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SUMMARY:Interval Fund Boot Camp & Manager Spotlight
DESCRIPTION:INTERVAL FUND Boot Camp & Manager Spotlight: The March 31\, 2021 Agenda is as follows: \nHosted on the REMO.co Platform: https://remo.co/remo-101/\nTimes in EST \nAgenda\nSponsorsSponsors\n\n\n\n\n\n\n\n\nBe an AICA event sponsor!\nSponsorship opportunities – Download Here\n\n\n\n\n\n\nCEF Advisors & CEFData.com\n\n\n\n\n\n\n\nAgenda1pm to 1:10pm - Attendee Login Networking at Virtual Tables1:10pm to 1:25pm - Welcome\nSlides PDFVideoTranscriptArticle\n\n\n\n\n\n\n\n\n\n\nJohn Cole Scott\,\nCIO at CEF Advisors\,\nFounder of CEFData.com\n\n\n\n\n\n\n\n1:25pm to 2:05pm - Panel #1: “Fixed Income Opportunities”\n\n\n\n\n\n\n\n\n\n\n\n\nModerator\nMichael Hawn\,\nSr. Vice President\,\nBusiness Development –\nUMB Fund Services\nManagers #1\nMuhammad Gazi\,\nVice President\,\nProduct Specialist –\nGriffin Capital\nManagers #2\nJulianne Woodson\,\nManaging Director –\nBlackRock\nManagers #3\nKevin Petrovcik\,\nInvestment Specialist\,\nLeveraged Credit –\nInvesco\nManagers #4\nAndrew Fox\,\nInvestment Strategist –\nLord Abbett\n\n\n\n\n2:05pm to 2:15pm - Networking Break\n\n2:15pm to 2:55pm - Panel #2: Alternative Fixed Income Opportunities\n\n\n\n\n\n\n\n\n\n\n\n\nModerator\nBenjamin McCulloch\,\nManaging Director &\nGeneral Counsel –\nXA Investments\nManagers #1\nChristian Aymond\,\nFounder\,\nPrincipal –\nA3 Financial Investments\nManagers #2\nClayton Triick\,\nSenior Portfolio Manager –\nAngel Oak\nManagers #3\nGary Henson\,\nPresident –\nTortoise/Ecofin\n\n\n\n\n\n2:55pm to 3:05pm - Networking Break3:05pm to 3:45pm - Panel #3: Real Estate Opportunities\n\n\n\n\n\n\n\n\n\n\n\n\nModerator\nJames Thompson\,\nVice President\,\nInstitutional Business Development –\nNorthernTrust\nManagers #1\nTimothy Ryan\,\nPortfolio Manager –\nGoldman Sachs\nManagers #2\nRandy Anderson\,\nCEO –\nGriffin Capital\nManagers #3\nBen Rotenberg\,\nPortfolio Manager –\nPrincipal\n\n\n\n\n\n3:45pm to 3:50pm - Networking Break3:50pm to 4:30pm - Panel #4: Pre-IPO and Other Private Market Opportunities\n\n\n\n\n\n\n\n\n\n\n\n\nModerator\nJohn Cole Scott\,\nCIO –\nClosed-End Fund Advisors\nManagers #1\nRobert Grunewald\,\nCEO & Founder\n– FlatRock\nManagers #2\nKevin Moss\,\nManaging Director –\nSharesPost100\nManagers #3\nBob Long\,\nCEO – StepStone\nManagers #4\nDaniel Wildermuth\,\nCEO – Wildermuth\n\n\n\n\n4:30pm - Event Closing Remarks4:30pm to 5:00pm - Networking Time For Attendees\, Speakers & Sponsors×\n\n\n\n\n\n\nMr. Scott has worked at Closed-End Fund Advisors since 2001. He holds the FINRA 66 License and the Certified Fund Specialist designation (CFS). He is a graduate of The College of William and Mary and has been quoted and interviewed widely in the financial press and presented at conferences and for investment groups on more than 50 occasions. \nIn 2008 John founded CEFA’s Closed-End Fund Universe\, a data service covering all US listed closed-end funds and BDCs. Currently supported by an internal 10 member analyst team with a data manager/ programmer covering the 600+ ticker universe of CEFs/BDCs/iCEFs. They regularly do consulting and projects for CEF/BDC Sponsors\, Hedge Funds and Institutional Investors. \nPortfolio Consultant with over $300MM+ in deposits into a fund focused on BDCs with a fund sponsor partner. He developed 35 CEF/BDC based indexes; 9 diversified portfolio objective\, 9Equity and 15 Bond sector. Founder & Exec. Chairman of Active Investment Company Alliance(AICA). John is a past board member of The Richmond Association for Business Economics(RABE)\, and serves as Assistant Treasurer and on the Investment Committee for The New YorkState Society of The Cincinnati. Board member and Finance & InvestmentCommittees for The William & Mary NationalAlumni Board \n\n\n\n\n\n\nClose×\n\n\n\n\n\nAs senior vice president of business development for UMB Fund Services\, Michael focuses on opportunities in the north/south central and southeastern U.S. He has worked in the financial services industry for more than 20 years and has extensive experience with custody and fund administration services for all types of investment fund structures. Before joining UMB\, he held similar positions with Phoenix American Financial Services as well as ALPS\, A DST Company. He previously served as regional vice president at Fiserv Investment Support Services. Michael holds a bachelor’s degree from Colorado State University. \n\n\n\n\n\n\nClose×\n\n\n\n\n\n\nMr. Gazi joined Griffin Capital in 2018 and serves as a Vice President\, Product Specialist. Mr. Gazi is a member of the Griffin Capital Credit Advisor Investment Committee and is responsible for Griffin Capital Credit Advisor’s product placement and strategy development. \nPreviously\, Mr. Gazi was a senior credit strategist at PIMCO\, focusing on PIMCO’s Global Credit Alternatives Strategies and Private Credit Opportunities. He was responsible for product development\, marketing\, and servicing of credit strategies. Prior\, he was a CIO associate on the PIMCO Total Return portfolio management team working alongside PIMCO’s Chief Investment Officer on the Total Return Fund and Absolute return strategies. Prior to PIMCO\, he worked at Prudential Financial as an FSA\, focusing on retirement investments for high net worth individuals. Mr. Gazi has 12 years of investment experience. \n\n\n\n\n\n\nClose×\n\n\n\nJulianne R. Woodson\, CFA Managing Director\, is a senior member of the Product Strategy team supporting BlackRock’s Global Credit platform. As a product strategist\, Ms. Woodson focuses on developing solutions for clients across BlackRock’s traditional and alternative credit platform. In this role\, she is responsible for product development\, marketing and investor relations\, acting as a link between portfolio management teams and investors. She focuses on liquid and private credit strategies\, including Global Long/Short Credit\, Multi-Strategy Credit and Aviation. Ms. Woodson’s service with the firm dates back to 2008\, when she joined the Fixed Income Product Specialist team as part of BlackRock’s Analyst Program. Prior to her current role she was a Product Specialist covering core bond funds\, mortgage and inflation protected products. Mrs. Woodson earned a BS degree\, cum laude\, in finance\, and a minor in International Studies from The University of Maryland in 2008. \n\n\n\n\n\n\nClose×\n\n\n\nKevin Petrovcik is a Senior Client Portfolio Manager for Invesco’s Global Senior Loan group. He is responsible for the ongoing product development\, structuring and marketing of investment funds for senior loans and alternative credit products. \nMr. Petrovcik joined Invesco Senior Secured Management\, Inc. in 1999 to establish its product management initiative and launch the organization’s first collateralized loan obligation. Previously\, Mr. Petrovcik was director of Loan Pricing Corporation’s (Thomson Reuters LPC’s) public data group\, responsible for Reuters’ loan and high yield market commentary and analytics\, LPC’s flagship Gold Sheets publication\, and the development of web-based loan and bond market analytical and research tools. While at LPC\, he developed and launched Reuters’ first fee-generating internet platform for analyzing and delivering loan and high yield market news and data\, and also started the first loan market pricing service. Prior to that\, Mr. Petrovcik worked at Bankers Trust Company in the management consulting group\, where he implemented a variety of risk control and strategic management projects\, and in Salomon Brothers Inc.’s business planning department. Mr. Petrovcik began his career in 1988 as a corporate credit analyst with The First National Bank of Chicago\, where he completed the company’s credit analyst and credit officer training programs. \nMr. Petrovcik earned an MBA in finance and business policy from the University of Chicago’s Booth School of Business\, and a BS degree in accounting and economics from New York University’s Stern School of Business. He holds the Series 7\, 24\, and 63 registrations. \n\n\n\n\n\n\nClose×\n\n\n\n\n\n\nAndrew Fox is responsible for providing Lord Abbett’s portfolio management teams with investment insight and relevant market information for the firm’s fixed income strategies. In this role\, he also communicates with institutional clients and prospects regarding current portfolio positioning and the firm’s market outlook. Mr. Fox also collaborates with the consultant relations\, product development\, and relationship management teams as appropriate. \nMr. Fox joined Lord Abbett in 2001. Prior to his current role\, he worked in various capacities at Lord Abbett\, including as an Internal Wholesaler and Director of Competitive Sales Analysis. In 2004\, he became a member of the Portfolio Specialist Group\, a team that represents the firm’s investment strategies to retail and institutional audiences. He was later was promoted to lead the group. He began his career at Prudential Securities in the Private Client Group. He has been in the financial services industry since 1999. \nMr. Fox earned a BA in political science from Montclair State University. He also is a holder of the Chartered Financial Analyst®(CFA) designation and Certified Investment Management Analyst (CIMA) designation. \n\n\n\n\n\n\nClose×\n\n\n\nDaniel Wildermuth is the founder and CEO of multiple financial services firms and current serves as CEO of several money management firms including Wildermuth Advisory\, LLC\, an institutional fund advisor; Wildermuth Asset Management\, LLC an RIA managing separate accounts; and Wildermuth Securities\, LLC\, a distributing broker-dealer. \nMr. Wildermuth has been managing traditional and alternative assets for more than 20 years\, and during that time\, has he been teaching financial professionals how to most effectively utilize these different tools with their individual clients. His deep and varied public markets background was earned through managing over 25 different active and passive portfolios of equity and fixed income portfolios over different market cycles. His investment background is complemented by his pioneering the adaption of private securities within individual investor portfolios and includes his forming a mutual fund specializing in private securities. His unique combination of expertise in private and public markets gives him a special perspective that is complimented by his easy presentation style. \nDaniel’s success and unique approach has garnered media coverage from Forbes Magazine\, CNBC\, Bravo TV\, bankrate.com\, Dow Jones Newswire\, Senior Market Advisor\, multiple trade publications\, and other financial market news outlets. McGraw-Hill published two of his book outlining his approach (Wise Money: Minimizing Your Risk and Increasing Your Control & How to Keep and Grow Your Retirement Assets). He speaks frequently at industry conferences and is often quoted as an expert on various investments. \nMr. Wildermuth earned an MBA in Finance from Anderson School at UCLA and a BS in Engineering from Stanford University. Daniel lives with his wife\, Carol\, and their two children\, Alexis and Jared\, in Ponte Vedra Beach\, FL. \n\n\n\n\n\n\n\nWildermuth Advisory\, LLC is the adviser to Wildermuth Endowment Fund. Wildermuth Advisory CIO\, Daniel Wildermuth and his team of experts apply their extensive investment management experience to offer extensive investment advice in categories ranging from more traditional investments\, such as equities and fixed income\, to various alternative investment categories\, such as real estate\, natural resources\, private equity\, absolute return\, and more. \n\n\nClose×\n\n\n\n\n\n\nMr. Long has three decades of experience in the private markets and has led investment teams for global firms in both the general partner and limited partner role. He has served as the CEO of two publicly-traded companies focused on expanding private market access for high net worth investors. \nPrior to Conversus\, Mr. Long was the CEO of OHA Investment Corporation\, a publicly-traded specialty finance company. Previously\, he co-founded Conversus Capital\, the largest publicly traded fund of third-party private equity funds with $3 billion of AUM and served as its CEO. Previously\, Mr. Long led Bank of America’s $7 billion strategic capital division. Early in his career\, Mr. Long served as the lead in-house counsel for a large portion of Bank of America’s Investment Banking Division and worked as a securities lawyer for a major law firm. \nA recognized industry leader\, Mr. Long was named one of 50 “GameChangers” by Private Equity International\, has been profiled in the WSJ\, and hosted CNBC Squawk Box Europe on numerous occasions. He is a founding Director of the Defined Contribution Alternatives Association and chairs its Public Policy Committee. \nMr. Long received his BA from the University of North Carolina at Chapel Hill and his JD from the University of Virginia. Mr. Long has served on board of the Children’s Home Society of North Carolina and is active supporter of adoption organizations. \n\n\n\n\n\n\nClose×\n\n\n\n\n\n\nGary Henson joined the TortoiseEcofin board in 2009 and formally began working at the firm in 2016. He is an Executive Committee member and member of the Ecofin Development Committee and serves as President of TortoiseEcofin Investments\, LLC. Mr. Henson was formerly the CIO for a family office as well as the CIO of Mariner Holdings and its affiliates. Mr. Henson has over 30 years of institutional money management experience at banks\, insurance companies and foundations. Mr. Henson earned his Bachelor of Arts degree in business from Westminster College (Fulton\, Mo.) and is a CFA® charterholder.\nIn addition\, he is Trustee of 1248 Holdings. He serves on the board of directors of TC Wealth Partners\, a Chicago-based wealth management firm\, and Shatterproof\, a national organization committed to ending the stigma of addiction with a particular focus on the prescription pill crisis. He is also a board member of the National Association of Intercollegiate Athletics (NAIA) Champions of Character. \n\n\n\n\n\n\nClose×\n\n\n\n\n\n\nRobert K. Grunewald most recently served as the President and Chief Investment Officer of Business Development Corp. of America (BDCA). During his tenure at BDCA\, Mr. Grunewald grew the company from $2.5 million of assets under management to $2.5 billion. BDCA was one of the top performing non-traded BDCs during Mr. Grunewald’s tenure. Mr. Grunewald hired the investment and origination teams\, established BDCA’s strategy\, and chaired the investment committee. He also established the firm’s loan management systems as well as its policies and procedures. While at BDCA\, Mr. Grunewald also founded Kahala Aviation\, a mid-life aircraft leasing business and The AR Capital BDC Income Fund\, the first open-end mutual fund dedicated to investing in the BDC sector. \nMr. Grunewald has over 30 years of experience with middle market finance\, BDCs and asset management. Within the finance industry\, he has participated as a lender\, investment banker\, M&A advisor\, private equity investor and hedge fund manager. As head of Financial Services M&A at NationsBank/Montgomery Securities from 1992 through 1997\, Mr. Grunewald and his team completed numerous assignments for clients throughout the specialty finance industry. In 1997\, Mr. Grunewald was recruited to lead the Specialty Finance Investment Banking Practice at what became Wachovia Securities. At Wachovia\, Mr. Grunewald managed a number of high profile transactions\, including initial public offerings and secondary offerings for some of the largest publicly-traded BDCs and finance companies including Capital Source\, Ares Capital\, American Capital Strategies\, Allied Capital\, and Gladstone Capital. \nIn 2006\, Mr. Grunewald joined American Capital Strategies (‘‘ACAS’’)\, which was one of the largest publicly-traded BDCs before it was sold to Ares Capital Corp. in 2017. As head of the Financial Services Investment Practice from 2006 through 2009\, Mr. Grunewald and his team focused on investment activity in the specialty finance\, insurance\, and asset management sectors. In his three years at ACAS\, Mr. Grunewald committed over $1 billion to debt and equity investments generating an average annual return of 9.6%. While at ACAS he founded two highly successful financial services companies: Core Financial Holdings\, a diversified commercial finance company and asset based lender\, and American Capital Agency Corporation (NASDAQ: ‘‘AGNC’’)\, a publicly traded mortgage REIT. \n\n\n\n\n\n\nClose×\n\n\n\n\n\n\nBenjamin D. McCulloch is General Counsel and Managing Director at XA Investments. Previously\, Ben was an attorney in the investment management practice group at Drinker Biddle & Reath LLP\, where he counseled clients regarding federal securities laws applicable to U.S. registered funds\, investment advisers\, boards of directors/trustees and service providers. \n\n\n\n\n\n\nClose×\n\n\n\n\n\n\nClayton is a Senior Portfolio Manager at Angel Oak Capital and serves as a Portfolio Manager for the UltraShort Income Fund\, the Multi-Strategy Income Fund\, the Strategic Credit Fund\, and the Multi-Strategy Income UCITS Fund. He is a Portfolio Manager within the non-agency and agency residential mortgage-backed securities markets and focuses on cross asset fund allocation and interest rate risk management of Angel Oak’s funds and institutional separately managed accounts. \nClayton has been in the investment management industry since 2008 and has experience across multiple sectors of fixed income. Prior to joining Angel Oak in 2011\, he worked for YieldQuest Advisors\, where he was a member of the investment committee focusing on the interest rate risk\, currency risk\, and commodity exposures of the portfolios alongside directly managing the closed-end fund allocations within the portfolios and individual accounts. \nClayton holds a B.B.A. degree in Finance from the Farmer School of Business at Miami University in Oxford\, Ohio and holds the Chartered Financial Analyst (CFA®) designation. \n\n\n\n\n\n\nClose×\n\n\n\n\n\n\nChristian Aymond has over 32 years of Investment management\, sales and marketing experience in the securities industry. Prior to co-founding A3 Financial Investments\, Aymond was a Director at SBAM\, an alternative credit hedge fund. Aymond also developed one of the first multi-manager\, liquid alternative strategy products in the 40 act space as a Co-founder and Principal of Absolute Investment Advisers\, LLC. He has also held various marketing and sales management positions at Putnam Investments and Federated Investors\, Inc. Aymond received a B.A. in Economics from Denison University. \n\n\n\n\n\n\nClose×\n\n\n\n\n\n\nRandy I. AndersonPreviously\, Dr. Anderson held several senior executive positions at Bluerock Real Estate LLC\, including founding partner of the Bluerock TotalIncome + Real Estate Fund where he was the Portfolio Manager. Prior toBluerock\, Dr. Andersonwas a founding partner of Franklin SquareCapitalPartners\, the firm that pioneered the non-traded Business Development Company. Dr.Anderson also served as the Chief Economist and a DivisionPresident for CNL Real EstateAdvisors\, as the Chief EconomistandDirector of Research for the Marcus and MillichapCompany where he served on the Investment Committee\, and as Vice President of ResearchatPrudential Real Estate Advisors. Dr. Anderson also served as the Howard Phillips EminentScholar Chair and Professor of Real Estate at theUniversity of Central Florida where he directed the research and education institute. Dr. Anderson was the former editor of the Journal of RealEstatePortfolio Management; was awarded the Counselors of Real Estate designation\, named a Kinnard Young Scholar by the American Real EstateSociety\, and named both a NAIOP ResearchFoundation DistinguishedFellow and a Homer Hoyt Institute Fellow.Dr. Anderson is also known for sharing his macroeconomic insights at investment industry events and in the media. He has provided economic commentary for prominent financial news outlets\, most notably BloombergRadio\, CNBC\, TheStreet\, and Fox Business News. Dr. Anderson has also been quoted in articles featured in Financial Advisor Magazine \, GlobeSt.com\, and National Real Estate Investor \n\n\n\n\n\n\nClose×\n\n\n\n\n\n\nVice President\, Institutional Business Development Executive \nNorthern Trust \nUpon graduating from Purdue University with a bachelor’s degree in business\, James has spent the majority of his career in financial services\, starting as a Private Banker at JP Morgan Chase then as a Financial Advisor at ING Financial Partners. \nSubsequently\, James began working at Northern Trust in 2014 and has had tremendous success both in sales and leadership roles. He is now in his third role at the firm\, serving as an Institutional Business Development Executive for the firm’s funds and managed accounts group. In this role\, James is tasked with developing new business with Asset Managers\, Hedge Funds and ETF Investment Strategists. \nJames resides in Scottsdale\, Arizona with his wife and two young sons and is an avid golfer. \n\n\n\n\n\n\nClose×\n\n\n\n\n\n\nTim is a portfolio manager for the US Value Equity team\, where he has broad research\nresponsibilities across the value portfolios and oversees portfolio construction and investment research for the firm’s mid cap value strategy and US real estate securities strategy. Tim joined Goldman Sachs in 2010 as a vice president and was named managing director in 2015. \nPrior to joining the firm\, Tim spent six years at Oppenheimer Funds\, where he had research responsibility for the financial services sector across all market capitalizations. Prior to that\, he was a financials research analyst at Credit Suisse Asset Management and J.P. Morgan Investment Management Company. \nTim earned a BA in Mathematics and Economics from Boston College in 1996 and an MBA in Finance from Columbia Business School in 2001. He is a CFA charterholder. \n\n\n\n\n\n\nClose×\n\n\n\nKevin is currently the Managing Director of Liberty Street Advisors overseeing the operations and trading of the SharesPost 100 funds. He is also one of the creators of the SharesPost 100 Fund\, serving as the President of the fund and one of the portfolio managers and members of the investment committee. \nPrior to joining the SharesPost 100 Fund investment management team and Liberty Street Advisors\, Inc.\, Kevin was a senior portfolio manager at First New York Securities\, where he managed a global macro book. With over 17 years of senior level experience in financial services\, Kevin’s specific areas of expertise include the management of client relationships\, investment research coverage\, block and position trading\, and operations management. Kevin began his career as an institutional equities sales trader working for Instinet\, and later Commerzbank. His client base included hedge funds\, pension funds and proprietary trading desks. Subsequently\, Kevin held a series of distinguished posts at leading hedge funds and proprietary trading firms including serving as the head of international trading for Libra Advisors and Opus Trading Funds. \nKevin received his undergraduate degree in finance from Tulane University and his MBA from Columbia Business School\, magna cum laude. \n\n\n\n\n\n\n\nThe Sharespost 100 Fund is a 1940 Act\, closed-end interval fund that seeks to invest in a portfolio of private\, late stage\, growth companies. While traditionally\, such access to private companies has only been available to institutional and high net worth investors through highminimum\, complex and paperwork laden private placement vehicles\, the Sharespost 100 Fund provides all investors access to such companies\, with a daily NAV\, a quarterly redemption program\, no performance fees and simple 1099 tax reporting \n\n\nClose×\n\n\n\n\n\n\nBen Rotenberg\, CFA\, CAIA – Portfolio Manager Ben is a Portfolio Manager at Principal Global Asset Allocation (PGAA)\, a specialized boutique within Principal Global Investors that engages in the creation of asset allocation solutions. He is responsible for co-managing our dynamic outcome suite of strategies. This includes all portfolio construction\, asset allocation and manager optimization decisions relating to this suite of strategies. He joined Principal in 2014 and has been in the investment industry since 1993. \nPreviously\, he was a Managing Director with Cliffwater LLC\, and was responsible for investment manager due diligence and assisting clients with asset allocation\, manager selection\, and portfolio construction. Ben was also a member of Cliffwater’s Investment Oversight and Risk Committee Prior to joining Cliffwater\, Ben was Director of Research with National Fiduciary Advisors\, an investment consulting firm based in Los Angeles\, where he was responsible for conducting investment manager due diligence across multiple asset classes. Ben began his investment career at Wilshire Associates providing services to investment consultants in Wilshire’s Cooperative Universe Service division. He received a bachelor’s of arts from Pomona College. Ben has earned the right to use the Chartered Financial Analyst and Chartered Alternative Investment Analyst designations and is a member of the CFA Society of North Carolina. \n\n\n\n\n\n\nClose×\nComing soon!Close
URL:https://dev.aicalliance.org/aica-event/intervalfundspring2021/
CATEGORIES:Past Events
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ORGANIZER;CN="AICAlliance":MAILTO:events@aicalliance.org
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=America/New_York:20210527T130000
DTEND;TZID=America/New_York:20210527T170000
DTSTAMP:20260404T174707
CREATED:20210419T135428Z
LAST-MODIFIED:20251031T174404Z
UID:15970-1622120400-1622134800@dev.aicalliance.org
SUMMARY:BDC Investor Forum 2021
DESCRIPTION:Agenda\nSponsorsAttendee ClassificationFeedbackSponsors\n\n\n\n\n\n\n\n\nBe an AICA event sponsor!\nSponsorship opportunities – Download Here\n\n\n\n\n\n\nCEF Advisors & CEFData.com\nNasdaq\n\n\n\n\n\n\nAttendee Classification\n\nFeedback\n\n\nWe appreciate your feedback\n \n\n\nAgenda1pm to 1:15pm - Attendee Login and Network at Virtual Tables1:15pm to 1:30pm - Welcome\nSlides PDFVideoABCs of BDCsTranscript\n\n\n\n\n\n\n\n\n\n\nJohn Cole Scott\nCIO at CEF Advisors\,\nFounder of CEFData.com\n\n\n\n\n\n\n\n1:30pm to 2:30pm - Panel #1: “Traditional BDC Managers: Competition for Credit Platforms”\nReview of this quarter’s earnings season and how BDC portfolio companies are handling the COVID recovery. How can BDCs benefit from inflationary pressures?\nTranscript  Video\n\n\n\n\n\n\n\n\n\n\n\nModerator\nKenneth Burdon\,\nCounsel\,\nInvestment Management –\nSkadden\,\nArps\,\nSlate\,\nMeagher & Flom LLP\nPresenter #1\nMatt Pendo\,\nPresident &\nChief Operating Officer –\nOaktree OCSL\nPresenter #2\nKatie McGlynn\, Director –\nBlackRock TCPC\nPresenter #3\nAllison Rudary\,\nHead of CGBD\nShareholder Relations –\nCarlyle CGBD\nPresenter #4\nKrishna Thiyagarajan\,\nPartner\,\nCo-Chief Risk\nOfficer and\nPortfolio Manager –\nSLR Sponsor Finance\n\n\n\n\n2:30pm to 2:45pm - Networking Break\n\n2:45pm to 3:35pm - Panel #2: “Assessing Risk & Opportunity in Public BDCs”\nLooking at best practices and how BDCs are often structured differently from each other from the Service Provider’s perspective. A look at potential improvements for gaining more institutional investment ownership in the BDC sector\nTranscript  Video\n\n\n\n\n\n\n\n\n\n\n\nModerator\nMike Taggart\,\nCFA –\nTaggart Fund Intelligence\nPresenter #1\nMitchel Penn\,\nManaging Director\nof Equity\nResearch –\nCFA Oppenheminer\nPresenter #2\nKabir Caprihan\, CFA – JP Morgan\nPresenter #3\nMatthew Giordano\,\nDeputy Lead\nPartner – Public\nInvestment Management\,\nKPMG\nPresenter #4\nKaitlin Bottock\,\nBranch Chief\,\nChief Counsel’s Office of the SEC’s Division of Investment Management\n\n\n\n\n3:35pm to 3:50pm - Networking Break3:50pm to 4:30pm - Panel #3: “Institutional Investor Fireside Chat”\nJoin AICA’s Founder John Cole Scott\, who as CIO of CEF Advisors is the portfolio consultant for SmartTrust UITs: CEFA Select BDC UIT Series 21. John and David will have a thorough and timely conversation on business development company analysis and how a firm like Confluence Investment works to create investment opportunities for their clients in a retail investor driven sector. This extended conversation should help educate financial advisors and institutional investors of how to research and manage risk in the BDC sector.\nTranscript  Video\n\n\n\n\n\n\n\n\n\n\n\nModerator\nJohn Cole Scott\,\nCIO at CEF Advisors\,\nFounder of CEFData.com\nPresenter #1\nDavid B. Miyazaki\,\nCFA –\nConfluence Investment Management\n\n\n\n\n\n\n\n4:30pm - Event Closing Remarks\n\n\n\n\n\n\n\n\n\n\n\nJohn Cole Scott\nCIO at CEF Advisors\,\nFounder of CEFData.com\n\n\n\n\n\n\n\n4:30pm to 5:00pm - Post Event Networking with Speakers\, Sponsors\, Members and Fellow Attendees\nSlides PDFVideoABCs of BDCsTranscript\n\n\n\n\n\n\n\n\n\n\nJohn Cole Scott\nCIO at CEF Advisors\,\nFounder of CEFData.com\n\n\n\n\n\n\n\n×Your Content Goes Here\ncontent goes here …Close×\n \nSpeaker Bio:\nMr. Scott has worked at Closed-End Fund Advisors since 2001. He holds the FINRA 66 License and the Certified Fund Specialist designation (CFS). He is a graduate of The College of William and Mary and has been quoted and interviewed widely in the financial press and presented at conferences and for investment groups on more than 50 occasions. \nIn 2008 John founded CEFA’s Closed-End Fund Universe\, a data service covering all US listed closed-end funds and BDCs. Currently supported by an internal 10 member analyst team with a data manager/ programmer covering the 600+ ticker universe of CEFs/BDCs/iCEFs. They regularly do consulting and projects for CEF/BDC Sponsors\, Hedge Funds and Institutional Investors. \nPortfolio Consultant with over $300MM+ in deposits into a fund focused on BDCs with a fund sponsor partner. He developed 35 CEF/BDC based indexes; 9 diversified portfolio objective\, 9Equity and 15 Bond sector. Founder & Exec. Chairman of Active Investment Company Alliance(AICA). John is a past board member of The Richmond Association for Business Economics(RABE)\, and serves as Assistant Treasurer and on the Investment Committee for The New YorkState Society of The Cincinnati. Board member and Finance & InvestmentCommittees for The William & Mary NationalAlumni Board \nClose×\n \nSpeaker Bio:\nMr. Pendo is President and Chief Operating Officer of Oaktree Specialty Lending Corporation and currently serves as Managing Director\, Head of Corporate Development and Capital Markets for Oaktree. Mr. Pendo joined Oaktree in 2015. His prior experience includes serving as the chief investment officer of the Troubled Asset Relief Program (TARP) of the U.S. Department of the Treasury\, where he was honored with the Distinguished Service Award in 2013. Mr. Pendo began his career at Merrill Lynch\, where he spent 18 years\, starting in their investment banking division before becoming managing director of the technology industry group. Subsequently\, Mr. Pendo was a managing director at Barclays Capital\, first serving as co-head of U.S. Investment Banking and then co-head of Global Industrials group. He received a bachelor’s degree in economics from Princeton University\, cum laude and is a former board member of Ally Financial and SuperValu Inc.Close×\n \nSpeaker Bio:\n\nOverview\nServing clients in every major international financial center\, Skadden\, Arps\, Slate\, Meagher & Flom LLP and affiliates is one of the leading law firms in the world\, with 22 offices and approximately 1\,700 attorneys offering solutions to the most challenging legal issues in virtually every area of corporate law. \nBurdon bio\nKenneth E. Burdon represents public and private investment funds\, investment advisers\, financial services companies and other financial institutions in connection with the structuring and distribution of investment products\, and in a variety of regulatory\, compliance\, corporate\, governance\, operational and transactional matters.Close×\n \nSpeaker Bio:\n\nMike Taggart\, CFA is the founder and CEO of Taggart Fund Intelligence. Previously\, he worked in the closed-end fund group at Nuveen\, and before that he was the head of U.S. closed-end fund research at Morningstar. He has spent nearly half his career covering closed-end funds.Close×\n \nSpeaker Bio:\n\nDavid Miyazaki manages Confluence’s specialty finance portfolios with an emphasis on business development companies\, which includes co-managing the First Trust Specialty Finance & Financial Opportunities Fund (NYSE: FGB). David is also a member of the Asset Allocation Committee and works with the firm’s balanced portfolios\, focusing on fixed income investments.Close×\n \nSpeaker Bio:\n\nKatie McGlynn is head of investor relations for BlackRock TCP Capital Corp. (Nasdaq: TCPC). She is also a member of the Product Strategy team supporting BlackRock’s U.S. Private Capital team. She is responsible for product development\, marketing and investor relations — serving as a link between portfolio management teams and investors\, including current and prospective shareholders of BlackRock TCP Capital Corp. Prior to joining BlackRock in 2018\, Katie was a member of the investor relations team at Oaktree Capital. Earlier in her career\, she held various roles at prominent financial services organizations\, including Credit Suisse\, Goldman Sachs and KPMG. Katie earned a BS in Accounting from Hartwick College\, and an MBA from Columbia Business School.Close×\n \nSpeaker Bio:\n\nKrishna joined SLR in 2010 and is Co-Chief Risk Officer and Portfolio Manager of SLR Sponsor Finance. Krishna is also a member of the Board of Managers of SLRC’s aircraft entities. Since joining SLR\, Krishna has invested over $1.5 billion of capital in a variety of industries including aerospace\, industrial\, healthcare\, technology\, telecommunications\, insurance\, chemicals and business services. Prior to SLR\, from 2006 to 2010\, Krishna was a Vice President at Goldman Sachs Asset Management where he helped start the $1.5 billion Liberty Harbor Credit Hedge Fund and invested in both private and public credit. Prior to GSAM\, in 2005 he was Vice President in the Amaranth Private Credit Group that subsequently moved to GSAM. Prior to Amaranth\, from 2002-2006\, Krishna was a Director in CIBC World Market’s New York Sponsor Coverage and Leveraged Finance group where he executed numerous private equity-related transactions including leveraged loans\, high yield bonds and mezzanine debt. \nKrishna holds a B.A. in Economics from Lawrence University\, as well as an MBA in Finance from The Wharton School of Business.Close×\n \n\nSpeaker Bio:\nAllison Rudary is the Head of Shareholder Relations for TCG BDC\, Inc. (NDAQ: CGBD).  Prior to joining Carlyle\, she worked at J.P. Morgan as an investment specialist.  She spent eight years at Oppenheimer and Co.\, Inc. as a research analyst covering financials. Ms. Rudary received an MBA from New York University’s Stern School of Business and received an AB from Barnard College.Close×\n \nSpeaker Bio:\nMr. Penn follows business development companies. Prior to joining Oppenheimer and Co. he followed business development companies at Janney Montgomery Scott. In addition\, he was an Equity Portfolio Manager/Financial Analyst at Legg Mason Capital Management from 2001 to 2012 where he specialized in financial companies. From 1996 to 2001 he managed a $400M fixed income portfolio at Legg Mason Capital Management. Prior to joining Legg Mason Mr. Penn managed a $15B fixed income portfolio at Aetna. He also worked for Price Waterhouse from 1981 to 1985. \nMr. Penn received his Chartered Financial Analyst designation in 1995 and is a member of the Baltimore CFA Society. He was President of the Baltimore Society (2001-2002) and served on the Board of Directors. Mr. Penn received his Certified Public Accounting designation in 1983\, but he no longer maintains this designation. He is a graduate of Villanova University\, Magna Cum Laude\, Phi Kappa Phi\, Beta Gamma Sigma (1981) and University of Chicago (MBA-1987). \nClose×\nSpeaker Bio:\nKaitlin is a Branch Chief in the Chief Counsel’s Office of the SEC’s Division of Investment Management. Kaitlin’s work focuses on exemptive applications\, no-action letters and counseling other divisions and offices at the SEC on investment management issues. Kaitlin joined the SEC in 2014. \nKaitlin received a Bachelor of Arts degree with high distinction from the University of Virginia and a Juris Doctor degree from the University of Virginia School of Law. Prior to joining the SEC\, Kaitlin worked at Dechert LLP.Close×\nSpeaker Bio:\nMatt serves as an audit partner for a number of KPMG’s largest asset management clients in Boston\, New York and Chicago. He also serves as the Deputy Lead Partner for KPMG’s Public Investment Management Practice. Matt has approximately 19 years of experience in the investment management industry providing professional services to the complete spectrum of investment management clients\, including registered mutual funds\, business development companies\, hedge funds\, private equity and venture capital funds. \nMatt has recently spent two years in KPMG’s Audit Quality and Professional Practice Group\, where he supported audit teams with technical accounting\, audit and regulatory issues. \nPrior to joining KPMG\, Matt spent 5 years at the U.S. Securities and Exchange Commission where he was the former Chief Accountant for the Division of Investment Management. In this position\, Matt was responsible for interpreting new accounting regulations and directing the financial reporting and accounting practices of investment companies in compliance with the federal securities laws.Close×\nSpeaker Bio:\nKabir Caprihan is a Managing Director and the Senior Analyst covering Investment Grade and High Yield Financial Institutions within North American Credit Research. His coverage includes Global Banks\, Regional Banks and Nonbank financial companies. He has been ranked within the top 3 for his sector by Institutional Investor Fixed Income Survey over the past ten years. Most recently\, he was ranked #1 for Global Banks and #2 for Non – Bank Financials. Kabir has an MBA from Wake Forest University and a Bachelor’s in Economics from Delhi University. He is a CFA charter holder period.Close
URL:https://dev.aicalliance.org/aica-event/bdcspring2021/
CATEGORIES:Past Events
ATTACH;FMTTYPE=image/jpeg:https://dev.aicalliance.org/wp-content/uploads/2021/04/top-banner-large-27-May.jpg
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BEGIN:VEVENT
DTSTART;TZID=America/New_York:20210617T130000
DTEND;TZID=America/New_York:20210617T170000
DTSTAMP:20260404T174707
CREATED:20210528T075535Z
LAST-MODIFIED:20251031T174353Z
UID:16711-1623934800-1623949200@dev.aicalliance.org
SUMMARY:AICA Income Spotlight Summer 2021
DESCRIPTION:Agenda\nSponsorsAttendee ClassificationFeedbackSponsors\n\n\n\n\n\n\n\n\nBe an AICA event sponsor!\nSponsorship opportunities – Download Here\n\n\n\n\n\n\nCEF Advisors & CEFData.com\nBroadridge\nNasdaq\n\n\n\n\n\nAttendee Classification\n\nFeedback\n\n\nWe appreciate your feedback\n \n\n\nAgenda1:30pm to 1:45pm - Attendee Login and Network at Virtual Tables1:45pm to 2:00pm - Welcome\nABCs of CEFs\n\n\n\n\n\n\n\n\n\n\nJohn Cole Scott\nwith educational session:\n“The ABCs of CEF’s\n\n\n\n\n\n\n\n2:00pm to 3:00pm - Panel #1: “Seeking Income and Potential Growth from Real Asset Investing”\nJoin us for a diverse and thorough discussion covering various investment strategies from leading investment managers. In an investment environment where it is possible to see significant inflationary pressures for the first time in over 30 years\, how can a diversified income portfolio potentially benefit from exposure to Real Assets\, Real Estate and Infrastructure?\n10 minutes Q&A after prepared discussions.\n\n\n\n\n\n\n\n\n\n\n\nModerator\nMariana Fariña Bush\,\nManaging Director\,\nGlobal Manager\nResearch – Wells Fargo\nPresenter #1\nJosh Duitz\,\nSenior Vice President\,\nGlobal Equities\nTeam – Aberdeen Standard Investments\nASGI / AWP\nPresenter #2\nGaal Surugeon\,\nDirector\,\nPortfolio Manager\,\nReal Asset Solutions – Brookfield\nRA\nPresenter #3\nMatt Weyandt\,\nClient Portfolio\nManager – Nuveen\nJRI / JRS\nPresenter #4\nBrian Kessens\,\nManaging Director\nand Senior Portfolio Manager –\nTortoise\nTEAF / TPZ / TYG\n\n\n\n\n\n3:00pm to 3:20pm - Networking Break3:20pm to 4:20pm - Panel #2: “Sustainable Income from the Credit Markets”\nJoin us for a diverse and thorough discussion covering various investment strategies from leading investment managers. In an investment environment where it is possible to see significant inflationary pressures for the first time in over 30 years\, how can a diversified income portfolio potentially benefit from credit investing that could benefit from inflationary pressures as a diversifier to equity exposure for income focused clients vs traditional fixed income strategies.\n10 minutes Q&A after prepared discussions.\n\n\n\n\n\n\n\n\n\n\n\nModerator\nMichael J. Spatacco\,\nDirector\,\nCash Management –\nBancroft Capital\nPresenter #1\nMatthew Kence\,\nInvestment Director\nand Portfolio Manager –\nAberdeen Standard Investments\nACP\nPresenter #2\nNavid Abghari\,\nSenior Portfolio\nManager – Angel Oak\nDYFN / FINS\nPresenter #3\nCharles Arduini\,\nPartner and\nPortfolio\nManager – Ares\nARDC\nPresenter #4\nGretchen Lam\,\nPortfolio Manager –\nOctagon\nXFLT\n\n\n\n\n4:20pm to 4:25pm - Event Closing Remarks\nABCs-of-CEFs\n\n\n\n\n\n\n\n\n\n\nJohn Cole Scott\nwith educational session:\n“The ABCs of CEF’s\n\n\n\n\n\n\n\n4:25pm to 5:00pm - Post Event Networking with Speakers\, Sponsors\, Members and Fellow Attendees×Your Content Goes Here\ncontent goes here …Close×\n \nSpeaker Bio:\nMr. Scott has worked at Closed-End Fund Advisors since 2001. He holds the FINRA 66 License and the Certified Fund Specialist designation (CFS). He is a graduate of The College of William and Mary and has been quoted and interviewed widely in the financial press and presented at conferences and for investment groups on more than 50 occasions. \nIn 2008 John founded CEFA’s Closed-End Fund Universe\, a data service covering all US listed closed-end funds and BDCs. Currently supported by an internal 10 member analyst team with a data manager/ programmer covering the 600+ ticker universe of CEFs/BDCs/iCEFs. They regularly do consulting and projects for CEF/BDC Sponsors\, Hedge Funds and Institutional Investors. \nPortfolio Consultant with over $300MM+ in deposits into a fund focused on BDCs with a fund sponsor partner. He developed 35 CEF/BDC based indexes; 9 diversified portfolio objective\, 9Equity and 15 Bond sector. Founder & Exec. Chairman of Active Investment Company Alliance(AICA). John is a past board member of The Richmond Association for Business Economics(RABE)\, and serves as Assistant Treasurer and on the Investment Committee for The New YorkState Society of The Cincinnati. Board member and Finance & InvestmentCommittees for The William & Mary NationalAlumni BoardClose×\n \nSpeaker Bio:\nMs. Lam is a member of Octagon’s Investment Committee and serves as a Portfolio Manager across CLOs\, Separately Managed Accounts and Commingled Funds. Ms. Lam oversees the Firm’s Structured Credit (CLO debt & equity) investment strategies. \nPrior to becoming a Portfolio Manager\, Ms. Lam oversaw Octagon’s investments in the software\, business services\, finance & insurance\, paper & packaging\, gaming & lodging\, homebuilding and real estate industries. She was also responsible for the structured credit exposure held in Octagon’s CLO vehicles. \nPrior to joining Octagon in 1999\, Ms. Lam attended Babson College where she graduated Summa Cum Laude with a B.S. in Investments. She received her CFA Charter in 2006.Close×\n \nSpeaker Bio:\nMr. Arduini is a Partner and Portfolio Manager in the Ares Credit Group\, where he focuses on alternative credit investments. Mr. Arduini serves as a Vice President and Portfolio Manager for the Ares Dynamic Credit Allocation Fund\, Inc. (NYSE:ARDC). Additionally\, he serves as a member of the Ares Dynamic Credit Allocation Fund Investment Committee. Prior to joining Ares in 2011\, Mr. Arduini was a Managing Director at Indicus Advisors LLP\, where he focused on structured credit investment opportunities. Previously\, Mr. Arduini was Director of Structured Credit in the Fixed Income Investment Group and a Manager in the Risk Management Group at TIAA-CREF. In addition\, Mr. Arduini worked in the telecommunications and information technology industries in various systems\, operations and management roles. Mr. Arduini holds a B.A. from Bucknell University in Mathematics and an M.S. from Stevens Institute of Technology in Mathematics. Mr. Arduini also holds an M.S. from Carnegie Mellon University in Computational Finance. Mr. Arduini is a CFA® charterholder and a member of the New York Society of Security Analysts.Close×\n \nSpeaker Bio:\nMr. Brian Kessens joined the firm in 2008. He is a managing director and senior portfolio manager\, a member of the investment committee and serves as president of the Tortoise Pipeline & Energy Fund\, Inc. and Tortoise Power & Energy Infrastructure Fund\, Inc. closed-end funds. Previously\, Mr. Kessens was a vice president in Citigroup’s global energy investment banking practice. Prior to Citigroup\, he served as a field artillery officer in the U.S. Army. Mr. Kessens earned a Bachelor of Science in economics degree from the U.S. Military Academy at West Point and a Master of Business Administration degree from Columbia Business School in New York. He is a CFA® charterholder. He served as Board President and nearly a decade as a board member and Treasurer for the Children’s Center for the Visually Impaired (CCVI)\, a Kansas City nonprofit preparing children with visual impairments to reach their highest potential in the sighted world.Close×\n \nSpeaker Bio:\nJosh Duitz is Senior Vice President in the Global Equities Team at Aberdeen Standard Investments. Josh is responsible for managing the Aberdeen Global Infrastructure Fund\, Aberdeen Total Dynamic Dividend Fund\, Aberdeen Global Dynamic Dividend Fund and the Aberdeen Dynamic Dividend Fund ( AIFRX\, AOD\,AGD and ADVDX). Josh joined Aberdeen Standard Investments in 2018 from Alpine Woods Capital Management where he was a Portfolio Manager. Previously\, Josh worked for Bear Stearns where he was a Managing Director\, Principal and traded international equities. Prior to that\, Josh worked for Arthur Andersen where he was a senior auditor.Close×\n \nSpeaker Bio:\nMatthew Kence is an Investment Director and is a Portfolio Manager on the Aberdeen Income Credit Strategies Fund and the Global High Yield strategies at Aberdeen Standard Investments. He is also responsible for covering US high yield Energy companies. Matt joined Standard Life in 2010 from Gannet Welsh & Kotler where he was a Vice President\, Credit. Previously\, Matt also worked for MFS Investment Management as a high yield analyst. Matt graduated with a BS Mechanical Engineering from Ohio University and received his MBA from the Haas School of Business at the University of California\, Berkeley.Close×\nNuveen\, the investment manager of TIAA\, offers a comprehensive range of outcome-focused investment solutions designed to secure the long-term financial goals of institutional and individual investors. Nuveen has $1.2 trillion in assets under management as of 31 March 2021 and operations in 27 countries. Its investment specialists offer deep expertise across a comprehensive range of traditional and alternative investments through a wide array of vehicles and customized strategies \nSpeaker Bio:\nMatt is a client portfolio manager for Nuveen’s real asset strategies. In this role\, he works with portfolio managers to develop and communicate information about the products’ investment teams\, process\, and performance to institutional\, retail\, and defined contribution analysts and advisors. \nHe started working in the investment industry in 2008 when he joined the firm. Prior to his current role\, he was a portfolio specialist supporting all of the firm’s equity strategies. Prior to that\, he was an associate product manager and product analyst. \nMatt graduated with a B.S. in Economics with a concentration in Management from the Wharton School of the University of Pennsylvania.Close×\n \nSpeaker Bio:\nNavid is a Senior Portfolio Manager at Angel Oak Capital and a Portfolio Manager for the Financials Income Fund\, Financial Strategies Income Term Trust and the Dynamic Financial Strategies Income Term Trust. He has over 15 years of experience in fixed income markets\, focusing on corporate credit trading\, risk management\, credit derivatives and structured products.Prior to joining Angel Oak in 2015\, Navid was an Executive Director at J.P. Morgan Securities in New York\, where he was head of Americas synthetic collateralized debt obligation (CDO) trading. He oversaw the modeling and risk systems for the global tranche business\, directed the U.S. hedging activities of the global tranche book\, was market maker for synthetic CDOs\, and ran the U.S. index basis book. In his time at J.P. Morgan\, Navid was responsible for some of the most complex credit transactions\, which included large credit portfolio buyouts\, regulatory capital trades\, counterparty risk-hedging trades\, levered tranches\, options on tranches\, hybrid cash and synthetic CDOs\, derivative product company equity\, synthetic portfolio insurance\, constant proportion debt obligations\, CDO-squared transactions\, forward-starting tranches\, fixed recovery tranches\, knock-ins/knock-outs and several other complex transactionsClose×\nWells Fargo Investment Institute is a registered investment adviser and wholly owned subsidiary of Wells Fargo Bank\, N.A.\, a bank affiliate of Wells Fargo & Company\, providing investment research\, strategy\, manager research and thought leadership within the Wealth & Investment Management division\, with the goal of supplying world-class advice to the company’s financial and wealth advisers. \nSpeaker Bio:\nMariana Fariña Bush is a managing director for Global Manager Research (GMR)\, a division of Wells Fargo Investment Institute (WFII). The GMR team conducts due diligence and provides research on the third-party money managers used throughout Wells Fargo’s brokerage\, private banking\, family wealth\, and retirement businesses. \nMs. Fariña Bush began her career at Furman Selz in New York as an associate analyst following technology companies long before the Internet became a household name. She joined the firm in 1991 as an analyst in Investment Strategy and has remained steady through five legacy firms following mergers and acquisitions over almost three decades. Ms. Fariña Bush began following closed-end funds in 1993\, and she assumed coverage of exchange-traded products in 1996. She has been widely quoted in publications such as Barron’s\, Bloomberg and The Wall Street Journal\, while being a frequent and active participant in industry conferences. \nBorn and raised in Peru\, Ms. Fariña Bush earned a Bachelor of Science and Engineering from Princeton University. She is a CFA® charterholder and a member of the CFA Society of Washington DC\, where she is located.Close×\nBrookfield Public Securities Group LLC (“PSG” or “the Firm”) is an SEC-registered investment adviser and represents the Public Securities Group of Brookfield Asset Management Inc.\, providing global listed real assets strategies including real estate equities\, infrastructure equities\, multi-strategy real asset solutions and real asset debt. PSG manages separate accounts\, registered funds and opportunistic strategies for institutional and individual clients\, including \nfinancial institutions\, public and private pension plans\, insurance companies\, endowments and foundations\, sovereign wealth funds and high net worth investors. PSG is an indirect\, wholly owned subsidiary of Brookfield Asset Management Inc.\, a leading global alternative asset manager. \nSpeaker Bio:\nGaal Surugeon has 11 years of industry experience and is a Director for Brookfield’s Real Asset Solutions team. He is responsible for portfolio construction and asset allocation for the firm’s diversified real asset portfolios. Prior to joining the firm in 2019\, Gaal was an Executive Director at Oppenheimer Asset Management where he served as manager of the firm’s multi-asset portfolios and director of asset allocation and research. Prior to that\, he was an Associate Economist at Decision Economics\, Inc. Gaal holds the Chartered Financial Analyst designation and is a member of the CFA Society Chicago. He earned a Bachelor of Arts in Economics from the University of Michigan – Ann Arbor.Close×\nBancroft Capital is service-disabled veteran-owned broker dealer specializing in Capital Markets\, Debt and Equity syndication and Cash Management services to corporations\, asset managers\, and investors. \n\nSpeaker Bio:\n Michael J. Spatacco is Director of Cash Management for Bancroft Capital\, where he is a founding partner. Michael helps clients find solutions for their short term liquidity needs and has a long term passion for Closed-End Funds.Close
