About Us

January 20, 2017 (Inauguration Day): As the theater of the 2016 Presidential Campaign fades from our rear view mirrors, and (hopefully) we all take a breath and wish for the best in 2017 with the new regime, may I make a suggestion to politicians on both sides of the aisle—please, PLEASE stop bashing Wall Street!! […]

A Head of National Sales Reporting and Analytics for a $136 Billion global investment management firm and leading quant manager Micro Cap/Small Cap Lift-Out Team Head of DCIO; Defined Contribution Business Specialist; and Defined Contribution Consultant Relations Manager for a $140 Billion investment management firm A PhD Investment Strategist for a $5 Billion quantitative asset […]

COO for a Top 5 Alternative Investment Manager; Head of Institutional Sales for a prominent US Asset Manager; Head of US National Accounts for a $700B AUM Global Manager; Two Institutional Sales Professionals for a Top Custodian

Alternative Investment CCO’s: Seat at the table or ear at the door?
It is a truism that the vast majority of Alternative Investment company CEO’s act as the Chief Investment Officer or Investment Strategist of the firm. Typically brilliant, driven, and aggressive, they are people possessed with strong egos, clear vision, and the ability to make critical decisions without hesitation.
Whether the Compliance function in the firm is a respected function, a profit-sapping utility, or simply a necessary evil – or all of the above depending on the day – the fact is that the regulatory environment is taking compliance to a whole new standard: you must follow and comply not to just that which is written, but also to that which is implied. Adding to the inherent complexity is the fact that there is much less case law, procedural work and literature concerning Alternatives as compared to, for example, Mutual Funds.

Face the Challenges of “THE BIG LEAP.”
The money management industry is now ending its fifth year since the historic plunge in 2008 equity markets and the strong economic aftershock is dissipating. From the rubble, some firms have joined a “new wave” of growing asset managers emerging on the money management landscape. Some of these firms were grown from scratch but others simply transformed their original business model to fill the market vacuum for new investment products responsive to both shifted realities and different asset class emphasis.

Section 1 – Definition and History of Garden Leave.
Garden Leave is a notice period whereby an employee who is departing an organization (and/or is on administrative leave) continues on the payroll for a prescribed period of time (3 months, 6 months, 1 year), and is instructed to stay away from the workplace as well as engage with clients and prospects, or divulge proprietary information of their current employer. The provision is typically in place to prevent departing employees from taking trade secrets, timely information, or other competitive information to a new employer whereby it can be immediately acted on or leveraged. There is a common belief that once a prescribed period of time has passed, much of the competitive information or data will have lost some of its value or impact.