firms cogeneration operations. Peter has 25 years experience in finance, investments, business management and alternative energy. He formerly served as CFO of reQuantitative, a solar panel distributor, EPC firm and systems integrator. Previously, he worked in Corporate Finance for both UBS and Bank of America. In the 1990s he founded a Medical Imaging Company in the Silicon Valley and was a partner in two other entrepreneurial ventures. Peter is a graduate of the University of California at Santa Barbara and holds NASD Series 3, 7, and 66 securities licenses.
ROB ROMERO, PORTFOLIO MANAGER - CONNECTIVE CAPITAL
Rob Romero has 20 years of engineering, marketing and investment experience the technology business. Mr. Romero’s professional experience includes engineering & management roles at Baldur, TCSI, Bay Networks, Netsys, and Cisco. Mr. Romero also founded and served as VP of Marketing at eVoice, a leading voicemail provider, sold to AOL in 2001. In 2001, Mr. Romero founded Connective Capital Ventures, and made early-stage investments in companies such as Vonage, IronPort and LiveOps. In 2003, Mr. Romero founded Connective Capital Management, a public equity investment firm, focused in the high growth sectors including technology and alternative energy. Mr. Romero holds a BS in EE, a BA in Economics, and an MS in Engineering Economic Systems from Stanford University. Rob has lived in Mexico, Brazil and Spain and speak Spanish and Portuguese.
ADAM BOUCHER, PARTNER - ADAM CAPITAL
Adam Boucher is Chief Executive Officer and Founder of Adam Capital Inc, a clean energy investment fund management Company. Adam Capital presently manages Adam Capital Clean Energy Asset Finance LLC. Boucher provides all leadership and direction in all operations, presides in the loan committee, investor relations, and fund management.
The architecture of the fund directly reflects Boucher's personal vision. He represents a new generation of fund manager, with an absolute commitment to collateralized asset based lending and a personal resolve to triple bottom line returns. Boucher is a recognized leader in the field of green energy finance and has been an invited speaker /presenter at the SD forum and West Coast Green, among others.
Boucher has been personally engaged in asset based lending since 2003. Investing his own capital, he has assembled a team with extensive experience in asset based lending in the green energy sector to manage Adam Capital Clean Energy Asset Finance LLC.
He was also a Principal with Determined Productions Inc. Determined Productions pioneered the commercialization of intellectual property licensing, with offices in San Francisco, Los Angeles, Tokyo, and Hong Kong. The firm served Fortune 100 companies.
A 1995 Graduate of University of California San Diego, he was UCSD Executive Chairman, CALPIRG (California Public Interest Research Group). Through CALPIRG, Boucher helped launch the "Ancient Forest Campaign," which ultimately saved thousands of acres of ancient rain forests in British Columbia.
Boucher is a San Francisco native and currently resides in Sonoma, California. He has lived in Italy, Argentina and Sweden, and he is fluent in three languages.
"I get up in the morning knowing I am doing something meaningful for myself, my kids, my investors and our future. I know that we do not have to take on excessive risk to solve America's challenges and I am all about creating value from win-win-win situations."
DONNA PULINI, SENIOR MANAGER - ABERDEEN ASSET MANAGEMENT
At Aberdeen Asset Management , Donna Pulini is a Senior Business Development Manager in the Financial Institutions Group, responsible for working with Single Family Offices. Donna joined Aberdeen in September 2010 after serving 3 years in Istanbul with Global Investment Holdings where she was Head of Institutional sales in their brokerage subsidiary and in charge of Institutional Corporate Communications. Prior to that she worked for Bloomberg in New York City and was the Regional Vice President at Schwab Institutional in Radnor PA for four years. Donna graduated with a BA from Long Island University and has done graduate work at The Fletcher School of Law and Diplomacy at Tufts University. Donna holds the Six Sigma Green and Black Belt certifications from Villanova University.
KEVIN DALY, SENIOR MANAGER - ABERDEEN ASSET MANAGEMENT
Kevin Daly is a portfolio manager on the emerging market fixed income team. Kevin joined Aberdeen in 2007 having spent the previous ten years at Standard & Poor's in London and Singapore. During that time Kevin worked as a credit market analyst covering global emerging markets, and then in the sovereign ratings team as head of marketing and origination. Kevin also participated in the sovereign ratings committee, and was one of the initial members of the emerging market council, formed to advise senior management on business and market developments in emerging markets.
Kevin graduated with a BA in English Literature from the University of California Los Angeles.
JOE ANZA, CEO - ANZA CAPITAL MANAGEMENT
SANDY JURANICH, CHIEF OPERATING OFFICER CALIFORNIA - GENSPRING
Sandy joined Cymric Family Office Services (now GenSpring Family Offices) in August of 1997. She manages client relationships which includes meeting with the families on a regular basis, coordinating estate and educational planning needs, trust administration, facilitates educational planning as requested by the family, oversees tax planning and compliance, and risk management needs. In addition, she assists client families with their business accounting records, coordinating purchase and /or sale of real estate and other transactions as requested. As Chief Operating Officer, she oversees the operations of the office.
Sandy’s prior experience includes working for Ernst & Young LLP as a tax manager. She supervised tax seniors and staff, performed top-level review of individual, partnership and corporate tax returns, performed tax research, and corresponded with the Internal Revenue Service and state-taxing authorities. Prior to Ernst & Young LLP, she worked for a local CPA firm that specialized in entrepreneurial business and individual clients where she prepared and reviewed tax returns, compilations, reviews, and audited financial statements.
