BRAD MCMILLAN, CFA, CAIA, MAI Senior Vice President, Chief Investment Officer

Transcription

1 BRAD MCMILLAN, CFA, CAIA, MAI Senior Vice President, Chief Investment Officer As chief investment officer, Brad chairs the Investment Committee and is the primary spokesperson for Commonwealth s investment divisions. Brad received his BA from Dartmouth College, an MS from MIT, and an MS from Boston College. He has worked as a real estate developer, consultant, and lender; as an investment analyst, manager, and consultant; and as the founder of Dartmouth Realty Advisors. Other professional qualifications include designated membership in the Appraisal Institute (MAI), the CFA Institute, and the CAIA Association. Brad speaks around the country on investment issues and writes for industry publications, as well as daily on his blog, The Independent Market Observer.

2 BRIAN PRICE, CFA Vice President, Investment Management and Research As vice president of investment management and research, Brian manages the Equity Research and Investment Management teams, as well as oversees the asset allocation, fund selection, and overall management of Commonwealth s Preferred Portfolio Services Select program. Brian has more than 15 years of industry experience, having previously worked for Bernstein Investment Research & Management as a senior financial advisor associate. He graduated from Georgetown University with a BA in American government. In addition to holding FINRA Series 7, 63, and 65 securities registrations, Brian holds the Chartered Financial Analyst (CFA ) designation.

3 SUSAN KELLY, CAIA Director, Investment Management and Research As director of investment management and research, Susan s primary responsibilities include analysis, approval, and ongoing monitoring of all products within alternative financial strategies (e.g., managed futures, hedge funds, private equity, structured products). She also manages the Fixed Income Research group that assists advisors with fixed income portfolio construction and design, as well as identifies potential opportunities in the fixed income market for advisors and their clients. Prior to joining Commonwealth, Susan held positions at Citizens Advisors, John Hancock Advisers, and Citigroup/Smith Barney. She holds a BS in management with a concentration in finance from Purdue University and an MBA from New York University. Susan also holds the Chartered Alternative Investment Analyst (CAIA) designation.

4 CHAD LAFAUCI, CFA, CAIA Director, Real Assets As director of real assets, Chad is responsible for analysis, approval, and ongoing monitoring of all products with real assets as the underlying investments (e.g., real estate, infrastructure, natural resources, commodities). In addition, he manages the Real Assets team, which assists advisors with portfolio construction, as well as individual investment research and analysis. Chad holds FINRA Series 7, 24, 63, and 65 securities registrations and Chartered Financial Analyst (CFA ) and Chartered Alternative Investment Analyst (CAIA) designations. He attended Bates College, where he earned his BS in economics and has prior experience at Investors Bank & Trust.

5 JIM MCALLISTER, CFA Director, Equity Research Jim oversees the Equity Research team, which assists advisors with ongoing due diligence and analysis of equity-based mutual funds, exchange-traded funds, separately managed accounts, and individual securities. He also guides the ongoing implementation and execution of the team s investment philosophies and process, and responds to advisor inquiries on equity portfolio construction, individual equity research, and equity portfolio reviews. Prior to Commonwealth, Jim was a fundamental equity research analyst for Loomis, Sayles & Co. and a research analyst at State Street Global Advisors in the U.S. active quantitative group. In addition to earning a BS in finance from Lehigh University, Jim holds the Chartered Financial Analyst (CFA ) designation.

6 PETER ESSELE, CFA, CAIA Portfolio Manager, Investment Management and Research As a member of the Investment Management and Research team, Peter oversees Commonwealth s Preferred Portfolio Services Select program and the Commonwealth Model Portfolios. In addition to holding FINRA Series 7, 24, 31, 53, and 66 securities registrations, Peter holds the Chartered Alternative Investment Analyst (CAIA) and Chartered Financial Analyst (CFA ) designations. He is also a member of the Boston Security Analysts Society. Peter graduated from Union College, where he earned his BS in industrial economics. Prior to Commonwealth, he held positions at Albany International and Kestner Engineers.

