4. Education
Drew University
Madison, New Jersey
Bachelor of Arts
History
Rose Memorial Scholarship
Captain of the Drew University
Baseball Team, Male Athlete of the
Year, New Jersey Baseball Writers’
College All Star
Employed throughout matriculation
5. Education (continued)
University of California
Davis, California
Masters in Business Administration
Finance concentration
Top 20 MBA program (US News and
World Report, Public Universities)
3.8 GPA and 94th Percentile GMAT
Worked full-time while matriculated
full-time
6. Specialized Training and Certifications
Naval Aviator, Department of the Mergers and Acquisitions, Loyola
Navy University Chicago, Executive
Education
Total Quality Leadership Instructor,
Department of the Navy (based on W.E. Certified Mergers & Acquisitions
Deming’s Total Quality Management methodology) Advisor (CM&AA), Alliance of
Mergers and Acquisition Advisors
Series 7, Series 63, and Series 65
licenses, FINRA (not current)
Six Sigma Foundations, Motorola
University
Six Sigma Green Belt, Motorola
University
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9. United States Marine Corps
Major and Naval
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Service in the Middle
East, Asia-Pacific and
the United States
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and Philippine Coup)
10. United States Marine Corps (continued)
Technical Proficiency
Air Medal with Strike/Flight numeral two
Tactical Commander of multiple aircraft
Instructed Low-altitude Tactical Flights and Electronic Warfare
Post-Maintenance Test and Evaluation Pilot
11. United States Marine Corps (continued)
Management and Leadership
Process
Total Quality Leadership Implementation Coordinator/Instructor (based
on W.E. Deming’s Total Quality Management methodology)
Operations
Marine Aircraft Group Operations Officer
Coordinated the operations of a Marine Aircraft Group consisting of four
Squadrons (500 Marines and aircraft) and supervised an eight-person staff
Developed annual and multi-year forecasts and budgets
12. United States Marine Corps (continued)
Management and Leadership (continued)
Production
Supervised 50 to 60 personnel and the maintenance of twelve aircraft
Managed aircraft maintenance operations in a combat environment
Designed and supervised 160 hours of technical and professional development
training per individual, annually, for 150+ personnel
13. Pacific Telesis
Summer Manager
Assigned to a Project Finance Team responsible for:
Total Cost of Ownership Model for a $200 million Pacific Bell telecom project
Multi-year forecasts to identify telecom project return on investment
Findings and recommendations presented to the Division Vice President and
CFO of Pacific Bell
14. Bank of America
Research Associate and Analyst, BA Investment Services
Conducted competitor analysis and examined brokerage industry products and
services for sources of competitive advantage
Developed recommendations for brokerage service and product innovation
Presented findings to the President and CEO of BA Investment Services
15. Citigroup
Director and Portfolio Manager, Davis Skaggs
Investment Management
Overview:
At the time of my departure Davis Skaggs was a unit of Citigroup Asset Management, the
successor to Salomon Smith Barney, Smith Barney, and Shearson. Subsequently, Davis Skaggs
became a unit of Legg Mason.
Davis Skaggs is an All Cap Value manager with approximately $18 billion AUM at the time of my
departure. Assets were comprised of mutual funds, institutional portfolios, third party funds, and
separately managed accounts.
I was hired as an Analyst and was a Portfolio Manager at the time of my departure. While an
Analyst, I rotated through every economic sector. Prior to assuming portfolio responsibilities, I was
an All Cap generalist in direct support of the Chief Investment Officer and a Forbes Honor Roll
fund. As a Portfolio Manager, I co-managed a Small Cap Value Fund. While I was associated with
the fund, it achieved Lipper top-quintile performance.
16. Citigroup (continued)
Equity Investment Analysis
Analyst in support of a Forbes Honor Roll mutual fund (Smith Barney
Fundamental Value Fund), provided Buy/Hold/Sell recommendations on
public companies of all sizes in every economic sector
Created multi-year financial forecasts and utilized Discounted Cash Flow
(DCF) to value businesses and evaluate the value created by mergers,
acquisitions, divestitures and capital projects (McKinsey & Co., Holt Value
Associates, and Applied Finance Group methodologies)
Examined replacement value of productive assets, transaction values of
comparable businesses, and liquidation value to compliment DCF analysis,
when appropriate
Assessed capital efficiency, free cash flow generation and Return On Invested
Capital (ROIC) when evaluating corporate financial performance, evaluating
sustainable growth, benchmarking versus competitors, and value creation
opportunities (FactSet, SNL, and Ned Davis Research)
17. Citigroup (continued)
Equity Investment Analysis (continued)
Evaluated qualitative and quantitative attributes that determined the
competitive landscape (products, services, customers, suppliers, competitors,
economy, regulation, etc.)