MARK MUSHKAT, ADVISOR CALIFORNIA - GENSPRING
Mark Mushkat has 20 plus years experience working with families of wealth, most recently as a Managing Director at Harris myCFO and several years at Citigroup Private Bank. He is a Certified Investment Management Analyst (CIMA) and has held numerous securities licenses as part of his consulting. Mr. Mushkat is a summa cum laude graduate of University of Cincinnati receiving a B.A. degree; he attended graduate school in clinical psychology at George Peabody College as well as an Executive Program at The Wharton School, University of Pennsylvania.
DON WILSON, FOUNDER AND CHIEF EXECUTIVE - AVERE FINANCIAL GROUP
ANDREW MITCHELL, CEO & CHIEF INVESTMENT OFFICER - PACIFICOR
Prior to joining Pacificor, Mr. Mitchell was Vice President and Co-Portfolio Manager of high yield and convertible funds at ING. Previously Mr Mitchell was Senior Mr.Vice President and High Yield Analyst at Merrill Lynch Asset Management. At Merrill Lynch Mr. Mitchell and his team managed over $6 Billion in High Yield bonds, and also earned distinction by taking 1st place in Merrill’s industry wide bankruptcy prediction competition
From 1994 to 1998 Mr. Mitchell was Senior High Yield Analyst with Wertheim Schroder Investment Services in New York and Los Angeles. He started his career as a research analyst with Wallington Asset Management in 1992. Benefiting from a diverse career, Mr. Mitchell has experience working with mutual funds, institutional accounts, CDO’s, and high net worth investors. In addition to his investment experience, Mr. Mitchell has an operational background in the oil refining industry with Exxon and in the mining and industrial construction industries with Chevron Resources.
Mr. Mitchell has earned the CFA (Chartered Financial Analyst) designation and holds a Masters in Business Administration in Finance from the Kelley School of Business at Indiana University.
MICHAEL BATTEY, FOUNDING PARTNER - EMERALD BAY WEALTH MANAGEMENT (MULTI-FAMILY OFFICE)
Michael Battey is the founding partner of Emerald Bay Wealth Management a multi-family office.
Prior to Emerald Bay he was the head of Atlantic Trust's San Francisco office for 4 years. He also ran a financial multi-family office as a consultant. Before that he was a General Partner with Levensohn Venture Partners, Pyramid Technology Partners. He also has held other senior / leadership positions with Donaldson, Lufkin, Jenrette; Bessemer Trust and Russell Reynolds. He is a graduate of Williams College.
STEVE SOLYS, PARTNER, LEGACY PRIVATE CAPITAL (MULTI-FAMILY OFFICE)
Steve Solys is the founder of Legacy Private Capital, a firm focused on working with High Net Worth Families as the guardian of their objectives. It is a family office in the areas of estate, business, charitable, life insurance and wealth management
KRIS CARNEY, FORMER DIRECTOR INVESTMENTS AND CIO - PRIVATUS
Kris Managed the investments for a family office (100+ trusts) as it transitioned to a private trust company. In process he analyzed over 300 equity holdings - high concentration of technology, healthcare and energy; liquidating 75% from ’07 - early ’08. Reinvested proceeds into multiple asset classes, managers and structures in ’09. He analyzed and funded multiple private equity and venture backed tech, healthcare and energy investments. He diversified assets into a multiple asset class open architecture structure adding active equity managers, alternative investments, taxable fixed income and real assets. He also led the investment committee in setting investment policy, asset allocation, risk parameters, benchmarks, performance, due diligence, manager selection and buy and sell recommendations. He also built new family office investment and operations platforms, including research, banking, technology, trading relationships and selection of investment consultant; negotiated contract terms and fees; responsible for committee meeting agendas and presentation materials, client statements, portfolio reviews and client meetings. Participated in creation of common trust funds, internal and external fund accounting, audits and trust review committee.
He has series 7 and 63 licenses and is a Registered Investment Advisor. He has a degree from the University of Wisconsin at Madison in Economics.
LEE LEVY, GENERAL PARTNER - CANID ASSET MANAGEMENT
Canid asset management aims to preserve and grow investors’ assets with less volatility than the major equity indices.
Their investment approach: fundamental systematic value bias combined with growth and momentum factors (typically disparate approaches) with a keen focus on risk management to achieve superior equity investment results.
ROBERT TAYLOR, PARTNER - CENTINELA PARTNERS
Mr. Taylor is a Founding Partner of Centinela Capital Partners. Prior to joining Centinela, he was a Founder and Managing Director of Blue Capital, a middle market private equity firm whose investment strategy centered on post-acquisition value-creation. At Blue Capital, Mr. Taylor was responsible for all aspects of the investment process and firm leadership. Prior to that, he was a partner at McKinsey & Company, where, during his eleven-year tenure, Mr. Taylor gained extensive experience improving the performance of large, complex, for-profit, and not-for-profit enterprises.
He has also distinguished himself as an experienced counselor of chief executives and senior executive teams, with a track record of helping such individuals improve their respective companies’ operations. Mr. Taylor has served on numerous corporate boards both private and public. He also serves, or has served on the boards, of several not-for-profit organizations, including the National Urban League, where he is currently Senior Vice Chairman, the Los Angeles Urban League, California Science Center, Stanford Graduate School of Business Management Board, and Stanford Law School Board of Visitors. Mr. Taylor earned a B.S. in engineering, summa cum laude, from California State University, Northridge, a J.D. from Stanford Law School, and an MBA from the Stanford Graduate School of Business.