URL:https://dev.aicalliance.org/aica-event/aicaincomespotlightsummer2021/
CATEGORIES:Past Events
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DTSTART;TZID=America/New_York:20210929T130000
DTEND;TZID=America/New_York:20210930T170000
DTSTAMP:20260404T174708
CREATED:20210817T081333Z
LAST-MODIFIED:20251031T174513Z
UID:17584-1632920400-1633021200@dev.aicalliance.org
SUMMARY:Tax Free & Tax Advantaged Income for Investors
DESCRIPTION:AICA is hosting a timely event focused on four fund groups with favorable tax considerations for investors that prioritize after-tax income. The event will feature a variety of high-quality speakers across two days of presentations. \nThe panels will discuss a variety of highly-relevant topics for investors given current uncertainty regarding changes in taxation\, the interest rate environment\, credit quality\, and the general macro situation. The concept of return of capital (RoC) will be explored in-depth\, including how it can potentially benefit income investors\, particularly in relation to covered call and energy funds. There will also be an introductory presentation by John Cole Scott\, CIO of Closed-End Fund Advisors and the founder of AICA\, that will outline his approach to building high after-tax income portfolios for investors and advisors. \n\nDONATESponsorsAttendee ClassificationFeedbackSponsors\n\n  \n\n\n\n\n\n\n\nCEF Advisors & CEFData.com\nNasdaq\n\n\n\n\nAttendee Classification\n\nFeedback\n\n\nWe appreciate your feedback\n \n\n\nDay One: Sep 29th1:30pm to 1:45pm - Attendee Login and Networking at Virtual Tables\nABCs of Interval Funds\n Video\n\n\n\n\n\n\n\n\n\n\n\nJohn Cole Scott\, CIO at CEF Advisors\, Founder of CEFData.com\n\n\n\n\n\n\n\n\n2:00pm to 3:00pm - Panel #1: Tax-Free Municipal Bond Exposure Through CEFs - Update & Outlook on the Muni Market\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nModeratorsJohn Cole Scott\, Founder & Executive Chairman\, CIO – AICA\, CEFA\nPresenters\nStephen Candido\, Portfolio Manager – Nuveen\nPresentersJohn Lawlor\, Managing Director – MacKay Shields\nPresenters\nRobert Amodeo\, Head of Municipals – Western Asset Management\nPresentersMatt Cody\, Client Portfolio Manager – Amundi\n\n\n\n\n3:00pm to 3:20pm - Networking Break3:20pm to 4:20pm - Panel #2: Using Preferred Equity to Diversify Your Taxable Income Portfolio\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nModerators Michael Spatacco\, Director\, Cash Management – BanCroft Capital\n\nPresenters\nBrenda Langenfeld\, Portfolio Manager – Nuveen\nPresenters\nR. Eric Chadwick\, President – Flaherty & Crumrine Incorporated\n\nPresenters\nBrian Cordes\, Senior Vice President – Head of Portfolio Specialists – Cohen and Steers\n\n\n\n\n\n4:20pm to 4:25pm - Event Closing Remarks\nABCs of Interval Funds\n Video\n\n\n\n\n\n\n\n\n\n\n\nJohn Cole Scott\, CIO at CEF Advisors\, Founder of CEFData.com\n\n\n\n\n\n\n\n\n4:25pm to 5:00pm - Post Event Networking with Speakers\, Sponsors\, Members and Fellow AttendeesDay Two: Sep 30th1:30pm to 1:45pm - Attendee Login and Networking at Virtual Tables1:45pm to 2:00pm - Welcome\nABCs of Interval Fund\n Video\n\n\n\n\n\n\n\n\n\n\n\nJohn Cole Scott\, CIO at CEF Advisors\, Founder of CEFData.com\n\n\n\n\n\n\n\n\n2:00pm to 3:00pm - Panel #1: Fireside Chat with Parametric: Building and Managing a Tax Efficient Portfolio*\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nPresenters\n John Cole Scott\, Executive Chairman – AICA\nPresenters Mark Milner\, Investment Strategist – Parametric\n\n\n\n\n\n\n\n3:00pm to 3:20pm - Networking Break3:20pm to 4:20pm - Panel #2: Why Now May be the Best Time to Invest in MLP / Energy Funds?\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nModerator Mike Taggart\, CFA\, Founder & CEO – Taggart Fund Intelligence\nPresenters\nJames Murchie\, Founder and CEO – Energy Income Partners\nPresenters\nMatthew Sallee\, President – TortoiseEcofin\nPresenters\nSam Brothwell\, Director of Research – Energy Income Partners\n\n\n\n\n\n4:20pm to 4:25pm - Event Closing Remarks\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\n John Cole Scott\, Executive Chairman – AICA\n\n\n\n\n\n\n\n\n4:25pm to 5:00pm - Post Event Networking with Speakers\, Sponsors\, Members and Fellow Attendees×\n \nSpeaker Bio:\nMr. Scott has worked at Closed-End Fund Advisors since 2001. He holds the FINRA 66 License and the Certified Fund Specialist designation (CFS). He is a graduate of The College of William and Mary and has been quoted and interviewed widely in the financial press and presented at conferences and for investment groups on more than 50 occasions. \nIn 2008 John founded CEFA’s Closed-End Fund Universe\, a data service covering all US listed closed-end funds and BDCs. Currently supported by an internal 10 member analyst team with a data manager/ programmer covering the 600+ ticker universe of CEFs/BDCs/iCEFs. They regularly do consulting and projects for CEF/BDC Sponsors\, Hedge Funds and Institutional Investors. \nPortfolio Consultant with over $300MM+ in deposits into a fund focused on BDCs with a fund sponsor partner. He developed 35 CEF/BDC based indexes; 9 diversified portfolio objective\, 9Equity and 15 Bond sector. Founder & Exec. Chairman of Active Investment Company Alliance(AICA). John is a past board member of The Richmond Association for Business Economics(RABE)\, and serves as Assistant Treasurer and on the Investment Committee for The New YorkState Society of The Cincinnati. Board member and Finance & InvestmentCommittees for The William & Mary NationalAlumni BoardClose×\n \nSpeaker Bio:\nMike Taggart\, CFA is the founder and CEO of Taggart Fund Intelligence. Previously\, he worked in the closed-end fund group at Nuveen\, and before that he was the head of U.S. closed-end fund research at Morningstar. He has spent nearly half his career covering closed-end funds.Close×\nAs an institutionally focused asset manager\, MacKay Shields specializes in fixed income credit and less efficient segments of global equity markets where proprietary research can generate attractive client oriented outcomes. We manage 162 billion USD in AUM* across independent portfolio management teams: MacKay Municipal ManagersTM\, Global Credit\, Global Fixed Income\, High Yield\, Convertibles and Fundamental Equity. \nMacKay Municipal ManagersTM manages $76 billion* in various tailored client strategies including closed end funds\, open-end mutual funds\, limited partnership funds and for investors such as insurance companies and pension funds. Portfolios are managed by a team of portfolio managers and analysts with an average of more than 20 years of investment experience. The team’s tenure\, skill and proficiency enables it to take advantage of market inefficiencies in order to build a yield advantage while seeking attractive total returns through fundamental\, in-depth credit research. \n* All figures as of 6/30/21 \nSpeaker Bio:\nJohn joined MacKay Shields in 2016. Before joining the firm he was Vice President Equity Sales at Deutsche Bank and was previously at Bank of America Merrill Lynch. From 1997-2011\, he was a senior trader on the floor of the New York Stock Exchange. John has a broad and diverse set of skills in sales\, trading\, and electronic trading platforms. He earned a Bachelor’s degree in Finance from Lehigh University. John graduated college in 1997. He has been in the financial services industry since 1997.Close×\n \nSpeaker Bio:\nStephen is a portfolio manager for the municipal fixed income team at Nuveen. \nStephen started working in the investment industry in 1996 when he joined the firm’s unit trust division. Prior to his current role\, he was a vice president and senior research analyst specializing in high yield sectors including land secured credits\, project finance and housing. Stephen was also an assistant vice president for Nuveen’s global structured products team beginning in 2005. He also served as the manager of the fixed income unit trust product management and pricing group starting in 2001 and prior to that held positions as an equity research analyst and fixed income pricing analyst. \nStephen graduated with a B.S. in Finance from Miami University and an M.B.A.\, with honors and Beta Gamma Sigma\, in Finance from the University of Illinois at Chicago. He holds the CFA designation and is a member of the CFA Institute and the CFA Society of Chicago.Close×\n \nSpeaker Bio:\nBrenda is a portfolio manager for Nuveen’s global fixed income team and a member of the preferred securities sector team. She is the co-manager of the Preferred Securities and Income strategy. She joined the preferred securities sector team in 2011. Brenda has been a co-manager for the Real Asset Income strategy since 2015\, which invests in income generating debt and equity securities from both the real estate and infrastructure segments. In 2020 she became co-manager of the Credit Income strategy. \nPrior to her portfolio management roles\, Brenda was a member of the high-grade credit sector team\, responsible for trading corporate bonds. Previously\, she was a member of the securitized debt sector team\, trading mortgage-backed securities\, asset-backed securities and commercial mortgage-backed securities. \nBrenda graduated with a B.B.A. in Finance and International Business from the University of Wisconsin-Madison. She also holds the CFA designation and is a member of the CFA Society of Chicago and the CFA Institute.Close×\nFlaherty & Crumrine Incorporated specializes in the management of preferred and related securities. It has focused on preferred and income securities portfolios for institutional clients and investment funds since its inception in 1983. \nFlaherty & Crumrine is an independent investment adviser with a dedicated credit research team that performs comprehensive analysis of the risks faced by preferred and subordinated securities holders. Specializing helps in capitalizing on the relative inefficiencies in this market. With only a relatively small number of institutional portfolios and 8 public funds (the five Flaherty & Crumrine closed-end funds\, a sub-advised mutual fund\, a Canadian closed-end investment trust and a Canadian ETF)\, Flaherty & Crumrine is able to offer customized portfolio strategies to best meet that client’s particular investment objectives\, risk tolerances\, tax position and time horizon. \nSpeaker Bio:\nMr. Chadwick has managed preferred securities at Flaherty & Crumrine since 1999 and is a member of the firm’s portfolio management team. As one of the firm’s traders\, he shares responsibility for implementing investment strategies. Mr. Chadwick is also involved in the development of tools for managing the portfolios and developing firm-wide systems. Together with Mr. Conwell and Mr. Stone\, he serves on the firm’s board of directors and is a member of the executive management committee. He also serves as Chairman of the Board\, Chief Executive Officer\, and a Director of the Flaherty & Crumrine closed-end funds. \nPrior to joining Flaherty & Crumrine in 1999\, he worked at Koch Industries Inc. where he was responsible for managing sizable portfolios of both preferred securities and corporate bonds. He was also responsible for developing analytical tools used in the management of the portfolios\, and providing fundamental research on a broad range of credits.Close×\n \nSpeaker Bio:\nMr. Sallee joined the firm in 2005 and is an Executive Committee member and a member of the Tortoise Development Committee and serves as President of the Tortoise platform. He oversees Tortoise’s energy investment team and Tortoise/Ecofin co-managed energy products. Mr. Sallee serves as president of the Tortoise Energy Infrastructure Corp. and Tortoise Midstream Energy Fund\, Inc. closed-end funds\, and is a member of the Investment Committee. He has more than 21 years of industry experience and regularly speaks on national media (CNBC). Previously\, he served for five years as a senior financial analyst with Aquila\, Inc.\, where he was responsible for analysis of capital allocation at the firm’s communications infrastructure subsidiary\, Everest Connections. Mr. Sallee graduated magna cum laude from the University of Missouri with a degree in business administration. He is a CFA® charterholder. \nhttps://tortoiseecofin.com/\nTortoiseEcofin focuses on essential assets – those assets and services that are indispensable to the economy and society. TortoiseEcofin brings together strong legacies from Tortoise\, with expertise investing across the energy value chain for more than 20 years\, and from Ecofin\, which unites ecology and finance and has roots back to the early 1990s. We strive to make a positive impact on clients and communities by investing in energy infrastructure and the transition to cleaner energy and by providing capital for social impact projects focused on education and seniors housing.Close×\nBancroft Capital is service-disabled veteran-owned broker dealer specializing in Capital Markets\, Debt and Equity syndication and Cash Management services to corporations\, asset managers\, and investors. \n\nSpeaker Bio:\n Michael J. Spatacco is Director of Cash Management for Bancroft Capital\, where he is a founding partner. Michael helps clients find solutions for their short term liquidity needs and has a long term passion for Closed-End Funds.Close×\nInvestment Philosophy\nWe believe in long-term\, fundamental value investing. This has been the central tenet of our philosophy since the Firm’s inception. We believe that diversified portfolios offer investors greater return opportunities and improved risk haracteristics. We focus our efforts on identifying investment opportunities across all sectors of the global fixed-income market and across the credit spectrum. We believe that active management is critical to realizing these opportunities. \nInvestment Management Process\nWestern Asset actively allocates capital across fixed-income markets based on our teams’ view of both absolute and relative value. This process is driven by both top-down macro insights and intensive\, bottom-up fundamental analysis. Western Asset’s Global Investment Strategy and U.S. Broad Strategy Committees establish the top-down macro themes. Sector teams are then responsible for bottom-up research of issuers\, selection of individual securities\, and the determination of relative value within and across their respective sectors. Our Risk Management Team continuously analyzes our exposures and provides feedback to our portfolio management team on risk concentrations\, scenario analysis\, and correlations. \nTeam-Based Approach\nOur investment team consists of 129 members made up of experienced portfolio managers\, dedicated research analysts and traders with an average industry experience of over 23 years. Western Asset has investment professionals located in seven offices around the globe who lend global insights and local perspectives to our team-based investment management process. \nIntegrated Risk Management\nRisk management is an integral part of Western Asset’s investment management process. As an active fixed-income manager\, we position our portfolios to take risk that is consistent with clients’ risk targets and investment guidelines. Western Asset’s independent Risk Management Team is comprised of 41 professionals who work in partnership with our Investment Management Team to analyze and assess risk and report into the CEO. The investment management team reports into the CIO. The two teams collaboratively assess portfolio risks in a variety of market scenarios utilizing both industry standards and proprietary metrics to maximize risk-adjusted returns \n\nSpeaker Bio:\nRobert Amodeo is Head of Municipals at Western Asset Management Company\, LLC and has 34 years of investment experience. Mr. Amodeo began his career at The Bank of New York but soon thereafter joined Salomon Brothers Inc.\, where he was responsible for analyzing various private investment partnerships\, including venture-capital\, oil-and-gas\, and real-estate\, equity and bond portfolios. In 1992\, Robert joined Salomon Brothers Asset Management where his role evolved into managing director\, head of the municipal bond investment team and he worked with Salomon’s Yield Book department to adapt advanced technology for municipal bond and tax-efficient portfolio management. Since 2005\, Robert has been part of Western Asset’s municipal bond investment team and is the sector head of that group. \nMr. Amodeo holds a Bachelor’s degree from Long Island University and a Master of Public Administration\, Advanced Management and Finance from Columbia University. He holds the Chartered Financial Analyst designation and has written various articles regarding the public finance market.Close×\nParametric partners with advisors to build portfolios focused on what’s important to them and their clients. A leader in custom solutions for more than 30 years\, we help investors access efficient market exposures\, solve implementation challenges\, and design multi-asset portfolios that respond to their evolving needs. Headquartered in Seattle\, Parametric has offices in Minneapolis\, New York City\, Boston\, and Westport\, Connecticut. For more information\, visit parametricportfolio.com. \n\nSpeaker Bio:\nMark is responsible for supporting the continued investment success of Parametric’s systematic income product suite—with focus on dividend income and enhanced income strategies. Prior to joining Parametric in 2019\, he spent seven years with US Bank’s Asset Management Group as a vice president in equity portfolio management covering domestic large-cap securities. Mark is also a firefighter for the city of Plymouth\, Minnesota. He earned an MBA from the Kelley School of Business at Indiana University and a BS in finance/information systems from Iowa State University.Close×\nDedicated to the pursuit of excellence in everything we do\, Cohen & Steers is the leading global investment manager specializing in real assets and alternative income\, focused on delivering diversification\, alpha and income. \nOur teams are relentless in their drive to provide superior investment solutions and passionate about constantly innovating to meet the needs of clients today and anticipate their challenges of tomorrow. \nWe believe accessing investment opportunities around the world requires local knowledge and insight into specialized and regional markets. Cohen & Steers maintains a global presence through the following offices: New York\, London\, Dublin\, Hong Kong and Tokyo. \n\nSpeaker Bio:\nBrian Cordes\, CAIA\, Senior Vice President\, is the head of Cohen & Steers’ Portfolio Specialist Group\, which represents the company’s investment teams in interactions with institutional and retail clients. He has 23 years of experience. Prior to joining Cohen & Steers in 2012\, Mr. Cordes was a product manager at Columbia Management. Previously\, he was with New York Life Investment Management and Morgan Stanley Dean Witter. Mr. Cordes has a BS from Rider University and is based in New York.Close×\nAmundi US is the US investment headquarters of Amundi\, whose extensive network of investment and marketing offices throughout the world provides a global perspective as well as in-depth knowledge of local markets. Amundi\, based in Paris\, is Europe’s largest asset manager and ranks among the top 10 globally1 \, with over $2.12 trillion* of assets across six main investment hubs. \nLeveraging the benefits of our increased scope and size\, the combined expertise and investment resources across Amundi allow us to introduce new and innovative investment solutions tailored to investor needs. We benefit from the expertise of over 4\,500\nAmundi team members based in 37 countries. \n\nSpeaker Bio:\nMatt Cody is Vice President and Client Portfolio Manager at Amundi US. Based in Boston\, he is responsible for consulting clients and their advisors on the firm’s economic outlook\, current positioning\, and investment philosophy\, as well as giving updates on the firm’s recent investment performance and product information. \nBefore joining Amundi US\, Matt was Senior Vice President and Head of Research and Content at REX Shares. In this role\, he formulated investment strategies for institutional clients\, led compliance and marketing efforts\, and helped structure several investment products. Prior to that\, Matt was a Senior Fixed Income Analyst at Wetherby Asset Management for 10 years. Matt’s responsibilities included covering all sub-sectors of fixed income investing\, consulting client advisors on portfolio construction for private and institutional clients\, developing and presenting market presentations and external webinars for clients\, and maintaining firm-wide investment models. In addition\, he was a voting member of the 10 person Investment Committee and chaired the Asset Allocation Committee\, the firm’s fundamental and quantitative research engine. \nMatt received both a B.S. in Statistics and Mathematics from University of California\, Davis. He is\na CFA® charterholder.Close×\n \n\nSpeaker Bio:\nJames Murchie co-founded Energy Income Partners (EIP) in 2003 with Linda Longville and Eva Pao. EIP is a partner-owned asset manager and is an outgrowth of his personal investing in energy infrastructure. EIP’s Funds and products concentrate their portfolios in the securities of noncyclical energy infrastructure companies in the pipeline\, electric power and renewable development sectors. Between 1998 and 2003\, he ran Lawhill Capital which managed a long/short equity fund that invested in energy and cyclical equities and commodities. From 1995 to 1997\, he was a Managing Director at Tiger Management where his primary responsibility was investments in energy\, commodities and related equities. From 1990-1995\, Mr. Murchie was a Principal at Sanford C. Bernstein where he was a top-ranked energy analyst and sat on the Research Department’s Recommendation Review Committee. Before joining Bernstein\, he spent 8 years at British Petroleum in 7 operating and staff positions of increasing responsibility. He has been named one of only three Hall of Fame investors by Alerian. Mr. Murchie has testified on energy policy in front of the U.S. Senate Committee on Energy and Natural Resources\, presents at the Energy Roundtable at the Aspen Institute and numerous industry conferences and events. He has often been quoted in media outlets such as Bloomberg\, the Financial Times and the Wall Street Journal. His interview with Steve Forbes is available on-line. Mr. Murchie received a B.A. from Rice University in 1979 and an M.A. in Energy Planning from Harvard University in 1982.Close×\n \n\nSpeaker Bio:\nFrom 2009-2013\, Samuel Brothwell worked at Bloomberg\, LP as Sector Head of Utilities and was Vice President\, Corporate Planning and Investor Relations at Questar Corporation. From 2005-2009 he was Managing Director\, Equity Research with Wells Fargo/Wachovia Capital Markets\, LLC\, and Director\, Equity Research with Merrill Lynch from 1997 to 2005. Prior to that he was Vice President\, Credit Research with Moody’s Investors Service from 1995-1997\, Senior Financial Analyst with PNM Resources from 1987 to 1995\, Senior Tax and Audit Accountant with Arthur Anderson from 1983 to 1987 and has been a contributor and participant to Energy and Natural Gas Policy Forums with the Aspen Institute since 2006. He graduated with B.B.A. from University of New Mexico in 1983.Close
URL:https://dev.aicalliance.org/aica-event/taxadvantagedincome2021/
CATEGORIES:Past Events
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BEGIN:VEVENT
DTSTART;TZID=America/New_York:20211116T130000
DTEND;TZID=America/New_York:20211117T170000
DTSTAMP:20260404T174708
CREATED:20211004T140926Z
LAST-MODIFIED:20251031T174625Z
UID:18152-1637067600-1637168400@dev.aicalliance.org
SUMMARY:Business Development Company (BDC) Fall Forum
DESCRIPTION:DONATESponsorsAttendee ClassificationFeedbackSponsors\n\n  \n  \n\n\n\n\n\n\n\nCEF Advisors & CEFData.com\nNasdaq\n\n\n\n\nAttendee Classification\n\nFeedback\n\n\nWe appreciate your feedback\n \n\n\nDay One: Nov 16th1:00pm to 1:15pm - Attendee Login and Networking at Virtual Tables1:15pm to 1:30pm - Welcome\nABCs\nTranscript\n\n\n\n\n\n\n\n\n\n\n\nJohn Cole Scott\, CIO at CEF Advisors\, Founder of CEFData.com\n\n\n\n\n\n\n\n\n1:30pm to 2:15pm - Panel #1: “BDC Products for Investors”\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nModerator\n  Mike Taggart\, CFA\, Founder & CEO – Taggart Fund Intelligence\nPresenters\nDavid B. Miyazaki\, CFA – Confluence Investment Management\nPresentersJohn Cole Scott\, CIO – Closed-End Fund Advisors\nPresentersJames Hickey\, Managing Director of Alternatives – Spearhead Capital Advisors\n\n\n\n\n\n2:15pm to 2:30pm - Networking Break2:30pm to 3:15pm - Panel #2: “Current Trends for Large Scale BDCs: Opportunities For Quality Income”\nTranscript\n Video\n\nHear from some of the largest BDCs on how they have been performing for the most recent quarter. Benefits of being a large BDC when sourcing deals and securing leverage. \n\n\n\n\n\n\n\n\n\n\nModerator: Vlad M. Bulkin\, Partner – Katten\nPresenters\nMitch Goldstein\, Co-President – Ares Capital Corporation\nPresentersErik Bissonnette\, Managing Director & Co-Head of Technology Investing – Owl Rock\n\nPresentersRajneesh Vig\, Chairman and CEO – BlackRock – TCP Capital Corp.\n\n\n\n\n\n\n3:15pm to 3:20pm - Event Closing Remarks\n\n\n\n\n\n \n \n \n \n\n\nJohn Cole Scott\, CIO at CEF Advisors\, Founder of CEFData.com\n \n \n \n \n\n\n\n\n3:20pm to 4:00pm - Post Event Networking with Speakers\, Sponsors\, Members and Fellow AttendeesDay Two: Nov 17th1:00pm to 1:15pm - Attendee Login and Networking at Virtual Tables1:15pm to 1:30pm - Welcome\nABCs\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nJohn Cole Scott\, CIO at CEF Advisors\, Founder of CEFData.com\n\n\n\n\n\n\n\n\n1:30pm to 2:15pm - Panel #1: “BDCs from the Analyst Perspective”\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nModerator\n John Cole Scott\, Founder & Executive Chairman – AICA\nPresenters\nMitchel Penn\, Managing Director of Equity Research – Oppenheimer & Co. Inc.\nPresenters Nicholas Marshi\, BDC Reporter\nPresenters Casey Alexander\, Managing Director – Equity Analyst – Compass Point Research & Trading\n\n\n\n\n\n2:15pm to 2:30pm - Networking Break2:30pm to 3:15pm - Panel #2: “Unique Use of the BDC Structure”\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nModerator\n  Kenneth Burdon\, Counsel\, Investment Management – Skadden\, Arps\, Slate\, Meagher & Flom LLP\nPresenters\nChris Oberbeck\, Chairman and CEO – Saratoga\nPresentersMichael S. Sarner\, Chief Financial Officer – Capital Southwest\n\n\n\n\n\n\n3:15pm to 3:30pm - Networking Break3:30pm to 4:15pm - Panel #3: “BDC Trends from the Service Providers Perspective”\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nModerator\n  Chuck Jaffe\, Host – Moneylife\nPresenters\nMeghan Neenan\, Managing Director – Fitch Ratings\nPresentersAndrew Hall\, Managing Director New Listings – Nasdaq\n\nPresentersTerri Jordan\, Branch Chief\, Chief Counsel’s Office of the SEC’s Division of Investment Management\n\n\n\n\n\n4:15pm to 4:20pm - Event Closing Remarks\n\n\n\n\n\n\n\n\n\n\n\nJohn Cole Scott\, CIO at CEF Advisors\, Founder of CEFData.com\n\n\n\n\n\n\n\n\n4:20pm to 5:00pm - Post Event Networking with Speakers\, Sponsors\, Members and Fellow Attendees×\n \nSpeaker Bio:\nMr. Scott has worked at Closed-End Fund Advisors since 2001. He holds the FINRA 66 License and the Certified Fund Specialist designation (CFS). He is a graduate of The College of William and Mary and has been quoted and interviewed widely in the financial press and presented at conferences and for investment groups on more than 50 occasions. \nIn 2008 John founded CEFA’s Closed-End Fund Universe\, a data service covering all US listed closed-end funds and BDCs. Currently supported by an internal 10 member analyst team with a data manager/ programmer covering the 600+ ticker universe of CEFs/BDCs/iCEFs. They regularly do consulting and projects for CEF/BDC Sponsors\, Hedge Funds and Institutional Investors. \nPortfolio Consultant with over $300MM+ in deposits into a fund focused on BDCs with a fund sponsor partner. He developed 35 CEF/BDC based indexes; 9 diversified portfolio objective\, 9Equity and 15 Bond sector. Founder & Exec. Chairman of Active Investment Company Alliance(AICA). John is a past board member of The Richmond Association for Business Economics(RABE)\, and serves as Assistant Treasurer and on the Investment Committee for The New YorkState Society of The Cincinnati. Board member and Finance & InvestmentCommittees for The William & Mary NationalAlumni BoardClose×\n \nSpeaker Bio:\nVlad Bulkin understands the unique needs of business development companies (BDCs) and registered closed-end funds (CEFs). From fund formation to capital raising activities\, he brings industry-leading experience to clients at any stage. He has extensive transactional experience for BDCs and CEFs\, including public and private securities offerings and strategic transactions. \nVlad taps into his deep regulatory and transactional knowledge to advise a broad range of clients\, including BDCs\, CEFs\, private investment funds and other financial services firms. For BDC and CEF clients\, he is well positioned to counsel them on establishment and operational matters\, as well as regulatory and compliance with the Investment Company Act of 1940 and the Investment Advisers Act of 1940. He regularly works with alternative investment managers on developing permanent capital structures for their various asset classes. \nVlad frequently works with issuers and underwriters on a broad range of public and private offerings of equity and debt securities. His experience includes initial public offerings (IPOs)\, Rule 144A offerings\, shelf offerings\, at-the-market offerings (ATMs)\, registered direct offerings\, high-yield bond offerings\, convertible debt offerings and rights offerings. \nPublic companies rely on Vlad to help navigate corporate governance and compliance matters. He regularly advises on Securities and Exchange Commission (SEC) reporting obligations and other securities laws\, including Section 16 compliance\, Rule 10b5-1 plans\, the Sarbanes-Oxley Act of 2002\, Rule 144 and the listing requirements of the NYSE and NASDAQ.Close×\n \nSpeaker Bio:\nMike Taggart\, CFA is the founder and CEO of Taggart Fund Intelligence. Previously\, he worked in the closed-end fund group at Nuveen\, and before that he was the head of U.S. closed-end fund research at Morningstar. He has spent nearly half his career covering closed-end funds.Close×\n \nSpeaker Bio:\n\nDavid Miyazaki manages Confluence’s specialty finance portfolios with an emphasis on business development companies\, which includes co-managing the First Trust Specialty Finance & Financial Opportunities Fund (NYSE: FGB). David is also a member of the Asset Allocation Committee and works with the firm’s balanced portfolios\, focusing on fixed income investments.Close×\n \nSpeaker Bio:\nMr. Penn follows business development companies. Prior to joining Oppenheimer and Co. he followed business development companies at Janney Montgomery Scott. In addition\, he was an Equity Portfolio Manager/Financial Analyst at Legg Mason Capital Management from 2001 to 2012 where he specialized in financial companies. From 1996 to 2001 he managed a $400M fixed income portfolio at Legg Mason Capital Management. Prior to joining Legg Mason Mr. Penn managed a $15B fixed income portfolio at Aetna. He also worked for Price Waterhouse from 1981 to 1985. \nMr. Penn received his Chartered Financial Analyst designation in 1995 and is a member of the Baltimore CFA Society. He was President of the Baltimore Society (2001-2002) and served on the Board of Directors. Mr. Penn received his Certified Public Accounting designation in 1983\, but he no longer maintains this designation. He is a graduate of Villanova University\, Magna Cum Laude\, Phi Kappa Phi\, Beta Gamma Sigma (1981) and University of Chicago (MBA-1987).Close×\n \nSpeaker Bio:\n\nOverview\nServing clients in every major international financial center\, Skadden\, Arps\, Slate\, Meagher & Flom LLP and affiliates is one of the leading law firms in the world\, with 22 offices and approximately 1\,700 attorneys offering solutions to the most challenging legal issues in virtually every area of corporate law. \nBurdon bio\nKenneth E. Burdon represents public and private investment funds\, investment advisers\, financial services companies and other financial institutions in connection with the structuring and distribution of investment products\, and in a variety of regulatory\, compliance\, corporate\, governance\, operational and transactional matters.Close×\n\nFirm Bio:\nFitch Ratings is a leading provider of credit ratings\, commentary\, and research. Dedicated to providing value beyond the rating through independent and prospective credit opinions\, Fitch Ratings offers global perspectives shaped by strong local market experience and credit market expertise. The additional context\, perspective\, and insights we provide help investors to make important credit judgments with confidence. \nFitch Group is a global leader in financial information services with operations in more than 30 countries. Fitch Group is comprised of: Fitch Ratings\, a global leader in credit ratings and research; Fitch Solutions\, a leading provider of credit market data\, analytical tools and risk services; Fitch Learning\, a preeminent training and professional development firm; and Sustainable Fitch\, the first global ESG Ratings solution for all asset classes at an entity and instrument level. \nWith dual headquarters in London and New York\, Fitch Group is owned by Hearst. \nFor additional information\, please visit fitchratings.com. \nSpeaker Bio:\n\nMeghan Neenan is a managing director in Fitch Ratings’ financial institutions group and the North American head of Non-Bank Financial Institutions. Her coverage includes alternative and traditional investment managers\, hedge funds\, pension funds\, securities firms\, business development companies\, consumer and commercial finance companies\, and leasing companies. \nPrior to joining Fitch in June 2006\, Meghan was an equity analyst at Morningstar\, Inc. covering companies in the financial institutions industry. She began her career as a bank examiner at the Federal Reserve Bank of New York\, analyzing a wide range of institutions\, from small community banks to large\, complex banking organizations. \nMeghan graduated summa cum laude from Mount Union College with a BA in accounting and business administration and earned her MBA from the University of Notre Dame. She is a Chartered Financial Analyst (CFA) charterholder and a member of the CFA Institute and the New York Society of Security Analysts.Close×\n \nFirm Bio:\nSaratoga Investment is a specialty finance company that provides customized financing solutions to U.S. middle-market businesses. The Company invests primarily in senior and unitranche leveraged loans and mezzanine debt\, and\, to a lesser extent\, equity to provide financing for change of ownership transactions\, strategic acquisitions\, recapitalizations and growth initiatives in partnership with business owners\, management teams and financial sponsors. Saratoga Investment’s objective is to create attractive risk-adjusted returns by generating current income and long-term capital appreciation from its debt and equity investments. Saratoga Investment has elected to be regulated as a business development company under the Investment Company Act of 1940 and is externally-managed by Saratoga Investment Advisors\, LLC\, an SEC-registered investment advisor focusing on credit-driven strategies. Saratoga Investment owns two SBIC-licensed subsidiaries and manages a $650 million collateralized loan obligation (“CLO”) fund. It also owns 52% of the Class F and 100% of the subordinated notes of the CLO. The Company’s diverse funding sources\, combined with a permanent capital base\, enable Saratoga Investment to provide a broad range of financing solutions. \n– Best phone number for the day of the event should there be any technical issues.\nChris: 917-509-7604 or Charmane 917-364-6055 \nSpeaker Bio:\nChristian Oberbeck is Chairman\, CEO\, and co-founder of Saratoga Partners\, a New York-based private alternative investment firm and Chairman and CEO of Saratoga Investment Corp. a publicly traded (New York Stock Exchange) Business Development Company. Mr. Oberbeck has been a Trustee since 1990 of a private foundation that donates primarily to education-oriented charities and scholarships. He started the Renaissance Scholars Fund at Phillips Exeter Academy in 1997 and at Brown University in 2004. He has been a member of the World Presidents’ Organization and Chief Executives Organization for many years and serves on the Board of Visitors at The Children’s Hospital of Philadelphia\, on the PEN America Board and on the Dean’s Council at the Harvard Kennedy School.Close×\n \nSpeaker Bio:\nNicholas Marshi is a co-founder and Chief Investment Officer (CIO) of BDC Investment Advisors (BDCIA) www.bdcia.com – a California Registered Investment Advisor. BDCIA specializes in the Business Development Company (“BDC”) sector – investing in both common stocks and bonds. BDCIA’s principal activity is managing an investment fund: BDC Fund II\, which was launched in 2009. Mr Marshi is responsible for the firm’s investment management. Mr Marshi is also the editor of the BDC Reporter (see below)\, the leading online publication dedicated to the BDC sector\, as well as the BDC Credit Reporter. \nPreviously Mr. Marshi-with Mr. Hansen- was a founder and principal of Southland Capital Partners (“SCP”)\, a Los Angeles based private equity firm. SCP was established in 1998 in Los Angeles in order to acquire controlling interests in middle market companies in the Southern California region. Prior to forming SCP\, Mr. Marshi managed Kensington Capital Corporation\, another private-equity investment firm\, with a similar focus. In addition\, Mr. Marshi was the head of the Los Angeles office of Kleinwort Benson\, a British merchant bank\, from 1987-1990 and was involved in leading investment banking\, lending and principal investing activities. Before joining Kleinwort’s Mr. Marshi held various positions with Citibank at locations worldwide including Athens\, Dubai\, Puerto Rico and London. Mr. Marshi is a graduate of Tufts University (B.A.) and Harvard University (M.A.).Close×\n \nSpeaker Bio:\nRajneesh Vig\, Managing Director\, is a member of BlackRock’s Global Credit Platform and Chairman and CEO of BlackRock-TCP Capital Corp (NASDAQ: TCPC). He is Co-Head of US Private Capital and is the Investment Committee Chair for BlackRock’s US Private Capital (USPC) business. \nPrior to joining BlackRock\, Mr. Vig was a Managing Partner at Tennenbaum Capital Partners (TCP)\, where he was also Chairman of the Investment Committee and a member of the Management Committee. TCP with its more than $9 billion in committed capital was acquired by BlackRock in 2018. Prior to TCP\, Mr. Vig held roles within Investment Banking\, Debt Capital Markets and the Structured Solutions Group at Deutsche Bank Securities from 1999 through 2006. \nHe currently chairs the US Private Capital Investment Committee\, is a member of the Credit Oversight Committee and serves on the Board of Directors of TCPC\, 36th Street Capital and Edmentum. He also serves on the Board of Trustees of Connecticut College. \nMr. Vig earned a B.A. in Economics from Connecticut College and an M.B.A from New York University.Close×\n \nFirm Bio:\nOwl Rock\, together with its subsidiaries\, is a division of Blue Owl Capital Inc. (NYSE: OWL) and a New York-based alternative asset manager with approximately $34.6 billion of assets under management as of June 30\, 2021. Owl Rock manages multiple investment funds and products including business development companies. Owl Rock is comprised of a team of seasoned investment professionals with significant and diverse experience from some of the world’s leading investment firms and financial institutions. Owl Rock’s relationship-oriented approach to investing seeks to provide companies with sizeable commitments to facilitate transactions and support their growth needs with certainty\, speed and transparency throughout the entire investment process. \nSpeaker Bio:\nErik Bissonnette\, Managing Director\, Co-Head of Technology Investing \nErik Bissonnette is a Managing Director of Blue Owl\, Portfolio Manager of Owl Rock Technology Finance Corp.