Examined, analyzed, and interpreted corporate financial statements and
regulatory filings
Evaluated the quality of corporate earnings by identifying the cash flow
component of reported net income and aggressive accounting policies
Extensive experience conducting CEO/CFO level meetings, Fortune 500 and
below
Utilized technical analysis to mitigate risk and improve the timing of
investment decisions
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19. Citigroup (continued)
Portfolio Management
Primary Analyst and co-manager of the Smith Barney Small Cap Value Fund
Developed, back-tested, and utilized multi-factor quantitative tools to identify
companies with targeted attributes for fundamental analysis (FactSet and SNL)
Achieved Lipper’s highest rank for preservation of capital and consistency of
returns in all market conditions and top-quintile investment performance
Outperformed all relevant market indices for the four full calendar years I was
associated with the fund
Marketed and presented to Institutional Investors, Investment Consultants,
and Brokers
20.
21. SB Small Cap Value Fund
Manager Risk/Return
Single Computation
January 2000 - March 2004
o O Smith Barney Small Cap Value A
c I I Smallcap 600/BARRA Value lndex
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o
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a% 16Vo
Standard Deviation
Risk-Return Table
January 2000 - March 2004: Annualized Summary Statistics
Tracking
Downside Beta Alpha R-Squared
Return Std Dev Sharpe Error
Risk vs. vs. Market vs. Market Observs.
(o/o ("/" Ratio vs. Market
(v") Market (Y") ('/")
(o/o
Smith Barney Small Cap Value A 18.22 16.25 11.99 0.3810 14.34 30.26 0.9333 19.8632 51
Russell2000 Value 16.83 16.93 12.72 0.5558 12.29 59.10 0.8139 15.0330 51
Srnallcap 600/BARRA Value Index 14.02 19.87 15.08 0.6582 9.69 60.24 0.5516 14.8792 51
Russell2000 GroMh -5.96 30.41 21.14 1.2411 -9.55 90.92 -0.2964 10.7917 51
Smallcap 600/BARRA Growth lnde 4.81 23.37 16.24 1.0000 0.00 100.00 0.0753 0.0000 51
Manager retums supplied by: Momingstar, lnc
22. Multi-Horizon Report: Annualized Return
Period: 01/2000 to 12/2003 Frequency: M
Benchmark: Russell 2000 Value - Total Return Currency: USD
Universe: Lipper US:Small-Cap Value
# Managers 66 66
Description 4 Year Entire Period
Percentile 5 22.48 22.48
Percentile 25 17.70 17.70
Percentile 50 14.77 14.77
Percentile 75 13.35 13.35
Percentile 95 10.45 10.45
Legg Mason P:SC Val;A 18.00 18.00
Russell 2000 Value - Total Return 16.01 16.01
23. NMH Advisors and SeaCrest Investment
Management
Partner & CFO, NMH Advisors
Director, SeaCrest Investment Management
Overview:
NMH Advisors and SeaCrest Investment Management were start-up
ventures in the investment management industry. NMH operations were
merged into SeaCrest just prior to the recent financial market crisis.
NMH pursued a domestic value equity strategy. SeaCrest pursued a
multi-discipline strategy, with the legacy NMH operations representing the
Small Cap Value initiative. In an extremely challenging environment, the
Partnerships of NMH and its successor, SeaCrest, struggled to gather
assets and were unable to achieve the scale required for viability.
24. NMH Advisors and SeaCrest (continued)
Financial and Business Management
Worked with domestic and international legal advisors to create domestic and
international entities and maintain regulatory compliance
Established domestic and international banking relationships, managed accounts,
and directed cross-border transactions
Supervised, verified and approved independent annual audits, tax filings, and
interim financial statements
Developed multi-year financial forecasts for internal use and external capital
raising activities
Created and executed marketing presentations to institutional and individual
clients, both domestic and international
25. Private Investor & Consultant
Managing Trust portfolios with a total return
investment objective in domestic public markets
Pursuing private market investment
opportunities, both passive and controlling
Consultant to Langenberg & Company, an
investment firm specializing in industrial
companies
27. Professional and Social Affiliations
Association of Investment Financial Executives
Management & Research Networking Group
South Florida CFA Society National Marine Corps
Business Network
Market Technicians
Association Knights of Columbus
Alliance of Merger & St. Vincent de Paul Society
Acquisition Advisors
Wellington Little League
Association for Corporate
Growth