JOHN DELUNA, PRESIDENT - DELUNA PARTNERS
John de Luna founded De Luna Partners in 2002 to raise capital for a select group of investment advisory, fund of hedge funds, private equity and venture capital firms. He has more than 25 years experience in the institutional sales (most of those years with a full head of hair) with several of the world’s largest investment management firms. He was Senior Vice President and Director of Sales for the Western Region at State Street Research & Management (now BlackRock). In addition he was Director of Public Funds Sales for the Western Region with State Street Global Advisors (SSgA). Prior to his tenure at SSgA, he was National Director of Marketing for the Reserve Asset Management Group with Scudder, Stevens, and Clark. Mr. de Luna helped establish the institutional sales presence on the West Coast for Irving Trust Company. He began his career as a Legal Analyst with Crocker Bank and in due course he became the Assistant Regional Manager for the Andean Pact Countries, managed the relationships with foreign central banks and led the sales of interest rate swaps.
Mr. de Luna graduated from the University of Santa Clara with Bachelor of Science degree in Psychology and from the University of Santa Clara’s School of Law with a Juris Doctor.
De Luna Partners is a California Registered Investment Advisor. Mr. de Luna a registered representative of Keystone Capital Corporation, member FINRA and SIPC, and holds Series 7 & 63 licenses.
MARIE DEFALCO, VICE CHAIR INVESTMENT GROUP - LOWENSTEIN SANDLER
Marie T. DeFalco is Vice Chair of the firm's Investment Management Group, which is ranked in the top-tier, nationally, for its representation of hedge funds and private funds in the inaugural 2010 edition of Best Law Firms, published by U.S. News and Best Lawyers.
Ms. DeFalco represents investment management clients throughout the United States and internationally. She specializes in structuring business transactions to maximize the achievement of clients' goals, from both a business and tax perspective, particularly transactions involving limited liability companies and partnerships. Ms. DeFalco assists clients with the formation and operation of hedge funds and private equity funds, in the organization of joint ventures, and in the negotiation of shareholder and limited liability company agreements. She chairs the Fund Formation and Private Offerings; Ongoing Fund Representation section of the Investment Management Practice Group. Ms. DeFalco holds an A.B. in Economics from Cornell University and a J.D. from Yale Law School. She is admitted to practice law in New York, New Jersey, and Connecticut.
JC KANE, MANAGING DIRECTOR - LIGHTHOUSE POINT ADVISORS
Lighthouse Point Advisors advises families on alternative and investment decisions and advise investment managers on marketing, advisory, and strategic positioning. JC Kane is a highly accomplished investment executive with more than 30 years of hands on experience on Wall Street. From the mid 1980's, he built a successful career of managing assets and private investment funds for individuals and private families worldwide. He has been a Managing Director at Morgan Stanley and Laidlaw. He was CEO of SB Group and SBGAM a $900 million asset manager which he sold in 2006. He has an MBA from Tuck / Dartmouth and a PMC from Wharton.
MARK HANLEY, PARTNER - LAGUNA PARTNERS, LLC (HANLEY FAMILY OFFICE)
Mark Hanley is the President of Laguna Partners LLC, which he founded in 2005 as an advisory and consulting firm for alternatives investors and managers. Over the past 7 years he has worked with numerous family offices and institutional investors and consulted to members of the U.S. Senate Banking and Finance Committee during the financial crisis of 2008. Mark has over 25 years experience in institutional asset management, working exclusively with institutional investors in the U.S. and globally. His career has encompassed portfolio management, strategy development, product design, and marketing and investor relations across the spectrum of asset classes, strategies and investment vehicles, with an emphasis on alternative investments since 1998.
Prior to founding LP Capital, he served as Managing Director at Castlerock Investments, as a Partner and Member of both the Executive and Investment committees at Capital Z Partners, and as a Managing Director and Chairman of the Structured Assets Group at Weiss, Peck & Greer LLC. He has also served with Mellon Global Asset Management and Morley Capital. He attended the University of California at Los Angeles.
JAY ROGERS, PRESIDENT - ALPHA STRATEGIES
Jay Rogers is a financial marketing professional with over 15 years working in the investment industry. His financial background began with a career on the sell side with such firms as Morgan Stanley, Wells Fargo and Bear Stearns. He later worked as Chief Investment Officer for a family office and made his transition to the buy side with a startup long only equity manager. For several years he also worked for an independent third party marketing firm raising money in both traditional and alternative asset classes. Alpha Strategies was created in 2009 to provide boutique and emerging managers with a voice in the marketplace without the costs associated with a full time sales and marketing professional.
Jay is also instrumental in syndicating private investment opportunities among family offices and UHNW investors. These opportunities include real estate, private equity, and venture capital.
Jay holds a BS from Northeastern University and is also a graduate of the USMC Officer Candidate School in Quantico, VA. He holds several securities licenses and has completed several professional courses in Advanced Estate Planning, Asset Allocation, Retirement Planning, 401(k) and Qualified Retirement Plans. He is a member of the CFA Institute and the CFA Society of Orange County (CFAOC). Currently residing in Ladera Ranch with his wife and three sons, he is active in his local community as the Montanez Neighborhood Representative for the Ladera Ranch Maintenance Corporation (LARMAC) as well as a board officer with Ladera Ranch Community Services (LARCS). Mr. Rogers is also an Assistant Cubmaster for Cub Scout Pack 637 and a member of the National Eagle Scout Association.