\, and is a member of the Adviser’s Investment Committee. \nPrior to joining Owl Rock in 2018\, Mr. Bissonnette was a Managing Director and Head of Technology Leveraged Finance at Capital Source from 2009 to 2017. In this capacity he was responsible for investing the firm’s capital in senior and junior debt facilities used to support private equity and venture capital transactions. Preceding Capital Source\, Mr. Bissonnette worked in private equity at ABS Capital Partners. Prior to that\, Mr. Bissonnette worked in investment banking as an Associate at Wachovia Securities and an Analyst at Banc of America Securities. \nErik received a B.A. in Economics with a double major in English from Wake Forest University.Close×\n \nFirm Bio:\nFounded in 2004\, Ares Capital Corporation (NASDAQ: ARCC) is a leading specialty finance company focused on providing direct loans and other investments in private middle market companies in the United States. Ares Capital’s objective is to source and invest in high-quality borrowers that need capital to achieve their business goals\, which often leads to economic growth and employment. Ares Capital believes its loans and other investments in these companies can generate attractive levels of current income and potential capital appreciation for investors. Ares Capital\, through its investment manager\, utilizes its extensive\, direct origination capabilities and incumbent borrower relationships to source and underwrite predominantly senior secured loans but also subordinated debt and equity investments. Ares Capital has elected to be regulated as a business development company (“BDC”) and is the largest BDC by market capitalization as of September 30\, 2021. Ares Capital is externally managed by a subsidiary of Ares Management Corporation (NYSE: ARES)\, a publicly traded\, leading global alternative investment manager. For more information about Ares Capital\, visit www.arescapitalcorp.com. \nSpeaker Bio:\nMr. Goldstein is a Partner and Co-Head of the Ares Credit Group. He serves on the Ares Executive Management Committee. He additionally serves as Co-President of ARCC and Vice President and interested trustee of CION Ares Diversified Credit Fund. He is a member of the Ares Credit Group’s U.S. Direct Lending\, Pathfinder Fund\, Pathfinder Core Fund and Commercial Finance Investment Committees and the Ivy Hill Asset Management Investment Committee. Prior to joining Ares Management in May 2005\, Mr. Goldstein worked at Credit Suisse First Boston\, where he was a Managing Director in the Financial Sponsors Group. At CSFB\, Mr. Goldstein was responsible for providing investment banking services to private equity funds and hedge funds with a focus on M&A and restructurings as well as capital raisings\, including high yield\, bank debt\, mezzanine debt\, and IPOs. Mr. Goldstein joined CSFB in 2000 at the completion of the merger with Donaldson\, Lufkin & Jenrette. From 1998 to 2000\, Mr. Goldstein was at Indosuez Capital\, where he was a member of the Investment Committee and a Principal\, responsible for originating\, structuring and executing leveraged transactions across a broad range of products and asset classes. From 1993 to 1998\, Mr. Goldstein worked at Bankers Trust. He also serves on the Board of Managers of Ivy Hill Asset Management GP\, LLC. Mr. Goldstein graduated summa cum laude from the State University of New York at Binghamton with a B.S. in Accounting and received an M.B.A. from Columbia University’s Graduate School of Business.Close×\n \nFirm Bio:\nSPEARHEAD is a boutique financial services firm focused on providing customized solutions for Ultra High-Net Worth Individuals\, Family Offices\, and Asset Management firms. We strive to provide long-term value to clients on an after income tax and estate tax basis by combining balance sheet risk management techniques together with investment management strategies. \nSpeaker Bio:\nJames Hickey serves as the Managing Director of Alternative Strategies for Spearhead. \nPrior to this role\, Mr. Hickey served as Chief Investment Strategist for Avantax\, an independent broker-dealer & registered investment advisor with over $80B in assets. In this role\, Mr. Hickey oversaw investment strategy\, home office portfolios\, and market research. \nPrior to Avantax\, Mr. Hickey served as Vice President and Portfolio Manager for FDO Partners (“FDO”)\, a $3B quant investment firm founded by Harvard Business School Professor Ken Froot. In this role\, Mr. Hickey oversaw FDO’s alternative investing. \nPrior to FDO\, Mr. Hickey served as the Managing Director and CIO of the RiverRock Group and as President of RiverRock Securities\, LLC\, a licensed broker-dealer.. \nPreviously\, Mr. Hickey served as Vice President of Mergers and Acquisitions for Aveta\, the largest privately held Medicare Advantage health insurance company in the United States. Mr. Hickey also co-founded the health insurance company Touchstone Health Partnership\, which he grew from concept to $50mil in revenue. In addition\, Mr. Hickey served as a management consultant at Computer Sciences Corp. where he focused on insurance and healthcare. \nMr. Hickey received his MBA with honors from The Wharton School\, University of Pennsylvania\, and his bachelor’s degree with high honors from Harvard University. \nMr. Hickey holds the Chartered Financial Analyst (CFA) designation and the FINRA Series 7\, 24\, 27\, 66 and 79 registrations.Close×\nSpeaker Bio:\nCasey Alexander is a Managing Director – Research Analyst with Compass Point covering the Business Development Companies\, which he has been following since 2009.  He also covers The Golf Equipment Industry since 1996 and the Specialty Insurance industry.  Prior to joining Compass Point in 2016 he was the Director of Research\, a Special Situations Analyst\, and a member of the Gilford Securities Board of Directors. Prior to joining Gilford Securities Inc. Mr.Alexander spent eight years with PaineWebber Inc. During his tenure at PaineWebber\, Mr.Alexander filled multiple roles including Head of Over-the-Counter Marketing\, Divisional Sales Manager and Branch Manager. Mr. Alexander successfully completed the PaineWebber Equity Institute portfolio management program. Mr. Alexander has also been employed by Prudential Securities and E.F. Hutton during his 40-year career in the securities business. Mr. Alexander is a tournament golfer and has been ranked as one of the top amateur tournament golfers during his career.Close×\nSpeaker Bio:\nTerri Jordan is a Branch Chief in the Chief Counsel’s Office of the Division of Investment Management at the U.S. Securities and Exchange Commission. Previously\, she was a Senior Counsel in the Rulemaking Office of the Division of Investment Management\, where she participated in policy initiatives on a variety of issues concerning the investment management industry. Prior to joining the SEC\, Ms. Jordan was Counsel at Eversheds Sutherland (US) LLP\, where she focused her practice on issues related to business development companies and small business investment companies. \nClose×\n \nSpeaker Bio:\nChuck Jaffe is a syndicated financial columnist and the host of “Money Life with Chuck Jaffe\,” a one-hour weekday financial talk show (moneylifeshow.com). \nChuck’s work has been syndicated since 1995\, first while based at the Boston Globe and then from MarketWatch.com; he also writes for the Wall Street Journal and elsewhere. A past president of the Society of American Business Editors &and Writers\, Chuck has been a frequent guest on CNBC\, Nightly Business Report\, Fox Business News\, National Public Radio and more\, and is the author of three books: “Getting Started In Finding a Financial Advisor\,” “The Right Way to Hire Financial Help” and “Chuck Jaffe’s Lifetime Guide to Mutual Funds.” \nIn what is jokingly referred to as “spare time\,” Chuck is very involved in the sport of lacrosse as a broadcaster\, referee\, coach\, league owner and player. He lives on Boston’s South Shore with a golden retriever who sleeps under the desk while Chuck is working and whose flatulence issues sometimes explain Chuck’s demeanor. \nYou can follow him on Twitter @ChuckJaffe\, @MoneyLifeShow and\, depending on your sporting interests\, @BostonBoxLax. \nWebsite: https://www.moneylifeshow.com\nEmail: itschuckjaffe@gmail.com\nPhone: 781-383-6688Close×\n \nSpeaker Bio:\nAndy Hall\, Managing Director\, Nasdaq New Listings \nAndy has been with Nasdaq Listing Services since 2004\, and has had various positions in the areas of Issuer Services & Market Intelligence. Andy has been on the New Listings team since 2007\, and works with companies that are considering a Nasdaq listing. Andy has worked with companies that are moving from being a private to a public company in an IPO\, and public companies that trade on the NYSE\, NYSE American\, TSX or OTC and are considering transferring\, dual listing or uplisting to Nasdaq. Andy is a graduate of George Washington University in Washington\, DC.Close×\n \nFirm Bio:\nCapital Southwest (NASDAQ: CSWC) is an internally-managed\, credit-focused BDC that is an active lender to middle market companies across the capital structure. CSWC provides flexible capital that fills financing needs that traditional first lien senior lenders are unwilling to meet. In particular\, CSWC is well-positioned to finance lower middle market businesses with $3 to $25 million of EBITDA. \nCSWC manages investable capital of approximately $1.2 billion. As of September 30 2021\, CSWC had funded over $1.7 billion in new credit investments\, including the capital invested in its I-45 Senior Loan Fund. \nThe Company is managed by an investment team with decades of experience working with one another.\nThe firm and all of its employees are located in Dallas\, Texas \nSpeaker Bio:\nMr. Sarner joined Capital Southwest in the Summer of 2015 and brings over 20 years of financial\, treasury & BDC experience. Before joining the Company\, he spent 15 years at American Capital\, Ltd. in a variety of financial roles\, most recently as Senior Vice President\, Treasury. Michael is the Chief Financial Officer at Capital Southwest and is responsible for initiatives related to the refocus of its BDC activities. Mr. Sarner received a B.B.A. in Business Administration/Accounting from James Madison University\, an M.B.A. in Finance from George Washington University’s School of Business and Public Management and is a Certified Public Accountant. Mr. Sarner now lives in Dallas with his wife and three sons.Close
URL:https://dev.aicalliance.org/aica-event/bdcfallforum2021/
CATEGORIES:Past Events
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BEGIN:VEVENT
DTSTART;TZID=America/New_York:20211208T130000
DTEND;TZID=America/New_York:20211209T170000
DTSTAMP:20260404T174708
CREATED:20211007T075430Z
LAST-MODIFIED:20251031T174635Z
UID:18200-1638968400-1639069200@dev.aicalliance.org
SUMMARY:Interval Fund Winter Manager Spotlight
DESCRIPTION:DONATESponsorsAttendee ClassificationFeedbackSponsors\n\n  \n\n\n\n\n\n\n\n\nCEF Advisors & CEFData.com\nNasdaq\nNorthern Trust\n\n\n\n\nAttendee Classification\n\nFeedback\n\n\nWe appreciate your feedback\n \n\n\nDay One: Dec 8th1:00pm to 1:15pm - Attendee Login and Networking at Virtual Tables1:15pm to 1:30pm - Welcome\nABCs of Interval Funds\n\n\n\n\n\n\n\n\n\n\n\n\nJohn Cole Scott\, CIO at CEF Advisors\, Founder of CEFData.com\n\n\n\n\n\n\n\n\n1:30pm to 2:15pm - Panel #1: Non-Listed CEF Credit Roundtable\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nModerator\nChuck Jaffe\, Host – Moneylife\nPresenters\nParth Doshi\, Vice President\, Global Product – Nuveen\nPresenters\nGreg Margolies\, Partner – Ares\n\n\n\n\n\n\n2:15pm to 2:30pm - Networking Break2:30pm to 3:15pm - Panel #2: Alternative Investment Options in an Interval Fund\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nModerator\n John Cole Scott\, CIO – Closed-End Fund Advisors\nPresenters\nRobert Grunewald\,CEO & Founder – Flat Rock Global\nPresenters\nAlexander Condrell\, Managing Director – Cliffwater LLC\n\n\n\n\n\n\n\n3:15pm to 3:20pm - Event Closing Remarks\n\n\n\n\n\n\n\n\n\n\n\nJohn Cole Scott – AICA’s Founder & Executive Chairman\n \n\n\n\n\n\n\n\n3:20pm to 4:00pm - Post Event Networking with Speakers\, Sponsors\, Members and Fellow Attendees\n\n\n\n\n\n\n\n\n\n\n\nJohn Cole Scott – AICA’s Founder & Executive Chairman\n \n\n\n\n\n\n\n\nDay Two: Dec 9th1:00pm to 1:15pm - Attendee Login and Networking at Virtual Tables1:15pm to 1:30pm - Welcome\nABCs of Interval Funds\n\n\n\n\n\n\n\n\n\n\n\nJohn Cole Scott\, CIO at CEF Advisors\, Founder of CEFData.com\n\n\n\n\n\n\n\n\n1:30pm to 2:15pm - Panel #1: Unique Credit Investing in an Interval Fund\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nModerator\n  Vadim Avdeychik\, Of Counsel – Corporate Department\nPresenters\n Duncan Farley\, Portfolio Manager – BlueBay\nPresenters\n Clayton Triick\, Senior Portfolio Manager – Angel Oak\n\n\n\n\n\n\n\n2:15pm to 2:30pm - Networking Break2:30pm to 3:15pm - Panel #2: Real Estate Access Opportunities in Interval Funds\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nModerator\n  John Cole Scott\, CIO – Closed-End Fund Advisors\nPresenters\n Daniel Wildermuth\, CEO – Wildermuth\nPresenters\n Benjamin Rotenberg\, Portfolio Manager – Principal Global Asset Allocation\n\nPresenters Collin Bell\, Global Head of Client Portfolio Management – Goldman Sachs\n\n\n\n\n\n3:15pm to 3:20pm - Event Closing Remarks\n\n\n\n\n\n\n\n\n\n\n\nJohn Cole Scott\, CIO at CEF Advisors\, Founder of CEFData.com\n\n\n\n\n\n\n\n\n3:20pm to 4:00pm - Post Event Networking with Speakers\, Sponsors\, Members and Fellow Attendees×\n \nSpeaker Bio:\nMr. Scott has worked at Closed-End Fund Advisors since 2001. He holds the FINRA 66 License and the Certified Fund Specialist designation (CFS). He is a graduate of The College of William and Mary and has been quoted and interviewed widely in the financial press and presented at conferences and for investment groups on more than 50 occasions. \nIn 2008 John founded CEFA’s Closed-End Fund Universe\, a data service covering all US listed closed-end funds and BDCs. Currently supported by an internal 10 member analyst team with a data manager/ programmer covering the 600+ ticker universe of CEFs/BDCs/iCEFs. They regularly do consulting and projects for CEF/BDC Sponsors\, Hedge Funds and Institutional Investors. \nPortfolio Consultant with over $300MM+ in deposits into a fund focused on BDCs with a fund sponsor partner. He developed 35 CEF/BDC based indexes; 9 diversified portfolio objective\, 9Equity and 15 Bond sector. Founder & Exec. Chairman of Active Investment Company Alliance(AICA). John is a past board member of The Richmond Association for Business Economics(RABE)\, and serves as Assistant Treasurer and on the Investment Committee for The New YorkState Society of The Cincinnati. Board member and Finance & InvestmentCommittees for The William & Mary NationalAlumni BoardClose×\n \nSpeaker Bio:\nClayton is a Senior Portfolio Manager at Angel Oak Capital and serves as a Portfolio Manager for the UltraShort Income Fund\, the Multi-Strategy Income Fund\, the Strategic Credit Fund\, and the Multi-Strategy Income UCITS Fund. He is a Portfolio Manager within the non-agency and agency residential mortgage-backed securities markets and focuses on cross asset fund allocation and interest rate risk management of Angel Oak’s funds and institutional separately managed accounts. \nClayton has been in the investment management industry since 2008 and has experience across multiple sectors of fixed income. Prior to joining Angel Oak in 2011\, he worked for YieldQuest Advisors\, where he was a member of the investment committee focusing on the interest rate risk\, currency risk\, and commodity exposures of the portfolios alongside directly managing the closed-end fund allocations within the portfolios and individual accounts. \nClayton holds a B.B.A. degree in Finance from the Farmer School of Business at Miami University in Oxford\, Ohio and holds the Chartered Financial Analyst (CFA®) designation.Close×\n \nSpeaker Bio:\nBen Rotenberg\, CFA\, CAIA – Portfolio Manager Ben is a Portfolio Manager at Principal Global Asset Allocation (PGAA)\, a specialized boutique within Principal Global Investors that engages in the creation of asset allocation solutions. He is responsible for co-managing our dynamic outcome suite of strategies. This includes all portfolio construction\, asset allocation and manager optimization decisions relating to this suite of strategies. He joined Principal in 2014 and has been in the investment industry since 1993. \nPreviously\, he was a Managing Director with Cliffwater LLC\, and was responsible for investment manager due diligence and assisting clients with asset allocation\, manager selection\, and portfolio construction. Ben was also a member of Cliffwater’s Investment Oversight and Risk Committee Prior to joining Cliffwater\, Ben was Director of Research with National Fiduciary Advisors\, an investment consulting firm based in Los Angeles\, where he was responsible for conducting investment manager due diligence across multiple asset classes. Ben began his investment career at Wilshire Associates providing services to investment consultants in Wilshire’s Cooperative Universe Service division. He received a bachelor’s of arts from Pomona College. Ben has earned the right to use the Chartered Financial Analyst and Chartered Alternative Investment Analyst designations and is a member of the CFA Society of North Carolina.Close×\n \nSpeaker Bio:\nRobert K. Grunewald most recently served as the President and Chief Investment Officer of Business Development Corp. of America (BDCA). During his tenure at BDCA\, Mr. Grunewald grew the company from $2.5 million of assets under management to $2.5 billion. BDCA was one of the top performing non-traded BDCs during Mr. Grunewald’s tenure. Mr. Grunewald hired the investment and origination teams\, established BDCA’s strategy\, and chaired the investment committee. He also established the firm’s loan management systems as well as its policies and procedures. While at BDCA\, Mr. Grunewald also founded Kahala Aviation\, a mid-life aircraft leasing business and The AR Capital BDC Income Fund\, the first open-end mutual fund dedicated to investing in the BDC sector. \nMr. Grunewald has over 30 years of experience with middle market finance\, BDCs and asset management. Within the finance industry\, he has participated as a lender\, investment banker\, M&A advisor\, private equity investor and hedge fund manager. As head of Financial Services M&A at NationsBank/Montgomery Securities from 1992 through 1997\, Mr. Grunewald and his team completed numerous assignments for clients throughout the specialty finance industry. In 1997\, Mr. Grunewald was recruited to lead the Specialty Finance Investment Banking Practice at what became Wachovia Securities. At Wachovia\, Mr. Grunewald managed a number of high profile transactions\, including initial public offerings and secondary offerings for some of the largest publicly-traded BDCs and finance companies including Capital Source\, Ares Capital\, American Capital Strategies\, Allied Capital\, and Gladstone Capital. \nIn 2006\, Mr. Grunewald joined American Capital Strategies (‘‘ACAS’’)\, which was one of the largest publicly-traded BDCs before it was sold to Ares Capital Corp. in 2017. As head of the Financial Services Investment Practice from 2006 through 2009\, Mr. Grunewald and his team focused on investment activity in the specialty finance\, insurance\, and asset management sectors. In his three years at ACAS\, Mr. Grunewald committed over $1 billion to debt and equity investments generating an average annual return of 9.6%. While at ACAS he founded two highly successful financial services companies: Core Financial Holdings\, a diversified commercial finance company and asset based lender\, and American Capital Agency Corporation (NASDAQ: ‘‘AGNC’’)\, a publicly traded mortgage REIT.Close×\nFirm Bio:\nWildermuth Advisory\, LLC is the adviser to Wildermuth Endowment Fund. Wildermuth Advisory CIO\, Daniel Wildermuth and his team of experts apply their extensive investment management experience to offer extensive investment advice in categories ranging from more traditional investments\, such as equities and fixed income\, to various alternative investment categories\, such as real estate\, natural resources\, private equity\, absolute return\, and more. \nSpeaker Bio:\nDaniel Wildermuth is the founder and CEO of multiple financial services firms and current serves as CEO of several money management firms including Wildermuth Advisory\, LLC\, an institutional fund advisor; Wildermuth Asset Management\, LLC an RIA managing separate accounts; and Wildermuth Securities\, LLC\, a distributing broker-dealer. \nMr. Wildermuth has been managing traditional and alternative assets for more than 20 years\, and during that time\, has he been teaching financial professionals how to most effectively utilize these different tools with their individual clients. His deep and varied public markets background was earned through managing over 25 different active and passive portfolios of equity and fixed income portfolios over different market cycles. His investment background is complemented by his pioneering the adaption of private securities within individual investor portfolios and includes his forming a mutual fund specializing in private securities. His unique combination of expertise in private and public markets gives him a special perspective that is complimented by his easy presentation style. \nDaniel’s success and unique approach has garnered media coverage from Forbes Magazine\, CNBC\, Bravo TV\, bankrate.com\, Dow Jones Newswire\, Senior Market Advisor\, multiple trade publications\, and other financial market news outlets. McGraw-Hill published two of his book outlining his approach (Wise Money: Minimizing Your Risk and Increasing Your Control & How to Keep and Grow Your Retirement Assets). He speaks frequently at industry conferences and is often quoted as an expert on various investments. \nMr. Wildermuth earned an MBA in Finance from Anderson School at UCLA and a BS in Engineering from Stanford University. Daniel lives with his wife\, Carol\, and their two children\, Alexis and Jared\, in Ponte Vedra Beach\, FL.Close×\n \nSpeaker Bio:\nChuck Jaffe is a syndicated financial columnist and the host of “Money Life with Chuck Jaffe\,” a one-hour weekday financial talk show (moneylifeshow.com). \nChuck’s work has been syndicated since 1995\, first while based at the Boston Globe and then from MarketWatch.com; he also writes for the Wall Street Journal and elsewhere. A past president of the Society of American Business Editors &and Writers\, Chuck has been a frequent guest on CNBC\, Nightly Business Report\, Fox Business News\, National Public Radio and more\, and is the author of three books: “Getting Started In Finding a Financial Advisor\,” “The Right Way to Hire Financial Help” and “Chuck Jaffe’s Lifetime Guide to Mutual Funds.” \nIn what is jokingly referred to as “spare time\,” Chuck is very involved in the sport of lacrosse as a broadcaster\, referee\, coach\, league owner and player. He lives on Boston’s South Shore with a golden retriever who sleeps under the desk while Chuck is working and whose flatulence issues sometimes explain Chuck’s demeanor. \nYou can follow him on Twitter @ChuckJaffe\, @MoneyLifeShow and\, depending on your sporting interests\, @BostonBoxLax. \nWebsite: https://www.moneylifeshow.com\nEmail: itschuckjaffe@gmail.com\nPhone: 781-383-6688Close×\n \nSpeaker Bio:\nMr. Sifford joined the firm in 2018 and currently serves as Managing Director and Private Sustainable Infrastructure Team Lead. Mr. Sifford oversees and manages the Social Impact Platform and serves on the Social Impact Investment Committee. Since joining\, Mr. Sifford has assisted the Social Impact platform in growing AUM to over $500 Million and becoming a reputable financier in Education\, Healthcare\, and Sustainable Project Finance. Prior to joining the firm\, Mr. Sifford served as Vice President of the Education Investment Group at EPR Properties\, pursuing the development and acquisition of education-based real estate across the country. With over 20 years of real estate experience\, Mr. Sifford helped make EPR Properties one of the largest owners of public charter schools in the U.S. and a recognized leader in the financing of educational facilities. In his time at EPR Properties\, Mr. Sifford grew the company’s total investments in their Education portfolio by more than $1 billion. Prior to joining EPR Properties\, Mr. Sifford served as a Senior Vice President at PNC Real Estate Finance. During his tenure at PNC\, Mr. Sifford contributed to over $4 billion in loan origination and debt restructuring. Mr. Sifford holds an M.B.A in Finance and Strategy from Vanderbilt University and a B.A. in both Business Administration and Sports Science from the University of Richmond.Close×\n \nFirm Bio:\nAres Management Corporation (NYSE: ARES) is a publicly traded\, global alternative investment manager with approximately $282 billion of assets under management[1] (“AUM”). Ares has approximately 2\,060[2] employees in over 30 global offices across North America\, Europe\, Asia Pacific and the Middle East[3]. Ares operates integrated businesses across Credit\, Private Equity\, Real Estate\, Secondary Solutions and Strategic Initiatives. Ares was built upon the fundamental principle that each group benefits from being part of the broader platform. Ares believes the synergies resulting from collaboration across the Ares Credit platform provide its professionals with more informed decision making as a result of shared industry expertise\, management relationships\, and market insights\, access to significant deal flow and a broader opportunity set\, and the ability to assess relative value. Since our inception in 1997\, we have adhered to a disciplined investment philosophy that focuses on delivering attractive risk-adjusted investment returns through market cycles. We strive to maintain a consistent and credit-quality focused approach targeting well-structured investments in franchise businesses and real estate assets. \nSpeaker Bio:\nMr. Margolies is a Partner in the Ares Credit Group and is Vice President of CION Ares Diversified Credit Fund. Additionally\, Mr. Margolies serves as a member of the Ares Credit Group’s Alternative Credit Investment Committee\, the Ares Dynamic Credit Allocation Fund Investment Committee and the Ares Private Equity Group’s Special Opportunities Investment Committee. Prior to joining Ares in 2009\, Mr. Margolies served as a Managing Director and Global Head of Leveraged Finance and Capital Commitments at Merrill Lynch & Co. and was a member of the Executive Committee for Merrill Lynch’s Global Investment Banking Group. Previously\, Mr. Margolies was Co-Head of the DB Capital Mezzanine Fund. Mr. Margolies serves on the Board of Directors for the International Organization for Women and Development\, the Advisory Council for University of Michigan’s Life Science Institute and the Board of Trustees for The Juilliard School. Mr. Margolies holds a B.A. from the University of Michigan in International Economics and Finance and an M.B.A. from the University of Pennsylvania Wharton School of Business.Close×\n \nFirm bio:\nCliffwater LLC is an independent investment adviser and asset manager that provides research\, advisory\, and investment services. As a leader in alternatives\, we work with institutional investors and investment advisors across the alternative investment landscape. Whether as an adviser or a manager\, we help clients develop customized\, diversified portfolios that balance return\, volatility\, and liquidity most effectively. \nSpeaker Bio:\nAlex Condrell is a Managing Director at Cliffwater. Founded in 2004\, Cliffwater provides research and investment due diligence services across the full range of private markets and alternative investments. Cliffwater also manages over $4 billion in private credit funds. Alex joined Cliffwater in 2021.\nPrior to joining Cliffwater\, Alex was a Managing Director at Monroe Capital\, an asset management firm specializing in lower middle market direct lending. Before that\, Alex was the Chief Investment Officer at Main Street Financial\, with prior experience at Calamos Investments\, Lotsoff Capital\, Fannie Mae and Freddie Mac.\nHe earned a BA in Government from Pomona College and an MBA in Finance from Georgetown University. Alex is a CFA charterholder and also holds the CAIA designation.Close×\n\n \nFirm bio:\nDestra Capital – Founded in 2008 by long time industry executives\, Destra is a small\, family-oriented shop that is majority owned by employees with strong entrepreneurial spirit. \nLike the asset managers we partner with\, Destra is a boutique firm. We pick specific\, often inefficient areas of the market where we can differentiate\, specialize\, and add value for our clients’ portfolios. \nDestra is built as a team\, not a corporate hierarchy. We are a very flat organization that is centered around delivering compelling investment solutions and servicing the needs of our clients. \nDestra helps place unique asset management strategies into the right vehicles to address clients’ needs. Separate accounts\, mutual funds\, closed-end funds\, interval funds – all are tools that Destra uses to get the right strategies into the right vehicles to help investors and their advisors pursue the right outcomes. \nBlueBay Asset Management – BlueBay is a global specialist fixed income manager uniquely positioned at the convergence point between traditional and alternative asset managers. Headquartered in London with a strong European presence\, BlueBay invests over US$80 billion for institutional investors and financial institutions across the fixed income on a global scale\, from active benchmarked portfolios to alternative strategies and private debt. \nSpeaker Bio:\nDuncan is a Portfolio Manager for the BlueBay Destra International Event-Driven Credit Fund. In his role as PM for BlueBay\, Duncan focuses on absolute return credit strategies within BlueBay UK’s Global Leveraged Finance Group. Prior to joining BlueBay in March 2014\, Duncan amassed over 16 years’ experience in the European high yield and distressed debt markets working for several leading investment firms\, including King Street Capital Management\, where he spent four years as a senior credit analyst. Duncan holds a BA (Hons) degree in Accounting and Computing from the University of Kent and is a qualified ACA (Association of Chartered Accountants) with the Institute of Chartered Accountants in England and Wales (ICAEW).Close×\n \nFirm bio:\nGoldman Sachs & Co. LLC (GS&Co.)\, founded in 1869\, is the principal United States broker-dealer subsidiary of The Goldman Sachs Group\, Inc. In May of 1981\, GS&Co. became a registered investment adviser under the Investment Advisers Act of 1940. Goldman Sachs is organized into four business segments: (i) Investment Banking (ii) Global Markets (iii) Asset Management (iv) Consumer & Wealth management \nGoldman Sachs Asset Management\, L.P. (GSAM) a wholly owned subsidiary of The Goldman Sachs Group\, Inc. GSAM provides discretionary investment advisory services to institutional investors such as pension funds\, endowments\, foundations\, financial institutions\, corporations and governments. \nSpeaker Bio:\nCollin is global head of client portfolio management for Fundamental Equity within Goldman Sachs Asset Management (GSAM). The Fundamental Equity team manages $96B across a broad range of equity solutions on behalf of institutional and individual clients around the world. \nHe is a portfolio manager on two multi-asset income oriented portfolios; the Goldman Sachs Real Estate Diversified Income Fund which seeks to generate attractive yield\, limited volatility\, and diversification benefits versus traditional asset classes by investing in both private and listed real estate and the GS Income Builder Fund which seeks to identify attractive investments across equities and fixed income that are well suited for conservative\, income-oriented investors. \nPreviously\, he was a research analyst for the Real Estate Securities team with a focus on the office and industrial sub-sectors. \nHe joined Goldman Sachs in the Investment Management Division in 1997 and has remained there his entire career. \nCollin earned a bachelor’s degree from Amherst College. \nCollin.Bell@gs.com\n212-357-4045Close×\n \nFirm bio:\nNuveen\, the investment manager of TIAA\, offers a comprehensive range of outcome-focused investment solutions designed to secure the long-term financial goals of institutional and individual investors. Nuveen has $1.2 trillion in assets under management as of 31 March 2021 and operations in 27 countries. Its investment specialists offer deep expertise across a comprehensive range of traditional and alternative investments through a wide array of vehicles and customized strategies \nSpeaker bio:\nParth is a vice president and leads product management and development efforts for Nuveen’s closed-end fund product line. He is responsible for developing and bringing new concepts to market\, as well as overseeing the ongoing product management of existing closed-end\nfunds. \nPrior to joining Nuveen\, Parth was a senior tax consultant at Deloitte\, where he specialized in investment company taxation. \nParth graduated with a B.S. in Accountancy and Finance from the University of Illinois. He holds the Series 7 and 66 securities registrations.Close×\n \nSpeaker bio:\nVadim Avdeychik is of counsel in the Investment Management practice of Paul Hastings and is based in the firm’s New York office. Mr. Avdeychik counsels mutual funds\, closed-end funds\, exchange-traded funds (ETFs)\, business development companies (BDCs)\, hedge funds\, and their investment advisers. He routinely advises on the formation and operation of registered investment companies (including those implementing alternative investment strategies)\, alternative fund structures (including registered and unregistered master/feeder and fund-of-funds structures and BDCs)\, fund governance\, regulatory issues involving public and private funds\, and investment company status issues. Mr. Avdeychik has extensive experience assisting pre-IPO and public operating companies\, specialty finance companies\, investment banks\, financial product sponsors\, and other entities in determining their investment company status or the status of the products they sponsor\, including the ability to qualify for exemptions from the Investment Company Act\, in connection with securities offerings\, financial product launches and other transactions. He also has transactional experience concerning funds and their advisers\, including merger and acquisition transactions. \nMr. Avdeychik regularly advises clients with respect to environmental\, social and governance (ESG) investing\, including launching new investment products\, advising board of directors on ESG matters and setting up compliance programs with a focus on ESG investing. He has authored several articles on the topic and is a frequent speaker on regulatory issues dealing with ESG investing. \nCell – 6462096679Close
URL:https://dev.aicalliance.org/aica-event/intervalwintermanagerspotlight2021/
CATEGORIES:Past Events
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DTSTART;TZID=America/New_York:20220203T130000
DTEND;TZID=America/New_York:20220204T170000
DTSTAMP:20260404T174708
CREATED:20211007T081740Z
LAST-MODIFIED:20251031T174648Z
UID:18207-1643893200-1643994000@dev.aicalliance.org
SUMMARY:Passive Access to CEFs/ BDCs via ETF and UITs
DESCRIPTION:DONATESponsorsAttendee ClassificationFeedbackSponsors\n\n​ \n\n\n\n\n\n\n\nCEF Advisors & CEFData.com\nNasdaq\n\n\n\n\nAttendee Classification\n\nFeedback\n\n\nWe appreciate your feedback\n \n\n\n1:00pm to 1:15pm - Attendee Login and Networking at Virtual Tables1:15pm to 1:30pm - Welcome\nUIT and ETF Access to CEFs & BDCs\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nJohn Cole Scott\, CIO at CEF Advisors\, Founder of CEFData.com\n\n\n\n\n\n\n\n\n1:30pm to 2:15pm - Panel #1: “Opportunities for CEF and BDC Access through UITs”\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nModerator\nRandy Watts\, Co-Founder – Advis Network\nPresenters\nMatthew Bryant\, Director\, Unit Investment Trust – Guggenheim Partners\nPresenters\nKevin Mahn\, Chief Investment Officer – SmartTrust Unit Investment Trusts\nPresenters\nJoseph O’Malley\, Thematic & Specialty Strategist\, ETF & Indexed Strategies – Invesco\n\n\n\n\n\n2:15pm to 2:30pm - Networking Break2:30pm to 3:15pm - Panel #2: “Gaining Access to CEFs Through the Passive ETF Structure”\nTranscript\n Video\n\nWe will be discussing the ETF wrapper around access to CEFs and BDCs. We will be discussing the indexes that power and the specific funds: PCEF\, XMPT\, YYY\, VPC and BIZD. This will include perspective on index rebalancing and how the index methodology can change over time for these perpetual passive investment vehicles. \n\n\n\n\n\n\n\n\n\n\nModerator\n Sal Licata\, Director – ETF Global\nPresenters\nRoxanna Islam\, CFA\, Associate Director of Research – Alerian\nPresenters\nHerbert Blank\, Senior Quantitative Analyst – ValuEngine Inc\n\nPresenters\nJohn Cole Scott\, CIO – Close-End Fund Advisors\n\n\n\n\n\n\n3:15pm to 3:20pm - Event Closing Remarks3:20pm to 4:00pm - Post Event Networking with Speakers\, Sponsors\, Members and Fellow Attendees\n\nPost Event Networking with Speakers\, Sponsors\, Members and Fellow Attendees \n Video \n\n×\n \nSpeaker Bio:\nMr. Scott has worked at Closed-End Fund Advisors since 2001. He holds the FINRA 66 License and the Certified Fund Specialist designation (CFS). He is a graduate of The College of William and Mary and has been quoted and interviewed widely in the financial press and presented at conferences and for investment groups on more than 50 occasions. \nIn 2008 John founded CEFA’s Closed-End Fund Universe\, a data service covering all US listed closed-end funds and BDCs. Currently supported by an internal 10 member analyst team with a data manager/ programmer covering the 600+ ticker universe of CEFs/BDCs/iCEFs. They regularly do consulting and projects for CEF/BDC Sponsors\, Hedge Funds and Institutional Investors. \nPortfolio Consultant with over $300MM+ in deposits into a fund focused on BDCs with a fund sponsor partner. He developed 35 CEF/BDC based indexes; 9 diversified portfolio objective\, 9Equity and 15 Bond sector. Founder & Exec. Chairman of Active Investment Company Alliance(AICA). John is a past board member of The Richmond Association for Business Economics(RABE)\, and serves as Assistant Treasurer and on the Investment Committee for The New YorkState Society of The Cincinnati. Board member and Finance & InvestmentCommittees for The William & Mary NationalAlumni BoardClose×\n\n\nAssociate Director of Research\nRoxanna Islam is Associate Director of Research for Alerian S-Network Global Indexes. She has 10+ years of experience in research and product management in the financial services industry. In her current role\, Islam assists the research team in creating timely and relevant research with a focus on thematics and income.\nPreviously\, Islam was a Senior Equity Research Associate at Stifel in the freight transportation\, logistics\, and electric vehicle sectors. She was also a Research Associate at Wells Fargo\, where she researched closed-end funds and exchange-traded products. She also held other research and product management roles at Wells Fargo. Islam holds a Bachelor of Business Administration in Finance and a Bachelor of Arts in Plan II Honors from the University of Texas at Austin. She is a CFA charterholder.\n\n\n\nAlerian is a leading independent index provider focused on building innovative\, index-based investment strategies. Alerian acquired S-Network Global Indexes in 2020\, expanding the firm’s index offerings and services to partners. Combined\, the firm serves the global investment community through indexing\, benchmarking\, and calculation services. Built on a foundation of data rigor and specialty research\, Alerian S-Network Global Indexes offer a comprehensive family of energy\, income\, and thematic indexes. Today\, the firm has over $23 billion in total assets benchmarked to its indexes and over 200 customers worldwide.\n\nClose×\n \nSpeaker Bio:\nKevin Mahn is the President and Chief Investment Officer of Hennion & Walsh Asset Management. Mr. Mahn is responsible for the Wealth and Asset Management products and services offered at the Firm including the SmartTrust® platform of Unit Investment Trusts (UITs). Mr. Mahn also was the Portfolio Manager of the SmartGrowth® family of Mutual Funds. \nMr. Mahn is the author of the quarterly “CEF and ETF Insights” and “Market Outlook” newsletters as well as a co-author of the book\, Exchange Traded Funds: Conceptual and Practical Investment Approaches\, © 2009 Riskbooks. Articles written by Mr. Mahn have been published in The Journal of Investing and The Journal of Index Investing. Mr. Mahn is a contributor to Forbes\, Talk Markets and Seeking Alpha. \nPrior to Hennion & Walsh\, Mr. Mahn was a Senior Vice President at Lehman Brothers where he held several senior management positions\, including CAO of the High Net Worth Product and Services group within Lehman’s Wealth and Asset Management division as well as COO of Lehman Brothers Bank. \nMr. Mahn received his Bachelor’s degree in Business Administration from Muhlenberg College and his M.B.A. in Finance from Fairleigh Dickinson University (FDU). Mr. Mahn has also served as an adjunct professor at FDU within the Department of Economics\, Finance and International Business. In 2015\, Mr. Mahn received the “50 Under 50” award from the Silberman College of Business at FDU. \nMr. Mahn currently serves on the Board of Directors of NICSA and was formerly a Co-Chair of the NICSA UIT Industry Committee\, winning the 2014 and 2016 NICSA MVP Awards for his accomplishments in that role. Kevin also won the Rising Stars of Mutual Funds Award from Institutional Investor in 2009. \nMr. Mahn has appeared in/on CBS News\, Fox News\, CNBC\, Fox Business News\, Wall Street Journal\, Investor’s Business Daily\, Fortune\, Forbes\, New York Times\, Financial Times\, USA Today\, Bloomberg\, Reuters\, Nasdaq and Yahoo! Finance.Close×\nSpeaker Bio:\nHerb Blank is Senior Quantitative Strategist and Chief Blogger for ValuEngine\, a leading provider of quantitative reports and analysis for US Equities for more than 24 years. Herb’s articles also appear in ReseachGate and on Linked-In where he is in the top 1% of influencers In the financial industry; he has more than 15\,000 followers there. During the past 35 years Herb has been involved in quantitative risk management\, ESG modeling\, ETF product development\, portfolio management\, product strategy\, and business development. \nAdditionally\, Herb heads the Product Strategy consultancy at Global Finesse LLC\, a 10-year consulting firm serving the FinTech and investment industries. He provides ESG\, ETF\, enhanced indexing and alternative data expertise and has authored three studies for DTCC Kinetics products. \nHerb was the first portfolio manager of ETFs in the US\, managing nine ETFs for Deutsche Bank Securities in 1996. He also assisted in the launches of iShares for Barclays Global Investors (now part of BlackRock) and GLD for the World Gold Council. \nOther industry achievements include serving as product manager for ESG and Structured Solutions for S-Network Global Indexes. Since managing the Fidelity Social Principles Fund in 1987\, Herb has been involved in what ESG investments for more than 30 years and provided onsite Social Research quantitative modeling services for the Calvert Investments Social Research Group. He also created industry-specific ESG models for 5\,000 companies covered by Thomson Reuters Asset4 and co-authored “Best Practices in ESG Investing” article published in Journal of Investing. \nHerb is a frequently published author in investment journals. He holds an MBA from NYU Stern and a BA in Mathematics from the University of Pennsylvania.Close×\n\nFirm Bio:\nGuggenheim Investments is the global asset management and investment advisory division of Guggenheim Partners and has more than $271 billion* in total assets across fixed income\, equity and alternative strategies. \nWe focus on the return and risk needs of insurance companies\, corporate and public pension funds\, sovereign wealth funds\, endowments and foundations\, wealth managers and high net worth investors. We have a track record of delivering results through innovative solutions. \nOur history stems from Guggenheim Brothers\, the Guggenheim family business dating back to the late 1800s. Guggenheim Partners began with the mission of creating exceptional value for our clients by applying the principles that made the Guggenheim family one of the most successful innovators\, investors\, and business managers in American history. \nWe engage highly talented people\, challenge them to think creatively\, and encourage them to achieve extraordinarily high standards in their fields of expertise. \nSpeaker Bio:\nMatt Bryant has been a member of the Guggenheim Partners UIT portfolio construction and management team for over ten years. Prior to joining Guggenheim\, Matt worked for six years for Smith Barney where he analyzed professional equity and fixed income money managers. His most recent responsibilities at GP has been the comprehensive analysis\, selection\, monitoring and supervision of closed-end funds for Guggenheim Funds’ UIT of closed-end fund portfolios. In addition\, he has managed a sleeve of closed-end funds in one of Guggenheim’s mutual funds (Diversified Income Fund). He also has provided research support and commentary concerning closed-end funds to Guggenheim Funds’ sales team. Alongside his closed-end fund duties\, Matt also covers the Energy and MLP equity sectors and selects securities for said sectors in domestic UITs. Matt received a BS degree in Economics and English from Boston College and an MBA from The University of Chicago Booth School of Business with concentrations in Finance and Accounting. Matt holds Series 7\, 63 and 65 registrations. Close×\nAdvis Network\nFirm Bio:\nAdvis Network is a financial technology company that focuses on developing wealth tech solutions for the asset management and wealth management industries. \nSpeaker Bio:\nRandy Watts is currently a Co-Founder of the Advis Network. Prior to founding the Advis Network\, Randy founded UIT Investing\, the first dedicated research and data platform for the unit investment trust (UIT) market\, which was acquired by Nasdaq in 2019. Randy continued to operate the platform under the Nasdaq brand through 2021. \nRandy has a track record of over 20 years in the financial services industry\, with much of his career in the UIT market. Prior to founding UIT Investing\, he has held multiple positions at both large and small sponsor firms\, including Van Kampen Investments\, Matrix Capital Group\, Incapital\, and Nuveen Investments. Recognized as a UIT industry expert\, Randy has deep expertise in both the management level and operational details of the UIT business. He has spent time working in UIT distribution\, product development\, compliance\, trading\, and portfolio administration. \nRandy is a regular speaker at UIT industry events\, trusted UIT industry consultant\, and innovator of the UIT Industry. \nHe earned a B.S. in Economics from the University of Illinois at Urbana-Champaign and an M.B.A. in Finance from the University of Illinois at Chicago.Close×\n \nFirm Bio:\nETF Global® (ETFG®) is a leading\, independent provider of data\, research\, investment decision support applications\, proprietary risk analytics and investment models for Exchange-Traded-Products. The ETFG research platform\, which is driven by the ETFG Multi-Factor\, Quantitative Model (ETFG Quant)\, supports the overall investment process with a variety of strategies and applications to pursue return\, manage risk\, utilize investment analysis and generate investment ideas. \nFounded in 2011\, the firm is headquartered in New York and also maintains offices in Pittsburgh\, Toronto and London. More information about ETF Global and our services\, applications and products is available throughout our site at www.etfg.com. \nSpeaker Bio:\nSal Licata is Director of Business Development for ETF Global. In this role\, Sal is responsible for establishing the overarching strategic direction of the firm’s sales effort and inevitably fulfilling upon this vision. \nSince joining the firm in 2016\, Sal has been integral to the growth and development of the company’s ETF reference data business. During his tenure\, ETFG has significantly expanded both its geographic data coverage\, as well as\, the datasets the firm offers. Sal has cultivated key partnerships with asset managers worldwide to ensure that ETF Global’s data offering continues to reflect direct sourcing and the requisite quality to which our clients have become accustomed. \nSal works from the company’s New York office and holds a Bachelor of Arts from Hunter College.Close×\n \nFirm Bio:\nInvesco is an independent investment management firm dedicated to delivering an investment experience that helps people get more out of life. We are privileged to manage $1\,610.9 billion in assets on behalf of clients worldwide as of Dec. 31\, 2021. We have specialized investment teams managing investments across a comprehensive range of asset classes\, investment styles and geographies. Invesco has over 8\,000 employees focused on client needs across the globe\, with an on-the-ground presence in 25 countries. \nInvesco is a leading sponsor in the Unit Trust market\, launching its first Unit Trust more than 40 years ago. Since that time\, we have deposited more than $207 billion in total issuance. Today\, we offer over 60 Equity and Fixed Income product offerings\, with a track record of bringing timely trusts to market backed by a disciplined investment process. Our investment research and portfolio management team averages 23 years of industry experience and has navigated through multiple equity market cycles. \nSpeaker Bio:\nJoe O’Malley is a Thematic & Specialty Strategist at Invesco. In this role\, Joe covers the entire UIT product lineup as well as Invesco’s thematic and specialty ETFs. He previously served as a Product Strategy & Development Specialist for Invesco Unit Trusts. Prior to that role\, he served as a Business Development Specialist for Invesco Unit Trust. He has been with the firm for 15 years\, having joined the firm as a Unit Investment Trust Syndicate and Trading Specialist.Close
