Ensuring excellence is rewarded

Aisha (Kelley) Hunt brings more than 22 years of legal and financial services industry experience to her role as founder of KH&C, a women and minority owned law firm. KH&C specializes in helping asset managers with all legal aspects of launching, converting and managing ETFs, mutual funds, interval funds and other investment products across a wide variety of asset classes, including ESG and digital assets. Prior to her most recent role as General Counsel at Vident Financial, Ms. Hunt was General Counsel at ALPS and a Partner at Dechert LLP. She has also held senior in-house legal counsel roles with Wells Fargo and Dodge & Cox.

Amrita Nandakumar is an ETF industry veteran experienced in corporate strategy, product management, business development, and integrated marketing. At Vident, she oversees the sub-advisory business, as well as sales and marketing firm-wide. In 2013, Ms. Nandakumar joined Van Eck as a Senior ETF Product Manager, where she oversaw a suite of over a dozen international equity ETFs, led new product launches, and developed critical relationships within the ETF industry. Ms. Nandakumar later transitioned to a new role, Director of Corporate Strategy and Development, where she led various corporate initiatives and managed firm-wide strategic and operational projects, including the successful acquisitions of a European asset manager and global index provider. Prior to joining Van Eck, she spent several years at Vanguard as a Senior Investment Consultant partnering with financial advisors, as well as holding other roles within Vanguard’s ETF Product Management and Corporate Strategy groups. Ms. Nandakumar holds a BA in Economics and Political Science from The George Washington University and an MBA from The Wharton School of the University of Pennsylvania. She also holds her FINRA Series 24, 7, and 63 accreditations. Ms. Nandakumar is Head of Marketing for the New York Chapter of Women in ETFs.

Avi Nachmany is an independent trustee of the NYC-based Baron Funds, and a mutual fund industry consultant and strategist. He is an advisor to several service firms to the fund industry, including FundGuard. Avi presents at times in industry conferences and panels and offers educational sessions to mutual fund executives and independent directors. As the modern U.S. mutual fund industry was emerging in the mid-1980s, Avi co-founded Strategic Insight (SI), a thought leadership and business intelligence firm for mutual fund industry leaders. Today Strategic Insight’s services are widely used in the U.S. and globally. Avi left SI in 2015, at the end of his 30th year there. As Strategic Insight’s Director of Research, Avi pioneered the firm’s fact-based research approach, served as the firm’s leading voice for the mutual fund industry’s key developments, and initiated many areas of research focusing on topics of interest for fund industry executives and independent fund trustees. Avi also educated U.S. and global regulators on mutual fund industry trends, including areas where fact-based observations offer some guidance in the development of the industry’s regulations.

Barbara J. Krumsiek is a globally recognized leader in sustainable investing with over four decades in asset management, including most recently serving as the CEO and Chair of Calvert Investments. Prior experience includes Managing Director of Alliance Capital (AB). She received the Lifetime Achievement Award from the Mutual Fund Industry Awards in 2016 in recognition of her success in advancing sustainable investing in the fund industry. An experienced Director, Krumsiek has served on public, private and mutual fund Boards. She is as an Independent Director of Arabesque Holding Co., London and MISO Energy, the Midcontinent Independent System Operator. Georgetown University named her a Senior Fellow in the Women’s Leadership Institute at the McDonough School of Business. Ms. Krumsiek holds an MS in Mathematics from NYU’s Courant Institute of Mathematical Sciences and an AB in mathematics from Rutgers University. She was awarded honorary Doctorates from Georgetown and American Universities, Washington D.C.

Charles Ragauss, CFA is Head of Trading and Portfolio Manager for Tidal Financial Group where he oversees over $6 billion in ETF client assets. An ETF expert, his background spans portfolio management, product development, operations, and compliance. Prior to Toroso, Mr. Ragauss was Co-Founder, Chief Operating Officer, and Head of Portfolio Management for Exponential ETFs. Charles has been quoted in various national and international publications including CNBC, Reuters, TheStreet.com, and CBN. He is a graduate of Grand Valley State University and holds the CFA designation.