ARUN GANGULY, MANAGING DIRECTOR - GANGULY GROUP (FAMILY OFFICE)
Arun Ganguly is the Chairman of the Ganguly & Company. For nearly 17 years now he has been an advisor, entrepreneur and consultant to private equity firms, venture capitalists, technology companies, health care companies and family offices. His network of contacts span globally from the US, Middle East, Asia and Europe.
Arun currently works with a wide variety of companies focused on technology, life sciences and oil and gas. Arun was an advisor to the CEO of Oncoholdings (www.oncoholdings.com) where he introduced the CEO to key members of the Senior Management team and Board of Directors. Arun has been actively involved in working with private equity, venture capital firms and family offices who have been seeking to raise capital from sovereign wealth funds in the Middle East, Europe and Asia with an emphasis on life sciences. Arun has had a long relationship with San Francisco based Burrill & Company one of the leading venture capital firms focused on life sciences. Arun worked with Steve Norris, co-founder of the Carlyle Group who was a mentor to him. Prior to working with Mr. Norris, Arun spent his time with early stage technology companies looking to raise money from venture capital firms. Among his notable transactions include the financing of Odigo which was backed by Lazard Technology Ventures which was later sold to Comverse Technology, Vocus, Marketing Technology Solutions. . In addition Arun was founder of Graystone Capital Advisors, a merchant bank he founded with Jim Carlisle, former Entrepreneur in Residence at Primedia Ventures.
DAVID YORK, CEO AND MANAGING DIRECTOR - TOP TIER CAPITAL (VENTURE CAPITAL FOF)
David is the CEO and Managing Director of Top Tier, responsible for the management, development, and growth of the firm’s fund of funds and co-investment offerings. Beginning in 2000, he led the fund of funds team at Paul Capital, developing an extensive network of relationships with private equity fund managers. He serves on the advisory boards of eight venture capital funds and has extensive operational experience, having founded and managed four different trading desks while on Wall Street. David’s Wall Street career spans two decades, including posts at Chase H&Q, Volpe Welty & Co. and Drexel Burnham Lambert. He began his career as an Executive Consultant at Paine Webber. Mr. York received his B.S.E. in Industrial and Systems Engineering from the University of Southern California.
BOB BOZEMAN, GENERAL PARTNER - EASTLAKE VENTURES (BOZEMAN FAMILY OFFICE)
Bob Bozeman's career encompasses three phases:
- Technical development of computer technology (1967-1981)
- Operating roles in development, marketing, sales, and CEO in a variety of computer industry businesses (1982-1997)
- Advisor, investor, and Board Member (1998 to present).
Bozeman received his degrees in Accounting from the University of Cincinnati (honored with their Distinguished Alumnus Award) and a combined degree in Management and Arts & Sciences from Northeastern University (a member Dean Hopey's Board of Advisors).
In his early career, Bozeman programmed application systems for the retailing industry. From an individual technical contributor, Bozeman progressed into technical and business management. At Wang Laboratories, Bozeman grew to head their internal systems where they became the largest user of their own products. Then - as a Vice President working for Dr. Wang - Bozeman started the functions that were necessary to make the company a world-class computer supplier. This included computer design, quality assurance and diagnostics, applications development and Software Program Products that were sold to the largest accounts in the world.
Moving to the San Francisco Bay Area, Bozeman developed marketing at Altos Computer Systems and later became the CEO of the combined Acer/Altos Americas organization.
Bozeman partnered with Ron Conway and Casey McGlynn at Angel Investors LP funds I and II as a General Partner. Noted investments at Angel Investors, LP, included Ask Jeeves, AvantGo, BrightMail, Chemdex/Ventro, FindLaw, Good Technology, Google, MongoMusic, OpenTable, Opsware/LoudCloud, PayPal, RedEnvelope and Vovida Networks. Involved in the follow-on financing of literally hundreds of these investments, Bozeman was able to work with about 50 of the top venture capital firms in Silicon Valley.
Bozeman is on the Board of Directors of Unify Corporation and InTuun, and partners with Ken Olisa in London-based Restoration Partners
MAXWELL DREVER, CHAIRMAN EMERITUS - CROSSBEAM HOLDINGS
Mr. Drever, the founder of Concierge Asset Management, a firm that merged with Crossbeam Capital, continues to specialize in acquiring and re-developing challenged workforce apartments as well as condominiums, and other properties.
Over a 40 year-career, Drever companies have garnered a verb in acquiring and redeveloping more than 135 nonperforming or underperforming apartments and condominiums in growth cities during real estate cycle downturns and redeveloped them into Class B and Class A units. In acquiring over 18,000 units, Concierge was one of the RTC’s largest, if not the largest, early buyers of multifamily housing (apartments and failing condominium developments). The firm, along with its fund investors, has a legacy of social responsibility. Concierge acquired and redeveloped over 10,000 distressed apartments in Houston alone.