URL:https://dev.aicalliance.org/aica-event/passiveaccesstocefs-bdcsviaetfanduits/
CATEGORIES:Past Events
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DTSTART;TZID=America/New_York:20220315T130000
DTEND;TZID=America/New_York:20220316T170000
DTSTAMP:20260404T174708
CREATED:20220218T171532Z
LAST-MODIFIED:20251031T174915Z
UID:20063-1647349200-1647450000@dev.aicalliance.org
SUMMARY:AICA Spring Closed-End Fund Roundtable
DESCRIPTION:AICA is hosting a timely event focused on four fund groups with favorable tax considerations for investors that prioritize after-tax income. The event will feature a variety of high-quality speakers across two days of presentations.The panels will discuss a variety of highly-relevant topics for investors given current uncertainty regarding changes in taxation\, the interest rate environment\, credit quality\, and the general macro situation. The concept of return of capital (RoC) will be explored in-depth\, including how it can potentially benefit income investors\, particularly in relation to covered call and energy funds. There will also be an introductory presentation by John Cole Scott\, CIO of Closed-End Fund Advisors and the founder of AICA\, that will outline his approach to building high after-tax income portfolios for investors and advisors. \n\nDONATESponsorsAttendee ClassificationFeedbackSponsors\n\n\n\n\n\n\n\n\n\nCEF Advisors & CEFData.com\nNasdaq\nCAIA Association\n\n\n\n\nAttendee Classification\n\nFeedback\n\n\nWe appreciate your feedback\n \n\n\nDay One: March 15th1:00pm to 1:15pm - Attendee Login and Networking at Virtual Tables1:15pm to 1:30pm - Welcome\nIntro Slides\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nJohn Cole Scott\,CIO at CEF Advisors\,\nFounder of CEFData.com\n\n\n\n\n\n\n\n\n1:30pm to 2:20pm - Panel #1: Fireside chat Accessing Crypto at a Discount\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nPresenters\nDavid LaValle\, Managing Director\, Global Head of ETFs – Grayscale Investments\nPresenters\nMarc Loughlin\, Director CEF & ETF Trading Solutions -WallachBeth\n\n\n\n\n\n\n\n2:20pm to 2:30pm - Networking Break2:30pm to 3:20pm - Panel #2: Real Asset Funds as Inflation Hedges\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nModerator\nRob Watson\, Partner & Head of Investments – Destra Capital\nPresenters\nLarry Antonatos\, Managing Director\, Portfolio Manager – Real Asset Solutions\, Brookfield\n Presenters\nScott Carson\, CFA \, Director – Portfolio Manager  – Principal\n\n\n\n\n\n\n\n2:20pm to 2:30pm - Networking Break3:30pm to 4:20pm - Panel #3: High Yield Income in Volatile Times\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nModerator\nChuck Jaffe\, Host – Moneylife\nPresenters\nGretchen Lam\, Portfolio Manager XFLT – Octagon \n Presenters\nBryan Lazarus\, Vice President Product Strategy Group – PIMCO\n PresentersErlend Lochen\, Head of North American Fixed Income and Global High Yield – abrdn\n\n\n\n\n\n4:20pm to 4:25pm - Event Closing Remarks4:25pm to 5:00pm - Post Event Networking with Speakers\, Sponsors\, Members and Fellow AttendeesDay Two: March 16th1:00pm to 1:15pm - Attendee Login and Networking at Virtual Tables1:15pm to 1:30pm - Welcome\nIntro Slides\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nJohn Cole Scott with “Educational Session”\n\n\n\n\n\n\n\n\n1:30pm - 2:20pm Panel #1: Higher Quality Taxable Fixed Income\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nPresenters\nRoxanna Islam\, CFA\, Associate Director of Research – Alerian\nPresenters\nSamantha Milner\, Portfolio Manager ARDC\n– Ares\nPresenters\nPaul Blomgren\, Client Portfolio Manager – Nuveen \nPresenters\nCheryl Pate\, Portfolio Manager – Angel Oak\n\n\n\n\n\n2:30pm to 3:20pm - Panel #2: Multi-Asset Balanced Funds: Diversifying Your Way Through Uncertainty\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nModerator\nMichael Spatacco\, Director\, Cash Management – BanCroft Capital\nPresenters\nMatt Burdett\, Portfolio Manager and Managing Director – Thornburg\n\n\n\n\n\n\n\n3:30pm to 4:20pm - Panel #3: Institutional Investment Strategies to Navigate Through Market Storms\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nModerator\nJohn Cole Scott – AICA’s Founder & Executive Chairman\nPresenters\nMarc Lourghlin \nPresenters\nStephen O’Neill\, Portfolio Manager – RiverNorth\nPresenters\nKen Fincher\, Senior Vice President\, Portfolio Manager – First Trust Portfolios\nPresenters\nRob Shaker\, Portfolio Manager – Shaker Financial Services\n\n\n\n\n4:20pm to 4:25pm - Event Closing Remarks4:25pm to 5:00pm - Post Event Networking with Speakers\, Sponsors\, Members and Fellow Attendees×\n \nSpeaker Bio: \nSamantha Milner Bio: \nMs. Milner is a Partner\, Portfolio Manager and Head of U.S. Liquid Credit Research in the Ares Credit Group\, where she is primarily responsible for managing Ares’ U.S. bank loan credit strategies. Ms. Milner serves as a Vice President and one of four Portfolio Managers for the Ares Dynamic Credit Allocation Fund\, Inc. (NYSE:ARDC). Additionally\, she serves as a member of the Ares Credit Group’s U.S. Liquid Credit Investment Committee and the Ares Dynamic Credit Allocation Fund Investment Committee. She also serves on the Ares Diversity\, Equity and Inclusion Council. Prior to joining Ares in 2004\, Ms. Milner was an Associate in the Financial Restructuring Group at Houlihan Lokey Howard & Zukin\, where she focused on providing advisory services in connection with restructurings\, distressed mergers and acquisitions and private placements. Ms. Milner serves on the Board of Directors of STEAM:CODERS\, a not-for-profit organization focused on underrepresented and underserved students through Science\, Technology\, Engineering\, Art\, and Math (STEAM)\, in preparation for academic and career opportunities. Ms. Milner holds a B.B.A.\, with distinction\, from Emory University’s Goizueta Business School in Finance and Accounting. \n\nAbout Ares Dynamic Credit Allocation Fund\, Inc. \nAres Dynamic Credit Allocation Fund\, Inc. (“ARDC”) is a closed-end management company that is externally managed by Ares Capital Management II LLC\, a subsidiary of Ares Management Corporation. ARDC seeks to provide an attractive level of total return primarily through current income and\, secondarily\, through capital appreciation.  ARDC invests in a broad\, dynamically-managed portfolio of credit investments. ARDC’s net asset value may be accessed through its NASDAQ ticker symbol\, XADCX. Additional information is available at http://www.arespublicfunds.com. \nAbout Ares Management Corporation \nAres Management Corporation (NYSE: ARES) is a leading global alternative investment manager offering clients complementary primary and secondary investment solutions across the credit\, private equity\, real estate and infrastructure asset classes. We seek to provide flexible capital to support businesses and create value for our stakeholders and within our communities. By collaborating across our investment groups\, we aim to generate consistent and attractive investment returns throughout market cycles. As of December 31\, 2021\, Ares Management Corporation’s global platform had approximately $306 billion of assets under management\, with approximately 2\,100 employees operating across North America\, Europe\, Asia Pacific and the Middle East. For more information\, please visit http://www.aresmgmt.com. \nClose×\n \nMr. Scott has worked at Closed-End Fund Advisors since 2001. He holds the FINRA 66 License and the Certified Fund Specialist designation (CFS). He is a graduate of The College of William and Mary and has been quoted and interviewed widely in the financial press and presented at conferences and for investment groups on more than 50 occasions. \nIn 2008 John founded CEFA’s Closed-End Fund Universe\, a data service covering all US listed closed-end funds and BDCs. Currently supported by an internal 10 member analyst team with a data manager/ programmer covering the 600+ ticker universe of CEFs/BDCs/iCEFs. They regularly do consulting and projects for CEF/BDC Sponsors\, Hedge Funds and Institutional Investors. \nPortfolio Consultant with over $300MM+ in deposits into a fund focused on BDCs with a fund sponsor partner. He developed 35 CEF/BDC based indexes; 9 diversified portfolio objective\, 9Equity and 15 Bond sector. Founder & Exec. Chairman of Active Investment Company Alliance(AICA). John is a past board member of The Richmond Association for Business Economics(RABE)\, and serves as Assistant Treasurer and on the Investment Committee for The New YorkState Society of The Cincinnati. Board member and Finance & InvestmentCommittees for The William & Mary NationalAlumni Board \nClose×\n \nSpeaker Bio:\n \nGretchen Lam\, Senior Portfolio Manager. Ms. Lam is a member of Octagon’s Investment Committee and serves as a Portfolio Manager across CLOs\, Separately Managed Accounts and Commingled Funds. Ms. Lam oversees the Firm’s Structured Credit (CLO debt & equity) investment strategies. Ms. Lam is a member of the Octagon & Conning’s Global DEI (diversity\, equity and inclusion) Council and a member of the Firm’s ESG (environmental\, social\, and corporate governance) Committee. \nPrior to becoming a Portfolio Manager\, Ms. Lam oversaw Octagon’s investments in the software\, business services\, finance & insurance\, paper & packaging\, gaming & lodging\, homebuilding and real estate industries. She was also responsible for the structured credit exposure held in Octagon’s CLO vehicles. Prior to joining Octagon in 1999\, Ms. Lam attended Babson College where she graduated Summa Cum Laude with a B.S. in Investments. She received her CFA Charter in 2006. \nOctagon is a 25+ year old\, $30.6B below-investment grade corporate credit investment adviser focused on leveraged loan\, high yield bond and structured credit (CLO debt and equity) investments. Through fundamental credit analysis and active portfolio management\, Octagon’s investment team identifies attractive relative value opportunities across below-investment grade asset classes\, sectors and issuers. Octagon’s investment philosophy and methodology encourage and rely upon dynamic internal communication to manage portfolio risk. Over its history\, the firm has applied a disciplined\, repeatable and scalable approach in its effort to generate attractive risk-adjusted returns for its investors. For more information\, please visit www.octagoncredit.com. \nClose×\n \nSteve O’Neill\, CFA\nPortfolio Manager\nSteve joined RiverNorth in 2007 and serves as Portfolio Manager. Steve co-manages the firm’s closed-end fund trading strategies. Prior to joining RiverNorth\, Steve was Assistant Vice President at Bank of America in the Global Investment Bank’s Portfolio Management group where he specialized in the corporate real estate\, asset management and structured finance industries.\nSteve graduated Magna Cum Laude from Miami University of Ohio with a B.S. in Finance and a minor in Economics. He is a CFA Charterholder and member of the CFA Institute and the CFA Society of Chicago.\nAbout RiverNorth\nRiverNorth Capital Management\, LLC is an investment management firm founded in 2000. With approximately $5.8 billion in assets under management as of December 31\, 2021\, RiverNorth specializes in opportunistic investment strategies in niche markets where the potential to exploit inefficiencies is greatest. RiverNorth is the investment manager to multiple registered and private funds. \nClose×\n \nSpeaker Bio:\nMike Taggart\, CFA is the founder and CEO of Taggart Fund Intelligence. Previously\, he worked in the closed-end fund group at Nuveen\, and before that he was the head of U.S. closed-end fund research at Morningstar. He has spent nearly half his career covering closed-end funds.Close×\nAs an institutionally focused asset manager\, MacKay Shields specializes in fixed income credit and less efficient segments of global equity markets where proprietary research can generate attractive client oriented outcomes. We manage 162 billion USD in AUM* across independent portfolio management teams: MacKay Municipal ManagersTM\, Global Credit\, Global Fixed Income\, High Yield\, Convertibles and Fundamental Equity. \nMacKay Municipal ManagersTM manages $76 billion* in various tailored client strategies including closed end funds\, open-end mutual funds\, limited partnership funds and for investors such as insurance companies and pension funds. Portfolios are managed by a team of portfolio managers and analysts with an average of more than 20 years of investment experience. The team’s tenure\, skill and proficiency enables it to take advantage of market inefficiencies in order to build a yield advantage while seeking attractive total returns through fundamental\, in-depth credit research. \n* All figures as of 6/30/21 \nSpeaker Bio:\nJohn joined MacKay Shields in 2016. Before joining the firm he was Vice President Equity Sales at Deutsche Bank and was previously at Bank of America Merrill Lynch. From 1997-2011\, he was a senior trader on the floor of the New York Stock Exchange. John has a broad and diverse set of skills in sales\, trading\, and electronic trading platforms. He earned a Bachelor’s degree in Finance from Lehigh University. John graduated college in 1997. He has been in the financial services industry since 1997.Close×\n \nSpeaker Bio:\nStephen is a portfolio manager for the municipal fixed income team at Nuveen. \nStephen started working in the investment industry in 1996 when he joined the firm’s unit trust division. Prior to his current role\, he was a vice president and senior research analyst specializing in high yield sectors including land secured credits\, project finance and housing. Stephen was also an assistant vice president for Nuveen’s global structured products team beginning in 2005. He also served as the manager of the fixed income unit trust product management and pricing group starting in 2001 and prior to that held positions as an equity research analyst and fixed income pricing analyst. \nStephen graduated with a B.S. in Finance from Miami University and an M.B.A.\, with honors and Beta Gamma Sigma\, in Finance from the University of Illinois at Chicago. He holds the CFA designation and is a member of the CFA Institute and the CFA Society of Chicago.Close×\n \nSpeaker Bio:\nBrenda is a portfolio manager for Nuveen’s global fixed income team and a member of the preferred securities sector team. She is the co-manager of the Preferred Securities and Income strategy. She joined the preferred securities sector team in 2011. Brenda has been a co-manager for the Real Asset Income strategy since 2015\, which invests in income generating debt and equity securities from both the real estate and infrastructure segments. In 2020 she became co-manager of the Credit Income strategy. \nPrior to her portfolio management roles\, Brenda was a member of the high-grade credit sector team\, responsible for trading corporate bonds. Previously\, she was a member of the securitized debt sector team\, trading mortgage-backed securities\, asset-backed securities and commercial mortgage-backed securities. \nBrenda graduated with a B.B.A. in Finance and International Business from the University of Wisconsin-Madison. She also holds the CFA designation and is a member of the CFA Society of Chicago and the CFA Institute.Close×\nFlaherty & Crumrine Incorporated specializes in the management of preferred and related securities. It has focused on preferred and income securities portfolios for institutional clients and investment funds since its inception in 1983. \nFlaherty & Crumrine is an independent investment adviser with a dedicated credit research team that performs comprehensive analysis of the risks faced by preferred and subordinated securities holders. Specializing helps in capitalizing on the relative inefficiencies in this market. With only a relatively small number of institutional portfolios and 8 public funds (the five Flaherty & Crumrine closed-end funds\, a sub-advised mutual fund\, a Canadian closed-end investment trust and a Canadian ETF)\, Flaherty & Crumrine is able to offer customized portfolio strategies to best meet that client’s particular investment objectives\, risk tolerances\, tax position and time horizon. \nSpeaker Bio:\nMr. Chadwick has managed preferred securities at Flaherty & Crumrine since 1999 and is a member of the firm’s portfolio management team. As one of the firm’s traders\, he shares responsibility for implementing investment strategies. Mr. Chadwick is also involved in the development of tools for managing the portfolios and developing firm-wide systems. Together with Mr. Conwell and Mr. Stone\, he serves on the firm’s board of directors and is a member of the executive management committee. He also serves as Chairman of the Board\, Chief Executive Officer\, and a Director of the Flaherty & Crumrine closed-end funds. \nPrior to joining Flaherty & Crumrine in 1999\, he worked at Koch Industries Inc. where he was responsible for managing sizable portfolios of both preferred securities and corporate bonds. He was also responsible for developing analytical tools used in the management of the portfolios\, and providing fundamental research on a broad range of credits.Close×\n \nSpeaker Bio:\nMr. Sallee joined the firm in 2005 and is an Executive Committee member and a member of the Tortoise Development Committee and serves as President of the Tortoise platform. He oversees Tortoise’s energy investment team and Tortoise/Ecofin co-managed energy products. Mr. Sallee serves as president of the Tortoise Energy Infrastructure Corp. and Tortoise Midstream Energy Fund\, Inc. closed-end funds\, and is a member of the Investment Committee. He has more than 21 years of industry experience and regularly speaks on national media (CNBC). Previously\, he served for five years as a senior financial analyst with Aquila\, Inc.\, where he was responsible for analysis of capital allocation at the firm’s communications infrastructure subsidiary\, Everest Connections. Mr. Sallee graduated magna cum laude from the University of Missouri with a degree in business administration. He is a CFA® charterholder. \nhttps://tortoiseecofin.com/\nTortoiseEcofin focuses on essential assets – those assets and services that are indispensable to the economy and society. TortoiseEcofin brings together strong legacies from Tortoise\, with expertise investing across the energy value chain for more than 20 years\, and from Ecofin\, which unites ecology and finance and has roots back to the early 1990s. We strive to make a positive impact on clients and communities by investing in energy infrastructure and the transition to cleaner energy and by providing capital for social impact projects focused on education and seniors housing.Close×\n \n\n Bancroft Capital is service-disabled veteran-owned broker dealer specializing in Capital Markets\, Debt and Equity syndication and Cash Management services to corporations\, asset managers\, and investors.\nMichael J. Spatacco is Director of Cash Management for Bancroft Capital\, where he is a founding partner. Michael helps clients find solutions for their short term liquidity needs and has a long term passion for Closed-End Funds. \nClose×\nInvestment Philosophy\nWe believe in long-term\, fundamental value investing. This has been the central tenet of our philosophy since the Firm’s inception. We believe that diversified portfolios offer investors greater return opportunities and improved risk haracteristics. We focus our efforts on identifying investment opportunities across all sectors of the global fixed-income market and across the credit spectrum. We believe that active management is critical to realizing these opportunities. \nInvestment Management Process\nWestern Asset actively allocates capital across fixed-income markets based on our teams’ view of both absolute and relative value. This process is driven by both top-down macro insights and intensive\, bottom-up fundamental analysis. Western Asset’s Global Investment Strategy and U.S. Broad Strategy Committees establish the top-down macro themes. Sector teams are then responsible for bottom-up research of issuers\, selection of individual securities\, and the determination of relative value within and across their respective sectors. Our Risk Management Team continuously analyzes our exposures and provides feedback to our portfolio management team on risk concentrations\, scenario analysis\, and correlations. \nTeam-Based Approach\nOur investment team consists of 129 members made up of experienced portfolio managers\, dedicated research analysts and traders with an average industry experience of over 23 years. Western Asset has investment professionals located in seven offices around the globe who lend global insights and local perspectives to our team-based investment management process. \nIntegrated Risk Management\nRisk management is an integral part of Western Asset’s investment management process. As an active fixed-income manager\, we position our portfolios to take risk that is consistent with clients’ risk targets and investment guidelines. Western Asset’s independent Risk Management Team is comprised of 41 professionals who work in partnership with our Investment Management Team to analyze and assess risk and report into the CEO. The investment management team reports into the CIO. The two teams collaboratively assess portfolio risks in a variety of market scenarios utilizing both industry standards and proprietary metrics to maximize risk-adjusted returns \n\nSpeaker Bio:\nRobert Amodeo is Head of Municipals at Western Asset Management Company\, LLC and has 34 years of investment experience. Mr. Amodeo began his career at The Bank of New York but soon thereafter joined Salomon Brothers Inc.\, where he was responsible for analyzing various private investment partnerships\, including venture-capital\, oil-and-gas\, and real-estate\, equity and bond portfolios. In 1992\, Robert joined Salomon Brothers Asset Management where his role evolved into managing director\, head of the municipal bond investment team and he worked with Salomon’s Yield Book department to adapt advanced technology for municipal bond and tax-efficient portfolio management. Since 2005\, Robert has been part of Western Asset’s municipal bond investment team and is the sector head of that group. \nMr. Amodeo holds a Bachelor’s degree from Long Island University and a Master of Public Administration\, Advanced Management and Finance from Columbia University. He holds the Chartered Financial Analyst designation and has written various articles regarding the public finance market.Close×\nParametric partners with advisors to build portfolios focused on what’s important to them and their clients. A leader in custom solutions for more than 30 years\, we help investors access efficient market exposures\, solve implementation challenges\, and design multi-asset portfolios that respond to their evolving needs. Headquartered in Seattle\, Parametric has offices in Minneapolis\, New York City\, Boston\, and Westport\, Connecticut. For more information\, visit parametricportfolio.com. \n\nSpeaker Bio:\nMark is responsible for supporting the continued investment success of Parametric’s systematic income product suite—with focus on dividend income and enhanced income strategies. Prior to joining Parametric in 2019\, he spent seven years with US Bank’s Asset Management Group as a vice president in equity portfolio management covering domestic large-cap securities. Mark is also a firefighter for the city of Plymouth\, Minnesota. He earned an MBA from the Kelley School of Business at Indiana University and a BS in finance/information systems from Iowa State University.Close×\nDedicated to the pursuit of excellence in everything we do\, Cohen & Steers is the leading global investment manager specializing in real assets and alternative income\, focused on delivering diversification\, alpha and income. \nOur teams are relentless in their drive to provide superior investment solutions and passionate about constantly innovating to meet the needs of clients today and anticipate their challenges of tomorrow. \nWe believe accessing investment opportunities around the world requires local knowledge and insight into specialized and regional markets. Cohen & Steers maintains a global presence through the following offices: New York\, London\, Dublin\, Hong Kong and Tokyo. \n\nSpeaker Bio:\nBrian Cordes\, CAIA\, Senior Vice President\, is the head of Cohen & Steers’ Portfolio Specialist Group\, which represents the company’s investment teams in interactions with institutional and retail clients. He has 23 years of experience. Prior to joining Cohen & Steers in 2012\, Mr. Cordes was a product manager at Columbia Management. Previously\, he was with New York Life Investment Management and Morgan Stanley Dean Witter. Mr. Cordes has a BS from Rider University and is based in New York.Close×\nAmundi US is the US investment headquarters of Amundi\, whose extensive network of investment and marketing offices throughout the world provides a global perspective as well as in-depth knowledge of local markets. Amundi\, based in Paris\, is Europe’s largest asset manager and ranks among the top 10 globally1 \, with over $2.12 trillion* of assets across six main investment hubs. \nLeveraging the benefits of our increased scope and size\, the combined expertise and investment resources across Amundi allow us to introduce new and innovative investment solutions tailored to investor needs. We benefit from the expertise of over 4\,500\nAmundi team members based in 37 countries. \n\nSpeaker Bio:\nMatt Cody is Vice President and Client Portfolio Manager at Amundi US. Based in Boston\, he is responsible for consulting clients and their advisors on the firm’s economic outlook\, current positioning\, and investment philosophy\, as well as giving updates on the firm’s recent investment performance and product information. \nBefore joining Amundi US\, Matt was Senior Vice President and Head of Research and Content at REX Shares. In this role\, he formulated investment strategies for institutional clients\, led compliance and marketing efforts\, and helped structure several investment products. Prior to that\, Matt was a Senior Fixed Income Analyst at Wetherby Asset Management for 10 years. Matt’s responsibilities included covering all sub-sectors of fixed income investing\, consulting client advisors on portfolio construction for private and institutional clients\, developing and presenting market presentations and external webinars for clients\, and maintaining firm-wide investment models. In addition\, he was a voting member of the 10 person Investment Committee and chaired the Asset Allocation Committee\, the firm’s fundamental and quantitative research engine. \nMatt received both a B.S. in Statistics and Mathematics from University of California\, Davis. He is\na CFA® charterholder.Close×\n \n\nSpeaker Bio:\nJames Murchie co-founded Energy Income Partners (EIP) in 2003 with Linda Longville and Eva Pao. EIP is a partner-owned asset manager and is an outgrowth of his personal investing in energy infrastructure. EIP’s Funds and products concentrate their portfolios in the securities of noncyclical energy infrastructure companies in the pipeline\, electric power and renewable development sectors. Between 1998 and 2003\, he ran Lawhill Capital which managed a long/short equity fund that invested in energy and cyclical equities and commodities. From 1995 to 1997\, he was a Managing Director at Tiger Management where his primary responsibility was investments in energy\, commodities and related equities. From 1990-1995\, Mr. Murchie was a Principal at Sanford C. Bernstein where he was a top-ranked energy analyst and sat on the Research Department’s Recommendation Review Committee. Before joining Bernstein\, he spent 8 years at British Petroleum in 7 operating and staff positions of increasing responsibility. He has been named one of only three Hall of Fame investors by Alerian. Mr. Murchie has testified on energy policy in front of the U.S. Senate Committee on Energy and Natural Resources\, presents at the Energy Roundtable at the Aspen Institute and numerous industry conferences and events. He has often been quoted in media outlets such as Bloomberg\, the Financial Times and the Wall Street Journal. His interview with Steve Forbes is available on-line. Mr. Murchie received a B.A. from Rice University in 1979 and an M.A. in Energy Planning from Harvard University in 1982.Close×\n \n\nSpeaker Bio:\nFrom 2009-2013\, Samuel Brothwell worked at Bloomberg\, LP as Sector Head of Utilities and was Vice President\, Corporate Planning and Investor Relations at Questar Corporation. From 2005-2009 he was Managing Director\, Equity Research with Wells Fargo/Wachovia Capital Markets\, LLC\, and Director\, Equity Research with Merrill Lynch from 1997 to 2005. Prior to that he was Vice President\, Credit Research with Moody’s Investors Service from 1995-1997\, Senior Financial Analyst with PNM Resources from 1987 to 1995\, Senior Tax and Audit Accountant with Arthur Anderson from 1983 to 1987 and has been a contributor and participant to Energy and Natural Gas Policy Forums with the Aspen Institute since 2006. He graduated with B.B.A. from University of New Mexico in 1983.Close× \nSpeaker Bio:\nChuck Jaffe is a syndicated financial columnist and the host of “Money Life with Chuck Jaffe\,” a one-hour weekday financial talk show (moneylifeshow.com). \nChuck’s work has been syndicated since 1995\, first while based at the Boston Globe and then from MarketWatch.com; he also writes for the Wall Street Journal and elsewhere. A past president of the Society of American Business Editors &and Writers\, Chuck has been a frequent guest on CNBC\, Nightly Business Report\, Fox Business News\, National Public Radio and more\, and is the author of three books: “Getting Started In Finding a Financial Advisor\,” “The Right Way to Hire Financial Help” and “Chuck Jaffe’s Lifetime Guide to Mutual Funds.” \nIn what is jokingly referred to as “spare time\,” Chuck is very involved in the sport of lacrosse as a broadcaster\, referee\, coach\, league owner and player. He lives on Boston’s South Shore with a golden retriever who sleeps under the desk while Chuck is working and whose flatulence issues sometimes explain Chuck’s demeanor. \nYou can follow him on Twitter @ChuckJaffe\, @MoneyLifeShow and\, depending on your sporting interests\, @BostonBoxLax. \nWebsite: https://www.moneylifeshow.comClose×\nAlerian is a leading independent index provider focused on building innovative\, index-based investment strategies. Alerian acquired S-Network Global Indexes in 2020\, expanding the firm’s index offerings and services to partners. Combined\, the firm serves the global investment community through indexing\, benchmarking\, and calculation services. Built on a foundation of data rigor and specialty research\, Alerian S-Network Global Indexes offer a comprehensive family of energy\, income\, and thematic indexes. Today\, the firm has over $23 billion in total assets benchmarked to its indexes and over 200 customers worldwide. \nSpeaker Bio:\nAssociate Director of Research\nRoxanna Islam is Associate Director of Research for Alerian S-Network Global Indexes. She has 10+ years of experience in research and product management in the financial services industry. In her current role\, Islam assists the research team in creating timely and relevant research with a focus on thematics and income.\nPreviously\, Islam was a Senior Equity Research Associate at Stifel in the freight transportation\, logistics\, and electric vehicle sectors. She was also a Research Associate at Wells Fargo\, where she researched closed-end funds and exchange-traded products. She also held other research and product management roles at Wells Fargo. Islam holds a Bachelor of Business Administration in Finance and a Bachelor of Arts in Plan II Honors from the University of Texas at Austin. She is a CFA charterholder.Close× \nSpeaker Bio:\nMatthew Kence is an Investment Director and is a Portfolio Manager on the Aberdeen Income Credit Strategies Fund and the Global High Yield strategies at Aberdeen Standard Investments. He is also responsible for covering US high yield Energy companies. Matt joined Standard Life in 2010 from Gannet Welsh & Kotler where he was a Vice President\, Credit. Previously\, Matt also worked for MFS Investment Management as a high yield analyst. Matt graduated with a BS Mechanical Engineering from Ohio University and received his MBA from the Haas School of Business at the University of California\, Berkeley.Close×\n \n \nMatt Burdett: \nMatt Burdett is portfolio manager and managing director for Thornburg Investment Management. He rejoined the firm in 2015 as an associate portfolio manager and was promoted to portfolio manager in 2018. Matt spent several years as a senior vice president and portfolio manager at PIMCO\, where he co-managed various dividend-oriented strategies. Prior to his time at PIMCO\, Matt worked as an equity analyst at Thornburg. \nMatt was director of healthcare investment banking at CIBC World Markets / Oppenheimer prior to joining Thornburg in 2010. Earlier in his career\, he was a medicinal chemist at Sunesis Pharmaceuticals. Matt holds an MBA from the Marshall School of Business at the University of Southern California and a bachelor’s degree in chemistry from the University of California\, Berkeley.  \nAbout Thornburg: \nThornburg is a global investment firm delivering on strategy for institutions\, financial professionals and investors worldwide. The privately held firm\, founded in 1982\, is an active\, high-conviction manager of fixed income\, equities\, multi-asset solutions and sustainable investments. With $48 billion in client assets (includes $46 billion in assets under management and $2 billion in assets under advisement) as of January 31 2022\, the firm offers mutual funds\, closed-end funds\, institutional accounts\, separate accounts for high-net-worth investors and UCITS funds for non-U.S. investors. \n  \nAs an independent firm\, Thornburg can take on a wide range of opportunities\, explore ideas thoroughly and work across strategies to deliver consistent risk-adjusted outperformance over the long term. The firm attracts free-thinking professionals who are eager to pursue investment outcomes beyond the confines of popular wisdom. From nimble operational capabilities to principles and actions fitting of a global citizen\, Thornburg’s world-class investment platform and team are aligned on strategy to serve investors. \n  \nThornburg’s U.S. headquarters is in Santa Fe\, New Mexico with offices in London\, Hong Kong and Shanghai. \nClose×\n \n \nRob Watson\, CFP®\nPartner & Head of Investments\nRob Watson is a Partner & Head of Investments for Destra. Rob also serves as President of Destra Capital Advisors\, LLC and DFC Preferred Advisors LLC\, both SEC registered investment advisors\, as well as President of each of Destra’s mutual funds. Rob chairs the Firm’s Investment Committee\, with responsibility for manager research and selection\, as well as portfolio oversight and monitoring. In addition\, he heads the Firm’s investment product and marketing efforts.\nRob has held numerous roles across an almost 30-year career in the financial services industry. Rob has run product units at Morgan Stanley & Aviva Investors and been responsible for business development and account management teams at Janus & Van Kampen. He has extensive experience in product design and investment implementation\, as well as institutional sales and manager due diligence. He holds key industry licenses\, is a CFP® certificate holder\, and has a Bachelor of Science degree in Economics from North Carolina State University. \nClose×\n \n \nHead of North American Fixed Income and Global High Yield\nErlend Lochen is Head of North American Fixed Income and Global High Yield at abrdn. Erlend joined Standard Life Investments in 2001 as a Credit Analyst. In 2004\, he became the joint fund manager of the Higher Income Fund (Pan European high yield). Erlend relocated to Boston in 2009 and was appointed head of US credit and Global High Yield. Prior to Standard Life Investments\, Erlend worked with a number of companies\, including Skandinaviska Enskilda Banken\, Barclays Capital and Merrill Lynch. Erlend earned an MSc in industrial Engineering from the Norwegian Institute of Technology. \nErlend earned an MSc in industrial Engineering from the Norwegian Institute of Technology. \nClose×\n \n \nLarry Antonatos – Managing Director\, Portfolio Manager\, Real Asset Solutions \nLarry Antonatos has 31 years of industry experience and is a Portfolio Manager for Brookfield Public Securities Group’s Real Asset Solutions team. In this role he oversees the portfolio construction process\, including execution of asset allocation. Larry joined the firm in 2011 as Product Manager for the firm’s equity investment strategies. Prior to joining Brookfield\, he was a portfolio manager for a U.S. REIT strategy for 10 years. He also has investment experience with direct property\, CMBS\, and mortgage loans. Larry earned a Master of Business Administration degree from the Wharton School of the University of Pennsylvania and a Bachelor of Engineering degree from Vanderbilt University.\nBrookfield’s Public Securities Group serves institutions and individuals seeking the investment advantages of real assets through actively managed listed equity and debt strategies. We take a high conviction\, value-oriented approach that is highly attuned to understanding the risks of investing\, utilizing proprietary valuation tools and fundamental\, \nbottom-up research to identify mispriced securities. We have been actively investing in the public markets since 1989 and currently manage over $20 billion on behalf of financial institutions\, pension plans\, insurance companies\, foundations\, endowments\, sovereign wealth funds and high net worth investors. \nClose×\n \n \nRob has been working with Shaker Financial Services since 2004 and currently serves as its Chief Investment Strategist. He is responsible for overseeing strategy development\, trading and portfolio allocations.  \nShaker Financial Services\, LLC (SFS) is a boutique investment advisory firm specializing in the trading of closed-end funds. SFS first began to accept funds for investment in individual separately managed accounts in 1996. SFS’s “Discount Capture” Composite is currently rated five (5) stars by Morningstar. \nClose×\n \nMr. Lazarus is a vice president and strategist\, focusing on closed-end and interval funds as well as mortgage strategies. Prior to joining PIMCO in 2019\, he was a fixed income product manager at Voya Investment Management. Earlier in his career\, he worked at Guggenheim Investments. He has 12 years of investment experience and holds an undergraduate degree from Duke University. \nPIMCO is a global leader in active fixed income. With our launch in 1971 in Newport Beach\, California\, PIMCO introduced investors to a total return approach to fixed income investing. In the 50+ years since\, we have worked relentlessly to help millions of investors pursue their objectives – regardless of shifting market conditions. As active investors\, our goal is not just to find opportunities\, but to create them. To this end\, we remain firmly committed to the pursui t of our mission: delivering superior investment returns\, solutions and service to our clients. \nClose×\n \n \nKen Fincher\nSenior Vice President | Closed-End Fund Management Team\nKen is Senior Vice President and Portfolio Manager and leads the First Trust Closed-End Fund Management Team. Ken joined First Trust Advisors in 2008 and has over 30 years of experience in financial markets. His current responsibilities include management of Separate Managed Accounts and Exchange-Traded Funds that invest primarily in Closed-End Funds. He has also helped develop new product structures in the closed-end fund space.\nKen was named Outstanding Individual Contributor to the Closed-End Fund Sector in 2007\, 2006\, 2005 and 2004 by financial analysts and his peers in the Closed-End Fund community.\nKen received a BA in financial administration from Michigan State University and an MBA from Loyola University Graduate School of Business. He has been quoted in several business publications such as Investor’s Business Daily\, Barron’s\, Bloomberg News Service and Bond Buyer and has authored articles for Seeking Alpha. Ken also served on the Closed-End Fund committee of the Investment Company Institute (ICI).\n \nFirm Overview\nFirst Trust Portfolios L.P. and its affiliate\, First Trust Advisors L.P.\, were established in 1991. The firms provide advisory services and a variety of innovative financial solutions\, including UITs\, ETFs\, CEFs\, SMAs\, Structured Investments distribution\, portfolios for Variable Annuities and Mutual Funds.