Investment Management Executive with extensive and progressive accomplishments in equity analysis, convertible bonds, and alternative investment strategies. Accomplished fund manager of both a convertible arbitrage hedge fund and a global convertible bond fund with a documented record of success. Extensive experience in equity and fixed income analysis, equity derivatives, and private equity. Proven analytical thinker with outstanding relationship management, problem solving, and decision making track record. Accomplished communicator among diverse international audiences. Excellent writer, established presenter, and marketing partner.
Feb 2006 - Apr 2009
First Vice President and Senior Research Analyst - Technology Sector
Robert W. Baird
Key member at Baird Investment Management (BIM), a 10 investment professional team, managing up to $5 billion in customized portfolios and mutual funds, emphasizing in-depth research to uncover high-quality growth securities for long-term investment. •Researched technology hardware companies (i.e. PCs, storage, networking, semiconductors, semiconductor capital equipment, defense technology, and solar). •Developed deep relationships with CEOs, CFOs, analysts and consultants to validate investment thesis and support analysis; created a valuable and proprietary network of public information. •Studied industry trends, developed financial models, followed news flow and changes in investment thesis, voiced opinions to the portfolio management team. •Traveled to industry conferences, trade shows, and company headquarters to support and discover new ideas.
2003 - 2006
Vice President and Portfolio Manager, Alternative Assets
Key Member at RiverSource Investments, LLC, a division of Ameriprise Financial Services, formerly American Express Financial Corporation and Investor's Diversified Services (IDS), offering professional money management services with more than 10,500 financial advisors and $400 billion assets owned, managed, and administered. Managed a hedge fund, a mutual fund, and three investment professionals. Reported to the Chief Investment Officer and integrated the diverse resources within the firm. Monitored trading, developed models, managed risk, and marketed both funds with American Express Bank in Europe and Asia. •Founded the Advisory Convertible Arbitrage Fund, LLC, a Cayman Islands domiciled hedge fund designed to exploit the inefficiencies within the convertible market. •Founded the American Express Convertible Bonds Fund, a Luxembourg domiciled fund designed to invest in global convertible bonds which provide equity like returns with the downside risk of fixed income.
2000 - 2003
Associate Portfolio Manager, Convertible Securities and Equity Linked Derivatives
Managed a convertible bond segment of three fixed income funds. Assisted executive management team by hedging the equity volatility in the company’s earning stream. •Represented company at over 200 road shows, making recommendations to other managers regarding new issues in the convertible market. •Designed and executed a $1 billion notional costless collar and equity put strategy, using 3 different equity index options with 4 maturities.
1996 - 2000
Research Analyst - Convertible Securities
Made recommendations regarding $1 billion convertible securities held in the Stock, Bond, Utilities, and Equity Income funds. •Completed Chicago Board Options Exchange (CBOE) Options Institute, which provides training on how to manage risk in an increasingly complex marketplace through the use of effective options strategies. •Developed an extensive convertible securities network by working with broker-dealers, attending conferences, and consulting research analysts.
1989 - 1993
Military Officer - Captain
•Battalion Fire Direction Officer for Iowa Army National Guard •Platoon Leader and Company Fire Support Officer for 10th Mountain Division Field Artillery, Fort Drum, NY