In the current real estate cycle, Drever is a co-founder and one of the investment strategists for RENOVO, a next generation triple bottom line fund. RENOVO is focused to new institutional partners as well as legacy investors the opportunity to invest again in acquiring “workforce housing” with each bottom line incorporating long-term sustainability:
1st Bottom Line: Financial Returns from stabilized assets that generate 8% or more each year;
2nd Bottom Line: Job Creation and Enduring Workforce Housing;
3rd Bottom Line: Environmental Sustainability.Drever, along with legacy investor families and friends, invests on a pari passu basis with his firm’s institutional funds. Currently they are committing to invest in RENOVO Parallel Fund II and benefit in having the same wholesale (single promote), terms as their institutional investors enjoy in the triple bottom line, RENOVO Fund.
PETER KIRKBRIDE, PARTNER - 808 INVESTMENTS
Peter Kirkbride is a partner in 808 Investments, the financial arm of 808 Renewable Energy Inc. In this role, he also oversees the firms cogeneration operations. Peter has 25 years experience in finance, investments, business management and alternative energy. He formerly served as CFO of reQuantitative, a solar panel distributor, EPC firm and systems integrator. Previously, he worked in Corporate Finance for both UBS and Bank of America. In the 1990s he founded a Medical Imaging Company in the Silicon Valley and was a partner in two other entrepreneurial ventures. Peter is a graduate of the University of California at Santa Barbara and holds NASD Series 3, 7, and 66 securities licenses.
ROB ROMERO, PORTFOLIO MANAGER - CONNECTIVE CAPITAL
Rob Romero has 20 years of engineering, marketing and investment experience the technology business. Mr. Romero’s professional experience includes engineering & management roles at Baldur, TCSI, Bay Networks, Netsys, and Cisco. Mr. Romero also founded and served as VP of Marketing at eVoice, a leading voicemail provider, sold to AOL in 2001. In 2001, Mr. Romero founded Connective Capital Ventures, and made early-stage investments in companies such as Vonage, IronPort and LiveOps. In 2003, Mr. Romero founded Connective Capital Management, a public equity investment firm, focused in the high growth sectors including technology and alternative energy. Mr. Romero holds a BS in EE, a BA in Economics, and an MS in Engineering Economic Systems from Stanford University. Rob has lived in Mexico, Brazil and Spain and speak Spanish and Portuguese.
ADAM BOUCHER, PARTNER - ADAM CAPITAL
Adam Boucher is Chief Executive Officer and Founder of Adam Capital Inc, a clean energy investment fund management Company. Adam Capital presently manages Adam Capital Clean Energy Asset Finance LLC. Boucher provides all leadership and direction in all operations, presides in the loan committee, investor relations, and fund management.
The architecture of the fund directly reflects Boucher's personal vision. He represents a new generation of fund manager, with an absolute commitment to collateralized asset based lending and a personal resolve to triple bottom line returns. Boucher is a recognized leader in the field of green energy finance and has been an invited speaker /presenter at the SD forum and West Coast Green, among others.
Boucher has been personally engaged in asset based lending since 2003. Investing his own capital, he has assembled a team with extensive experience in asset based lending in the green energy sector to manage Adam Capital Clean Energy Asset Finance LLC.
He was also a Principal with Determined Productions Inc. Determined Productions pioneered the commercialization of intellectual property licensing, with offices in San Francisco, Los Angeles, Tokyo, and Hong Kong. The firm served Fortune 100 companies.
A 1995 Graduate of University of California San Diego, he was UCSD Executive Chairman, CALPIRG (California Public Interest Research Group). Through CALPIRG, Boucher helped launch the "Ancient Forest Campaign," which ultimately saved thousands of acres of ancient rain forests in British Columbia.
Boucher is a San Francisco native and currently resides in Sonoma, California. He has lived in Italy, Argentina and Sweden, and he is fluent in three languages.
"I get up in the morning knowing I am doing something meaningful for myself, my kids, my investors and our future. I know that we do not have to take on excessive risk to solve America's challenges and I am all about creating value from win-win-win situations."
DONNA PULINI, SENIOR MANAGER - ABERDEEN ASSET MANAGEMENT
At Aberdeen Asset Management , Donna Pulini is a Senior Business Development Manager in the Financial Institutions Group, responsible for working with Single Family Offices. Donna joined Aberdeen in September 2010 after serving 3 years in Istanbul with Global Investment Holdings where she was Head of Institutional sales in their brokerage subsidiary and in charge of Institutional Corporate Communications. Prior to that she worked for Bloomberg in New York City and was the Regional Vice President at Schwab Institutional in Radnor PA for four years. Donna graduated with a BA from Long Island University and has done graduate work at The Fletcher School of Law and Diplomacy at Tufts University. Donna holds the Six Sigma Green and Black Belt certifications from Villanova University.
KEVIN DALY, SENIOR MANAGER - ABERDEEN ASSET MANAGEMENT
Kevin Daly is a portfolio manager on the emerging market fixed income team. Kevin joined Aberdeen in 2007 having spent the previous ten years at Standard & Poor's in London and Singapore. During that time Kevin worked as a credit market analyst covering global emerging markets, and then in the sovereign ratings team as head of marketing and origination. Kevin also participated in the sovereign ratings committee, and was one of the initial members of the emerging market council, formed to advise senior management on business and market developments in emerging markets.
Kevin graduated with a BA in English Literature from the University of California Los Angeles.
JOE ANZA, CEO - ANZA CAPITAL MANAGEMENT
SANDY JURANICH, CHIEF OPERATING OFFICER CALIFORNIA - GENSPRING
Sandy joined Cymric Family Office Services (now GenSpring Family Offices) in August of 1997. She manages client relationships which includes meeting with the families on a regular basis, coordinating estate and educational planning needs, trust administration, facilitates educational planning as requested by the family, oversees tax planning and compliance, and risk management needs. In addition, she assists client families with their business accounting records, coordinating purchase and /or sale of real estate and other transactions as requested. As Chief Operating Officer, she oversees the operations of the office.