\nAt First Trust\, our experience\, history of innovation and diversity of offerings are all part of our mission and are the only way we know to become a trusted resource. Because we consider each financial professional and his or her customer integral to our business\, and truly our most valuable investment\, we are committed to their best interests. We provide exceptional resources that help financial professionals define goals\, solve problems and develop long-term strategies to help their clients achieve their dreams and goals. We believe that this kind of leadership will provide the most fundamentally sound investment products and financial professional support available in today’s marketplace \nClose×\n \n \nScott M. Carson\, CFA – Director – Portfolio Manager  \nScott is a portfolio manager for Principal Real Estate Investors\, the dedicated real estate unit of Principal Global Investors. He is responsible for the management of affiliated and non-affiliated CMBS portfolios and has 18 years of experience in the industry. He previously performed pricing\, hedging and valuation functions for Principal Real Estate Investors’ CMBS issuance program as well as developing real estate strategies and products as part of the new business development team. Scott received a bachelor’s degree in finance from Iowa State University. Additionally\, he has earned the right to use the Chartered Financial Analyst designation and is a member of the CFA Institute. He is also a member of the CRE Finance Council. \n  \nPrincipal Real Estate Investors \nPrincipal Real Estate Investors is the dedicated real estate investment group within Principal Global Investors. As a top 10 global real estate manager\, Principal Real Estate Investors has a track record of 60+ years\, investing through multiple market cycles and across the risk/return spectrum. We offer customized\, diverse solutions across public and private equity and debt investments from core to opportunistic\, managing $105 billion in assets for our clients as of December 31\, 2021. With the growing importance of ESG in real estate\, we are proud to be a recognized leader in sustainable investing. \nClose×\n \n \nPaul is a client portfolio manager with Nuveen’s global fixed income\ngroup. In this role\, he is integrated into the portfolio management team\,\nhelping to develop and communicate information about the markets\,\nprocess and performance to institutional\, retail and defined contribution\nanalysts and financial professionals.\nPrior to joining the firm in 2012\, he was a director and fixed income\nstrategist for the institutional fixed income sales division at Wells Fargo\nSecurities. In this role\, he developed investment ideas and delivered\npresentations to regional and national audiences. Previously\, he worked\nas an institutional sales representative. Prior to that\, Paul spent 12 years\non the fixed income investment management side of the business at\nAmerican Express Financial Advisors (now Columbia Management) and\nPiper Capital Management as a sector manager\, analyst and trader.\nPaul graduated with a B.A. in Economics from Carleton College. He also\nholds the CFA designation and is a member of the CFA Institute and the\nCFA Society of Minnesota. \nAbout Nuveen \nNuveen\, the investment manager of TIAA\, offers a comprehensive range of outcome-focused investment solutions designed to secure the long-term financial goals of institutional and individual investors. Nuveen has $1.3 trillion in assets under management as of 31 Dec 2021 and operations in 27 countries. Its investment specialists offer deep expertise across a comprehensive range of traditional and alternative investments through a wide array of vehicles and customized strategies. For more information\, please visit www.nuveen.com.  \nClose×\n \n \nDavid LaValle is Managing Director\, Global Head of ETFs at Grayscale Investments\, the world’s largest digital currency asset manager. LaValle has over 20 years of experience in financial services and a proven executive management track record. LaValle’s expertise covers the broad finance industry\, the Indexing landscape\, and the exchange- traded product (ETP) ecosystem\, including extensive knowledge in trading\, distribution\, capital markets\, stock exchanges and regulatory engagements.  \nPrior to joining Grayscale\, LaValle was the Chief Executive Officer of Alerian and S-Network Global Indexes. In that role\, LaValle was responsible for all facets of the business including leading the firm’s growth and business transformation strategy\, formulating and overseeing the Executive Management Team and representing the firm as a frequent spokesperson for press engagements and events. Previously\, LaValle was the US Head of SPDR ETF Capital Markets and a member of the senior leadership team at State Street Global Advisors\, a $3.5 trillion-dollar global asset manager. Prior to State Street\, LaValle led Nasdaq’s Exchange Traded Product Marketplace where he was responsible for all aspects of strategy and business development for Nasdaq’s ETP listing and trading businesses. Before joining Nasdaq\, LaValle was a member of the New York Stock Exchange and American Stock Exchange where he managed trading businesses. \nLaValle earned his Bachelor of Arts degree from Georgetown University\, served on the Security Traders Association of New York (STANY) Board and is a current member of the Wall Street Rides FAR charity advisory board. \n Firm bio: \nGrayscale enables investors to access the digital economy through a family of secure\, compliant\, and future-forward investment products. Founded in 2013\, Grayscale has a proven track record and unrivaled expertise as the world’s largest digital currency asset manager. Investors\, advisors\, and allocators turn to Grayscale’s private placements\, public quotations\, and ETFs for single asset\, diversified\, and thematic exposure. Grayscale products are distributed by Genesis Global Trading\, Inc. (Member FINRA/SIPC\, MSRB Registered) or Foreside Fund Services\, LLC. For more information\, please follow @Grayscale or visit grayscale.com. \nClose×\n \n Marc Loughlin joined WallachBeth in late 2012 to launch a robust closed end fund execution platform\, thus further enhancing the capabilities of WallachBeth’s ETF trading group\, one of the leading ETF desks in the industry. \nPrior to joining WallachBeth\, Marc ran a proprietary non-standard arbitrage desk at a major European investment bank\, where he focused on CEFs\, ETFs\, illiquid value stocks\, along with options\, futures and equity-linked securities as hedging instruments. \nMarc brings his buy-side approach to client order execution\, utilizing OTC\, algo and market direction methods to maximize liquidity and price efficiency in the closed-end fund space. His deep knowledge of CEF and ETF execution strategies\, coupled with his buy- and sell-side experience\, make him an invaluable resource to WallachBeth’s institutional clients. \n\nWebsite: https://wallachbeth.com/ \nClose×\n  \n\nCheryl Pate\, CFA® \nPortfolio Manager\nCheryl is a Portfolio Manager at Angel Oak Capital and serves as a Portfolio Manager for the Financials Income Fund\, Financial Strategies Income Term Trust and the Dynamic Financial Strategies Income Term Trust. Cheryl has more than 15 years’ investment experience and primarily focuses on investment research and management across the firm’s financial sector-focused strategies. \nCheryl joined Angel Oak in 2017 from Morgan Stanley\, where she was an Executive Director and Head of Consumer & Specialty Finance Equity Research. Her research coverage included a multitude of financial sectors\, including consumer\, specialty\, mortgage\, REIT\, payments\, fintech and banking. \nCheryl has been featured as a television guest on CNBC\, Bloomberg\, TD Ameritrade Network and Yahoo! Finance TV and has been quoted in various publications including American Banker\, Marketwatch\, DailyAlts and S&P Global Market Intelligence. \nCheryl holds a B.S. in Commerce (Finance) from the University of British Columbia and an M.B.A. from Duke University’s Fuqua School of Business. She also holds the Chartered Financial Analyst (CFA) designation. \nAbout Angel Oak Capital Advisors\, LLC  \nAngel Oak Capital Advisors is an investment management firm focused on providing compelling fixed-income investment solutions for its clients. Backed by a value-driven approach\, Angel Oak Capital Advisors seeks to deliver attractive risk-adjusted returns through a combination of stable current income and price appreciation. Its experienced investment team seeks the best opportunities in fixed income\, with a specialization in mortgage-backed securities and other areas of structured credit. \nFor more information\, please visit www.angeloakcapital.com. \nClose
URL:https://dev.aicalliance.org/aica-event/cefroundtablespring2022/
CATEGORIES:Past Events
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DTSTART;TZID=America/New_York:20220426T130000
DTEND;TZID=America/New_York:20220427T170000
DTSTAMP:20260404T174708
CREATED:20220323T151642Z
LAST-MODIFIED:20251031T174834Z
UID:20596-1650978000-1651078800@dev.aicalliance.org
SUMMARY:2022 Interval Fund Spring Manager Spotlight
DESCRIPTION:AICA is hosting a timely event focused on four fund groups with favorable tax considerations for investors that prioritize after-tax income. The event will feature a variety of high-quality speakers across two days of presentations.The panels will discuss a variety of highly-relevant topics for investors given current uncertainty regarding changes in taxation\, the interest rate environment\, credit quality\, and the general macro situation. The concept of return of capital (RoC) will be explored in-depth\, including how it can potentially benefit income investors\, particularly in relation to covered call and energy funds. There will also be an introductory presentation by John Cole Scott\, CIO of Closed-End Fund Advisors and the founder of AICA\, that will outline his approach to building high after-tax income portfolios for investors and advisors. \n\nDONATESponsorsAttendee ClassificationFeedbackSponsors\n\n​ \n\n\n\n\n\n\n\n\n\nCEF Advisors & CEFData.com\nNasdaq\nCAIA Association\n\n\n\n\n\nAttendee Classification\n\nFeedback\n\n\nWe appreciate your feedback\n \n\n\nInterval Funds\, a non-listed type of closed-end fund\, have experienced tremendous growth in recent years. There are now 75 Interval funds managing about $60 billion\, up from 27 such funds less than 5 years ago.\nThe event will enable investors and their advisors to better understand the structure and how some of the top funds are using it to deliver solid results for investors.\n4.5 CFP CE Credits.\nDay One: April 26th1:00pm to 1:15pm - Attendee Login and Networking at Virtual Tables1:15pm to 1:30pm - Welcome\nIntro Slides\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nJohn Cole Scott\, CIO at CEF Advisors\, Founder of CEFData.com\n\n\n\n\n\n\n\n\n1:30pm to 2:20pm - Panel #1: Private Investment Opportunities in an Interval Fund\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nModerator \nKim Flynn \, Managing Director for Alternative Investments – XA Investments\nPresenters\n Michael Bell  \, Managing Director – Primark\nPresenters\n Shiloh Bates  \, Managing Director – Flat Rock Global\, LLC\n\n\n\n\n\n\n2:20pm to 2:30pm - Networking Break2:30pm to 3:20pm - Panel #2: Interval Fund Real Estate Opportunities\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nModerator\n Mike Taggart \, Executive Director – AICA\nPresenters\n Michael Bell  \, Managing Director – Primark\nPresenters\n Shiloh Bates  \, Managing Director – Flat Rock Global\, LLC\n\n\n\n\n\n\n3:20pm to 3:25pm - Event Closing Remarks\n Video\n\n\n\n\n\n\n\n\n\n\n\nJohn Cole Scott – AICA´s Founder & Executive Chairman\n\n\n\n\n\n\n\n\n3:25pm to 4:00pm - Post Event Networking with Speakers\, Sponsors\, Members and Fellow AttendeesDay two: April 27th1:00pm to 1:15pm - Attendee Login and Networking at Virtual Tables1:15pm to 1:30pm - Welcome\nIntro Slides\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nJohn Cole Scott with educational session:\n\n\n\n\n\n\n\n\n1:30pm to 2:20pm - Panel #1: Credit Investing through an Interval Fund\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nModerator \nChuck Jaffe \, Host – Moneylife\nPresenters \n Colin McBurnette \, Senior Portfolio Manager – Angel Oak\nPresenters\nRobert A. Watson\, CFP\, Partner & Head of Investments – Destra Capital\nPresenters\nJustin Pfaff \, MD\, Product Manager – Nuveen\n\n\n\n\n\n2:20pm to 2:30pm - Networking Break2:30pm to 3:20pm - Panel #2: Investment Comparison Between Interval & Tender Offer Funds\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nModerator\nKevin Hardy \, Partner\, Investment Management  – Skadden\nPresenters\nBrett Schlemovitz  \, Managing Director for Conversus – StepStone\nPresenters\nAlexander Condrell \, CFA\, CAIA – Managing Director – Cliffwater\, LLC\n\n\n\n\n\n\n3:20pm to 3:25pm - Event Closing Remarks\n Video\n\n\n\n\n\n\n\n\n\n\n\nJohn Cole Scott – AICA’s Founder & Executive Chairman\n\n\n\n\n\n\n\n\n3:25pm to 4:00pm - Post Event Networking with Speakers\, Sponsors\, Members and Fellow Attendees×\n\n\n\nMr. Scott has worked at Closed-End Fund Advisors since 2001. He holds the FINRA 66 License and the Certified Fund Specialist designation (CFS). He is a graduate of The College of William and Mary and has been quoted and interviewed widely in the financial press and presented at conferences and for investment groups on more than 50 occasions.In 2008 John founded CEFA’s Closed-End Fund Universe\, a data service covering all US listed closed-end funds and BDCs. Currently supported by an internal 10 member analyst team with a data manager/ programmer covering the 600+ ticker universe of CEFs/BDCs/iCEFs. They regularly do consulting and projects for CEF/BDC Sponsors\, Hedge Funds and Institutional Investors.Portfolio Consultant with over $300MM+ in deposits into a fund focused on BDCs with a fund sponsor partner. He developed 35 CEF/BDC based indexes; 9 diversified portfolio objective\, 9Equity and 15 Bond sector. Founder & Exec. Chairman of Active Investment Company Alliance(AICA). John is a past board member of The Richmond Association for Business Economics(RABE)\, and serves as Assistant Treasurer and on the Investment Committee for The New YorkState Society of The Cincinnati. Board member and Finance & InvestmentCommittees for The William & Mary NationalAlumni Board\n\nClose×\n\n\n \n \n\nKimberly Flynn serves as Managing Director at XA Investments\, a wholly-owned subsidiary of XMS Capital Partners. She is a partner in the firm and responsible for all product and business development activities. Kim created the alternative registered trust platform at XA Investments working in partnership with independent subadvisers representing best-in-class alternative investment managers. Previously\, Kim was Senior Vice President and Head of Product Development for Nuveen Investments’\nGlobal Structured Products Group. In her 11 years at Nuveen\, she helped developed over 40 closed-end funds raising ~$13 billion in capital. In her leadership role at Nuveen\, Kim was responsible for asset raising activities through the development of new traditional and alternative investment funds including CEFs\, ETFs\, UITs and commodity pools.Kim received her MBA degree from Harvard University\, where she was a William J. Carey scholar and President of the HBS Volunteers. Before attending Harvard Business School\, Kim spent three years working in Morgan Stanley’s Investment Banking Division (1999-2002) in their Chicago office. She\nearned her BBA in Finance and Business Economics\, summa cum laude\, from the University of Notre Dame in 1999 where she was a valedictorian candidate\, Rhodes Scholar Finalist and the first recipient of the Paul F. Conway award given to a senior in the Department of Finance who embodies Notre Dame’s tradition of excellence and who enriches the ideals of the university. Kim earned the Chartered Financial Analyst (CFA) designation and is a member of the CFA Institute and CFA Society of Chicago. Kim currently serves on the Board of the Women in ETFs Chicago chapter as head of the mentorship committee and on the Advisory Board for Youth Guidance’s program Becoming A Man (BAM). Kim with her husband Leo\, son Teddy (12yrs) and daughter Rose (9yrs) live in Lincoln Park\, Chicago.\n\nClose×\n\n\n \n \n\nRob Watson\, CFP®\nPartner & Head of Investments\nRob Watson is a Partner & Head of Investments for Destra. Rob also serves as President of Destra Capital Advisors\, LLC and DFC Preferred Advisors LLC\, both SEC registered investment advisors\, as well as President of each of Destra’s mutual funds. Rob chairs the Firm’s Investment Committee\, with responsibility for manager research and selection\, as well as portfolio oversight and monitoring. In addition\, he heads the Firm’s investment product and marketing efforts.\nRob has held numerous roles across an almost 30-year career in the financial services industry. Rob has run product units at Morgan Stanley & Aviva Investors and been responsible for business development and account management teams at Janus & Van Kampen. He has extensive experience in product design and investment implementation\, as well as institutional sales and manager due diligence. He holds key industry licenses\, is a CFP® certificate holder\, and has a Bachelor of Science degree in Economics from North Carolina State University.\n\nClose×\n\n\n \n \n\nColin is a Senior Portfolio Manager at Angel Oak Capital and serves as a Portfolio Manager for the Multi-Strategy Income Fund\, the UltraShort Income Fund\, the Strategic Credit Fund\, the Core Impact Fund\, and the Strategic Mortgage Income Fund. He also focuses on security and portfolio analytics and is responsible for building and managing strategies within the residential mortgage-backed securities market.\nColin joined Angel Oak in 2012 and serves as a voting member of the firm’s public funds Investment Committee. He is also a speaker on many of the firm’s quarterly calls for both its private and public funds.\nPrior to Angel Oak\, Colin worked for an Atlanta-based boutique investment firm where he was responsible for the acquisition and management of their distressed debt portfolio\, as well as the development of their proprietary financial technology platform. Previously\, Colin worked in the Real Estate Capital Markets group for Wachovia Bank and Wells Fargo where he focused on risk management for their commercial real estate REPO lines.\nColin holds B.B.A. degrees in Banking & Finance and Real Estate from the Terry College of Business at the University of Georgia.\n\nClose×\n\n\n \n\n \n\nJustin leads product management and development for Nuveen’s Municipal and Preferred Securities product lines. In this role\, he collaborates with Nuveen’s Investment\, Distribution\, Marketing and Operations teams to drive the strategic growth of our Municipal and Preferred Securities business. Justin’s primary responsibilities include the development and management of investment products and strategies in an effort to thoughtfully achieve our strategic product plan.\nPrior to joining Nuveen\, Justin led product management and development for Destra Capital. He also served as a member of the firm’s Investment Committee\, was an officer for Destra’s suite of mutual funds and led sub-advisor due diligence. Prior to joining Destra\, Justin played an integral role in the product management and development of closed-end funds\, mutual fund and ETFs at Guggenheim Investments.\nJustin graduated with a Bachelor’s degree in Business Administration from the University of Wisconsin-Whitewater. He holds the CFA designation and is a member of the CFA Institute and CFA Society of Chicago.\nNuveen\, the investment manager of TIAA\, offers a comprehensive range of outcome-focused investment solutions designed to secure the long-term financial goals of institutional and individual investors. Nuveen has $1.3 trillion in assets under management as of 31 Dec 2021 and operations in 27 countries. Its investment specialists offer deep expertise across a comprehensive range of traditional and alternative investments through a wide array of vehicles and customized strategies. For more information\, please visit www.nuveen.com.\n\nClose×\n\n\n \n \n\nMichael Bell is a Managing Director of Primark. Prior to Primark\, Michael built\, and was the CEO for a $12B RIA managing more than 30 investment strategies and a $10B liquid alternative mutual fund complex that launched more than 50 alternative funds. Most recently he purchased\, grew and sold a family office-backed $6B RIA. Also\, he specialized as a corporate finance attorney for Latham & Watkins and was a CPA for KPMG. He holds a BS in Commerce from the University of Virginia and a JD from West Virginia University.\nPrimark is expanding access to private equity investments without the complexity of subscription documents\, high investment minimums\, and the complex tax treatment associated with traditional institutional private equity fund structures.\n\nClose×\n\n\n \n \n\nShiloh R. Bates joined Flat Rock Global in 2018 and is a Partner and Chief Investment Officer.  Prior to joining Flat Rock Global\, Mr. Bates was a Managing Director at Benefit Street Partners where he worked on corporate acquisitions. Prior to that\, Mr. Bates was the Head of Structured Products at BDCA Advisor\, where he was responsible for investments in CLOs\, leveraged loans\, and publicly traded BDCs.\nDuring his 20-year career\, Mr. Bates worked for several CLO managers and invested over $1.3 billion in CLO securities. He is a frequent panelist at CLO conferences and has written a book on investing in CLO equity.\n\nClose×\n\n\n \n \n\nAlex Condrell is a Managing Director at Cliffwater. Founded in 2004\, Cliffwater provides research and investment due diligence services across the full range of private markets and alternative investments. Cliffwater also manages over $4 billion in private credit funds. Alex joined Cliffwater in 2021.\nPrior to joining Cliffwater\, Alex was a Managing Director at Monroe Capital\, an asset management firm specializing in lower middle market direct lending. Before that\, Alex was the Chief Investment Officer at Main Street Financial\, with prior experience at Calamos Investments\, Lotsoff Capital\, Fannie Mae and Freddie Mac.\nHe earned a BA in Government from Pomona College and an MBA in Finance from Georgetown University. Alex is a CFA charterholder and also holds the CAIA designation..\n\nClose×\n\n\n \n \n\n\nChuck Jaffe is a syndicated financial columnist and the host of “Money Life with Chuck Jaffe\,” a one-hour weekday financial talk show (moneylifeshow.com).Chuck’s work has been syndicated since 1995\, first while based at the Boston Globe and then from MarketWatch.com; he also writes for the Wall Street Journal and elsewhere. A past president of the Society of American Business Editors &and Writers\, Chuck has been a frequent guest on CNBC\, Nightly Business Report\, Fox Business News\, National Public Radio and more\, and is the author of three books: “Getting Started In Finding a Financial Advisor\,” “The Right Way to Hire Financial Help” and “Chuck Jaffe’s Lifetime Guide to Mutual Funds.” \nIn what is jokingly referred to as “spare time\,” Chuck is very involved in the sport of lacrosse as a broadcaster\, referee\, coach\, league owner and player. He lives on Boston’s South Shore with a golden retriever who sleeps under the desk while Chuck is working and whose flatulence issues sometimes explain Chuck’s demeanor. \nYou can follow him on Twitter @ChuckJaffe\, @MoneyLifeShow and\, depending on your sporting interests\, @BostonBoxLax. \nWebsite: https://www.moneylifeshow.com \n\n\nClose×\n\n\n \n\n \n\nMr. Schlemovitz is a Managing Director for Conversus\, a StepStone Company.\nMr. Schlemovitz focuses on strategic relationships and product development.  Prior to StepStone\, Mr. Schlemovitz served as a Managing Director of CNL Financial Group\, a $10 billion asset manager providing access for individual investors to the private markets.  At CNL he created and oversaw the firm’s Private Equity platform and was the Chief Operating Officer of Strategic Capital.  Previously Mr. Schlemovitz was an Executive Director in Investment Banking at J.P. Morgan where he led equity and debt capital raising and merger and acquisition transactions for Financial Institution clients.\nMr. Schlemovitz received his BA from Emory University and is a CFA charterholder.Conversus Company Profile Blurb:\nConversus is an investment firm designed to provide individual investors the opportunity to access private markets with the goal of transforming portfolios and enhancing long-term outcomes. Conversus is a wholly-owned business of StepStone Group\, a global asset management and advisory firm with over $500 billion in assets under advisement. Leveraging StepStone’s extensive experience across the private markets allows Conversus to create innovative\, investor-centric products by focusing on convenience\, efficiency and transparency.\n\nClose×\n\n\n \n \n\nMike Taggart\, CFA is the founder and CEO of Taggart Fund Intelligence. Previously\, he worked in the closed-end fund group at Nuveen\, and before that he was the head of U.S. closed-end fund research at Morningstar. He has spent nearly half his career covering closed-end funds.\n\nClose×\n\n\n\n\n\nKevin T. Hardy represents public and private funds\, fund sponsors\, investment advisers\, broker-dealers\, investment banks and other financial institutions in connection with the design and formation of investment funds and products\, securities offerings\, regulatory and compliance matters\, transactions and other corporate matters.\nIn the registered investment company area\, Mr. Hardy advises clients in the development\, structuring\, operation and regulation of mutual funds\, closed-end funds and exchangetraded funds. He has represented fund sponsors and underwriters in initial public offerings of closed-end funds and secondary market financings\, including rights offerings and debt and preferred securities offerings by such funds. Fund sponsors advised by Mr. Hardy have\nincluded Guggenheim Funds\, BlackRock\, Northern Trust and Invesco Van Kampen. He has represented investment banks\, including UBS\, Merrill Lynch and A.G. Edwards\, as underwriters of offerings by closed-end funds sponsored by firms such as Eaton Vance\, PIMCO\, Nuveen\, John Hancock\, Nicholas Applegate and First Trust. Mr. Hardy regularly counsels\nregistered investment funds and their boards of directors in connection with directors’ duties\, corporate governance and regulatory matters.\nMr. Hardy represents investment advisers and other financial services firms in transactions\, financings and a wide range of operational and regulatory matters\, including Advisers Act registration\, regulatory examinations and the structuring of employee compensation and equity participation plans. He has advised buyers and sellers in a number of significant transactions in the asset management industry\, including AMVESCAP plc in its acquisition of PowerShares Capital Management and Nuveen Investments in connection with its acquisition by an investor group led by Madison Dearborn Partners and its acquisition of First American Funds Advisors.\nMr. Hardy also represents sponsors\, investors and placement agents in the formation and operation of U.S. and offshore private investment funds and other unregistered investment vehicles.\nMr. Hardy has repeatedly been selected for inclusion in Chambers Global and Chambers USA.https://www.skadden.com/about/overview\n\nClose×\n\n\n\n\n\n\nBill has been a leader on the sales and marketing side of the financial services industry for more than 35 years. He joined Wildermuth Securities in March of 2022 and serves as the company’s field representative throughout the eastern US. He earned his MBA from the University of Notre Dame and his BA from Middlebury College. He currently lives in suburban Chicago. \nTHE WILDERMUTH FUND provides investors with access to early-stage private equity that has traditionally been reserved for institutional investors. The Fund offers portfolio diversification among early-stage private equity positions in various asset classes including technology\, real estate\, healthcare\, energy\, and hedge funds that would be difficult for individual investors to achieve because of typically high minimum investments.\nDaniel Wildermuth is the Fund’s portfolio manager. With over 25 years of investment experience\, he has been a pioneer in adapting the endowment investment approach to the needs of individual investors. Mr. Wildermuth is CEO and CIO of Wildermuth Advisory and Asteria Wealth\, a money management firm that administers more than 20 equity and fixed income portfolio strategies for retail and institutional investors. \n\n\nClose
URL:https://dev.aicalliance.org/aica-event/2022intervalfundspringmanagerspotlight/
CATEGORIES:Past Events
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BEGIN:VEVENT
DTSTART;VALUE=DATE:20221116
DTEND;VALUE=DATE:20221118
DTSTAMP:20260404T174708
CREATED:20220714T191004Z
LAST-MODIFIED:20251031T174146Z
UID:22000-1668556800-1668729599@dev.aicalliance.org
SUMMARY:CEF / BDC / Interval Fund BootCamp and Roundtable
DESCRIPTION:AICA is hosting a timely event focused on four fund groups with favorable tax considerations for investors that prioritize after-tax income. The event will feature a variety of high-quality speakers across two days of presentations.The panels will discuss a variety of highly-relevant topics for investors given current uncertainty regarding changes in taxation\, the interest rate environment\, credit quality\, and the general macro situation. The concept of return of capital (RoC) will be explored in-depth\, including how it can potentially benefit income investors\, particularly in relation to covered call and energy funds. There will also be an introductory presentation by John Cole Scott\, CIO of Closed-End Fund Advisors and the founder of AICA\, that will outline his approach to building high after-tax income portfolios for investors and advisors. \n\n\nAgenda \nSponsorsInterviewsAttendee ClassificationFeedbackSponsors\n\n  \n\n\n\n\n\n\n\n\n\nCEF Advisors & CEFData.com\nGranitesShares\nFranklin Templeton\nBrookfield\n\n\n\n\nInterviews\n\n\n\n\n\nJohn Cole Scott – Closed-End Fund Advisors\n.\n\n\n\n\n\n\nKim Flynn – XA Investments\n.\n\n\n\n\n\n\nChuck Jaffe – MoneyLife\n.\n\n\n\n\n\n\nMilwood Hobbs Jr. – Oaktree Capital Management\n.\n\n\n\n\n\n\nChristian Munafo – Liberty Street\n.\n\n\n\n\n\n\nSteve O’Neil – RiverNorth\n.\n\n\n\n\n\n\nMark Milner – Parametric\n.\n\n\n\n\n\n\nRob Shaker – Shaker Financial Services\n.\n\n\n\n\n\n\nWilliam Rhind – Granite Shares\n.\n\n\n\n\n\n\nDavid Tepper – Tepper Capital Management\n.\n\n\n\n\nErin Carney – Thornburg\n.\n\n\n\n\n\nAttendee Classification\n\nFeedback\n\n\nWe appreciate your feedback\n \n\n\nAgenda8:00 AM to 8:30 AM - Registration & Breakfast8:30 AM to 8:40 AM - Welcome Remarks\nTranscript\n\n\n\n\n\n\n\n\n\n\n\nJohn Cole Scott\, CIO at CEF Advisors\, Founder of CEFData.com –\n\n\n\n\n\n\n\n\n8:40 AM to 9:30 AM - Panel #1: Trends and Outlook for the CEF/BDC Interval Fund Marketplace\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nModerator\nKim Flynn\, Managing Director for Alternative Investments – XA Investments\nSpeaker #1\nTom DeCapo\, Partner – Skadden\, Arps\, Slate\, Meagher & Flom\nSpeaker #2\nJohn Cole Scott\, CIO at CEF Advisors\, Founder of CEFData.com\nSpeaker #3\nSteve Flantsbaum\, Sr. Special Counsel Fellow\, BDC – U.S. Securities and Exchange Commission\n\n\n\n\n\n9:30 AM to 10:20 AM - Panel #2: Navigating Credit Risk in A Choppy Economy\n Video\nTranscript\n\n\n\n\n\n\n\n\n\n\n\nModerator\nJake Schultz\, CFA\, Partner & Director\, Portfolio Oversight & Analytics – Destra\n\nSpeaker #1\nCharles Arduini\, Partner and Portfolio Manager – Ares\n\nSpeaker #2\nGretchen Lam\, Portfolio Manager XFLT – Octagon\n\n\n\n\n\n\n10:20 AM to 10:40 AM - Networking Break10:40 AM to 11:30 AM - Panel #3: BDC Analyst & Investor Panel – “Tips & Tricks for Accessing a Quality Manager and BDC”\n Video\nTranscript\n\n\n\n\n\n\n\n\n\n\n\nModerator\nDan Silver\, Portfolio Manager – Closed-end Fund Advisors\nSpeaker #1\nMitchel Penn\, Managing Director of Equity Research – CFA Oppenheminer\n\nSpeaker #2\nJohn Cole Scott\, CIO at CEF Advisors\, Founder of CEFData.com\nSpeaker #3\nJorge Solares-Parkhurst\, Managing Director – JMP Securities\n\n\n\n\n\n11:30 AM to 12:20 PM - Panel #4: Investment Grade Credit in an Inflationary Environment\n Video\nTranscript\n\n\n\n\n\n\n\n\n\n\n\nModerator\nVadim Avdeychik\, Partner – Clifford Chance US LLP\nSpeaker #1\nCheryl Pate\, Senior Portfolio Manager – Angel Oak Capital\n\nSpeaker #2\nRobert Amodeo\, Head of Municipals – Western Asset Management\nSpeaker #3\nBradford Stone\, Exec VP/CFO/Portfolio Manager – Flaherty & Crumrine Inc\n\n\n\n\n\n12:20 PM to 1:20 PM - Networking Lunch 1:20 PM to 2:10 PM - Panel #5: Diversified Equity Income Strategies\n Video\nTranscript\n\n\n\n\n\n\n\n\n\n\n\nModerator\nChuck Jaffe\, Host – Moneylife\nSpeaker #1\nJosh Duitz\, Deputy Head of Global Equities & Portfolio Manager – abrdn\n\nSpeaker #2\nParth Doshi V.P.\, CEF Product Management and Development – Nuveen\nSpeaker #3\nErin Carney V.P.\, CFA\, Head of Strategic Development – Thornburg\n\n\n\n\n\n2:10PM to 3:00 PM - Panel #6: Retail Access to Private Credit and Equity\n Video\nTranscript\n\n\n\n\n\n\n\n\n\n\n\nModerator\nAaron Filbeck\, CAIA Managing Director and Head of UniFi\nSpeaker #1\nChristian Munafo\, Chief Investment Officer – Liberty Street Funds\n\nSpeaker #2\nKevin Dockrell CFA\, Institutional Portfolio Manager – RBC BlueBay\nSpeaker #3\nMichael Grayson\, Portfolio Manager – First Trust Capital Management\nSpeaker #4\nMilwood Hobbs\, Jr. Managing Director – Oaktree Capital Management\n\n\n\n\n3:00 PM to 3:20 PM - Networking Break 3:20 PM to 4:10 PM - Panel #7: Listed & Non Listed BDC Options for Variable Secured Loan Access\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nModerator\nKenneth Burdon\, Counsel\, Investment Management – Skadden\, Arps\, Slate\, Meagher & Flom LLP\nSpeaker #1\nLaura Stolfi\, Managing Director\, Private Credit Product Specialist – Nuveen\n\nSpeaker #2\nMilwood Hobbs\, Jr. Managing Director – Oaktree Capital Management\nSpeaker #3\nJason A. Mehring\, Managing Director – BlackRock\n\n\n\n\n\n4:10 PM to 5:00 PM - Panel #8: How to Analyze & Trade CEFs: An Institutional Perspective\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nModerator\nJohn Cole Scott\, CIO at CEF Advisors\, Founder of CEFData.com\nSpeaker #1\nMark Milner\, Senior Investment Strategist – Parametric\n\nSpeaker #2\nRob Shaker\, Chief Investment Strategist and Partner – Shaker Financial Services\nSpeaker #3\nSteve O’Neill\, CFA\, Portfolio Manager – RiverNorth\n\n\n\n\n\n5:00 PM to 5:10 PM - Closing Remarks 5:10 PM to 6:45 PM - Networking Cocktail Reception ×\n\n\n\n\n\nMr. Scott has worked at Closed-End Fund Advisors since 2001. He holds the FINRA 66 License and the Certified Fund Specialist designation (CFS). He is a graduate of The College of William and Mary and has been quoted and interviewed widely in the financial press and presented at conferences and for investment groups on more than 50 occasions.In 2008 John founded CEFA’s Closed-End Fund Universe\, a data service covering all US listed closed-end funds and BDCs. Currently supported by an internal 10 member analyst team with a data manager/ programmer covering the 600+ ticker universe of CEFs/BDCs/iCEFs. They regularly do consulting and projects for CEF/BDC Sponsors\, Hedge Funds and Institutional Investors. Portfolio Consultant with over $300MM+ in deposits into a fund focused on BDCs with a fund sponsor partner. He developed 35 CEF/BDC based indexes; 9 diversified portfolio objective\, 9Equity and 15 Bond sector. Founder & Exec. Chairman of Active Investment Company Alliance(AICA). \nJohn is a past board member of The Richmond Association for Business Economics(RABE)\, and serves as Assistant Treasurer and on the Investment Committee for The New York State Society of The Cincinnati. Board member and Finance & Investment Committees for The William & Mary National Alumni Board. \n\n\nClose×\n\n\n\n\n\nJake Schultz is Director\, Portfolio Oversight & Analytics for Destra Capital. He manages Destra’s open-end mutual fund products and oversees Destra’s secondary market support services for several NYSE listed closed-end funds. Jake contributes to the Firm’s product\, marketing\, and legal teams through product management and development efforts\, data generation and investment content creation\, as well as day-to-day operational support and documentation. Jake also sits on the Firm’s Investment Committee adding to portfolio oversight and monitoring in conjunction with manager & fund research\, selection\, and due diligence. \nJake joined Destra Capital in the summer of 2018 after receiving his Bachelor of Science degree in Finance from the Gies College of Business at the University of Illinois at Urbana-Champaign in May 2018. He also holds the FINRA Series 7\, Series 66 securities licenses and also holds the Chartered Financial Analyst designation. Jake is a member of the CFA Institute and CFA Society Chicago. \n\n\nClose×\n\n\n\n\nDan handles portfolio management\, research\, and trading activities for CEFA. He received his B.A. in Business Administration from the Goizueta Business School at Emory University and holds the Chartered Financial Analyst (“CFA”) designation. Prior to joining CEFA\, he was a portfolio manager for Zoso Capital\, and previously worked for investment banks UBS\, Morgan Stanley\, and SunTrust performing investment research and was a senior analyst at George Weiss Multi-Strategy Advisers.\n\nClose×\n\n\n\n\nKimberly Flynn serves as Managing Director at XA Investments\, a wholly-owned subsidiary of XMS Capital Partners. She is a partner in the firm and responsible for all product and business development activities. Kim created the alternative registered trust platform at XA Investments working in partnership with independent subadvisers representing best-in-class alternative investment managers.Previously\, Kim was Senior Vice President and Head of Product Development for Nuveen Investments’ Global Structured Products Group. In her 11 years at Nuveen\, she helped developed over 40 closed-end funds raising ~$13 billion in capital. In her leadership role at Nuveen\, Kim was responsible for asset raising activities through the development of new traditional and alternative investment funds including CEFs\, ETFs\, UITs and commodity pools.Kim received her MBA degree from Harvard University\, where she was a William J. Carey scholar and President of the HBS Volunteers. Before attending Harvard Business School\, Kim spent three years working in Morgan Stanley’s Investment Banking Division (1999-2002) in their Chicago office. \nShe earned her BBA in Finance and Business Economics\, summa cum laude\, from the University of Notre Dame in 1999 where she was a valedictorian candidate\, Rhodes Scholar Finalist and the first recipient of the Paul F. Conway award given to a senior in the Department of Finance who embodies Notre Dame’s tradition of excellence and who enriches the ideals of the university. \nKim earned the Chartered Financial Analyst (CFA) designation and is a member of the CFA Institute and CFA Society of Chicago. Kim currently serves on the Board of the Women in ETFs Chicago chapter as head of the mentorship committee and on the Advisory Board for Youth Guidance’s program Becoming A Man (BAM). Kim with her husband Leo\, son Teddy (12yrs) and daughter Rose (9yrs) live in Lincoln Park\, Chicago. \n\n\nClose×\n\n\n\n\n\n\nJason Mehring is a Managing Director at BlackRock. He is a voting member and a past Chairman of the investment committee for BlackRock’s US Private Capital Group (“USPC”).Mr. Mehring focuses on the team’s origination\, underwriting and monitoring of middle market private investments\, including those made on behalf of the Middle Market Senior Fund (“MMSF”)\, where he is the lead Portfolio Manager\, and other public and private investment funds. These investment vehicles offer middle-market companies flexible financing solutions to meet their current and future capital needs. \nJason has over 26 years’ experience in middle market investing including his 15 years’ experience with the USPC team\, joining as a Managing Director at BlackRock Capital Investment Corporation’s former advisor in 2005. Mr. Mehring previously spent more than ten years at Banc of America Capital Investors (BACI)\, an affiliate of Bank of America\, Inc.\, in Chicago\, where he held positions of increasing responsibility\, becoming a Principal of the firm in 2000. At BACI\, Mr. Mehring focused on mezzanine and private equity investing in middle market companies. Prior to joining BACI in 1994\, he worked at Firstar Bank\, a predecessor to U.S. Bank. \nMr. Mehring received a B.B.A.\, summa cum laude\, in Finance and Economics from the University of Wisconsin Eau Claire\, where he also graduated with University Honors\, an M.B.A. from the Kellogg School of Management at Northwestern University\, and he has served on a variety of private corporate boards. \n\n\nClose×\n\n\n\n\n\nMs. Charles\, as the Managing Director and Director of Closed-End Fund and ETF Research\, is responsible for setting general research policy and strategy. She joined Raymond James Financial in November 1995 and joined the Closed-End Fund Research group in September of 1998. Prior to joining Closed-End Fund Research\, she spent two and a half years in the Equity Research Department. She has been the Director of Closed-End Fund Research since May of 2000. She holds a B.A. from Florida Metropolitan University.  Ms. Charles has been quoted in several publications including Business Week and has been a speaker at numerous conferences throughout the year.\n\nClose×\n\n\n\n\n\n\nJorge Solares-Parkhurst is a Managing Director in JMP Securities’ financial services investment banking group.Prior to joining JMP\, Jorge had been a Director in the global financial institutions group at Credit Suisse\, where he worked with U.S. specialty lenders and regional banks. He previously served as a Managing Director at FBR Capital Markets and a Senior Managing Director at Bear\, Stearns & Co. Jorge began his career in PaineWebber’s investment banking division\, remaining with the firm following its acquisition by UBS and concluding his tenure there as a Director in the financial institutions group for the Americas. \nJorge holds a BSFS in international economics from The Edmund A. Walsh School of Foreign Service at Georgetown University. \n\n\nClose×\n\n\n\n\n\n\nKenneth E. Burdon represents public and private investment funds\, investment advisers\, financial services companies and other financial institutions in connection with the structuring and distribution of investment products\, and in a variety of regulatory\, compliance\, corporate\, governance\, operational and transactional matters.Serving clients in every major international financial center\, Skadden\, Arps\, Slate\, Meagher & Flom LLP and affiliates is one of the leading law firms in the world\, with 22 offices and approximately 1\,700 attorneys offering solutions to the most challenging legal issues in virtually every area of corporate law. \n\n\nClose×\n\n\n\nRoxanna Islam is Associate Director of Research for Alerian S-Network Global Indexes. She has 10+ years of experience in research and product management in the financial services industry. In her current role\, Islam assists the research team in creating timely and relevant research with a focus on thematics and income.\nPreviously\, Islam was a Senior Equity Research Associate at Stifel in the freight transportation\, logistics\, and electric vehicle sectors. She was also a Research Associate at Wells Fargo\, where she researched closed-end funds and exchange-traded products. She also held other research and product management roles at Wells Fargo. Islam holds a Bachelor of Business Administration in Finance and a Bachelor of Arts in Plan II Honors from the University of Texas at Austin. She is a CFA charterholder.Alerian is a leading independent index provider focused on building innovative\, index-based investment strategies. Alerian acquired S-Network Global Indexes in 2020\, expanding the firm’s index offerings and services to partners. Combined\, the firm serves the global investment community through indexing\, benchmarking\, and calculation services. Built on a foundation of data rigor and specialty research\, Alerian S-Network Global Indexes offer a comprehensive family of energy\, income\, and thematic indexes. Today\, the firm has over $23 billion in total assets benchmarked to its indexes and over 200 customers worldwide.\n\nClose×\n\n\n\n\n\n\nVadim Avdeychik advises business development companies (BDCs)\, mutual funds\, closed-end funds\, exchange-traded funds (ETFs)\, hedge funds and their investment advisers on the full range of investment management matters. His experience spans the formation and operation of registered investment companies\, alternative fund structures\, fund governance\, regulatory issues involving public and private funds\, ERISA and investment company status issues and exemptions.Vadim also advises clients on environmental\, social and governance (ESG) investing\, including launching investment products\, advising directors on ESG matters and establishing compliance programs for ESG investing. He has authored several articles on the topic and is a frequent speaker on regulatory issues dealing with ESG investing. \n\n\nClose×\n\n\n \n \n\nRob Watson\, CFP®\nPartner & Head of Investments\nRob Watson is a Partner & Head of Investments for Destra. Rob also serves as President of Destra Capital Advisors\, LLC and DFC Preferred Advisors LLC\, both SEC registered investment advisors\, as well as President of each of Destra’s mutual funds. Rob chairs the Firm’s Investment Committee\, with responsibility for manager research and selection\, as well as portfolio oversight and monitoring. In addition\, he heads the Firm’s investment product and marketing efforts.\nRob has held numerous roles across an almost 30-year career in the financial services industry. Rob has run product units at Morgan Stanley & Aviva Investors and been responsible for business development and account management teams at Janus & Van Kampen. He has extensive experience in product design and investment implementation\, as well as institutional sales and manager due diligence. He holds key industry licenses\, is a CFP® certificate holder\, and has a Bachelor of Science degree in Economics from North Carolina State University.