Clémence Droin is a partner at Indefi, a leading strategy advisor for asset managers worldwide. She leads strategic consulting assignments on behalf of top asset managers and private asset platforms. She is based in Paris and has more than 10 years of experience supporting engagements focused around organic and inorganic growth and sustainability strategies. Clémence graduated from Vienna University of Economics and Business and Paris Dauphine University. She is fluent in French, English and German.

Dan Sondhelm is the CEO of Sondhelm Partners, a firm that helps institutional asset managers, mutual fund and ETF firms, alternative investment managers, wealth managers, and fintech firms attract investors and build brands through marketing, public relations, and sales strategies. With over 25 years of financial services marketing experience, Sondhelm has been instrumental in helping boutique firms develop growth programs and larger firms support and energize their sales teams. He helps asset managers understand what’s possible and how to position themselves for growth. In addition, Sondhelm has helped clients navigate the strategy of strategic partnerships. He has helped forge numerous successful relationships and transactions such as M&A, mutual fund adoptions/reorganizations, liftouts, and subadvisory, often matching firms with solid investment expertise with those that have strong distribution. Sondhelm is sought after by influencers for his expertise in industry news. He frequently contributes to the financial news media, presents or moderates at industry conferences and webinars, and speaks on-site to mutual fund boards of directors. He also writes about industry trends and best practices through firm’s popular Insights page. Sondhelm sits on the Board of Directors of the Global Asset Management Marketing Associtation (GAMMA) and co-chairs the Marketing Committee. In 2009, MutualFundWire nominated Sondhelm as one of the Most Influential People in Fund Distribution for his knowledge, relationships, and experience in helping companies grow. Sondhelm was previously a senior partner at SunStar Strategic, where he developed new business opportunities, led client strategy, and innovated client solutions. The firm earned a spot on the Inc 5000 list for five consecutive years. Sondhelm earned a BSBA and MBA from the Kogod College of Business Administration at American University in Washington, DC. He lives in Alexandria, VA, with his wife Jenna, twin children Madeleine and Gabriel, and cat Remy.

Des is a co-founder of Eolas Capital and acts at the Managing Director and Chief Investment Officer. Des is also Chair of the Investment Management Committee and a shareholder of the firm.

Before forming Eolas, Des had dual responsibility as CEO of Mellon Investments Corporation and of BNY Mellon Asset Management North America, overseeing all the asset management firms in the U.S. including, Mellon Investments Corporation (formed through the merger of Standish Mellon, Mellon Capital and The Boston Company), and CIS before it was split into separate operating divisions, accounting for over $1 trillion of assets under management at its peak.

Des also restructured the operations of two other BNY Mellon affiliates: Amherst Holdings in 2019, and EACM in 2020. He also created and spun off a trading services subsidiary – xBK – the same year, that was subsequently transferred to the Asset Servicing division of BNY Mellon. At the time of his departure, Des was also responsible for representing BNY Mellon's minority ownership interest in the Siguler Guff, a multi-strategy private equity boutique.

Prior to BNY Asset Management, Des served as Head of Investment Process Oversight at Bridgewater Associates. Before Bridgewater, he was the Chairman & Chief Executive Officer of Standish for over a decade growing the business from $35billion to over $175 billion during that period.

His investment management experience spans more than three decades and includes roles as Chief Operating Officer at Pareto Partners, where he coordinated the subsequent sale of the business to Mellon Investments Corporation; Head of European Pension Strategies for Deutsche Asset Management; and Head of Risk and Treasurer for GM Asset Management. He also held senior positions at Russell Investments and the London Stock Exchange, earlier in his career.

He is active in the local community and as a philanthropist and has served on multiple boards, including the Alzheimers Association (MA/NH Chapter), RIAN Immigrant Center, Inly School, and has been active with the American Ireland Funds.

Des holds an MPhil in Management Studies from the University of Exeter, where he also served as an Honorary Research Fellow, and a BA from University College Dublin. He also completed an Advanced Management Program at Harvard Business School.