Sandy’s prior experience includes working for Ernst & Young LLP as a tax manager. She supervised tax seniors and staff, performed top-level review of individual, partnership and corporate tax returns, performed tax research, and corresponded with the Internal Revenue Service and state-taxing authorities. Prior to Ernst & Young LLP, she worked for a local CPA firm that specialized in entrepreneurial business and individual clients where she prepared and reviewed tax returns, compilations, reviews, and audited financial statements.
MARK MUSHKAT, ADVISOR CALIFORNIA - GENSPRING
Mark Mushkat has 20 plus years experience working with families of wealth, most recently as a Managing Director at Harris myCFO and several years at Citigroup Private Bank. He is a Certified Investment Management Analyst (CIMA) and has held numerous securities licenses as part of his consulting. Mr. Mushkat is a summa cum laude graduate of University of Cincinnati receiving a B.A. degree; he attended graduate school in clinical psychology at George Peabody College as well as an Executive Program at The Wharton School, University of Pennsylvania.
DON WILSON, FOUNDER AND CHIEF EXECUTIVE - AVERE FINANCIAL GROUP
ANDREW MITCHELL, CEO & CHIEF INVESTMENT OFFICER - PACIFICOR
Prior to joining Pacificor, Mr. Mitchell was Vice President and Co-Portfolio Manager of high yield and convertible funds at ING. Previously Mr Mitchell was Senior Mr.Vice President and High Yield Analyst at Merrill Lynch Asset Management. At Merrill Lynch Mr. Mitchell and his team managed over $6 Billion in High Yield bonds, and also earned distinction by taking 1st place in Merrill’s industry wide bankruptcy prediction competition
From 1994 to 1998 Mr. Mitchell was Senior High Yield Analyst with Wertheim Schroder Investment Services in New York and Los Angeles. He started his career as a research analyst with Wallington Asset Management in 1992. Benefiting from a diverse career, Mr. Mitchell has experience working with mutual funds, institutional accounts, CDO’s, and high net worth investors. In addition to his investment experience, Mr. Mitchell has an operational background in the oil refining industry with Exxon and in the mining and industrial construction industries with Chevron Resources.
Mr. Mitchell has earned the CFA (Chartered Financial Analyst) designation and holds a Masters in Business Administration in Finance from the Kelley School of Business at Indiana University.
MICHAEL BATTEY, FOUNDING PARTNER - EMERALD BAY WEALTH MANAGEMENT (MULTI-FAMILY OFFICE)
Michael Battey is the founding partner of Emerald Bay Wealth Management a multi-family office.
Prior to Emerald Bay he was the head of Atlantic Trust's San Francisco office for 4 years. He also ran a financial multi-family office as a consultant. Before that he was a General Partner with Levensohn Venture Partners, Pyramid Technology Partners. He also has held other senior / leadership positions with Donaldson, Lufkin, Jenrette; Bessemer Trust and Russell Reynolds. He is a graduate of Williams College.
STEVE SOLYS, PARTNER, LEGACY PRIVATE CAPITAL (MULTI-FAMILY OFFICE)
Steve Solys is the founder of Legacy Private Capital, a firm focused on working with High Net Worth Families as the guardian of their objectives. It is a family office in the areas of estate, business, charitable, life insurance and wealth management
KRIS CARNEY, FORMER DIRECTOR INVESTMENTS AND CIO - PRIVATUS
Kris Managed the investments for a family office (100+ trusts) as it transitioned to a private trust company. In process he analyzed over 300 equity holdings - high concentration of technology, healthcare and energy; liquidating 75% from ’07 - early ’08. Reinvested proceeds into multiple asset classes, managers and structures in ’09. He analyzed and funded multiple private equity and venture backed tech, healthcare and energy investments. He diversified assets into a multiple asset class open architecture structure adding active equity managers, alternative investments, taxable fixed income and real assets. He also led the investment committee in setting investment policy, asset allocation, risk parameters, benchmarks, performance, due diligence, manager selection and buy and sell recommendations. He also built new family office investment and operations platforms, including research, banking, technology, trading relationships and selection of investment consultant; negotiated contract terms and fees; responsible for committee meeting agendas and presentation materials, client statements, portfolio reviews and client meetings. Participated in creation of common trust funds, internal and external fund accounting, audits and trust review committee.
He has series 7 and 63 licenses and is a Registered Investment Advisor. He has a degree from the University of Wisconsin at Madison in Economics.
LEE LEVY, GENERAL PARTNER - CANID ASSET MANAGEMENT
Canid asset management aims to preserve and grow investors’ assets with less volatility than the major equity indices.
Their investment approach: fundamental systematic value bias combined with growth and momentum factors (typically disparate approaches) with a keen focus on risk management to achieve superior equity investment results.
ROBERT TAYLOR, PARTNER - CENTINELA PARTNERS
Mr. Taylor is a Founding Partner of Centinela Capital Partners. Prior to joining Centinela, he was a Founder and Managing Director of Blue Capital, a middle market private equity firm whose investment strategy centered on post-acquisition value-creation. At Blue Capital, Mr. Taylor was responsible for all aspects of the investment process and firm leadership. Prior to that, he was a partner at McKinsey & Company, where, during his eleven-year tenure, Mr. Taylor gained extensive experience improving the performance of large, complex, for-profit, and not-for-profit enterprises.