7 CHRIS FASCIANO Portfolio Manager, Investment Management and Research As a member of the Investment Management and Research team, Chris oversees Commonwealth s Preferred Portfolio Services Select program and the Commonwealth Model Portfolios. He also responds to advisor inquiries about their own model portfolios. He earned his degree in economics from Bates College and his MBA from UNC Kenan-Flagler Business School. Prior to Commonwealth, Chris spent 20 years in small- and mid-cap stock research and managed small- and mid-cap value portfolios for institutional and high-net-worth clients.

8 FRED DEBAETS Portfolio Manager, Fixed Income Fred joined Commonwealth in May As a portfolio manager, Fred manages Commonwealth s Preferred Portfolio Services Select Fixed Income SMA (Separately Managed Account) strategies. Fred also assists with portfolio construction and ideas on fixed income market opportunities. He holds his BS in financial management and economics and an MBA from Plymouth State University. Prior to joining Commonwealth, Fred worked in fixed income positions at Morgan Stanley and Bear Stearns.

9 ANDREW KITCHINGS, CAIA, ERP Senior Investment Research Analyst Andrew currently serves as a member of the Investment Management team. In this position, he helps oversee Commonwealth s Preferred Portfolio Services Select program and the Commonwealth Model Portfolios. He also assists with asset allocation, security selection, and ongoing portfolio monitoring. In addition to holding FINRA Series 7 and 66 securities registrations, Andrew holds the Chartered Alternative Investment Analyst (CAIA) and Energy Risk Professional (ERP) designations. He is also a member of the Boston Security Analysts Society. Andrew holds dual degrees in economics and history from Emory University and has prior experience in positions at LPL and Bank of America.

10 MEAGAN SWANSON, CFA Manager, Fixed Income Research As manager, fixed income research, Meagan responds to advisor inquiries on fixed income portfolio construction and design and generates ideas regarding opportunities in the fixed income market. She also assists with fixed income research, as well as researching industry trends related to the fixed income market. Meagan holds the Chartered Financial Analyst (CFA ) designation. Prior to Commonwealth, she worked at Babson Capital Management, Fidelity Management & Research, and Acuity Capital Management.

11 BRIAN MCCORMICK, CIMA Senior Investment Research Analyst As lead analyst for the small- and mid-cap asset classes, Brian is responsible for manager evaluation, manager selection, and dissemination of research. He also conducts research and due diligence on exchange-traded funds and provides commentary on the industry. In addition to holding FINRA Series 7, 24, and 63 securities registrations, Brian holds the Certified Investment Management Analyst (CIMA ) designation. Brian earned a BS in management from Quinnipiac University. Prior to Commonwealth, he held positions at Signator Investors and Putnam Investments.

12 ANURADHA GAGGAR, CFA Senior Research Analyst, International and Emerging Markets As an investment management and research analyst, Anu evaluates and selects managers and disseminates research in the international and emerging markets asset classes. She also responds to advisor inquiries on equity portfolio construction, individual equity research, and equity portfolio reviews. In addition to holding the FINRA Series 7 securities registration, Anu holds the Chartered Financial Analyst (CFA ) designation. She has an MS in finance from Boston College, and an MBA in finance from NMIMS in India. Prior to Commonwealth, Anu taught a master s course in finance at Boston University and was an equity analyst for Virtua Research.

13 JOE MADURI, CFA Research Analyst, Fixed Income As a fixed income analyst, Joe s key responsibilities include analyzing individual fixed income securities, responding to advisor requests, and assisting with fixed income market research. In addition to holding the FINRA Series 7 securities registration, Joe holds the Chartered Financial Analyst (CFA ) designation. Prior to joining Commonwealth, Joe attended Westfield State University, earning a BS in finance.