\n\nClose×\n\n\n \n \n\nColin is a Senior Portfolio Manager at Angel Oak Capital and serves as a Portfolio Manager for the Multi-Strategy Income Fund\, the UltraShort Income Fund\, the Strategic Credit Fund\, the Core Impact Fund\, and the Strategic Mortgage Income Fund. He also focuses on security and portfolio analytics and is responsible for building and managing strategies within the residential mortgage-backed securities market.\nColin joined Angel Oak in 2012 and serves as a voting member of the firm’s public funds Investment Committee. He is also a speaker on many of the firm’s quarterly calls for both its private and public funds.\nPrior to Angel Oak\, Colin worked for an Atlanta-based boutique investment firm where he was responsible for the acquisition and management of their distressed debt portfolio\, as well as the development of their proprietary financial technology platform. Previously\, Colin worked in the Real Estate Capital Markets group for Wachovia Bank and Wells Fargo where he focused on risk management for their commercial real estate REPO lines.\nColin holds B.B.A. degrees in Banking & Finance and Real Estate from the Terry College of Business at the University of Georgia.\n\nClose×\n\n\n \n\n \n\nJustin leads product management and development for Nuveen’s Municipal and Preferred Securities product lines. In this role\, he collaborates with Nuveen’s Investment\, Distribution\, Marketing and Operations teams to drive the strategic growth of our Municipal and Preferred Securities business. Justin’s primary responsibilities include the development and management of investment products and strategies in an effort to thoughtfully achieve our strategic product plan.\nPrior to joining Nuveen\, Justin led product management and development for Destra Capital. He also served as a member of the firm’s Investment Committee\, was an officer for Destra’s suite of mutual funds and led sub-advisor due diligence. Prior to joining Destra\, Justin played an integral role in the product management and development of closed-end funds\, mutual fund and ETFs at Guggenheim Investments.\nJustin graduated with a Bachelor’s degree in Business Administration from the University of Wisconsin-Whitewater. He holds the CFA designation and is a member of the CFA Institute and CFA Society of Chicago.\nNuveen\, the investment manager of TIAA\, offers a comprehensive range of outcome-focused investment solutions designed to secure the long-term financial goals of institutional and individual investors. Nuveen has $1.3 trillion in assets under management as of 31 Dec 2021 and operations in 27 countries. Its investment specialists offer deep expertise across a comprehensive range of traditional and alternative investments through a wide array of vehicles and customized strategies. For more information\, please visit www.nuveen.com.\n\nClose×\n\n\n \n \n\nMichael Bell is a Managing Director of Primark. Prior to Primark\, Michael built\, and was the CEO for a $12B RIA managing more than 30 investment strategies and a $10B liquid alternative mutual fund complex that launched more than 50 alternative funds. Most recently he purchased\, grew and sold a family office-backed $6B RIA. Also\, he specialized as a corporate finance attorney for Latham & Watkins and was a CPA for KPMG. He holds a BS in Commerce from the University of Virginia and a JD from West Virginia University.\nPrimark is expanding access to private equity investments without the complexity of subscription documents\, high investment minimums\, and the complex tax treatment associated with traditional institutional private equity fund structures.\n\nClose×\n\n\n \n \n\nShiloh R. Bates joined Flat Rock Global in 2018 and is a Partner and Chief Investment Officer.  Prior to joining Flat Rock Global\, Mr. Bates was a Managing Director at Benefit Street Partners where he worked on corporate acquisitions. Prior to that\, Mr. Bates was the Head of Structured Products at BDCA Advisor\, where he was responsible for investments in CLOs\, leveraged loans\, and publicly traded BDCs.\nDuring his 20-year career\, Mr. Bates worked for several CLO managers and invested over $1.3 billion in CLO securities. He is a frequent panelist at CLO conferences and has written a book on investing in CLO equity.\n\nClose×\n\n\n \n \n\nAlex Condrell is a Managing Director at Cliffwater. Founded in 2004\, Cliffwater provides research and investment due diligence services across the full range of private markets and alternative investments. Cliffwater also manages over $4 billion in private credit funds. Alex joined Cliffwater in 2021.\nPrior to joining Cliffwater\, Alex was a Managing Director at Monroe Capital\, an asset management firm specializing in lower middle market direct lending. Before that\, Alex was the Chief Investment Officer at Main Street Financial\, with prior experience at Calamos Investments\, Lotsoff Capital\, Fannie Mae and Freddie Mac.\nHe earned a BA in Government from Pomona College and an MBA in Finance from Georgetown University. Alex is a CFA charterholder and also holds the CAIA designation..\n\nClose×\n\n\n \n \n\n\nChuck Jaffe is a syndicated financial columnist and the host of “Money Life with Chuck Jaffe\,” a one-hour weekday financial talk show (moneylifeshow.com).Chuck’s work has been syndicated since 1995\, first while based at the Boston Globe and then from MarketWatch.com; he also writes for the Wall Street Journal and elsewhere. A past president of the Society of American Business Editors &and Writers\, Chuck has been a frequent guest on CNBC\, Nightly Business Report\, Fox Business News\, National Public Radio and more\, and is the author of three books: “Getting Started In Finding a Financial Advisor\,” “The Right Way to Hire Financial Help” and “Chuck Jaffe’s Lifetime Guide to Mutual Funds.” \nIn what is jokingly referred to as “spare time\,” Chuck is very involved in the sport of lacrosse as a broadcaster\, referee\, coach\, league owner and player. He lives on Boston’s South Shore with a golden retriever who sleeps under the desk while Chuck is working and whose flatulence issues sometimes explain Chuck’s demeanor. \nYou can follow him on Twitter @ChuckJaffe\, @MoneyLifeShow and\, depending on your sporting interests\, @BostonBoxLax. \nWebsite: http://www.moneylifeshow.com \n\n\nClose×\n\n\n \n\n \n\nMr. Schlemovitz is a Managing Director for Conversus\, a StepStone Company.\nMr. Schlemovitz focuses on strategic relationships and product development.  Prior to StepStone\, Mr. Schlemovitz served as a Managing Director of CNL Financial Group\, a $10 billion asset manager providing access for individual investors to the private markets.  At CNL he created and oversaw the firm’s Private Equity platform and was the Chief Operating Officer of Strategic Capital.  Previously Mr. Schlemovitz was an Executive Director in Investment Banking at J.P. Morgan where he led equity and debt capital raising and merger and acquisition transactions for Financial Institution clients.\nMr. Schlemovitz received his BA from Emory University and is a CFA charterholder.Conversus Company Profile Blurb:\nConversus is an investment firm designed to provide individual investors the opportunity to access private markets with the goal of transforming portfolios and enhancing long-term outcomes. Conversus is a wholly-owned business of StepStone Group\, a global asset management and advisory firm with over $500 billion in assets under advisement. Leveraging StepStone’s extensive experience across the private markets allows Conversus to create innovative\, investor-centric products by focusing on convenience\, efficiency and transparency.\n\nClose×\n\n\n \n \n\nMike Taggart\, CFA is the founder and CEO of Taggart Fund Intelligence. Previously\, he worked in the closed-end fund group at Nuveen\, and before that he was the head of U.S. closed-end fund research at Morningstar. He has spent nearly half his career covering closed-end funds.\n\nClose×\n\n\n\n\n\nKevin T. Hardy represents public and private funds\, fund sponsors\, investment advisers\, broker-dealers\, investment banks and other financial institutions in connection with the design and formation of investment funds and products\, securities offerings\, regulatory and compliance matters\, transactions and other corporate matters.\nIn the registered investment company area\, Mr. Hardy advises clients in the development\, structuring\, operation and regulation of mutual funds\, closed-end funds and exchangetraded funds. He has represented fund sponsors and underwriters in initial public offerings of closed-end funds and secondary market financings\, including rights offerings and debt and preferred securities offerings by such funds. Fund sponsors advised by Mr. Hardy have\nincluded Guggenheim Funds\, BlackRock\, Northern Trust and Invesco Van Kampen. He has represented investment banks\, including UBS\, Merrill Lynch and A.G. Edwards\, as underwriters of offerings by closed-end funds sponsored by firms such as Eaton Vance\, PIMCO\, Nuveen\, John Hancock\, Nicholas Applegate and First Trust. Mr. Hardy regularly counsels\nregistered investment funds and their boards of directors in connection with directors’ duties\, corporate governance and regulatory matters.\nMr. Hardy represents investment advisers and other financial services firms in transactions\, financings and a wide range of operational and regulatory matters\, including Advisers Act registration\, regulatory examinations and the structuring of employee compensation and equity participation plans. He has advised buyers and sellers in a number of significant transactions in the asset management industry\, including AMVESCAP plc in its acquisition of PowerShares Capital Management and Nuveen Investments in connection with its acquisition by an investor group led by Madison Dearborn Partners and its acquisition of First American Funds Advisors.\nMr. Hardy also represents sponsors\, investors and placement agents in the formation and operation of U.S. and offshore private investment funds and other unregistered investment vehicles.\nMr. Hardy has repeatedly been selected for inclusion in Chambers Global and Chambers USA.https://www.skadden.com/about/overview\n\nClose×\n\n\n\n\n\n\nBill has been a leader on the sales and marketing side of the financial services industry for more than 35 years. He joined Wildermuth Securities in March of 2022 and serves as the company’s field representative throughout the eastern US. He earned his MBA from the University of Notre Dame and his BA from Middlebury College. He currently lives in suburban Chicago. \nTHE WILDERMUTH FUND provides investors with access to early-stage private equity that has traditionally been reserved for institutional investors. The Fund offers portfolio diversification among early-stage private equity positions in various asset classes including technology\, real estate\, healthcare\, energy\, and hedge funds that would be difficult for individual investors to achieve because of typically high minimum investments.\nDaniel Wildermuth is the Fund’s portfolio manager. With over 25 years of investment experience\, he has been a pioneer in adapting the endowment investment approach to the needs of individual investors. Mr. Wildermuth is CEO and CIO of Wildermuth Advisory and Asteria Wealth\, a money management firm that administers more than 20 equity and fixed income portfolio strategies for retail and institutional investors. \n\n\nClose×\n\n\n\n\n\n\nMark is responsible for supporting the continued investment success of Parametric’s systematic income product suite—with focus on dividend income and enhanced income strategies. Prior to joining Parametric in 2019\, he spent seven years with US Bank’s Asset Management Group as a vice president in equity portfolio management covering domestic large-cap securities. Mark is also a firefighter for the city of Plymouth\, Minnesota. He earned an MBA from the Kelley School of Business at Indiana University and a BS in finance/information systems from Iowa State University.Parametric partners with advisors to build portfolios focused on what’s important to them and their clients. A leader in custom solutions for more than 30 years\, we help investors access efficient market exposures\, solve implementation challenges\, and design multi-asset portfolios that respond to their evolving needs. Headquartered in Seattle\, Parametric has offices in Minneapolis\, New York City\, Boston\, and Westport\, Connecticut. \n\n\nClose×\n\n\n\n\n\n\nRobert Shaker\, has been working with Shaker Financial Services since 2004 and currently serves as its Chief Investment Strategist. He is responsible for overseeing strategy development\, trading and portfolio allocations.Shaker Financial Services\, LLC (SFS) is a boutique investment advisory firm specializing in the trading of closed-end funds. SFS first began to accept funds for investment in individual separately managed accounts in 1996. SFS’s “Discount Capture” Composite is currently rated five (5) stars by Morningstar. \n\n\nClose×\n\n\n\n\n\n\nSteve joined RiverNorth in 2007 and serves as Portfolio Manager. Steve co-manages the firm’s closed-end fund trading strategies and helps to oversee the firm’s closed-end fund investment analysts.Prior to joining RiverNorth\, Steve was Assistant Vice President at Bank of America in the Global Investment Bank’s Portfolio Management group where he specialized in the corporate real estate\, asset management and structured finance industries.Steve graduated Magna Cum Laude from Miami University of Ohio with a B.S. in Finance and a minor in Economics. He is a CFA Charterholder and member of the CFA Institute and the CFA Society of Chicago. \nRiverNorth is an investment management firm founded in 2000 that specializes in opportunistic strategies in niche markets where the potential to exploit inefficiencies is greatest. RiverNorth is the manager to multiple registered and private funds. \n\n\nClose×\n\n\n\n\n\n\nJosh Duitz is Deputy Head of Global Equities and Head of Infrastructure (public markets) at abrdn. Josh joined Alpine Woods Capital Management in 2007\, where he was a Portfolio Manager of its Global Dynamic Dividend and Global Infrastructure strategies. The management contracts of the funds he managed at Alpine Woods were acquired by abrdn in April 2018. Previously\, Josh worked for Bear Stearns where he was a Managing Director\, Principal and traded international equities. Prior to that\, Josh worked for Arthur Andersen where he was a senior auditor. Josh continues to be responsible for managing the Global Dynamic Dividend and Global Infrastructure strategies. Josh graduated with an MBA from The Wharton School\, and holds a BA from Emory University.abrdn is a global investment company that helps clients and customers plan\, save and invest for their future. abrdn manages and administers $469.2 billion of assets for clients\, and has over 1 million shareholders. (Figures as at 30 June 2022) \nEnabling our clients to be better investors drives everything we do. Our business is structured around three vectors – Investments\, Adviser and Personal – focused on their changing needs. Our investments solutions are built on the strength of our insight – generated from wide-ranging research\, worldwide investment expertise and local market knowledge. Our teams collaborate across regions\, asset classes and specialisms\, connecting diverse perspectives\, working with clients to identify investment opportunities that suit their needs. \n\n\nClose×\n\n\n\n\n\n\nThomas A. DeCapo represents financial services firms on a broad range of investment management industry matters. Mr. DeCapo’s practice focuses on mergers and acquisitions\, U.S. and international public and private financings\, regulatory and compliance matters\, and a variety of general securities and corporate matters in the investment management industry\, as well as developing new investment products. Mr. DeCapo has extensive experience in fund corporate governance matters\, including shareholders’ activist challenges. He advises investment company clients on corporate preparedness and in proxy contests. Additionally\, Mr. DeCapo has been a leader in structur- ing periodic liquidity (interval) funds\, having advised on one of the first-ever continuously offered tender offer closed-end funds\, and on many recent Rule 23c-3 interval funds and tender offer funds.Mr. DeCapo has represented clients such as Gabelli\, Tweedy\, Browne\, FMR\, BlackRock Funds\, Franklin Square\, John Hancock\, Oppenheimer Funds\, U.S. Trust Corporation\, Massa-chusetts Mutual Life Insurance Company\, the Van Kampen Funds and Raymond James & Co. Representative transactions include serving as issuer’s or underwriter’s counsel for several innovative registered alternatives strategies (liquid alts)\, fund of funds and for public “venture capital” funds; serving as collateral manager or deal counsel for CBOs and CLOs; serving as buyer’s or seller’s counsel in connection with the purchase or sale of investment management businesses; and counseling a variety of technology and internet-based financial services firms in connection with investment company\, investment adviser and broker-dealer matters. Recently\, he has structured permanent capital private equity vehicles designed to acquire control of and operate private companies\, and to distribute\, exchange and list their own shares without becoming required to register under the Investment Company Act. \nHe also counsels on a wide variety of investment company\, investment advisory and broker-dealer matters. Mr. DeCapo has been listed in Best Lawyers in America as one of the country’s leading mutual funds lawyers. \n\n\nClose×\n\n\n \n\n\nSteve is a Senior Special Counsel Fellow and the SEC’s industry specialist on Business Development Companies (BDCs). Steve’s work focuses on a broad array of BDC matters\, including disclosure review\, examinations\, enforcement\, rulemaking\, and exemptive relief applications\, among others. \nSteve joined the SEC in 2021. Prior to the SEC\, Steve spent eight years at Blackstone where he was primarily focused on providing legal advice relating to formation\, fundraising\, co-investment transactions\, corporate governance and compliance oversight of Blackstone BDCs. In addition\, while at Blackstone\, Steve worked on a variety of matters pertaining to private funds\, CLOs\, private credit\, debt and equity offerings transactions\, financing facilities and advisory and compliance issues. Prior to joining Blackstone in 2013\, Steve was an associate in the corporate group of Bingham McCutchen LLP (now Morgan\, Lewis & Bockius LLP). Steve earned his B.B.A.\, summa cum laude\, from Pace University\, Lubin School of Business\, Pforzheimer Honors College\, and his J.D.\, cum laude\, from Fordham University School of Law. \n\n\nClose×\n\n\n\n\n\n\nAs Managing Director and Head of UniFi by CAIA™ \, Aaron oversees content and product strategy for the UniFi by CAIA™ Program. Prior to this\, Aaron was responsible for the strategic direction of CAIA Association’s content agenda\, thought leadership\, and member education initiatives\, and supported content development for the CAIA Charter Program. His work has been published by Oxford University Press and The Journal of Investing\, and covers topics such as ESG/sustainable investing\, liquid alternatives\, commodities\, and asset pricing/factor investing. He is a frequent writer and speaker on these topics. Aaron’s practitioner experience lies in private wealth management\, where he served as portfolio manager\, overseeing asset allocation\, portfolio construction\, and manager research efforts for high-net-worth individuals and institutional retirement plans. \nHe earned a B.S. with distinction in Finance and a Master of Finance from Penn State University. He holds the Chartered Alternative Investment Analyst (CAIA)\, Chartered Financial Analyst (CFA)\, Certificate in Investment Performance Measurement (CIPM)\, Financial Data Professional (FDP) designations\, is a CERTIFIED FINANCIAL PLANNER™\, and holds the the CFA Institute’s Certificate in ESG Investing. He is a Past President of CFA Society Columbus and serves on the CFA Society Philadelphia Programs Committee. Aaron is an adjunct professor and serves on multiple advisory boards for Penn State University. \nThe CAIA Association is a global professional credentialing body dedicated to creating greater alignment\, transparency\, and knowledge for all investors\, with a specific emphasis on alternative investments. A Member-driven organization representing professionals in more than 100 countries\, CAIA Association advocates for the highest ethical standards. The organization provides unbiased insight on a broad range of investment strategies and industry issues\, key among them being efforts to bring greater diversification to portfolio construction decisions to achieve better long-term investor outcomes. \n\n\nClose×\n\n\n\n\n\n\nMr. Penn follows business development companies. Prior to joining Oppenheimer and Co. he followed business development companies at Janney Montgomery Scott. In addition\, he was an Equity Portfolio Manager/Financial Analyst at Legg Mason Capital Management from 2001 to 2012 where he specialized in financial companies. From 1996 to 2001 he managed a $400M fixed income portfolio at Legg Mason Capital Management. Prior to joining Legg Mason Mr. Penn managed a $15B fixed income portfolio at Aetna. He also worked for Price Waterhouse from 1981 to 1985.Mr. Penn received his Chartered Financial Analyst designation in 1995 and is a member of the Baltimore CFA Society. He was President of the Baltimore Society (2001-2002) and served on the Board of Directors. Mr. Penn received his Certified Public Accounting designation in 1983\, but he no longer maintains this designation. He is a graduate of Villanova University\, Magna Cum Laude\, Phi Kappa Phi\, Beta Gamma Sigma (1981) and University of Chicago (MBA-1987). \n\n\nClose×\n\n\n\n\n\n\nCheryl is a Portfolio Manager at Angel Oak Capital and serves as a Portfolio Manager for the Financials Income Fund\, Financial Strategies Income Term Trust and the Dynamic Financial Strategies Income Term Trust. Cheryl has more than 15 years’ investment experience and primarily focuses on investment research and management across the firm’s financial sector-focused strategies.Cheryl joined Angel Oak in 2017 from Morgan Stanley\, where she was an Executive Director and Head of Consumer & Specialty Finance Equity Research. Her research coverage included a multitude of financial sectors\, including consumer\, specialty\, mortgage\, REIT\, payments\, fintech and banking. \nCheryl has been featured as a television guest on CNBC\, Bloomberg\, TD Ameritrade Network and Yahoo! Finance TV and has been quoted in various publications including American Banker\, Marketwatch\, DailyAlts and S&P Global Market Intelligence. \nCheryl holds a B.S. in Commerce (Finance) from the University of British Columbia and an M.B.A. from Duke University’s Fuqua School of Business. She also holds the Chartered Financial Analyst (CFA) designation. \n\n\nClose×\n\n\n\n\n\nParth is a vice president and leads product management and\ndevelopment efforts for Nuveen’s closed-end fund product line. He is\nresponsible for developing and bringing new concepts to market\, as well\nas overseeing the ongoing product management of existing closed-end\nfunds.\nPrior to joining Nuveen\, Parth was a senior tax consultant at Deloitte\,\nwhere he specialized in investment company taxation.\nParth graduated with a B.S. in Accountancy and Finance from the\nUniversity of Illinois. He holds the Series 7 and 66 securities\nregistrations.Nuveen\, the investment manager of TIAA\, offers a comprehensive range of outcome-focused investment solutions designed to secure the long-term financial goals of institutional and individual investors.\nNuveen has $1.1 trillion in assets under management as of 30 Jun 2022 and operations in 27 countries. Its investment specialists offer deep expertise across a comprehensive range of traditional and alternative investments through a wide array of vehicles and customized strategies. Nuveen is a leading sponsor of closed-end funds (CEFs) with $57 billion of assets under management across 56 CEFs as of 30 Jun 2022. The funds offer exposure to a broad range of asset classes and are designed for income-focused investors seeking regular distributions. Nuveen has more than 35 years of experience managing CEFs.\n\nClose×\n\n\n\n\n\n\nMr. Arduini is a Partner and Portfolio Manager in the Ares Credit Group\, where he focuses on alternative credit investments. Mr. Arduini serves as a Vice President and Portfolio Manager for the Ares Dynamic Credit Allocation Fund\, Inc. (NYSE:ARDC). Additionally\, he serves as a member of the Ares Dynamic Credit Allocation Fund Investment Committee.Prior to joining Ares in 2011\, Mr. Arduini was a Managing Director at Indicus Advisors LLP\, where he focused on structured credit investment opportunities. Previously\, Mr. Arduini was Director of Structured Credit in the Fixed Income Investment Group and a Manager in the Risk Management Group at TIAA-CREF. In addition\, Mr. Arduini worked in the telecommunications and information technology industries in various systems\, operations and management roles. Mr. Arduini holds a B.A. from Bucknell University in Mathematics and an M.S. from Stevens Institute of Technology in Mathematics. \nMr. Arduini also holds an M.S. from Carnegie Mellon University in Computational Finance. Mr. Arduini is a CFA® charterholder and a member of the New York Society of Security Analysts. \n\n\nClose×\n\n\n\n\n\n\nGretchen Lam\, Senior Portfolio Manager. Ms. Lam is a member of Octagon’s Investment Committee and serves as a Portfolio Manager across CLOs\, Separately Managed Accounts and Commingled Funds. Ms. Lam oversees the Firm’s Structured Credit (CLO debt & equity) investment strategies. Ms. Lam is a member of the Octagon & Conning’s Global DEI (diversity\, equity and inclusion) Council and a member of the Firm’s ESG (environmental\, social\, and corporate governance) Committee.Prior to becoming a Portfolio Manager\, Ms. Lam oversaw Octagon’s investments in the software\, business services\, finance & insurance\, paper & packaging\, gaming & lodging\, homebuilding and real estate industries. She was also responsible for the structured credit exposure held in Octagon’s CLO vehicles. Prior to joining Octagon in 1999\, Ms. Lam attended Babson College where she graduated Summa Cum Laude with a B.S. in Investments. She received her CFA Charter in 2006. \nOctagon is a 25+ year old\, $30.6B below-investment grade corporate credit investment adviser focused on leveraged loan\, high yield bond and structured credit (CLO debt and equity) investments. Through fundamental credit analysis and active portfolio management\, Octagon’s investment team identifies attractive relative value opportunities across below-investment grade asset classes\, sectors and issuers. Octagon’s investment philosophy and methodology encourage and rely upon dynamic internal communication to manage portfolio risk. Over its history\, the firm has applied a disciplined\, repeatable and scalable approach in its effort to generate attractive risk-adjusted returns for its investors. For more information\, please visit www.octagoncredit.com. \n\n\nClose×\n\n\n\n\n\n\nRobert Amodeo is Head of Municipals at Western Asset Management Company\, LLC and has 34 years of investment experience. Mr. Amodeo began his career at The Bank of New York but soon thereafter joined Salomon Brothers Inc.\, where he was responsible for analyzing various private investment partnerships\, including venture-capital\, oil-and-gas\, and real-estate\, equity and bond portfolios.In 1992\, Robert joined Salomon Brothers Asset Management where his role evolved into managing director\, head of the municipal bond investment team and he worked with Salomon’s Yield Book department to adapt advanced technology for municipal bond and tax-efficient portfolio management. Since 2005\, Robert has been part of Western Asset’s municipal bond investment team and is the sector head of that group. \nMr. Amodeo holds a Bachelor’s degree from Long Island University and a Master of Public Administration\, Advanced Management and Finance from Columbia University. He holds the Chartered Financial Analyst designation and has written various articles regarding the public finance market. \n\n\nClose×\n\n\n\n\n\n\nLaura is a Product Specialist within Nuveen’s Alternative Investment distribution team. She is focused on supporting business development efforts across the private credit spectrum.Laura joined Nuveen in 2021.From 2014 to 2021\, she worked for Invesco’s Global Private Credit platform where she supported new business development and institutional client communications\, shaping investor messaging and business strategy globally. \nPreviously\, Laura worked in corporate finance and investor relations at CIFC Asset Management where she supported marketing efforts and was responsible for financial projections on behalf of their private equity owners. Prior to CIFC\, she was an associate at Goldman Sachs\, where she worked in the firm’s investment management finance division focused on credit strategies. Laura began her career at Deloitte & Touche. \nShe entered the investment management industry in 2003.Laura graduated with both a B.S. in Business with a major in Accounting and an M.S. in Accounting from the University of Connecticut. She is a Certified Public Accountant (inactive) and holds the FINRA Series 7 and Series 66 registrations. \n\n\nClose×\n\n\n\n\n\n\nChristian has 21 years of experience in financial services and investment management\, with the last 16 years focused on secondary investments involving venture-backed and growth equity-oriented companies and funds. During this time\, he has also served on the boards of many of these companies and funds. \nPrior to Liberty Street Advisors\, Christian was CIO of SPIM overseeing all investment related functions. Christian still serves as one of the portfolio managers of The Private Shares Fund\, formerly the SharesPost 100 Fund\, and a member of the investment committee. \nPrior to joining The Private Shares Fund investment management team and Liberty Street Advisors\, Inc.\, Christian was Co-Head of the Global Private Equity Secondaries Practice at HQ Capital based in New York\, a $10+ billion alternative investment firm headquartered in Germany. Prior to that\, he served as Head of Secondaries at Thomas Weisel Partners. Christian started his career as an investment banker at Banc of America Securities. \nIn aggregate\, Christian has helped raise more than $1 billion globally from institutional investors\, corporations\, pensions\, endowments\, and family offices\, and has completed or overseen the completion of more than 100 secondary transactions representing over $1 billion in capital commitments. \nChristian received his BA from Rutgers College. \n\n\nClose×\n\n\n\n\n\nMichael Grayson is a Portfolio Manager at First Trust Capital Management L.P (“FTCM”). Michael focuses on FTCM´s event-driven and multi-alternative mandates as well as private market platform. Michael started his career at Vivaldi Asset Management\, LLC\, an independently owned\, boutique alternative investment firm based in Chicago. Vivaldi was predominantly a Multi-Family Office and Advisor to several public (1940 Act) alternative products. Michael was dedicated to the firm´s investment management as well as business and product development verticals.\nMichael holds a B.A from University where he studied Political Science and Economics.\n\nClose×\n\n\nMr. Hobbs leads Oaktree’s North American Sourcing and Origination group\, which focuses on private credit sourcing and deal origination for the firm’s U.S. Private Debt\, Global Private Debt\, Special Situations and Global Opportunities strategies. He also serves on the investment committee for Oaktree’s Direct Lending platform. Prior to joining the firm in 2013\, Mr. Hobbs was an executive director at Natixis Securities focused on building the high yield sales and trading franchise. Prior thereto\, he spent five years at Goldman Sachs as a vice president in leveraged finance origination and sales. Before joining Goldman Sachs in 2007\, Mr. Hobbs was a director in Leveraged Finance at Deutsche Bank Securities\, which he joined in 2000. Additional experience includes regional account management focused on fleet financing at GE Capital Corporation and controller for Leveraged Finance at Bank of America. Mr. Hobbs received his M.B.A. from Columbia Business School and a B.S. degree in accounting from Rutgers University. Brookfield Oaktree Wealth Solutions partners with financial professionals around the world to connect investors to the innovative solutions\, expertise and insights.\n\n\n\n\n\nBrookfield and Oaktree. From public to private markets\, and across the liquidity spectrum\, we aim to be the single point of entry into the very best of Brookfield and Oaktree – with the goal of helping advisors and their clients understand how to navigate key investment decisions\n\nClose×\n\n\n\n\n\n\n\n\n\nCFA (2012); BSc (Pure and Applied Mathematics) (Hons\, 2008)\, Trinity College\, Ireland. \nKevin is an institutional portfolio manager for RBC GAM-US. He specializes in a broad spectrum of global credit strategies including Investment Grade\, Leveraged Finance\, Emerging Markets\, Multi-Asset and Alternatives. \nKevin joined RBC GAM in 2014; he moved from BlueBay Asset Management to RBC GAM-US in 2020. During his time at BlueBay\, he initially worked as an institutional portfolio manager on the Emerging Markets desk\, before broadening his remit to cover other areas of the global credit markets. Prior to joining BlueBay\, Kevin worked for another global asset management company\, where he specialized in fixed income fund manager research to feed ideas into the firm’s suite of multi-manager portfolios. Prior to this\, Kevin worked as an investment consultant at a global consulting firm. \nHe began his career in the investment industry in 2008. \n\n\nClose×\n\n\n\n\n\n\nErin is head of strategic development for Thornburg Investment Management\, leading corporate and product development initiatives across the firm. She has extensive investment and management experience\, including with large and small asset management firms and most recently the financial technology industry. \nPrior to joining Thornburg\, Erin was chief investment officer for C2FO\, a Kansas City–based financial technology company focusing on supply-chain finance solutions. She developed private investment solutions to provide working capital liquidity to small businesses\, utilizing C2FO’s proprietary technology platform. \nPrior to C2FO\, Erin spent 11 years with Fountain Capital Management\, a boutique high-yield investment firm also based in Kansas City. At Fountain\, Erin held various positions\, including partner\, portfolio manager\, head trader\, and research analyst. She started her career at Strong Capital Management as an equity research analyst\, focusing on small- and mid-cap value portfolios and later as a private equity analyst for McCarthy Capital. \nErin is a graduate of Indiana University with a BS in finance and is a CFA charterholder. \n\n\nClose×\n\n\n\n\n\nMr. Stone joined Flaherty & Crumrine in 2003 after a 20-year career on Wall Street. Based in Summit\, New Jersey\, he is a member of the firm’s portfolio management team. He is responsible for macroeconomic and quantitative research and analysis and directs our credit research group. Together with Mr. Chadwick and Mr. Conwell\, he serves on the firm’s board of directors and is a member of the executive management committee. He also serves as Chief Financial Officer\, Vice President and Treasurer of the U.S. Flaherty & Crumrine closed-end funds and oversees the financial reporting and tax operations for the Flaherty & Crumrine closed-end funds.\nFrom 2001 until joining Flaherty & Crumrine\, he was Director of U.S. Market Strategy at Barclays Capital in New York\, where he advised clients on market strategies across U.S. treasuries\, agencies\, and interest rate derivative products. Prior to Barclays\, he spent 14 years at Goldman Sachs\, where he most recently held the position of Director — Interest Rate Product Strategy\, Americas. He was a regular member of Institutional Investor’s All-America Fixed Income Research Team\, earning the top ranking in Derivatives Strategy in 2001. He began his career at Salomon Brothers as an options trader and derivative salesperson.\n\nClose
URL:https://dev.aicalliance.org/aica-event/aicanyc2022/
CATEGORIES:Past Events
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BEGIN:VEVENT
DTSTART;VALUE=DATE:20231115
DTEND;VALUE=DATE:20231216
DTSTAMP:20260404T174708
CREATED:20230630T193535Z
LAST-MODIFIED:20251031T174049Z
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SUMMARY:AICA 2023 Fall Roundtable
DESCRIPTION:Now in its 5th year\, the Active Investment Company Alliance’s Roundtable conference addresses the latest trends\, developments and investment strategies from quality fund sponsors. It will be held on Wednesday\, November 15\, 2023 in Manhattan at the Down Town Association\, a social organization dating back to 1859. The event will feature a full day of informative panels\, great speakers\, valuable networking and more. \nThe conference brings together institutional investors\, RIAs\, fund and asset managers\, financial advisors\, and financial media. The event offers a great opportunity to hear about the latest fund products and trends\, to network and establish quality connections. \nAICA is known for combining high quality\, advisor-centric content\, distinguished by its invite-to-speak presentations (not the typical pay-to-speak format) that enable meaningful discussions and interaction. In addition\, AICA also sponsors the weekly NAVigator Podcast. AICA strives to facilitate and grow relationships for institutional investors\, financial advisors\, service providers and fund sponsors within the industry. \n \nAgenda\nSponsorsInterviewsArticlesAttendee ClassificationFeedbackSponsors\n\n  \n\n\n\n\n\n\n\nBe an AICA event sponsor!\nSponsorship opportunities – Download Here\n\n\n\n\n\n\nCEF Advisors & CEFData.com\nWallachBeth\nVirtu Financial\n\n\n\n\n\nInterviews\n\n\n\n\n\nJohn Cole Scott on AICA’s Fall 2023 Roundtable\n.\n\n\n\n\nScott Caraher on corporate loan performance\n.\n\n\n\n\nRyan Crewe on the Private Shares Fund strategy\n.\n\n\n\n\nBen McCulloch on interval fund liquidity\, growth\n.\n\n\n\n\nJohn Cole Scott talks about his firm CEF Advisors\n.\n\n\n\n\nCheryl Pate on the resiliency of U.S. banks\n.\n\n\n\n\nJosh Duitz on global income\, infrastructure\n.\n\n\n\n\nMoritz Sell on CEF activism\, outlook for 2024\n.\n\n\n\n\nPaul E. Dunn on Bluerock’s investment approach\n.\n\n\n\n\nMichael Beth on advising institutional clients\n.\n\n\n\n\n\nArticles\n\n\n\n\n\nAICA CEF Panel: Leveraged Finance Balances Portfolio Risk\, Reward\n.\n\n\n\n\nAICA CEF Panel: Bank Debt\, Tax-Exempt Muni Bonds Offer Yield Option for Income Seekers\n.\n\n\n\n\nAICA Panel: CEF Structure\, Discounts Offer Investors Enhanced Yield\n.\n\n\n\n\nAICA Panel: Interval Funds Make Special Situations Credit\, Late-Stage Venture Investing a Retail Reality\n.\n\n\n\n\nAICA CEF Panel: Asset Managers are Fueling a Surge in Interval Funds\n.\n\n\n\n\nAICA Panel: Activism is Evolving as it Attracts More Capital\n.\n\n\n\n\nAICA CEF Panel: Staying Flexible is Key to Unlocking Returns in High-Rate Environment\n.\n\n\n\n\nAICA Panel: CEF Leverage Continues to Evolve\n.\n\n\n\n\n\nAttendee Classification\n\nFeedback\n\n\nWe appreciate your feedback\n \n\n\nAgenda – 7 CE credits approved8:00 AM - Networking Breakfast8:50 AM - Welcome\n Video\n\n\n\n\n\n\n\n\n\n\nJohn Cole Scott\nCIO at CEF Advisors\,\nFounder of CEFData.com\n\n\n\n\n\n\n\n09:00 AM to 9:40 AM - CEF Track Panel #1 - Managing Credit Risk in the Current Environment\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nModerator\nAmy Charles\, Managing Director – Raymond James\nSpeaker #1\nKristopher Pritchett\, Managing Director and Portfolio Manager – Ares\nSpeaker #2\nGeorge Westervelt\, Head of Global High Yield and Head of US High Yield Research – abdrn\nSpeaker #3\nScott Caraher\, Head of Senior Loans – Nuveen\nSpeaker #4\nGretchen Lam\, CFA. Senior Portfolio Manager – Octagon\n\n\n\n\n09:40 AM to 10:20 AM - CEF Track Panel #2 - Tax Free & Investment Grade Exposure: Managing for Recessionary Risk\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nModerator\nPatrick Thomson\, Trader – Virtu\nSpeaker #1\nJonathan Mondillo\, Head of US Fixed Income – abrdn\nSpeaker #2\nMichael S. Davern\, Senior Market Strategist – Nuveen\nSpeaker #3\nCheryl Pate\, Senior Portfolio Manager – Angel Oak Capital Advisors\n\n\n\n\n\n10:20 AM to 10:40 AM - Networking Break\n\n10:40 AM to 11:20 AM - CEF Track Panel #3 - Equity Income Exposure for Dividend Confidence\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nModerator\nDan Silver\, Portfolio Manager – Closed-End Fund Advisors\nSpeaker #1\nAdam Sparkman\, Client Portfolio Manager – Thornburg\nSpeaker #2\nJosh Duitz\, Deputy Head of Global Income and Infrastructure – abrdn\nSpeaker #3\nChris Janus\, Portfolio Manager of RA – Brookfield\n\n\n\n\n\n11:20AM to 12:00 PM - Interval Fund Track Panel #4 - Attractive Funds for Access to Unique Strategies\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\n\nModerator\nJames J. Ryan\, Partner & Head of Business Development – Destra\nSpeaker #1\nRyan Crewe\, Vice President – The Private Shares Fund\nSpeaker #2\nJake Schultz\, Partner and Director\, Portfolio Oversight & Analytics – Destra\nSpeaker #3\nJames Bruno\, Managing Director and Head of Product Development and Advocacy – Brookfield Oaktree Wealth Solutions.\n\n\n\n\n\n\n12:00 PM to 1:00 PM - Networking Lunch 1:00 PM to 1:40 PM - Interval Fund Panel #5 - Explosive Growth in the Interval Fund Market\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nModerator\nDaniil Shapiro\, Director – Cerulli’s Product Development\nSpeaker #1\nPaul E. Dunn\, Executive Vice President – Bluerock Capital Markets\nSpeaker #2\nKim Flynn\, Managing Director – XA Investments\nSpeaker #3\nChirag Goyanka\, Head of Intermediaries & Product – Moonfare\nSpeaker #4\nElliot J. Gluck\, Partner – Willkie Farr & Gallagher LLP\n\n\n\n\n1:40 PM to 2:25 PM - Industry Track Panel #6 - Current State of Activism in CEFs\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nModerator\nJohn Cole Scott\nCIO at CEF Advisors\,\nFounder of CEFData.com\nSpeaker #1\nMichael He\, Vice President – EQ Fund Solutions\nSpeaker #2\nThomas A. DeCapo\, Retired Partner\, Attorney\nSpeaker #3\nPhillip Goldstein\, Managing Member – Bulldog Investors\n\n\n\n\n\n2:25 PM to 3:10 PM - Industry Track Panel #7 - Institutional Investor Perspective for Closed-End Funds\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nModerator\nSara Levine\, Director – WallachBeth\nSpeaker #1\nDerek Pines\, Senior Managing Director and Portfolio Manager – Bramshill Investments\nSpeaker #2\nCarolyn Murphy\, Lepore\, Portfolio Manager – City of London\nSpeaker #3\nDouglas Bond\, Executive Vice President – Cohen & Steers\nSpeaker #4\nRob Shaker\, Portfolio Manager\, Chief CEF Strategist – Shaker Financial\n\n\n\n\n3:10 PM to 3:30 PM - Networking Break3:30 PM to 4:15 PM - Industry Track Panel #8 - The Future of Listed & NonListed Closed-End Funds\nTranscript\n Video>\n\n\n\n\n\n\n\n\n\n\n\nModerator\nMike Taggart\, Closed-end Fund Specialist – abrdn\nSpeaker #1\nSteve O’Neill\,\nCFA\, Portfolio Manager – RiverNorth\nSpeaker #2\nKevin Hardy\, Investment Management – Skadden\nSpeaker #3\nAmy Charles\, Managing Director – Raymond James\n\n\n\n\n\n4:15 PM to 5:00 PM - Industry Track Panel #9 - Independent Board Members and Lenders to Traditional CEFs\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nModerator\nJohn Cole Scott\nCIO at CEF Advisors\,\nFounder of CEFData.com\nSpeaker #1\nTom Hunersen\, Independent Director\nSpeaker #2\nMoritz Sell\, Independent Director\nSpeaker #3\nShane Kein\, Managing Director & General Manager\, Head of Financial Institutions – Sumitomo Mitsui Banking Corporation\n\n\n\n\n\n5:00 PM to 5:05 PM - Closing Remarks\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\nJohn Cole Scott\nCIO at CEF Advisors\,\nFounder of CEFData.com\n\n\n\n\n\n\n\n5:05 PM to 7:00 PM - Networking Cocktail Reception×\n\n\n\n\n\nMr. Scott has worked at Closed-End Fund Advisors since 2001. He holds the FINRA 66 License and the Certified Fund Specialist designation (CFS). He is a graduate of The College of William and Mary and has been quoted and interviewed widely in the financial press and presented at conferences and for investment groups on more than 50 occasions.In 2008 John founded CEFA’s Closed-End Fund Universe\, a data service covering all US listed closed-end funds and BDCs. Currently supported by an internal 10 member analyst team with a data manager/ programmer covering the 600+ ticker universe of CEFs/BDCs/iCEFs. They regularly do consulting and projects for CEF/BDC Sponsors\, Hedge Funds and Institutional Investors. Portfolio Consultant with over $300MM+ in deposits into a fund focused on BDCs with a fund sponsor partner. He developed 35 CEF/BDC based indexes; 9 diversified portfolio objective\, 9Equity and 15 Bond sector. Founder & Exec. Chairman of Active Investment Company Alliance(AICA).John is a past board member of The Richmond Association for Business Economics(RABE)\, and serves as Assistant Treasurer and on the Investment Committee for The New York State Society of The Cincinnati. Board member and Finance & Investment Committees for The William & Mary National Alumni Board. \n\n\nClose×\n\n\n\nPatrick K. Thomson works on Virtu’s expansive ETF desk and focuses on Equites\, Fixed Income ETF’s and bonds. Patrick’s responsibilities include block market making and transition trades in ETF’s\, working with issuers on developing new and managing existing ETFs\, while trading an ETF’s for a firm that see’s 20% of retail ETF volume in the United States. \nOver the last 7 years\, Patrick and Rich Mauro have built a Fixed Income ETP franchise\, providing transparent trading solutions for clients with an emphasis on total cost of execution. Patrick was Europe the last 3yrs helping expand the businesses there. Known for its global scale\, competitive liquidity\, and transparent execution service\, Virtu’s disclosed and customized offerings are built on the quality of its liquidity and accountability to the relationship. Over the past decade\, Virtu has become one of the largest global liquidity providers in equities\, ETPs\, foreign exchange\, fixed income\, and commodities such as energy\, metals\, and softs. \nPatrick started his career in ETP’s at their “birthplace” on American Stock Exchange in 2000. Over the next 11 years at Goldman Sachs\, Patrick participated in the rapid expansion of ETP’s as a trader on both the AMEX and NYSE. During that time\, his initial focus on domestic and international equities shifted to the fixed income and commodity space as his role evolved from low-latency\, principal trading to client facilitation. \n\n\n\n\n\n\nVirtu is a leading provider of financial services and products that leverages cutting-edge technology to deliver liquidity to the global markets and innovative\, transparent trading solutions to its clients. Leveraging its global market making expertise and infrastructure\, Virtu provides a robust product suite including offerings in execution\, liquidity sourcing\, analytics and broker-neutral\, multi-dealer platforms in workflow technology. Virtu’s product offerings allow clients to trade on hundreds of venues across 50+ countries and in multiple asset classes\, including global equities\, ETFs\, foreign exchange\, futures\, fixed income and a myriad of other commodities. In addition\, Virtu’s integrated\, multi-asset analytics platform provides a range of pre and post-trade services\, data products and compliance tools that clients rely upon to invest\, trade and manage risk across global markets.