He has also distinguished himself as an experienced counselor of chief executives and senior executive teams, with a track record of helping such individuals improve their respective companies’ operations. Mr. Taylor has served on numerous corporate boards both private and public. He also serves, or has served on the boards, of several not-for-profit organizations, including the National Urban League, where he is currently Senior Vice Chairman, the Los Angeles Urban League, California Science Center, Stanford Graduate School of Business Management Board, and Stanford Law School Board of Visitors. Mr. Taylor earned a B.S. in engineering, summa cum laude, from California State University, Northridge, a J.D. from Stanford Law School, and an MBA from the Stanford Graduate School of Business.
JOHN DELUNA, PRESIDENT - DELUNA PARTNERS
John de Luna founded De Luna Partners in 2002 to raise capital for a select group of investment advisory, fund of hedge funds, private equity and venture capital firms. He has more than 25 years experience in the institutional sales (most of those years with a full head of hair) with several of the world’s largest investment management firms. He was Senior Vice President and Director of Sales for the Western Region at State Street Research & Management (now BlackRock). In addition he was Director of Public Funds Sales for the Western Region with State Street Global Advisors (SSgA). Prior to his tenure at SSgA, he was National Director of Marketing for the Reserve Asset Management Group with Scudder, Stevens, and Clark. Mr. de Luna helped establish the institutional sales presence on the West Coast for Irving Trust Company. He began his career as a Legal Analyst with Crocker Bank and in due course he became the Assistant Regional Manager for the Andean Pact Countries, managed the relationships with foreign central banks and led the sales of interest rate swaps.
Mr. de Luna graduated from the University of Santa Clara with Bachelor of Science degree in Psychology and from the University of Santa Clara’s School of Law with a Juris Doctor.
De Luna Partners is a California Registered Investment Advisor. Mr. de Luna a registered representative of Keystone Capital Corporation, member FINRA and SIPC, and holds Series 7 & 63 licenses.
MARIE DEFALCO, VICE CHAIR INVESTMENT GROUP - LOWENSTEIN SANDLER
Marie T. DeFalco is Vice Chair of the firm's Investment Management Group, which is ranked in the top-tier, nationally, for its representation of hedge funds and private funds in the inaugural 2010 edition of Best Law Firms, published by U.S. News and Best Lawyers.
Ms. DeFalco represents investment management clients throughout the United States and internationally. She specializes in structuring business transactions to maximize the achievement of clients' goals, from both a business and tax perspective, particularly transactions involving limited liability companies and partnerships. Ms. DeFalco assists clients with the formation and operation of hedge funds and private equity funds, in the organization of joint ventures, and in the negotiation of shareholder and limited liability company agreements. She chairs the Fund Formation and Private Offerings; Ongoing Fund Representation section of the Investment Management Practice Group. Ms. DeFalco holds an A.B. in Economics from Cornell University and a J.D. from Yale Law School. She is admitted to practice law in New York, New Jersey, and Connecticut.
JC KANE, MANAGING DIRECTOR - LIGHTHOUSE POINT ADVISORS
Lighthouse Point Advisors advises families on alternative and investment decisions and advise investment managers on marketing, advisory, and strategic positioning. JC Kane is a highly accomplished investment executive with more than 30 years of hands on experience on Wall Street. From the mid 1980's, he built a successful career of managing assets and private investment funds for individuals and private families worldwide. He has been a Managing Director at Morgan Stanley and Laidlaw. He was CEO of SB Group and SBGAM a $900 million asset manager which he sold in 2006. He has an MBA from Tuck / Dartmouth and a PMC from Wharton.
MARK HANLEY, PARTNER - LAGUNA PARTNERS, LLC (HANLEY FAMILY OFFICE)
Mark Hanley is the President of Laguna Partners LLC, which he founded in 2005 as an advisory and consulting firm for alternatives investors and managers. Over the past 7 years he has worked with numerous family offices and institutional investors and consulted to members of the U.S. Senate Banking and Finance Committee during the financial crisis of 2008. Mark has over 25 years experience in institutional asset management, working exclusively with institutional investors in the U.S. and globally. His career has encompassed portfolio management, strategy development, product design, and marketing and investor relations across the spectrum of asset classes, strategies and investment vehicles, with an emphasis on alternative investments since 1998.
Prior to founding LP Capital, he served as Managing Director at Castlerock Investments, as a Partner and Member of both the Executive and Investment committees at Capital Z Partners, and as a Managing Director and Chairman of the Structured Assets Group at Weiss, Peck & Greer LLC. He has also served with Mellon Global Asset Management and Morley Capital. He attended the University of California at Los Angeles.
JAY ROGERS, PRESIDENT - ALPHA STRATEGIES
Jay Rogers is a financial marketing professional with over 15 years working in the investment industry. His financial background began with a career on the sell side with such firms as Morgan Stanley, Wells Fargo and Bear Stearns. He later worked as Chief Investment Officer for a family office and made his transition to the buy side with a startup long only equity manager. For several years he also worked for an independent third party marketing firm raising money in both traditional and alternative asset classes. Alpha Strategies was created in 2009 to provide boutique and emerging managers with a voice in the marketplace without the costs associated with a full time sales and marketing professional.