14 LIRA BUKUVALI Research Associate, Equity As a research associate, Lira supports the mutual fund analysts and the Asset Management team by assisting with calculating, analyzing, and updating both internal and external performance and attribution reports. She is also involved in the investment process by attending due diligence meetings and industry conferences. Lira earned a BS in economics from UMass and holds the FINRA Series 7 and 66 securities registrations.

15 ROBERT KANE, CAIA Research Analyst, Alternatives As a research analyst, Rob facilitates our due diligence and research activities on products within alternative financial strategies (e.g., managed futures, hedge funds, private equity, structured products, mutual funds, and exchange-traded funds). Rob earned his bachelor s degree from UMass, Amherst. In addition to holding the FINRA Series 7, 63, and 66 securities registrations, he holds the Chartered Alternative Investment Analyst (CAIA) designation.

16 NATHAN PARKER, CFA, CAIA Research Analyst, Real Assets As a research analyst, Nathan facilitates our due diligence and research activities on real asset-focused investments (commercial real estate, commodities, infrastructure, and natural resources). In addition to holding the FINRA Series 7 and 63 securities registrations, Nathan holds the Chartered Financial Analyst (CFA ) and Chartered Alternative Investment Analyst (CAIA) designations. He received his bachelor s in business administration from California State University, Chico and his master s in finance from San Diego State University. Prior to Commonwealth, Nathan worked at LPL Financial.

17 EDUARDO CIUFFO Research Analyst, Real Assets As a research analyst, Eduardo facilitates our due diligence and research activities on real asset-focused investments. In addition to holding FINRA Series 7 and 63 registrations, he is a Chartered Financial Analyst (CFA ) candidate (level III). Eduardo earned his master s in finance from San Diego State University. Prior to Commonwealth, he gained experience at LPL Financial, where he traded and rebalanced separately managed account platforms.

18 MICHAEL COMISKEY, CAIA Research Analyst, Alternatives As a research analyst, Mick facilitates our due diligence and research activities on mutual funds, separate account managers, exchange-traded funds, and fixed income securities. He attended Bentley University, where he earned a BS in economics and finance, and also holds the Chartered Alternative Investment Analyst (CAIA) designation. Prior to Commonwealth, Mick worked for F-Squared Investments as an investment analyst.

19 NICHOLAS FOLLETT Research Analyst, Fixed Income As a fixed income analyst, Nick evaluates and selects managers and disseminates research in the fixed income asset class. Nick holds the FINRA Series 7 securities registration, a BFA from The New School for Social Research, and an MBA in finance from San Francisco State University.

20 CHRIS STUART, CFA Senior Investment Research Analyst As a senior analyst, Chris evaluates and selects managers and disseminates research in the large-cap equity asset class. He also responds to advisor inquiries on equity portfolio construction, individual equity research, and equity portfolio reviews. In addition to holding FINRA Series 7 and 66 securities registrations, Chris holds the Chartered Financial Analyst (CFA ) designation. He attended UMass Amherst, where he earned his BA in finance. Prior to Commonwealth, Chris gained experience in positions at Columbia Management, Bank of America-Merrill Lynch, and TheStreet.com.

21 SAM MILLETTE Research Associate, Fixed Income As a research associate, Sam s primary responsibilities include analyzing individual municipal bonds, responding to advisor inquiries, providing analytics and research support to the Preferred Portfolio Services Select Separately Managed Account municipal bond strategies, and assisting with market research and commentary. Sam graduated from Tufts University in May 2015 with a degree in economics. Currently, he is a Chartered Financial Analyst (CFA ) candidate (level II).

22 PETER ROBERTO Research Associate, Equity As a research associate, Peter supports analysts with due diligence and research activities on mutual funds, exchange-traded funds, and equities. He also assists the Investment Management team with calculating, analyzing, and updating internal and external performance and attribution reports. Peter graduated from Worcester Polytechnic Institute in 2012 with a BS in finance. IRSCH _05/16