Dorothy Friedrich is responsible for managing marketing and communication initiatives at Jensen Investment Management in Lake Oswego, Oregon. Prior to joining Jensen, she served as the Director of Sales and Marketing at Rocaton Investment Advisors, a leading institutional investment consulting firm. Before her time at Rocaton, Friedrich worked at AXA Investment Managers where she served as head of the Americas RFP team, and at the Carlyle Group where she supported the sales and marketing efforts of their commodities platform, Vermillion Asset Management. Friedrich's career in the financial industry has been marked by her success in leading marketing and communication teams, as well as her ability to collaborate effectively with investment professionals. She holds a Bachelor of Arts degree from Union College.

Ed is the Founder & Managing Principal of etfEd Advisory. Ed has over 30 years of experience in the investment industry, with 25 years involved with ETFs in a variety of roles including manager research, model portfolio management, institutional sales and relationship management. Prior to founding etfEd Advisory, he was Sr. VP, Director of ETF Institutional & Portfolio Strategies at Invesco PowerShares. Ed was a recipient of an “ETP Icon of the Industry” award at the Annual Global ETF Awards and also the “Award for Contribution to the ETF Sector” at the Capital Link Closed-End Fund & Global ETFs Forum.

George Wilbanks spent over 20 years building the asset and wealth management practice at Russell Reynolds Associates to an industry-leading position before founding Wilbanks Partners LLC in 2011. Earlier he had worked with venture capital and family office business Agtek International and then The Dreyfus Corporation in business development as Assistant to the Chairman. A graduate of Williams College with a degree in Political Philosophy, he subsequently earned his MBA in Marketing at New York University’s graduate school of business.

Jim Fitzpatrick is the President and CEO of Nicsa, a global asset management trade association with a mission of connecting industry participants in order to advance leading practices. Jim joined Nicsa in 2015 with 30 years of experience in senior leadership roles within the asset management industry.

Working closely with the Board of Directors, Jim has set the strategic direction of Nicsa, which includes the launch of the Diversity Project North America in late 2018. The Diversity Project promotes an inclusive asset management industry and seeks to achieve diversity across all dimensions through collaborative leadership from senior business executives.

Previously, Jim was a Managing Director at Goldman Sachs Asset Management with responsibilities that included senior leadership in both global operations and global sales roles during his career. In addition, he served as an officer of the Goldman Sachs Funds for fourteen years and served as an Independent Trustee for the Hays Series Trust until December 2017. Jim began his career with The Boston Company and later First Data Investor Services Group, a subsidiary of the surviving entity, First Data Corporation, where he held several senior management positions during his tenure.

As Head of Strategy for Dynamic’s Portfolio Services Team, Konstantin “Kostya” Etus, CFA® brings to Dynamic specialized experience in asset allocation and security selection of various ETF and mutual fund portfolios. This includes managing mutual funds, ETF strategies and 529 plans. Kostya also has experience in international and ESG investments, evaluating various types of investment strategies that include SMAs, model portfolios and individual funds through a robust due diligence framework.

Prior to Dynamic, Kostya served the Orion organization (CLS Investments and Orion Portfolio Solutions) for more than 10 years. There, he held various roles, including Trading Specialist, Research Analyst, Portfolio Manager and finally, Director of Research. Prior to working at Orion, Kostya worked as an Associate Financial Analyst at ConAgra Foods, Inc., managing the company’s global cash network.

He graduated from the University of Nebraska at Omaha with a Bachelor of Science degree in Business Administration and obtained Master of Investment Management and Financial Analysis and Master of Business Administration degrees from Creighton University. He holds the FINRA Series 65 securities registration and the Chartered Financial Analyst (CFA) designation.

Marty Griffin is a Financial Services Operations Executive with 25 years in differing leadership and management roles leading and building collaborative client focused teams. Marty has worked in management roles within investor servicing operations, sales operations, and business development. Marty has had the privilege of working with the best and brightest at global asset management firms MFS Investment Management and Amundi Pioneer. Marty has had the good fortune to work at State Street Bank and BNY Mellon with teams that create solutions to complex products and servicing requirements to implement them across those global custodian firms.