Jay is also instrumental in syndicating private investment opportunities among family offices and UHNW investors. These opportunities include real estate, private equity, and venture capital.
Jay holds a BS from Northeastern University and is also a graduate of the USMC Officer Candidate School in Quantico, VA. He holds several securities licenses and has completed several professional courses in Advanced Estate Planning, Asset Allocation, Retirement Planning, 401(k) and Qualified Retirement Plans. He is a member of the CFA Institute and the CFA Society of Orange County (CFAOC). Currently residing in Ladera Ranch with his wife and three sons, he is active in his local community as the Montanez Neighborhood Representative for the Ladera Ranch Maintenance Corporation (LARMAC) as well as a board officer with Ladera Ranch Community Services (LARCS). Mr. Rogers is also an Assistant Cubmaster for Cub Scout Pack 637 and a member of the National Eagle Scout Association.
ARUN GANGULY, MANAGING DIRECTOR - GANGULY GROUP (FAMILY OFFICE)
Arun Ganguly is the Chairman of the Ganguly & Company. For nearly 17 years now he has been an advisor, entrepreneur and consultant to private equity firms, venture capitalists, technology companies, health care companies and family offices. His network of contacts span globally from the US, Middle East, Asia and Europe.
Arun currently works with a wide variety of companies focused on technology, life sciences and oil and gas. Arun was an advisor to the CEO of Oncoholdings (www.oncoholdings.com) where he introduced the CEO to key members of the Senior Management team and Board of Directors. Arun has been actively involved in working with private equity, venture capital firms and family offices who have been seeking to raise capital from sovereign wealth funds in the Middle East, Europe and Asia with an emphasis on life sciences. Arun has had a long relationship with San Francisco based Burrill & Company one of the leading venture capital firms focused on life sciences. Arun worked with Steve Norris, co-founder of the Carlyle Group who was a mentor to him. Prior to working with Mr. Norris, Arun spent his time with early stage technology companies looking to raise money from venture capital firms. Among his notable transactions include the financing of Odigo which was backed by Lazard Technology Ventures which was later sold to Comverse Technology, Vocus, Marketing Technology Solutions. . In addition Arun was founder of Graystone Capital Advisors, a merchant bank he founded with Jim Carlisle, former Entrepreneur in Residence at Primedia Ventures.
DAVID YORK, CEO AND MANAGING DIRECTOR - TOP TIER CAPITAL (VENTURE CAPITAL FOF)
David is the CEO and Managing Director of Top Tier, responsible for the management, development, and growth of the firm’s fund of funds and co-investment offerings. Beginning in 2000, he led the fund of funds team at Paul Capital, developing an extensive network of relationships with private equity fund managers. He serves on the advisory boards of eight venture capital funds and has extensive operational experience, having founded and managed four different trading desks while on Wall Street. David’s Wall Street career spans two decades, including posts at Chase H&Q, Volpe Welty & Co. and Drexel Burnham Lambert. He began his career as an Executive Consultant at Paine Webber. Mr. York received his B.S.E. in Industrial and Systems Engineering from the University of Southern California.
BOB BOZEMAN, GENERAL PARTNER - EASTLAKE VENTURES (BOZEMAN FAMILY OFFICE)
Bob Bozeman's career encompasses three phases:
- Technical development of computer technology (1967-1981)
- Operating roles in development, marketing, sales, and CEO in a variety of computer industry businesses (1982-1997)
- Advisor, investor, and Board Member (1998 to present).
Bozeman received his degrees in Accounting from the University of Cincinnati (honored with their Distinguished Alumnus Award) and a combined degree in Management and Arts & Sciences from Northeastern University (a member Dean Hopey's Board of Advisors).
In his early career, Bozeman programmed application systems for the retailing industry. From an individual technical contributor, Bozeman progressed into technical and business management. At Wang Laboratories, Bozeman grew to head their internal systems where they became the largest user of their own products. Then - as a Vice President working for Dr. Wang - Bozeman started the functions that were necessary to make the company a world-class computer supplier. This included computer design, quality assurance and diagnostics, applications development and Software Program Products that were sold to the largest accounts in the world.
Moving to the San Francisco Bay Area, Bozeman developed marketing at Altos Computer Systems and later became the CEO of the combined Acer/Altos Americas organization.
Bozeman partnered with Ron Conway and Casey McGlynn at Angel Investors LP funds I and II as a General Partner. Noted investments at Angel Investors, LP, included Ask Jeeves, AvantGo, BrightMail, Chemdex/Ventro, FindLaw, Good Technology, Google, MongoMusic, OpenTable, Opsware/LoudCloud, PayPal, RedEnvelope and Vovida Networks. Involved in the follow-on financing of literally hundreds of these investments, Bozeman was able to work with about 50 of the top venture capital firms in Silicon Valley.
Bozeman is on the Board of Directors of Unify Corporation and InTuun, and partners with Ken Olisa in London-based Restoration Partners
DATE:
Wednesday, September 14th, 2011
Wednesday, September 14th, 2011
TIME:
* 8 AM to 4:30 PM
* Lunch, administrative preceding presentations, presentations, round table, reception.
* 8 AM to 4:30 PM
* Lunch, administrative preceding presentations, presentations, round table, reception.
VENUE:
THERE IS NO WALK IN REGISTRATION.
* Hotel Monaco
* 501 Geary Street
* San Francisco, CA 94102
* Tel: (415) 292-0100
THERE IS NO WALK IN REGISTRATION.
For more information contact us