\n\nClose×\n\n\nMr. Pines is a Senior Managing Director and Portfolio Manager at Bramshill Investments where he co-manages their flagship Income Performance Strategy with Bramshill’s CIO. Prior to joining Bramshill Investments in 2012\, Mr. Pines spent over a decade as a Proprietary Trader and Portfolio Manager leading a multi-asset class strategy which specialized in quantitative modeling techniques and utilized fundamental research to determine relative value. The bulk of that time was with Assent (Sungard Financial) and Chimera Securities. He also spent a year with Accenture in their Core Trading Services Group. He has over 20 years of investment experience in fixed income and exchange traded securities within both long-only and long-short investment vehicles. Mr. Pines has been involved in charitable organizations such as NextStep\, The Hoya Diamond Club\, and Party with Purpose where he spent several years on the board. He holds a Masters Graduate Certificate in Algorithmic Trading from Stevens University. Mr. Pines graduated cum laude with a B.S. in finance from Georgetown University.\n\n\n\n\n\nBramshill Investments\, LLC is an employee owned alternative asset management firm that specializes in investment opportunities across the fixed income universe in sectors such as corporate bonds\, preferred securities\, municipal bonds\, structured credit and credit-themed equities. The firm was founded in 2012\, however\, Bramshill strategies have over fourteen year track records with a core absolute return approach. Our investments are designed with the intent to preserve and grow our investors’ capital utilizing our fundamental value-based approach. Bramshill’s investment professionals provide portfolio management and strategy specific solutions across both liquid and illiquid asset classes. We approach risk management with a probability of loss analysis of individual securities combined with both macro and quantitative inputs. Our clients consist of institutions\, family offices\, and high-net-worth individuals. Strategies are managed in co-mingled vehicles\, SMAs\, and through sub-advisory mandates. Bramshill’s team-oriented approach and firm philosophy have been the core reasons for our success in investing\, client relationships\, and risk management.\n\nClose×\n\n\nPhillip Goldstein\n\n\n\n\n\nClose×\n\n\nAdam Sparkman is a client portfolio manager for Thornburg Investment Management. He works with Thornburg’s investment team and serves as a liaison for the team and key investment decision makers\, communicating process and results of the firm’s investment strategies.\nAdam joined Thornburg in 2014 and was previously a member of the firm’s business development group. Prior to Thornburg\, he worked as a business analyst at Los Alamos National Laboratory. Adam graduated cum laude with a BBA in finance from The Sam M. Walton College of Business at University of Arkansas and holds an MBA from New Mexico State University. He is a CFA charterholder.\n\n\n\n\n\nFounded in 1982\, Thornburg Investment Management is a privately owned global investment firm that offers a range of multi-strategy solutions for institutions and financial advisors. A recognized leader in equity\, fixed income\, and multi-asset solutions\, the firm oversees $42 billion (Includes $40.9 billion in assets under management and $1 billion in assets under advisement as of June 30\, 2023) across mutual funds\, closed-end funds\, institutional accounts\, separate accounts for high-net-worth investors and UCITS funds for non-U.S. investors. Thornburg is headquartered in Santa Fe\, New Mexico\, with additional offices in Hong Kong and Shanghai.\nAt Thornburg\, we believe unconstrained investing leads to better outcomes for our clients. Our culture is collaborative\, and our investment solutions are highly active\, high conviction and benchmark agnostic. When it comes to finding value for our clients\, it’s more than what we do\, it’s how we do it: how we think\, how we invest and how we’re structured.\n\nClose×\n\n\nRoxanna Islam is Associate Director of Research for Alerian S-Network Global Indexes. She has 10+ years of experience in research and product management in the financial services industry. In her current role\, Islam assists the research team in creating timely and relevant research with a focus on thematics and income.\nPreviously\, Islam was a Senior Equity Research Associate at Stifel in the freight transportation\, logistics\, and electric vehicle sectors. She was also a Research Associate at Wells Fargo\, where she researched closed-end funds and exchange-traded products. She also held other research and product management roles at Wells Fargo. Islam holds a Bachelor of Business Administration in Finance and a Bachelor of Arts in Plan II Honors from the University of Texas at Austin. She is a CFA charterholder.\n\n\n\n\n\n\n\nClose×\n\n\nSara Levin serves as a Director of ETF and Derivative Trading Solutions at WallachBeth’s Cross Asset Solutions team\, providing institutional clients guidance on the complex and evolving exchange-listed space. Sara brings a deep understanding of the institutional investment landscape with particular expertise in fund structuring\, business strategy and distribution across asset classes\, with an emphasis on Derivatives and ETFs.\n\n\n\n\n\nWallachBeth Capital is a leading provider of institutional execution services\, offering our clients a full spectrum of solutions to help them navigate increasingly complex markets. We employ a holistic process for developing and implementing sophisticated trading strategies\, leveraging a combination of deep product knowledge\, extensive market insight and a consultative approach. Our areas of expertise include trading solutions within ETFs\, equities\, derivatives\, mergers and acquisitions\, and CEFs.\n\nClose×\n\n\nSteve joined RiverNorth in 2007 and serves as Portfolio Manager. Steve co-manages the firm’s closed-end fund trading strategies and helps to oversee the firm’s closed-end fund investment analysts.Prior to joining RiverNorth\, Steve was Assistant Vice President at Bank of America in the Global Investment Bank’s Portfolio Management group where he specialized in the corporate real estate\, asset management and structured finance industries.Steve graduated Magna Cum Laude from Miami University of Ohio with a B.S. in Finance and a minor in Economics. He is a CFA Charterholder and member of the CFA Institute and the CFA Society of Chicago.\n\n\n\n\n\nRiverNorth is an investment management firm founded in 2000 that specializes in opportunistic strategies in niche markets where the potential to exploit inefficiencies is greatest. RiverNorth is the manager to multiple registered and private funds.\n\nClose×\n\n\nChirag Goyanka is a seasoned expert in alternative investments\, bringing a unique perspective from both the product and fundraising sides of the industry. With over two decades of experience spanning Asia and the United States\, Chirag has successfully navigated the ever-evolving landscape of private and public markets. His entrepreneurial mindset and a proven track record in fundraising\, business development\, and marketing set him apart.\nChirag embarked on his career as a Wealth Manager in Asia and later played a pivotal role in launching his firm’s asset management business in the United States. Over the years\, he has held key positions in distribution and product roles. In his current role as Head of Intermediary Solutions at Moonfare\, Chirag leads the charge in launching the Intermediary business for Moonfare in the US\n\n\n\n\n\nMoonfare offers advisors & their individual investors access to private market investment opportunities. With its digital onboarding process and asset management platform\, Moonfare allows investors to register and invest directly online.* To date\, Moonfare has offered more than 95 private-market funds from top general partners worldwide such as KKR\, Carlyle and EQT with an emphasis on private equity buyouts\, venture\, growth and real asset categories like infrastructure. Moonfare’s investment team conducts ground-up due diligence on all funds. Fewer than 5% of available funds pass this process and make it onto the Moonfare platform. This focus on quality is one reason why Moonfare has won the trust of 4\,000 clients who have invested more than $2.9 billion on its platform. Headquartered in Berlin\, Moonfare operates in 23 countries across Europe\, Asia\, America and has offices in New York\, Hong Kong\, London\, Zürich\, Singapore\, Paris and Luxembourg. For further information\, please visit www.moonfare.com and LinkedIn\n\nClose×\n\n\nShane Klein is the Head of the Financial Institutions Group (Americas) at Sumitomo Mitsui Banking Corporation having joined the bank in July 2013. Prior to SMBC\, Mr. Klein was the U.S. Head of Funds at Lloyds Bank responsible for coverage of a variety of Financial Institutions including Asset Managers\, Regulated Closed End Funds\, Private Equity Funds\, BDCs and Insurance companies. In 2008\, Mr. Klein established the Private Equity Fund Finance (Subscription Financing & Hybrid Financing) in the U.S. while cross selling the various products of the firm. Additionally\, Shane oversaw and managed over $300m of LP interests in 17 Private Equity Funds.\n\n\n\n\n\nSMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history\, SMBC Group offers a diverse range of financial services\, including banking\, leasing\, securities\, credit cards\, and consumer finance. The Group has more than 150 offices and 86\,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group\, Inc. (SMFG) is the holding company of SMBC Group\, which is one of the three largest banking groups in Japan. SMFG’s shares trade on the Tokyo\, Nagoya\, and ADRs on the New York (NYSE: SMFG) stock exchanges.\nIn the Americas\, SMBC Group has a presence in the U.S.\, Canada\, Mexico\, Brazil\, Chile\, Colombia\, and Peru. Backed by the capital strength of SMBC Group and the value of its relationships in Asia\, the Group offers a range of commercial and investment banking services to its corporate\, institutional\, and municipal clients. It connects a diverse client base to local markets and the organization’s extensive global network. The Group’s operating companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC)\, SMBC Nikko Securities America\, Inc.\, SMBC Nikko Securities Canada\, Ltd.\, SMBC Capital Markets\, Inc.\, SMBC Rail Services LLC\, Manufacturers Bank\, JRI America\, Inc.\, SMBC Leasing and Finance\, Inc.\, Banco Sumitomo Mitsui Brasileiro S.A.\, and Sumitomo Mitsui Finance and Leasing Co.\, Ltd.\n\nClose×\n\n\nMr. Pritchett is a Managing Director and Portfolio Manager in the Ares Credit Group\, where he focuses on alternative credit investments. Prior to joining Ares in 2011\, Mr. Pritchett was an Associate at Indicus Advisors. Mr. Pritchett holds an M.Eng. from Imperial College London in Mechanical Engineering.\n\n\n\n\n\n\nAres Dynamic Credit Allocation Fund\, Inc. (“ARDC”) is a closed-end management company that is externally managed by Ares Capital Management II LLC\, a subsidiary of Ares Management Corporation. ARDC seeks to provide an attractive level of total return primarily through current income and\, secondarily\, through capital appreciation. ARDC invests in a broad\, dynamically-managed portfolio of credit investments. ARDC’s net asset value may be accessed through its NASDAQ ticker symbol\, XADCX. Additional information is available at http://www.arespublicfunds.com. \nAres Management Corporation (NYSE:ARES) is a leading global alternative investment manager offering clients complementary primary and secondary investment solutions across the credit\, private equity\, real estate and infrastructure asset classes. We seek to provide flexible capital to support businesses and create value for our stakeholders and within our communities. By collaborating across our investment groups\, we aim to generate consistent and attractive investment returns throughout market cycles. As of June 30\, 2023\, Ares Management Corporation’s global platform had approximately $378 billion of assets under management\, with over 2\,600 employees operating across North America\, Europe\, Asia Pacific and the Middle East. For more information\, please visit www.aresmgmt.com. \n\n\nClose×\n\n\n\nRyan Crewe | Vice President\, Institutional Relationship ManagerPrior to joining Liberty Street Advisors\, Inc.\, Ryan was Head of Australia & New Zealand at Altive\, a venture-backed investment platform providing access to alternative products across pre-IPO\, venture capital\, private equity and credit. Prior to Altive\, he was a Head of Wholesale\, HNW and Family Office Distribution at GAM Investments (Australia). His experience has focused on the distribution of alternative investment products to qualified and institutional investors. \nRyan graduated from the University of Technology\, Sydney with a BBA in Finance and holds the Chartered Alternative Investment Analyst (CAIA) designation. \n\n\n\n\n\n\n\nThe Private Shares Fund seeks capital appreciation by focusing on investments in late-stage\, venture-backed private companies. As compared to startups and earlier-stage venture companies\, these companies have more established product lines and customer bases\, and typically have displayed revenue growth. The Private Shares Fund’s strategy is to participate in the potential appreciation of these dynamic pre-lPO companies. \nThe Private Shares Fund investment management team monitors an extensive universe of private technology and innovation companies across multiple sectors while staying attuned to significant trends in the marketplace. By utilizing proprietary databases and deep relationships across the venture ecosystem\, we look to identify opportunities involving high-performing companies with strong investor syndicates. Each of these companies will undergo an in-depth analysis of many factors that are likely to influence both capital appreciation and the ultimate exit outcome. Once the evaluation process is complete\, the investment team will negotiate terms and determine the appropriate allocation based on portfolio construction modeling. \n\n\nClose×\n\n\nJonathan Mondillo is Head of US Fixed Income at abrdn. He is responsible for overseeing all public and private markets fixed income teams in the region\, which include IG Credit\, HY Credit\, Municipals\, and USPP. He is further responsible for five municipal bond and infrastructure debt funds that invest in both investment grade and high yield credits. Jonathan joined the firm in 2018 from Alpine Woods Capital Investors\, LLC\, when two mutual funds he managed were acquired by Aberdeen Standard Investments. Prior to that\, Jonathan worked for Fidelity Capital Markets. Jonathan graduated with a B.S. in Finance from Bentley University.\nQualifications\nBSc\nBS in Finance. Jonathan holds both Series 7 and 63 licenses.\n\n\n\n\n\n\nEnabling our clients to be better investors drives everything we do. Our business is structured around three vectors – Investments\, Adviser and Personal – focused on their changing needs. Our investments solutions are built on the strength of our insight – generated from wide-ranging research\, worldwide investment expertise and local market knowledge. Our teams collaborate across regions\, asset classes and specialisms\, connecting diverse perspectives\, working with clients to identify investment opportunities that suit their needs. \n\n\nClose×\n\n\nGeorge Westervelt is Head of Global High Yield and Head of US High Yield Research. He is one of the Portfolio Managers on the team that manages the Global High Yield strategies and is also a member of the North American Fixed Income Leadership team. George joined Aberdeen Standard Investments in 2009 as a Credit Analyst and joined the portfolio management group in 2011. Prior to joining abrdn\, George worked at MFS Investment Management in Boston and Citigroup in New York. He earned a BA in English from the University of Vermont and is a CFA charterholder.\nQualifications:\nBA\, CFA\nGeorge earned a BA in English from the University of Vermont and is a CFA charterholder.\n\n\n\n\n\n\nEnabling our clients to be better investors drives everything we do. Our business is structured around three vectors – Investments\, Adviser and Personal – focused on their changing needs. Our investments solutions are built on the strength of our insight – generated from wide-ranging research\, worldwide investment expertise and local market knowledge. Our teams collaborate across regions\, asset classes and specialisms\, connecting diverse perspectives\, working with clients to identify investment opportunities that suit their needs. \n\n\nClose×\n\n\nJosh Duitz is Deputy Head of Global Income and Infrastructure at abrdn. Josh joined Alpine Woods Capital Management in 2007\, where he was a Portfolio Manager of its Global Dynamic Dividend and Global Infrastructure strategies. The management contracts of the funds he managed at Alpine Woods were acquired by abrdn in April 2018. Previously\, Josh worked for Bear Stearns where he was a Managing Director\, Principal and traded international equities. Prior to that\, Josh worked for Arthur Andersen where he was a senior auditor. Josh continues to be responsible for managing the Global Dynamic Dividend and Global Infrastructure strategies.Qualifications:Josh graduated with an MBA from The Wharton School of the University of Pennsylvania and holds a BA from Emory University.\n\n\n\n\n\n\nEnabling our clients to be better investors drives everything we do. Our business is structured around three vectors – Investments\, Adviser and Personal – focused on their changing needs. Our investments solutions are built on the strength of our insight – generated from wide-ranging research\, worldwide investment expertise and local market knowledge. Our teams collaborate across regions\, asset classes and specialisms\, connecting diverse perspectives\, working with clients to identify investment opportunities that suit their needs. \n\n\nClose×\n\n\nJames Ryan is responsible for leading the distribution strategies of Destra’s investment offerings. Mr. Ryan brings more than 40 years of broad experience in sales management\, asset management and client development to the role. He is accomplished in strategic planning and analysis & business-to-business development\, and has fostered long-standing relationships and successful practices across all distribution channels\, business platforms and product structures including IPOs\, Mutual Funds\, Structured Products\, Closed-End Funds\, Retirement Offerings\, UITs and SMA/UMA.\n\n\n\n\n\n\nFounded in 2008\, Destra Capital was purpose-built to help independent thought leaders achieve better wealth outcomes by sourcing the next generation of investment solutions.To achieve these goals\, Destra selects experienced partners with unique investment strategies or services. Mutual funds\, interval funds\, closed-end funds\, separate accounts\, and investment services – all are tools that the team uses to help investors intentionally grow their wealth outcomes over time. \nMore than 15 years later\, the firm has helped thousands of investors break away from the pack and blaze their own investing trail. We continue to encourage our clients to challenge the conventional and explore new ways of delivering financial freedom. \n\n\nClose×\n\n\nKevin T. Hardy represents public and private funds\, fund sponsors\, investment advisers\, broker-dealers\, investment banks and other financial institutions in connection with the design and formation of investment funds and products\, securities offerings\, regulatory and compliance matters\, transactions and other corporate matters.\nMr. Hardy has been repeatedly selected for inclusion in Chambers Global and Chambers USA\, in addition to being named one of Crain’s Chicago Business’ 2022 Notable Gen X Leaders in Law.\n\n\n\n\n\n\nSkadden\, Arps\, Slate\, Meagher & Flom LLP and Affiliates delivers the highest quality advice and novel solutions to legal challenges\, enabling clients to achieve their business goals. We are known for the innovative and creative thinking we rely on to handle the most complex transactions\, litigation/controversy issues\, and regulatory matters\, as well as the open\, collaborative relationships we build with clients\, including corporations; financial and governmental entities; small\, entrepreneurial companies; and cultural\, educational and charitable institutions. \n\n\nClose×\n\n\nJake manages Destra’s mutual fund products and oversees Destra’s secondary market support services for several NYSE listed closed-end funds. Jake contributes to the Firm’s product\, marketing\, and legal teams through product management and development efforts\, data generation and investment content creation\, as well as day-today operational support and documentation. Jake also sits on the Firm’s Investment Committee adding to portfolio oversight and monitoring in conjunction with manager & fund research\, selection\, and due diligence. Jake received his Bachelor of Science degree in Finance from the Gies College of Business at the University of Illinois at Urbana-Champaign. He holds the FINRA Series 7 and 66 securities licenses and also holds the Chartered Financial Analyst designation. Jake is a member of the CFA Institute and CFA Society Chicago.\n\n\n\n\n\n\nFounded in 2008\, Destra Capital was purpose-built to help independent thought leaders achieve better wealth outcomes by sourcing the next generation of investment solutions. \nTo achieve these goals\, Destra selects experienced partners with unique investment strategies or services. Mutual funds\, interval funds\, closed-end funds\, separate accounts\, and investment services – all are tools that the team uses to help investors intentionally grow their wealth outcomes over time. \nMore than 15 years later\, the firm has helped thousands of investors break away from the pack and blaze their own investing trail. We continue to encourage our clients to challenge the conventional and explore new ways of delivering financial freedom. \n\n\nClose×\n\n\nElliot J. Gluck is a partner in the Asset Management Department of Willkie Farr & Gallagher LLP. Mr. Gluck’s practice focuses on representing mutual funds\, closed-end funds\, exchange-traded funds (ETFs)\, their investment advisers and their boards. He has extensive experience in counseling on the organization and operation of registered investment companies\, including with respect to a broad range of innovative and novel products and structures. Mr. Gluck counsels clients with respect to trending investment products\, such as interval funds\, trending investments and investment strategies\, such as digital assets and ESG. He regularly advises registered funds and their boards on a wide range of compliance\, corporate governance and complex regulatory matters. Mr. Gluck also represents closed-end funds in capital markets transactions\, including initial and secondary public offerings of common and preferred stock and rights offerings\, and counsels closed-end fund and their boards on strategic matters\, such as addressing share price discounts and dealing with activist investors.\n\n\n\n\n\nWillkie Farr & Gallagher LLP provides leading-edge legal solutions on complex\, business critical issues spanning markets and industries. Our approximately 1\,200 attorneys across 13 offices worldwide deliver innovative\, pragmatic and sophisticated legal services across more than 45 practice areas.\n\nClose×\n\n\nMichael is a senior market strategist at Nuveen. In this role\, he supports sales and marketing activity related to all of the firm’s municipal managed money products: open-end mutual funds\, closed-end funds and managed accounts. He serves as one of the company’s chief spokespersons on economic issues and investment philosophy\, especially related to municipal bond investments and tactical asset allocation. Michael brings a unique perspective as a long-time direct participant in the financial markets.\n\n\n\n\n\n\nNuveen\, the investment manager of TIAA\, offers a comprehensive range of outcome-focused investment solutions designed to secure the long-term financial goals of institutional and individual investors. Nuveen has $1.1 trillion in assets under management as of 30 Jun 2022 and operations in 27 countries. Its investment specialists offer deep expertise across a comprehensive range of traditional and alternative investments through a wide array of vehicles and customized strategies. Nuveen is a leading sponsor of closed-end funds (CEFs) with $57 billion of assets under management across 56 CEFs as of 30 Jun 2022. The funds offer exposure to a broad range of asset classes and are designed for income-focused investors seeking regular distributions. Nuveen has more than 35 years of experience managing CEFs. \n\n\nClose×\n\n\nScott is responsible for senior loan-focused portfolio management. When Scott joined Nuveen affiliate Symphony Asset Management in 2002\, he was a gaming and industrials analyst providing long and short credit ideas to the investment team up and down the capital structure. Scott began trading loans for the platform in 2003 and in 2005 was named an associate portfolio manager on the firm’s loan strategies. He became the lead portfolio manager on the firm’s loan strategies in 2008. Prior to joining the firm\, Scott was an investment banking analyst in the industrial group at Deutsche Banc Alex Brown in New York. Scott graduated with a B.S. in Finance from Georgetown University.\n\n\n\n\n\n\nNuveen\, the investment manager of TIAA\, offers a comprehensive range of outcome-focused investment solutions designed to secure the long-term financial goals of institutional and individual investors. Nuveen has $1.1 trillion in assets under management as of 30 Jun 2022 and operations in 27 countries. Its investment specialists offer deep expertise across a comprehensive range of traditional and alternative investments through a wide array of vehicles and customized strategies. Nuveen is a leading sponsor of closed-end funds (CEFs) with $57 billion of assets under management across 56 CEFs as of 30 Jun 2022. The funds offer exposure to a broad range of asset classes and are designed for income-focused investors seeking regular distributions. Nuveen has more than 35 years of experience managing CEFs. \n\n\nClose×\n\n\nChris Janus has 16 years of industry experience and is a Director on the Public Securities Group’s Real Asset Debt team. He is responsible for covering Real Estate and CMBS. Previously\, he was a Director on our Structured Products team focused on CMBS\, CRE CLOs and direct lending. Prior to joining the firm in 2009\, Chris began his career at SunTrust Robinson Humphrey within the Real Estate Investment Banking group. Chris earned a Bachelor of Science degree in Mechanical Engineering from Miami University.\n\n\n\n\n\nAt Brookfield Oaktree Wealth Solutions\, we partner with financial advisors to bring institutional-caliber alternative solutions and insights to individual investors. Our solutions are built to meet the varying needs of individual investors\, and they are coupled with market and investment insights based on our unique products and portfolio expertise. We offer specialized support for financial advisors and their clients\, built on a foundation of investment excellence\, integrity and alignment of interests.\n\nClose×\n\n\nJames Bruno is a Managing Director and Head of Product Development and Advocacy for Brookfield Oaktree Wealth Solutions. In this role\, he leads global product development and programs aimed at helping advisors navigate the world of alternative investments and their role in client portfolios. Before joining the firm in 2023\, Mr. Bruno was a Managing Director\, Co-Head of Product Origination and Development for Alternative Investments at Morgan Stanley Wealth Management\, including private equity\, private credit\, real estate\, hedge funds\, customized solutions\, and pre-IPO offerings. Over his fifteen-year tenure at Morgan Stanley\, Mr. Bruno held other roles within alternative investments\, including Head of Product Development for all illiquid products and liquid offerings. Prior to joining Morgan Stanley\, Mr. Bruno held alternative-focused product development roles at HSBC and Merrill Lynch. Mr. Bruno has an M.B.A. in Finance from Fordham University\, a B.S. in Accounting from Long Island University\, and is a Certified Public Accountant in the State of New York.\n\n\n\n\n\nAt Brookfield Oaktree Wealth Solutions\, we partner with financial advisors to bring institutional-caliber alternative solutions and insights to individual investors. Our solutions are built to meet the varying needs of individual investors\, and they are coupled with market and investment insights based on our unique products and portfolio expertise. We offer specialized support for financial advisors and their clients\, built on a foundation of investment excellence\, integrity and alignment of interests.\n\nClose×\n\n\nDaniil is a director in Cerulli’s Product Development practice\, where he works on the identification\, analysis\, and reporting of asset management industry trends with a focus on the distribution of alternative investments to the private wealth segment.\n\n\n\n\n\nFor over 30 years\, Cerulli has been at the forefront of the industry\, delivering groundbreaking market intelligence. It is our mission to arm asset managers\, wealth managers\, private equity firms\, and financial technology firms with data\, research\, and advice they need to grow.\n\nClose×\n\n\nCarolyn Murphy-Lepore is a Portfolio Manager at City of London Investment Management Company Limited (CLIM)\, based in the company’s US office. Mrs. Murphy-Lepore is responsible for management of the firm’s investments in the Americas with respect to research\, trading and corporate governance. She joined CLIM as a Research Analyst in 2007 and has been a Portfolio Manager since 2012. She has served as the Head of both the Dubai and Singapore offices of CLIM. Prior to joining CLIM\, Mrs. Murphy-Lepore worked as a Registered Sales Assistant at Raymond James Financial\, Stifel Nicolaus and Legg Mason Capital Management. She has a BA from the University of Delaware.\n\n\n\n\n\nCity of London Investment Management was formed out of the London-based operations of Olliff & Partners PLC (O&P) that had been founded by Barry Olliff in 1987. O&P was an agency stockbroker and corporate finance boutique. Mr. Olliff launched City of London Unit Trust Managers\, the predecessor of City of London Investment Management\, in 1991.\n\nClose×\n\n\nPaul E. Dunn is Executive Vice President of Bluerock Capital Markets\, LLC (BCM) and is responsible for building the firm’s internal/external infrastructure as the company experiences explosive growth. Since 2011\, he has been a key member of the management team that has been responsible for the Bluerock Total Income+ Real Estate Fund (a ’40 Act Mutual Fund) and the Bluerock Resident Growth REIT (NYSE American: BRG).\n\n\n\n\n\nBluerock was founded in 2002 and is based in New York City. Today\, the firm has acquired and managed over $15 billion in assets on behalf of more than 120\,000 investors. Bluerock serves the growing need for alternative investments … where there is asymmetric risk and return opportunities (well off the efficient frontier). In 2022 and 2023\, Bluerock was and is a finalist for Barron’s Asset Manager of the Year. Bluerock currently sponsors two interval funds: Bluerock Total Income+ Real Estate Fund\, the nation’s largest real estate interval fund with $6.5 billon of AUM and an 11- year track record and the Bluerock High Income Institutional Credit Fund which invests in a $9 billion portfolio of senior secured loans. In addition\, the firm is one of the most seasoned sponsors of DSTs providing tax advantaged exchanges to investors.\n\nClose×\n\n\nKimberly Flynn serves as Managing Director at XA Investments\, a wholly-owned subsidiary of XMS Capital Partners. She is a partner in the firm and responsible for all product and business development activities. Kim created the alternative registered trust platform at XA Investments working in partnership with independent subadvisers representing best-in-class alternative investment managers.Previously\, Kim was Senior Vice President and Head of Product Development for Nuveen Investments’ Global Structured Products Group. In her 11 years at Nuveen\, she helped developed over 40 closed-end funds raising ~$13 billion in capital. In her leadership role at Nuveen\, Kim was responsible for asset raising activities through the development of new traditional and alternative investment funds including CEFs\, ETFs\, UITs and commodity pools.Kim received her MBA degree from Harvard University\, where she was a William J. Carey scholar and President of the HBS Volunteers. Before attending Harvard Business School\, Kim spent three years working in Morgan Stanley’s Investment Banking Division (1999-2002) in their Chicago office.\n\n\n\n\n\nXA Investments LLC (XAI) is a Chicago-based investment manager founded by XMS Capital Partners in April 2016 to pursue a single goal: provide investors with access to institutional-caliber alternative investments. XAI has approximately $428 million in assets under management as of June 30\,2023.\nIn offering quality alternatives that were previously inaccessible to the individual investor community\, XAI not only challenges common views about liquidity\, but allows individuals to better align themselves with the institutional approach to investing.\n\nClose×\n\n\nMs. Charles\, as the Managing Director and Director of Closed-End Fund is responsible for setting general research policy and strategy. She joined Raymond James Financial in November 1995 and joined the Closed-End Fund Research group in September of 1998.\nAmy also was the Director of ETF Research until June 2021. Prior to joining Closed-End Fund Research\, she spent two and a half years in the Equity Research Department. She has been the Director of Closed-End Fund Research since May of 2000. She holds a B.A. from Florida Metropolitan University. Ms. Charles has been quoted in several publications including Business Week and has been a speaker at numerous conferences throughout the year.\n\n\n\n\n\nRaymond James Financial\, Inc. is an American multinational independent investment bank and financial services company providing financial services to individuals\, corporations\, and municipalities through its subsidiary companies that engage primarily in investment and financial planning\, in addition to investment banking and asset management. Headquartered in St. Petersburg\, Florida\, Raymond James is one of the largest banking institutions in the United States.\nToday\, that client-focused approach has extended to serve client accounts through approximately 8\,700 financial advisors in the United States\, Canada and overseas. Further\, the company has expanded through the years to serve corporations\, institutions and municipalities through significant capital markets\, banking and asset management services.\n\nClose×\n\n\n\nDouglas Bond\, Executive Vice President\, is Head of Closed End Funds and a portfolio manager for Cohen & Steers’ Closed-End Opportunity Fund and other portfolios investing in closed-end funds. Before joining Cohen & Steers in 2004\, Mr. Bond worked at Merrill Lynch for 23 years. Between 1992 and 2004\, he ran their closed-end fund new origination effort and was involved in all closed-end funds underwritten by Merrill Lynch. He also headed Merrill’s Private Client Syndicate Group. \nMr. Bond holds a BA from Hamilton College and an MBA from New York University. He is based in New\nYork. \n\n\n\n\n\n\n\n\nClose×\n\n\nDirector / Trustee and Bank Executive with international finance and capital markets expertise in the North American\, European and Australasian markets. Governance\, Executive and Practitioner level experience leading high profile\, high value banking\, funds management and technology organizations.\nSample Experience: Independent Director / Trustee – abrdn Global Infrastructure Income Fund (ASGI). Former Chairman – Macquarie Global Infrastructure TRF (MGU)\, Board Risk Advisor – National Bank of Greece\, Non-Executive Director – Anglo Irish Bank / IBRC Assurance Corporation\, Chairman – National Australia Capital Markets (NACM)\, Trustee – Institute of International Bankers. Also\, EVP / GM / Head of North America / Head of Energy & Utilities – National Australia Bank\, Head of North American Strategy Projects – Bank of Ireland\, Vice President – Mellon Bank – International\, Board Advisor – Ad Fontes Media.\n\nClose×\n\n\n\nMr. Sell is the Principal of Edison Holding GmbH\, which invests in and advises on commercial real estate and early-stage seed investments in Berlin. \nMr. Sell has over 25 years’ experience as an international banker. His career included stints in New York\, Sydney\, London\, Berlin\, and Luxemburg where he was active in global capital markets. While at Landesbank Berlin\, in addition to managing a team of proprietary traders engaged in arbitrage strategies\, Mr. Sell was an activist investor in closed-end funds. This began his parallel and subsequent career as an independent director. \nGrowth Fund of Spain (GSP) 1998 – 1999 \nFrance Growth Fund (FRF) 2000 – 2004 \nAbrdn Australia Equity Fund (IAF) 2004 – present \nSingapore Fund (SGF) 2011-2018. (Chairman) \nGreater China Fund (GCH) 2012-2018 \nSwiss Helvetia Fund (SWZ) 2017-present. (Lead Independent Director and Audit Chair) \nHigh Income Securities Fund (PCF) 2018 – present \nAbrdn Global Income Fund (FCO) 2018 – present \nAbrdn Asia Pacific Income Fund (FAX) 2018 – present \nHe holds a BA in Economics from the George Washington University. \n\n\nClose×\n\n\nDan handles portfolio management\, research\, and trading activities for CEFA. He received his B.A. in Business Administration from the Goizueta Business School at Emory University and holds the Chartered Financial Analyst (“CFA”) designation. Prior to joining CEFA\, he was a portfolio manager for Zoso Capital\, and previously worked for investment banks UBS\, Morgan Stanley\, and SunTrust performing investment research and was a senior analyst at George Weiss Multi-Strategy Advisers.\n\n\n\n\n\n\nClosed-End Fund Advisors (“CEFA”) is a fee-based Registered Investment Advisory firm founded in 1989. \nClosed-End Fund Advisors has its corporate headquarters in Richmond\, Virginia.CEFA’s primary business is discretionary asset management. As a global manager of managers\, we build portfolios for individual and institutional clients\, through either direct work with clients or through financial advisors and planners \n\n\nClose×\n\n\n\n\n\n\nJason Mehring is a Managing Director at BlackRock. He is a voting member and a past Chairman of the investment committee for BlackRock’s US Private Capital Group (“USPC”).Mr. Mehring focuses on the team’s origination\, underwriting and monitoring of middle market private investments\, including those made on behalf of the Middle Market Senior Fund (“MMSF”)\, where he is the lead Portfolio Manager\, and other public and private investment funds. These investment vehicles offer middle-market companies flexible financing solutions to meet their current and future capital needs. \nJason has over 26 years’ experience in middle market investing including his 15 years’ experience with the USPC team\, joining as a Managing Director at BlackRock Capital Investment Corporation’s former advisor in 2005. Mr. Mehring previously spent more than ten years at Banc of America Capital Investors (BACI)\, an affiliate of Bank of America\, Inc.\, in Chicago\, where he held positions of increasing responsibility\, becoming a Principal of the firm in 2000. At BACI\, Mr. Mehring focused on mezzanine and private equity investing in middle market companies. Prior to joining BACI in 1994\, he worked at Firstar Bank\, a predecessor to U.S. Bank. \nMr. Mehring received a B.B.A.\, summa cum laude\, in Finance and Economics from the University of Wisconsin Eau Claire\, where he also graduated with University Honors\, an M.B.A. from the Kellogg School of Management at Northwestern University\, and he has served on a variety of private corporate boards. \n\n\nClose×\n\n\n\n\n\n\nJorge Solares-Parkhurst is a Managing Director in JMP Securities’ financial services investment banking group.Prior to joining JMP\, Jorge had been a Director in the global financial institutions group at Credit Suisse\, where he worked with U.S. specialty lenders and regional banks. He previously served as a Managing Director at FBR Capital Markets and a Senior Managing Director at Bear\, Stearns & Co. Jorge began his career in PaineWebber’s investment banking division\, remaining with the firm following its acquisition by UBS and concluding his tenure there as a Director in the financial institutions group for the Americas. \nJorge holds a BSFS in international economics from The Edmund A. Walsh School of Foreign Service at Georgetown University. \n\n\nClose×\n\n\n\n\n\n\nKenneth E. Burdon represents public and private investment funds\, investment advisers\, financial services companies and other financial institutions in connection with the structuring and distribution of investment products\, and in a variety of regulatory\, compliance\, corporate\, governance\, operational and transactional matters.Serving clients in every major international financial center\, Skadden\, Arps\, Slate\, Meagher & Flom LLP and affiliates is one of the leading law firms in the world\, with 22 offices and approximately 1\,700 attorneys offering solutions to the most challenging legal issues in virtually every area of corporate law. \n\n\nClose×\n\n\n\n\n\n\nVadim Avdeychik advises business development companies (BDCs)\, mutual funds\, closed-end funds\, exchange-traded funds (ETFs)\, hedge funds and their investment advisers on the full range of investment management matters. His experience spans the formation and operation of registered investment companies\, alternative fund structures\, fund governance\, regulatory issues involving public and private funds\, ERISA and investment company status issues and exemptions.Vadim also advises clients on environmental\, social and governance (ESG) investing\, including launching investment products\, advising directors on ESG matters and establishing compliance programs for ESG investing. He has authored several articles on the topic and is a frequent speaker on regulatory issues dealing with ESG investing. \n\n\nClose×\n\n\n \n \n\nRob Watson\, CFP®\nPartner & Head of Investments\nRob Watson is a Partner & Head of Investments for Destra. Rob also serves as President of Destra Capital Advisors\, LLC and DFC Preferred Advisors LLC\, both SEC registered investment advisors\, as well as President of each of Destra’s mutual funds. Rob chairs the Firm’s Investment Committee\, with responsibility for manager research and selection\, as well as portfolio oversight and monitoring. In addition\, he heads the Firm’s investment product and marketing efforts.\nRob has held numerous roles across an almost 30-year career in the financial services industry. Rob has run product units at Morgan Stanley & Aviva Investors and been responsible for business development and account management teams at Janus & Van Kampen. He has extensive experience in product design and investment implementation\, as well as institutional sales and manager due diligence. He holds key industry licenses\, is a CFP® certificate holder\, and has a Bachelor of Science degree in Economics from North Carolina State University.\n\nClose×\n\n\n \n \n\nColin is a Senior Portfolio Manager at Angel Oak Capital and serves as a Portfolio Manager for the Multi-Strategy Income Fund\, the UltraShort Income Fund\, the Strategic Credit Fund\, the Core Impact Fund\, and the Strategic Mortgage Income Fund. He also focuses on security and portfolio analytics and is responsible for building and managing strategies within the residential mortgage-backed securities market.\nColin joined Angel Oak in 2012 and serves as a voting member of the firm’s public funds Investment Committee. He is also a speaker on many of the firm’s quarterly calls for both its private and public funds.\nPrior to Angel Oak\, Colin worked for an Atlanta-based boutique investment firm where he was responsible for the acquisition and management of their distressed debt portfolio\, as well as the development of their proprietary financial technology platform. Previously\, Colin worked in the Real Estate Capital Markets group for Wachovia Bank and Wells Fargo where he focused on risk management for their commercial real estate REPO lines.