Experience

Michael has been with Grant Thornton for over 19 years. He has been an audit partner for 15 years and has served as the National Asset Management Managing Partner for approximately 10 years.

Industry Experience - Michael has over 25 years of experience in public accounting, and extensive expertise working with private and public companies. He oversees asset management industry strategy and business development in the firm’s primary US markets, including New York, Connecticut, Chicago, Boston, San Francisco, Florida, Dallas, and Philadelphia. Michael is also our US Global Leader and works with our GTI member firms including UK, Cayman Islands, Ireland, Luxemberg, Singapore and others.

Michael is a critical resource for the firm, and is recognized as an industry expert for accounting, auditing, financial reporting, internal control, risk management, regulatory, and operational issues impacting alternative investments. His former and current clients include hedge funds, fund of funds, private equity funds, clearing and introducing brokers, mutual funds, exchanged -traded funds (ETFs), unit investment trusts (UITs), public global diversified holding companies, registered investment advisors and other alternative investment vehicles.

Professional qualifications and memberships

Michael is very active with the New York State Society of CPA serving as the founding chair of the Private Equity and Venture Capital Committee, and the Investment Management Committee. He was named one of “Long Island’s Top 40 business people under 40” by the Long Island Business News. He is also a highly sought-after speaker on various topics relevant to financial services companies at the Institutional Investor, Foundation for Accounting Education (FAE), GAIM Cayman Operations, Private Equity International, Managed Fund Association (MFA) Strategic Member and Financial Research Associates seminars and conferences.

Presentations and publications Michael’s white papers on ASU Topic 820 and other industry topics have been republished in trade periodicals such as Hedge Funds Review, Private Equity Journal, and the Hedge Fund Journal. He has also been quoted in various financial services newsletters such as Reuters, Private Equity International, SNL Financial and Institutional Investor’s Compliance Report.

Education

Michael received a bachelor’s degree in business administration in accounting from St. Joseph’s College in New York. He is licensed in New York, New Jersey and Connecticut.

Neena Mishra, CFA, FRM is the Director of ETF Research for Zacks Investment Research, where she focuses on educating investors about exchange-traded funds. Neena writes about ETFs and industry trends, manages an ETF Investor Portfolio for Zacks clients, hosts an ETF focused podcast, and is featured in Zacks’ educational videos. Prior to her current role, Neena worked with Zacks as a Senior Financial Services Analyst. Neena launched her career with the Reserve Bank of India -- the Indian equivalent of the Federal Reserve Board -- where she supervised the banking sector and was part of the team that managed the country’s foreign exchange reserves. Neena holds a Master of Science in Physics from the Lucknow University, India, and an MBA in Finance from the University of Georgia. She has earned the Chartered Financial Analyst (CFA) and the Financial Risk Manager (FRM) designations.

Ori Porat is an independent consultant and has been helping institutional fund/plan fiduciaries review their relationships with key external asset/shareholder servicing vendors (custody, accounting, administration, middle/back-office outsourcing, transfer agency, securities lending, foreign exchange and other related services) for over 15 years. He has worked with some of the largest and most sophisticated institutional investors in the world, including seven of the top 50 investment managers, four Fortune 50 pension/savings plans, another three Fortune 500 retirement plans, 12 of the top 25 endowments and foundations, three large faith-based organizations and two of the top ten healthcare systems.

As President & CEO of Banríon Capital Management Shana Orczyk Sissel helps independent advisors navigate the complex world of alternative investing, bridging the gap between public and private alternative investment opportunities. Additionally, she assists clients with investment platform development, alternatives in portfolio construction and developing best practice in alternative investment due diligence. In this role, Ms. Sissel assisted in the launch of Armada ETF Advisors, and served as a key advisor in the firm’s recent launch of its first ETF product, the Home Appreciation U.S. REIT ETF (HAUS). Shana has over two decades of experience in the investment management industry. In her prior role as as Director of Investments at Cope Corrales, she led the firm’s Alternative Investment Platform, sourcing, conducting due diligence and implementing private investments, venture, and alternative deals. These range from illiquid, less-liquid and fully liquid assets. As Chief Investment Officer at Spotlight Asset Group, Shana was responsible for managing the firm’s $450 Million portfolio, including leading the Spotlight Investment Committee, assisting in the management of the firm’s proprietary Buy-Write portfolio, and developing a comprehensive Alternative Investment solution for firm clients. Shana also brings a vast background in market research and security analysis through various roles held at Orion Advisor Solutions, Ariel Investments, Fidelity Investments, Mercer Investments, Peak Financial Management, and Russell Investments. Shana is a sought-after speaker & media contributor, appearing frequently at industry events and on major financial news outlets like CNBC, Bloomberg, Fox Business Network and the TD Ameritrade Network. Shana earned a Bachelor of Science Degree in Sport Management from the University of Massachusetts at Amherst before receiving her Master of Business Administration Degree from Bentley University’s McCallum School of Business. She is a proud holder of the Chartered Alternative Investment Analyst (CAIA) designation.

Stephen T. Cohen focuses his practice on the investment management industry, primarily representing mutual funds and their investment advisers and boards with respect to a wide variety of regulatory, compliance and securities law issues. Mr. Cohen counsels mutual fund clients on all aspects of their operations. He advises mutual funds on developing, organizing and registering new funds under the federal securities laws; complying with state blue sky registration issues; reorganizing and merging funds; preparing shareholder proxy materials; and seeking SEC exemptive orders and other informal regulatory relief. Mr. Cohen regularly works on fund and investment adviser compliance matters. He prepares and updates compliance policies and procedures. He also assists clients in responding to requests during SEC examinations and other regulatory requests. Mr. Cohen also counsels mutual fund boards and independent board members. He regularly attends mutual fund board meetings and advises boards on regulatory and corporate governance related matters. He also works with fund boards on procuring and reviewing D&O/E&O insurance policies. Mr. Cohen has worked on a wide range of matters on behalf of money market funds operating in accordance with Rule 2a-7 under the Investment Company Act of 1940. In particular, he has reviewed securities for eligibility under Rule 2a-7; addressed compliance issues with respect to money market fund holdings; prepared numerous comment letters to the SEC and FSOC on money market fund rule proposals; and presented training sessions to portfolio managers, administrators, board members and others relating to money market fund regulation. He is actively involved in advising money market fund clients on the SEC’s money market fund reforms that were adopted in July 2014. Mr. Cohen was named as a Rising Star at the Mutual Fund Industry Awards in 2016 and he was recently a finalist for Independent Counsel of the Year. He has also been recognized in The Legal 500 (US) in the area of mutual/registered funds.

Steve is the Founder and CEO of FiSolve, an outsourced provider of COO, General Counsel and Chief Compliance Officer Services. Steve has more than twenty years of experience in the industry, including senior roles with the SEC, large national law firms and 16 years as the COO, General Counsel and CCO of a leading money management firm. Steve has experience advising investment advisers, hedge funds, mutual funds, UCITS and other financial services firms on a range of issues. Steve holds board positions, including the director of an Irish UCITS fund complex. Steve is a contributor to the SEC's Asset Management subcommittee for Small Advisers and Funds, and is an adjunct Professor of Law at the Cardozo School of Law. With twenty-five years of experience, serving as President of the state Association for Conflict Resolution, a federal mediator and teaching courses in the areas of negotiation and dispute resolution, Steve is an expert in dispute resolution. Steve has trained staff in the SEC’s Enforcement Division and presents at the SEC's Chief Compliance Outreach programs. As an industry leader and sought-after speaker with substantial experience in both the private and public sector, Steve brings unique insight and has a knack for resolving the most complex issues to elevate his clients and achieve their goals.

Tucker is president of Lyceus Group. Before launching Lyceus Group, Tucker worked on the communications desk and oversaw public relations and brand stewardship for Smead Capital Management. Previously, he worked at a wealth management firm and developed their digital marketing and communications strategy. Tucker also wrote a weekly column on the intersection of millennials and the economy for the Idaho Business Review.