\nColin holds B.B.A. degrees in Banking & Finance and Real Estate from the Terry College of Business at the University of Georgia.\n\nClose×\n\n\n \n\n \n\nJustin leads product management and development for Nuveen’s Municipal and Preferred Securities product lines. In this role\, he collaborates with Nuveen’s Investment\, Distribution\, Marketing and Operations teams to drive the strategic growth of our Municipal and Preferred Securities business. Justin’s primary responsibilities include the development and management of investment products and strategies in an effort to thoughtfully achieve our strategic product plan.\nPrior to joining Nuveen\, Justin led product management and development for Destra Capital. He also served as a member of the firm’s Investment Committee\, was an officer for Destra’s suite of mutual funds and led sub-advisor due diligence. Prior to joining Destra\, Justin played an integral role in the product management and development of closed-end funds\, mutual fund and ETFs at Guggenheim Investments.\nJustin graduated with a Bachelor’s degree in Business Administration from the University of Wisconsin-Whitewater. He holds the CFA designation and is a member of the CFA Institute and CFA Society of Chicago.\nNuveen\, the investment manager of TIAA\, offers a comprehensive range of outcome-focused investment solutions designed to secure the long-term financial goals of institutional and individual investors. Nuveen has $1.3 trillion in assets under management as of 31 Dec 2021 and operations in 27 countries. Its investment specialists offer deep expertise across a comprehensive range of traditional and alternative investments through a wide array of vehicles and customized strategies. For more information\, please visit www.nuveen.com.\n\nClose×\n\n\n \n \n\nMichael Bell is a Managing Director of Primark. Prior to Primark\, Michael built\, and was the CEO for a $12B RIA managing more than 30 investment strategies and a $10B liquid alternative mutual fund complex that launched more than 50 alternative funds. Most recently he purchased\, grew and sold a family office-backed $6B RIA. Also\, he specialized as a corporate finance attorney for Latham & Watkins and was a CPA for KPMG. He holds a BS in Commerce from the University of Virginia and a JD from West Virginia University.\nPrimark is expanding access to private equity investments without the complexity of subscription documents\, high investment minimums\, and the complex tax treatment associated with traditional institutional private equity fund structures.\n\nClose×\n\n\n \n \n\nShiloh R. Bates joined Flat Rock Global in 2018 and is a Partner and Chief Investment Officer.  Prior to joining Flat Rock Global\, Mr. Bates was a Managing Director at Benefit Street Partners where he worked on corporate acquisitions. Prior to that\, Mr. Bates was the Head of Structured Products at BDCA Advisor\, where he was responsible for investments in CLOs\, leveraged loans\, and publicly traded BDCs.\nDuring his 20-year career\, Mr. Bates worked for several CLO managers and invested over $1.3 billion in CLO securities. He is a frequent panelist at CLO conferences and has written a book on investing in CLO equity.\n\nClose×\n\n\n \n \n\nAlex Condrell is a Managing Director at Cliffwater. Founded in 2004\, Cliffwater provides research and investment due diligence services across the full range of private markets and alternative investments. Cliffwater also manages over $4 billion in private credit funds. Alex joined Cliffwater in 2021.\nPrior to joining Cliffwater\, Alex was a Managing Director at Monroe Capital\, an asset management firm specializing in lower middle market direct lending. Before that\, Alex was the Chief Investment Officer at Main Street Financial\, with prior experience at Calamos Investments\, Lotsoff Capital\, Fannie Mae and Freddie Mac.\nHe earned a BA in Government from Pomona College and an MBA in Finance from Georgetown University. Alex is a CFA charterholder and also holds the CAIA designation..\n\nClose×\n\n\n \n \n\n\nChuck Jaffe is a syndicated financial columnist and the host of “Money Life with Chuck Jaffe\,” a one-hour weekday financial talk show (moneylifeshow.com).Chuck’s work has been syndicated since 1995\, first while based at the Boston Globe and then from MarketWatch.com; he also writes for the Wall Street Journal and elsewhere. A past president of the Society of American Business Editors &and Writers\, Chuck has been a frequent guest on CNBC\, Nightly Business Report\, Fox Business News\, National Public Radio and more\, and is the author of three books: “Getting Started In Finding a Financial Advisor\,” “The Right Way to Hire Financial Help” and “Chuck Jaffe’s Lifetime Guide to Mutual Funds.” \nIn what is jokingly referred to as “spare time\,” Chuck is very involved in the sport of lacrosse as a broadcaster\, referee\, coach\, league owner and player. He lives on Boston’s South Shore with a golden retriever who sleeps under the desk while Chuck is working and whose flatulence issues sometimes explain Chuck’s demeanor. \nYou can follow him on Twitter @ChuckJaffe\, @MoneyLifeShow and\, depending on your sporting interests\, @BostonBoxLax. \nWebsite: http://www.moneylifeshow.com \n\n\nClose×\n\n\n \n\n \n\nMr. Schlemovitz is a Managing Director for Conversus\, a StepStone Company.\nMr. Schlemovitz focuses on strategic relationships and product development.  Prior to StepStone\, Mr. Schlemovitz served as a Managing Director of CNL Financial Group\, a $10 billion asset manager providing access for individual investors to the private markets.  At CNL he created and oversaw the firm’s Private Equity platform and was the Chief Operating Officer of Strategic Capital.  Previously Mr. Schlemovitz was an Executive Director in Investment Banking at J.P. Morgan where he led equity and debt capital raising and merger and acquisition transactions for Financial Institution clients.\nMr. Schlemovitz received his BA from Emory University and is a CFA charterholder.Conversus Company Profile Blurb:\nConversus is an investment firm designed to provide individual investors the opportunity to access private markets with the goal of transforming portfolios and enhancing long-term outcomes. Conversus is a wholly-owned business of StepStone Group\, a global asset management and advisory firm with over $500 billion in assets under advisement. Leveraging StepStone’s extensive experience across the private markets allows Conversus to create innovative\, investor-centric products by focusing on convenience\, efficiency and transparency.\n\nClose×\n\n\n\nMike Taggart\, CFA serves as Closed-End Fund Specialist at abrdn\, where he is responsible for providing and developing the link between the company’s North American closed-end funds\, their investors\, advisors\, and the wider marketplace.\nWith more than 10 years of experience covering closed-end funds\, Mike has extensive experience leading and supporting product development managers with preparation of proposals and project plans related to new product and/or changes to existing product. Prior to abrdn\, Mike covered exchange-traded products\, including closed-end funds\, at Relative Value Partners. For seven years\, he worked on product strategy as Nuveen’s Director of Closed-End Fund Research. Mike started covering closed-end funds at Morningstar\, where he advanced from a Senior Equity Analyst to the head of the firm’s US closed-end fund business. \nMike holds a bachelor’s degree from Virginia Tech\, a master’s degree in Russian history from the University of Illinois Chicago\, and an MBA from Northwestern University’s Kellogg School of Management. \n\n\n\n\n\n\nabrdn is one of the largest closed-end fund managers globally and is dedicated to creating long-term value for our clients. As of June 30\, 2023\, we managed over $602 billion in assets on behalf of institutional and retail clients worldwide. We believe that our global footprint ensures that we are always close to our clients and the challenges they face. abrdn has $31.1 billion in assets under management in listed closed-end funds (U.S. and UK)\, making abrdn the 3rd largest closed-end fund manager in the world.\n\nClose×\n\n\n\n\n\n\nBill has been a leader on the sales and marketing side of the financial services industry for more than 35 years. He joined Wildermuth Securities in March of 2022 and serves as the company’s field representative throughout the eastern US. He earned his MBA from the University of Notre Dame and his BA from Middlebury College. He currently lives in suburban Chicago. \nTHE WILDERMUTH FUND provides investors with access to early-stage private equity that has traditionally been reserved for institutional investors. The Fund offers portfolio diversification among early-stage private equity positions in various asset classes including technology\, real estate\, healthcare\, energy\, and hedge funds that would be difficult for individual investors to achieve because of typically high minimum investments.\nDaniel Wildermuth is the Fund’s portfolio manager. With over 25 years of investment experience\, he has been a pioneer in adapting the endowment investment approach to the needs of individual investors. Mr. Wildermuth is CEO and CIO of Wildermuth Advisory and Asteria Wealth\, a money management firm that administers more than 20 equity and fixed income portfolio strategies for retail and institutional investors. \n\n\nClose×\n\n\n\n\n\n\nMark is responsible for supporting the continued investment success of Parametric’s systematic income product suite—with focus on dividend income and enhanced income strategies. Prior to joining Parametric in 2019\, he spent seven years with US Bank’s Asset Management Group as a vice president in equity portfolio management covering domestic large-cap securities. Mark is also a firefighter for the city of Plymouth\, Minnesota. He earned an MBA from the Kelley School of Business at Indiana University and a BS in finance/information systems from Iowa State University.Parametric partners with advisors to build portfolios focused on what’s important to them and their clients. A leader in custom solutions for more than 30 years\, we help investors access efficient market exposures\, solve implementation challenges\, and design multi-asset portfolios that respond to their evolving needs. Headquartered in Seattle\, Parametric has offices in Minneapolis\, New York City\, Boston\, and Westport\, Connecticut. \n\n\nClose×\n\n\n\n\n\n\nRobert Shaker\, has been working with Shaker Financial Services since 2004 and currently serves as its Chief Investment Strategist. He is responsible for overseeing strategy development\, trading and portfolio allocations.Shaker Financial Services\, LLC (SFS) is a boutique investment advisory firm specializing in the trading of closed-end funds. SFS first began to accept funds for investment in individual separately managed accounts in 1996. SFS’s “Discount Capture” Composite is currently rated five (5) stars by Morningstar. \n\n\nClose×\n\n\nTom DeCapo has been an innovative leader in the closed-end fund industry for more than three decades. Tom is responsible for many of the advances in closed-end fund structuring and finance\, and is recognized for his work defending the industry against activist campaigns. Tom recently retired from the practice of law after more than 25 years as a partner of Skadden\, Arps. He believes that the current activist environment presents opportunities to restructure and refocus the closed-end fund asset class for the long term investment benefit of retail investors.\n\n\n\n\nClose×\n\n\n \n\n\nSteve is a Senior Special Counsel Fellow and the SEC’s industry specialist on Business Development Companies (BDCs). Steve’s work focuses on a broad array of BDC matters\, including disclosure review\, examinations\, enforcement\, rulemaking\, and exemptive relief applications\, among others. \nSteve joined the SEC in 2021. Prior to the SEC\, Steve spent eight years at Blackstone where he was primarily focused on providing legal advice relating to formation\, fundraising\, co-investment transactions\, corporate governance and compliance oversight of Blackstone BDCs. In addition\, while at Blackstone\, Steve worked on a variety of matters pertaining to private funds\, CLOs\, private credit\, debt and equity offerings transactions\, financing facilities and advisory and compliance issues. Prior to joining Blackstone in 2013\, Steve was an associate in the corporate group of Bingham McCutchen LLP (now Morgan\, Lewis & Bockius LLP). Steve earned his B.B.A.\, summa cum laude\, from Pace University\, Lubin School of Business\, Pforzheimer Honors College\, and his J.D.\, cum laude\, from Fordham University School of Law. \n\n\nClose×\n\n\n\n\n\n\nAs Managing Director and Head of UniFi by CAIA™ \, Aaron oversees content and product strategy for the UniFi by CAIA™ Program. Prior to this\, Aaron was responsible for the strategic direction of CAIA Association’s content agenda\, thought leadership\, and member education initiatives\, and supported content development for the CAIA Charter Program. His work has been published by Oxford University Press and The Journal of Investing\, and covers topics such as ESG/sustainable investing\, liquid alternatives\, commodities\, and asset pricing/factor investing. He is a frequent writer and speaker on these topics. Aaron’s practitioner experience lies in private wealth management\, where he served as portfolio manager\, overseeing asset allocation\, portfolio construction\, and manager research efforts for high-net-worth individuals and institutional retirement plans. \nHe earned a B.S. with distinction in Finance and a Master of Finance from Penn State University. He holds the Chartered Alternative Investment Analyst (CAIA)\, Chartered Financial Analyst (CFA)\, Certificate in Investment Performance Measurement (CIPM)\, Financial Data Professional (FDP) designations\, is a CERTIFIED FINANCIAL PLANNER™\, and holds the the CFA Institute’s Certificate in ESG Investing. He is a Past President of CFA Society Columbus and serves on the CFA Society Philadelphia Programs Committee. Aaron is an adjunct professor and serves on multiple advisory boards for Penn State University. \nThe CAIA Association is a global professional credentialing body dedicated to creating greater alignment\, transparency\, and knowledge for all investors\, with a specific emphasis on alternative investments. A Member-driven organization representing professionals in more than 100 countries\, CAIA Association advocates for the highest ethical standards. The organization provides unbiased insight on a broad range of investment strategies and industry issues\, key among them being efforts to bring greater diversification to portfolio construction decisions to achieve better long-term investor outcomes. \n\n\nClose×\n\n\n\n\n\n\nMr. Penn follows business development companies. Prior to joining Oppenheimer and Co. he followed business development companies at Janney Montgomery Scott. In addition\, he was an Equity Portfolio Manager/Financial Analyst at Legg Mason Capital Management from 2001 to 2012 where he specialized in financial companies. From 1996 to 2001 he managed a $400M fixed income portfolio at Legg Mason Capital Management. Prior to joining Legg Mason Mr. Penn managed a $15B fixed income portfolio at Aetna. He also worked for Price Waterhouse from 1981 to 1985.Mr. Penn received his Chartered Financial Analyst designation in 1995 and is a member of the Baltimore CFA Society. He was President of the Baltimore Society (2001-2002) and served on the Board of Directors. Mr. Penn received his Certified Public Accounting designation in 1983\, but he no longer maintains this designation. He is a graduate of Villanova University\, Magna Cum Laude\, Phi Kappa Phi\, Beta Gamma Sigma (1981) and University of Chicago (MBA-1987). \n\n\nClose×\n\n\nCheryl is a Senior Portfolio Manager at Angel Oak Capital and serves as a Portfolio Manager for the Financials Income Impact Fund and the Financial Strategies Income Term Trust\, as well as two ETFs and several of the firm’s private funds and separately managed accounts.\nCheryl has nearly two decades of investment experience and primarily focuses on investment research and management across the firm’s financial sector-focused strategies.\nCheryl joined Angel Oak in 2017 from Morgan Stanley\, where she was an Executive Director and Head of Consumer & Specialty Finance Equity Research. Her research coverage included a multitude of financial sectors\, including consumer\, specialty\, mortgage\, REIT\, payments\, fintech and banking.\nCheryl has been featured as a television guest on Bloomberg\, CNBC\, TD Ameritrade Network and Yahoo! Finance TV and has been quoted in various publications including American Banker\, Marketwatch\, DailyAlts and S&P Global Market Intelligence. Cheryl has also been named one of the “Women at the Forefront of Alternative Investments” in a 2023 iConnections report.\nCheryl holds a B.S. in Commerce (Finance) from the University of British Columbia and an M.B.A. from Duke University’s Fuqua School of Business. She also holds the Chartered Financial Analyst (CFA®) designation.\n\n\n\n\n\nAngel Oak Capital Advisors is an investment management firm focused on providing compelling fixed income investment solutions for its clients. Backed by a value-driven approach\, Angel Oak Capital seeks to deliver attractive risk-adjusted returns through a combination of stable current income and price appreciation. Its experienced investment team seeks the best opportunities in fixed income with a specialization in mortgage-backed securities and other areas of structured credit.\nAs of 6/30/23\, Angel Oak Capital had an estimated $16.5 billion in assets under management (AUM) through a combination of mutual funds\, private funds and separately managed accounts. AUM represents the sum of assets managed or serviced\, and committed but uncalled capital.\n\nClose×\n\n\n\n\n\nParth is a vice president and leads product management and\ndevelopment efforts for Nuveen’s closed-end fund product line. He is\nresponsible for developing and bringing new concepts to market\, as well\nas overseeing the ongoing product management of existing closed-end\nfunds.\nPrior to joining Nuveen\, Parth was a senior tax consultant at Deloitte\,\nwhere he specialized in investment company taxation.\nParth graduated with a B.S. in Accountancy and Finance from the\nUniversity of Illinois. He holds the Series 7 and 66 securities\nregistrations.Nuveen\, the investment manager of TIAA\, offers a comprehensive range of outcome-focused investment solutions designed to secure the long-term financial goals of institutional and individual investors.\nNuveen has $1.1 trillion in assets under management as of 30 Jun 2022 and operations in 27 countries. Its investment specialists offer deep expertise across a comprehensive range of traditional and alternative investments through a wide array of vehicles and customized strategies. Nuveen is a leading sponsor of closed-end funds (CEFs) with $57 billion of assets under management across 56 CEFs as of 30 Jun 2022. The funds offer exposure to a broad range of asset classes and are designed for income-focused investors seeking regular distributions. Nuveen has more than 35 years of experience managing CEFs.\n\nClose×\n\n\n\n\n\n\nMr. Arduini is a Partner and Portfolio Manager in the Ares Credit Group\, where he focuses on alternative credit investments. Mr. Arduini serves as a Vice President and Portfolio Manager for the Ares Dynamic Credit Allocation Fund\, Inc. (NYSE:ARDC). Additionally\, he serves as a member of the Ares Dynamic Credit Allocation Fund Investment Committee.Prior to joining Ares in 2011\, Mr. Arduini was a Managing Director at Indicus Advisors LLP\, where he focused on structured credit investment opportunities. Previously\, Mr. Arduini was Director of Structured Credit in the Fixed Income Investment Group and a Manager in the Risk Management Group at TIAA-CREF. In addition\, Mr. Arduini worked in the telecommunications and information technology industries in various systems\, operations and management roles. Mr. Arduini holds a B.A. from Bucknell University in Mathematics and an M.S. from Stevens Institute of Technology in Mathematics. \nMr. Arduini also holds an M.S. from Carnegie Mellon University in Computational Finance. Mr. Arduini is a CFA® charterholder and a member of the New York Society of Security Analysts. \n\n\nClose×\n\n\nGretchen Lam\, Senior Portfolio Manager. Ms. Lam is a member of Octagon’s Investment Committee and serves as a Portfolio Manager across CLOs\, Separately Managed Accounts and Commingled Funds. Ms. Lam oversees the Firm’s Structured Credit (CLO debt & equity) investment strategies. Ms. Lam is a member of the Octagon & Conning’s Global DEI (diversity\, equity and inclusion) Council and a member of the Firm’s ESG (environmental\, social\, and corporate governance) Committee.Prior to becoming a Portfolio Manager\, Ms. Lam oversaw Octagon’s investments in the software\, business services\, finance & insurance\, paper & packaging\, gaming & lodging\, homebuilding and real estate industries. She was also responsible for the structured credit exposure held in Octagon’s CLO vehicles. Prior to joining Octagon in 1999\, Ms. Lam attended Babson College where she graduated Summa Cum Laude with a B.S. in Investments. She received her CFA Charter in 2006.\n\n\n\n\n\nOctagon is a 25+ year old\, $30.6B below-investment grade corporate credit investment adviser focused on leveraged loan\, high yield bond and structured credit (CLO debt and equity) investments. Through fundamental credit analysis and active portfolio management\, Octagon’s investment team identifies attractive relative value opportunities across below-investment grade asset classes\, sectors and issuers. Octagon’s investment philosophy and methodology encourage and rely upon dynamic internal communication to manage portfolio risk. Over its history\, the firm has applied a disciplined\, repeatable and scalable approach in its effort to generate attractive risk-adjusted returns for its investors. For more information\, please visit www.octagoncredit.com.\n\nClose×\n\n\n\n\n\n\nRobert Amodeo is Head of Municipals at Western Asset Management Company\, LLC and has 34 years of investment experience. Mr. Amodeo began his career at The Bank of New York but soon thereafter joined Salomon Brothers Inc.\, where he was responsible for analyzing various private investment partnerships\, including venture-capital\, oil-and-gas\, and real-estate\, equity and bond portfolios.In 1992\, Robert joined Salomon Brothers Asset Management where his role evolved into managing director\, head of the municipal bond investment team and he worked with Salomon’s Yield Book department to adapt advanced technology for municipal bond and tax-efficient portfolio management. Since 2005\, Robert has been part of Western Asset’s municipal bond investment team and is the sector head of that group. \nMr. Amodeo holds a Bachelor’s degree from Long Island University and a Master of Public Administration\, Advanced Management and Finance from Columbia University. He holds the Chartered Financial Analyst designation and has written various articles regarding the public finance market. \n\n\nClose×\n\n\n\n\n\n\nLaura is a Product Specialist within Nuveen’s Alternative Investment distribution team. She is focused on supporting business development efforts across the private credit spectrum.Laura joined Nuveen in 2021.From 2014 to 2021\, she worked for Invesco’s Global Private Credit platform where she supported new business development and institutional client communications\, shaping investor messaging and business strategy globally. \nPreviously\, Laura worked in corporate finance and investor relations at CIFC Asset Management where she supported marketing efforts and was responsible for financial projections on behalf of their private equity owners. Prior to CIFC\, she was an associate at Goldman Sachs\, where she worked in the firm’s investment management finance division focused on credit strategies. Laura began her career at Deloitte & Touche. \nShe entered the investment management industry in 2003.Laura graduated with both a B.S. in Business with a major in Accounting and an M.S. in Accounting from the University of Connecticut. She is a Certified Public Accountant (inactive) and holds the FINRA Series 7 and Series 66 registrations. \n\n\nClose×\n\n\n\n\n\n\nChristian has 21 years of experience in financial services and investment management\, with the last 16 years focused on secondary investments involving venture-backed and growth equity-oriented companies and funds. During this time\, he has also served on the boards of many of these companies and funds. \nPrior to Liberty Street Advisors\, Christian was CIO of SPIM overseeing all investment related functions. Christian still serves as one of the portfolio managers of The Private Shares Fund\, formerly the SharesPost 100 Fund\, and a member of the investment committee. \nPrior to joining The Private Shares Fund investment management team and Liberty Street Advisors\, Inc.\, Christian was Co-Head of the Global Private Equity Secondaries Practice at HQ Capital based in New York\, a $10+ billion alternative investment firm headquartered in Germany. Prior to that\, he served as Head of Secondaries at Thomas Weisel Partners. Christian started his career as an investment banker at Banc of America Securities. \nIn aggregate\, Christian has helped raise more than $1 billion globally from institutional investors\, corporations\, pensions\, endowments\, and family offices\, and has completed or overseen the completion of more than 100 secondary transactions representing over $1 billion in capital commitments. \nChristian received his BA from Rutgers College. \n\n\nClose×\n\n\n\n\n\nMichael Grayson is a Portfolio Manager at First Trust Capital Management L.P (“FTCM”). Michael focuses on FTCM´s event-driven and multi-alternative mandates as well as private market platform. Michael started his career at Vivaldi Asset Management\, LLC\, an independently owned\, boutique alternative investment firm based in Chicago. Vivaldi was predominantly a Multi-Family Office and Advisor to several public (1940 Act) alternative products. Michael was dedicated to the firm´s investment management as well as business and product development verticals.\nMichael holds a B.A from University where he studied Political Science and Economics.\n\nClose×\n\n\nMr. Hobbs leads Oaktree’s North American Sourcing and Origination group\, which focuses on private credit sourcing and deal origination for the firm’s U.S. Private Debt\, Global Private Debt\, Special Situations and Global Opportunities strategies. He also serves on the investment committee for Oaktree’s Direct Lending platform. Prior to joining the firm in 2013\, Mr. Hobbs was an executive director at Natixis Securities focused on building the high yield sales and trading franchise. Prior thereto\, he spent five years at Goldman Sachs as a vice president in leveraged finance origination and sales. Before joining Goldman Sachs in 2007\, Mr. Hobbs was a director in Leveraged Finance at Deutsche Bank Securities\, which he joined in 2000. Additional experience includes regional account management focused on fleet financing at GE Capital Corporation and controller for Leveraged Finance at Bank of America. Mr. Hobbs received his M.B.A. from Columbia Business School and a B.S. degree in accounting from Rutgers University. Brookfield Oaktree Wealth Solutions partners with financial professionals around the world to connect investors to the innovative solutions\, expertise and insights.\n\n\n\n\n\nBrookfield and Oaktree. From public to private markets\, and across the liquidity spectrum\, we aim to be the single point of entry into the very best of Brookfield and Oaktree – with the goal of helping advisors and their clients understand how to navigate key investment decisions\n\nClose×\n\n\n\n\n\n\n\n\n\nCFA (2012); BSc (Pure and Applied Mathematics) (Hons\, 2008)\, Trinity College\, Ireland. \nKevin is an institutional portfolio manager for RBC GAM-US. He specializes in a broad spectrum of global credit strategies including Investment Grade\, Leveraged Finance\, Emerging Markets\, Multi-Asset and Alternatives. \nKevin joined RBC GAM in 2014; he moved from BlueBay Asset Management to RBC GAM-US in 2020. During his time at BlueBay\, he initially worked as an institutional portfolio manager on the Emerging Markets desk\, before broadening his remit to cover other areas of the global credit markets. Prior to joining BlueBay\, Kevin worked for another global asset management company\, where he specialized in fixed income fund manager research to feed ideas into the firm’s suite of multi-manager portfolios. Prior to this\, Kevin worked as an investment consultant at a global consulting firm. \nHe began his career in the investment industry in 2008. \n\n\nClose×\n\n\n\n\n\n\nErin is head of strategic development for Thornburg Investment Management\, leading corporate and product development initiatives across the firm. She has extensive investment and management experience\, including with large and small asset management firms and most recently the financial technology industry. \nPrior to joining Thornburg\, Erin was chief investment officer for C2FO\, a Kansas City–based financial technology company focusing on supply-chain finance solutions. She developed private investment solutions to provide working capital liquidity to small businesses\, utilizing C2FO’s proprietary technology platform. \nPrior to C2FO\, Erin spent 11 years with Fountain Capital Management\, a boutique high-yield investment firm also based in Kansas City. At Fountain\, Erin held various positions\, including partner\, portfolio manager\, head trader\, and research analyst. She started her career at Strong Capital Management as an equity research analyst\, focusing on small- and mid-cap value portfolios and later as a private equity analyst for McCarthy Capital. \nErin is a graduate of Indiana University with a BS in finance and is a CFA charterholder. \n\n\nClose×\n\n\n\n\n\nMr. Stone joined Flaherty & Crumrine in 2003 after a 20-year career on Wall Street. Based in Summit\, New Jersey\, he is a member of the firm’s portfolio management team. He is responsible for macroeconomic and quantitative research and analysis and directs our credit research group. Together with Mr. Chadwick and Mr. Conwell\, he serves on the firm’s board of directors and is a member of the executive management committee. He also serves as Chief Financial Officer\, Vice President and Treasurer of the U.S. Flaherty & Crumrine closed-end funds and oversees the financial reporting and tax operations for the Flaherty & Crumrine closed-end funds.\nFrom 2001 until joining Flaherty & Crumrine\, he was Director of U.S. Market Strategy at Barclays Capital in New York\, where he advised clients on market strategies across U.S. treasuries\, agencies\, and interest rate derivative products. Prior to Barclays\, he spent 14 years at Goldman Sachs\, where he most recently held the position of Director — Interest Rate Product Strategy\, Americas. He was a regular member of Institutional Investor’s All-America Fixed Income Research Team\, earning the top ranking in Derivatives Strategy in 2001. He began his career at Salomon Brothers as an options trader and derivative salesperson.\n\nClose
URL:https://dev.aicalliance.org/aica-event/aica2023fallroundtable/
LOCATION:Downtown Association\, 60 Pine Street\, New York\, NY\, 10005\, United States
CATEGORIES:Past Events
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END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20241113
DTEND;VALUE=DATE:20241214
DTSTAMP:20260404T174708
CREATED:20240307T210618Z
LAST-MODIFIED:20251031T174018Z
UID:32775-1731456000-1734134399@dev.aicalliance.org
SUMMARY:AICA 2024 Fall Roundtable
DESCRIPTION:Explore the universe of closed-end funds\, interval funds\, business development companies and more at the annual Active Investment Company Alliance Roundtable! \nThe conference\, now in its sixth year\, is packed with informative panels\, engaging speakers\, and valuable networking opportunities with fund sponsors\, asset managers\, institutional investors\, RIAs\, and financial advisors active in the closed-end fund space. Get up to date on the latest trends\, developments\, and investment strategies. Previous panels have explored everything from activism to closed-end fund structure to the rise of interval funds. \nThe all-day event will be held on Wednesday\, November 13\, 2024\, in New York City at the DownTown Association\, a social organization dating back to 1859. \nAICA is known for combining high-quality\, advisor-centric content\, distinguished by its invited speaker presentations (our speakers aren’t paid to speak) that enable meaningful discussion and interaction. AICA also sponsors the weekly NAVigator Podcast. True to our motto — Excellence Beyond Indexing — AICA strives to help grow relationships for institutional investors\, advisors\, service providers\, and fund sponsors within the industry. \n \nAgenda\nSponsorsInterviewsArticlesAttendee ClassificationFeedbackSponsors\n\n  \n  \n\n\n\n\n\n\n\n\nCEF Advisors & CEFData.com\nabrdn\nKatten\n\n\n\n\n\nBe an AICA event sponsor!\nSponsorship opportunities – Click here\n\n\n\nOppenheimer\nWallach Beth\n \n\n\n\n\nInterviews\n\n\n\n\n\nChuck Jaffe on the NAVigator Podcast\n.\n\n\n\n\nNishil Mehta on Credit Markets\n.\n\n\n\n\nKevin Dockrell on Global Markets\n.\n\n\n\n\nLarry Antonatos on Real Estate and Infrastructure Investing\n.\n\n\n\n\nAxel Merk on Gold Mining Investing\n.\n\n\n\n\nJim Baker on Infrastructure Investing\n.\n\n\n\n\nMark Milner on Parametric\, Muni CEFs\n.\n\n\n\n\nAaron Rosen on AOG Institutional Fund\n.\n\n\n\n\nJohn Cole Scott on Post-Election CEF Impacts\n.\n\n\n\n\nJohn Cole Scott on AICA’s 2024 Fall Roundtable\n.\n\n\n\n\nLarry Holzenthaler on Private Credit\n.\n\n\n\n\nDana Staggs on BANX\, Interest Rates\n.\n\n\n\n\nAaron Morris on Control Share Bylaws\n.\n\n\n\n\nStephen Davis on the State of CEFs\n.\n\n\n\n\n\nArticles\n\n\n\n\n\nAICA Panelists Say Credit\, Muni CEFs Help Tame Inflation Risk As Rates Fall\n.\n\n\n\n\nAICA Panelists: CEF Wrapper May Need to Swap Terms for Tenders\n.\n\n\n\n\nAICA Panelists: Client Education Key to Interval Fund Future\n.\n\n\n\n\n\nAttendee Classification\n\nFeedback\n\n\nWe appreciate your feedback\n \n\n\nAgenda – 7 CE Credits approved8:00AM to 8:55AM - Networking Breakfast 8:55AM - Conference Welcome \n\n\n\n\n\n\n\n\n\n\nJohn Cole Scott\,\nFounder – Active Investment Company Alliance\n\n\n\n\n\n\n\n9:05AM to 9:45AM - CEF Track Panel #1: Inflation is Over? Managing Credit Risk with the Expected Soft Landing or Recessionary Prospects\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nModerator\nArie Heijkoop\,\nPartner – Haynes and Boone\nSpeaker #1\nKristopher Pritchett\,\nManaging Director and Portfolio Manager – Ares\nSpeaker #2\nChristopher Remington\,\nManaging Director – Morgan Stanley Investment Management\n\n\n\n\n\n\n9:45AM to 10:25 AM - CEF Track Panel #2: Municipal\, Preferreds & Investment Grade Access for an Interest Rate Falling Environment\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nModerator\nAlexander Reiss\,\nDirector\, CEF Analyst – Stifel Financial\nSpeaker #1\nMiguel Laranjeiro\,\nInvestment Director – abrdn\nSpeaker #2\nRyan McDonald\,\nPortfolio Manager – BlackRock\n\n\n\n\n\n\n10:25AM to 10:45AM - Morning Networking Break10:45AM to 11:25AM - CEF Track Panel #3: REITs\, Real Assets and Infrastructure Investing in 2024 and Beyond\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nModerator\nRoxanna Islam\,\nHead of Sector & Industry Research – TMX VettaFi\nSpeaker #1\nJim Baker\,\nManaging Partner & Co-Head\,\nEnergy Infrastructure – Kayne Anderson\nSpeaker #2\nJosh Duitz\,\nHead of Global Income – abrdn\nSpeaker #3\nAxel Merk\,\nPresident – Merk Investments LLC\nSpeaker #4\nLarry Antonatos\,\nManaging Director and PM – Brookfield\n\n\n\n\n11:25AM to 12:05PM - Interval Fund Track Panel #4: Democratized Alternative Investments for Uniquely Diversified Portfolios\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nModerator\nRosey Valencia\,\nHead of National Accounts – Destra\nSpeaker #1\nCory Johnson\,\nCEO – Pender Capital\nSpeaker #2\nMichael McGrath\,\nExecutive VP\, Head of Product – BlueRock\nSpeaker #3\nAaron Rosen\,\nPortfolio Manager – AOG Institutional Fund\n\n\n\n\n\n12:05PM to 1:15PM Networking Lunch 1:15PM to 1:55PM - Interval Fund Track Panel #5: Specialized Credit Manager in an Interval Fund: Strategies not available in a Listed CEF\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nModerator\nJohnathan Rickman\,\nFinancial Journalist – AICA\nSpeaker #1\nKevin Dockrell\,\nCFA®\, Institutional Portfolio Manager – RBC BlueBay\nSpeaker #2\nLarry Holzenthaler\,\nManaging Director\, PM – First Eagle Alternative Credit\n\n\n\n\n\n\n1:55PM to 2:35PM - Diversified Track Panel #6: High Yield Strategies: Non-traditional BDC Loans\, CLO Exposure and Additional Strategies\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\n\nModerator\nVlad M. Bulkin\,\nPartner – Katten\nSpeaker #1\nDana Staggs\,\nPresident – ArrowMark\nSpeaker #2\nRushabh Vora\,\nManaging Director – FS Investments\nSpeaker #3\nNishil Mehta\,\nManaging Director – Carlyle\nSpeaker #4\nMichael Reisner\,\nco-President and co-CEO- CION Investment Group\n\n\n\n\n\n2:35PM to 3:15PM - Industry Track Panel #7: Institutional Investors Outlook on CEFs \nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nModerator\nKen Burdon\,\nPartner – Simpson Thacher & Bartlett LLP\nSpeaker #1\nMark Milner\,\nSenior Investment\nStrategist – Parametric\nSpeaker #2\nRyan Paylor\,\nPortfolio Manager – Thomas J. Herzfeld Advisors\nSpeaker #3\nJohn Cole Scott\,\nPresident\,\nCEF Advisors\n\n\n\n\n\n3:15PM to 3:35PM - Afternoon Networking Break3:35PM to 4:15PM - Industry Track Panel #8: Future of CEFs\, BDCs and Interval Funds: Product Development & Secondary Market Support\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nModerator\nAmy Charles\,\nManaging Director\, CEF Research – Raymond & James\nSpeaker #1\nStephen Minar\,\nManaging Director\,\nClosed-End Funds –\nBlackRock\nSpeaker #2\nAndrew Hall\,\nSenior Managing Director – Nasdaq\nSpeaker #3\nFinbar Ward\,\nCFA\, Executive Director – Morgan Stanley\nSpeaker #4\nStephen Davis\,\nProduct Specialist\, CEF – Nuveen\n\n\n\n\n4:15PM to 4:55PM - Industry Track Panel #9: Activism in CEFs Roundtable Discussion\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nModerator\nChuck Jaffe\,\nHost – MoneyLife\nSpeaker #1\nMike Taggart\,\nClosed-end Fund Specialist – abrdn\nSpeaker #2\nRon Mass\,\nCFA\, Managing Partner – Almitas Capital\nSpeaker #3\nBrian H. Schaffer\,\nPartner – Prosek Partners\nSpeaker #4\nAaron T. Morris\,\n– MORRIS KANDINOV\n\n\n\n\n4:55PM - Conference Closing Remarks\n\n\n\n\n\n\n\n\n\n\n\nJohn Cole Scott\nCIO at CEF Advisors\,\nFounder of CEFData.com\n\n\n\n\n\n\n\n5:00PM to 7:00PM - Networking Cocktail Reception Sponsored by abrdnNote: Agenda & Speakers are Subject to Change. Attending the conference in person gives AICA permission to use your likeness in replay content and marketing materials. \n×\n\n\n\n\n\nJohn Cole is proud to lead CEF Advisors and continue the legacy of his father\, George\, a pioneer in closed-end investments who bought into the firm in 1996. After earning his bachelor’s degree from William and Mary\, John Cole joined his father at the firm in 2001\, launching his own rewarding and distinguished career. \nToday John Cole is regarded as one of the foremost experts in the industry\, and is frequently consulted by investment groups\, professional organizations\, and the national financial press for his deep insight and knowledge about closed-end fund (CEF)\, business development company (BDC)\, and interval fund data\, research\, and investing. Highly motivated and goal-oriented\, he is driven by his passion for the industry\, building meaningful connections with people\, and a deeply personal aspiration to do hard things well. \nIn 2008\, John Cole founded CEFData.com\, a data service now covering all U.S. listed and non-listed CEFs\, BDCs\, and interval funds. In 2019\, he also founded the Active Investment Company Alliance (AICA)\, and serves as its executive chairman. John Cole holds the FINRA 66 license and the Certified Fund Specialist® (CFS®) designation. \nA Richmond native\, John Cole\, his wife Katherine\, and daughter Lexi call Short Pump home. An active supporter of his alma mater\, John Cole serves on the board of the William & Mary Foundation and is a board member of the William & Mary Alumni Association. He is also a long-time member of the Richmond Association for Business Economics (RABE) and is Treasurer and Co-Chair of the Investment Committee for The New York State Society of The Cincinnati. John Cole founded an acapella group in college and still loves singing karaoke today. \n\n\nClose×\n\n\n\nPatrick K. Thomson works on Virtu’s expansive ETF desk and focuses on Equites\, Fixed Income ETF’s and bonds. Patrick’s responsibilities include block market making and transition trades in ETF’s\, working with issuers on developing new and managing existing ETFs\, while trading an ETF’s for a firm that see’s 20% of retail ETF volume in the United States. \nOver the last 7 years\, Patrick and Rich Mauro have built a Fixed Income ETP franchise\, providing transparent trading solutions for clients with an emphasis on total cost of execution. Patrick was Europe the last 3yrs helping expand the businesses there. Known for its global scale\, competitive liquidity\, and transparent execution service\, Virtu’s disclosed and customized offerings are built on the quality of its liquidity and accountability to the relationship. Over the past decade\, Virtu has become one of the largest global liquidity providers in equities\, ETPs\, foreign exchange\, fixed income\, and commodities such as energy\, metals\, and softs. \nPatrick started his career in ETP’s at their “birthplace” on American Stock Exchange in 2000. Over the next 11 years at Goldman Sachs\, Patrick participated in the rapid expansion of ETP’s as a trader on both the AMEX and NYSE. During that time\, his initial focus on domestic and international equities shifted to the fixed income and commodity space as his role evolved from low-latency\, principal trading to client facilitation. \n\n\n\n\n\n\nVirtu is a leading provider of financial services and products that leverages cutting-edge technology to deliver liquidity to the global markets and innovative\, transparent trading solutions to its clients. Leveraging its global market making expertise and infrastructure\, Virtu provides a robust product suite including offerings in execution\, liquidity sourcing\, analytics and broker-neutral\, multi-dealer platforms in workflow technology. Virtu’s product offerings allow clients to trade on hundreds of venues across 50+ countries and in multiple asset classes\, including global equities\, ETFs\, foreign exchange\, futures\, fixed income and a myriad of other commodities. In addition\, Virtu’s integrated\, multi-asset analytics platform provides a range of pre and post-trade services\, data products and compliance tools that clients rely upon to invest\, trade and manage risk across global markets.\n\nClose×\n\n\n\n\n\nJohnathan is a writer and editor with more than 20 years of experience as a journalist\, plain language web writer\, and marketing communications specialist. He got his start in Washington\, D.C.\, covering Congress and the courts for various trade publications. In this role\, he reported on regulatory news of interest to various industry audiences. As a web writer in the federal space\, Johnathan consulted with clients on usability\, accessibility\, plain language principles\, and the importance of centering the user in digital communications. Johnathan also writes about alternative investments and closed-end funds\, crafting thought leadership stories\, reports\, newsletters\, and social media posts.\n\n\n\n\n\nClose×\n\n\nAaron represents investors and institutions in cases involving fiduciary misconduct\, securities violations\, control contests and shareholder rights\, with a special focus on matters involving asset managers and activist opportunities.\nHe formerly defended financial services firms and public companies at Skadden\, Arps\, Slate\, Meagher & Flom.\nAaron maintains an active pro bono practice\, and has represented clients from local pizza shops to non-profit board members.\nHe writes frequently about developments relating to investment funds and corporate governance.\n\n\n\n\n\nMorris Kandinov LLP is an investor-focused law firm with extensive experience in corporate governance matters\, securities violations\, and shareholder activism.\n\nClose×\n\n\n\nChip is a Senior Vice President of Business Development at AOG Funds. He has been in the investment management business for more than 30 years and has been active in both traditional and alternative investments. During his career\, he has worked with a diverse set of investors including institutional organizations and their consultants\, private wealth advisors\, and family offices. \nChip has served as Treasurer and is currently an active member of Masonic University Lodge #51 in Philadelphia\, PA. \nChip completed his undergraduate work at Dickinson College with a B.A. in Classical Studies and earned his MBA at The University of North Carolina at Chapel Hill with a concentration in Finance. He currently holds the Series 7 and 63 FINRA Licenses. \nChip lives with his wife\, Lenka\, in suburban Philadelphia\, and their daughter\, Alex\, is pursuing her Master’s Degree in Political Science at University College London. \n\n\n\n\n\n\nAOG Institutional Fund (AOGFX) provides exposure to a mix of registered investment companies and less liquid alternative/non-traditional investments through a closed-end interval fund structure. The fund invests in income-producing assets and assets selected for long-term capital appreciation. Through its investments in non-publicly traded assets\, AOGFX provides an opportunity for accredited investors to access what is generally considered an institutional approach to investing. AOGFX currently features exposure to holdings focused in real estate\, private credit\, and private equity. AOG Wealth Management\, founded in 2000\, is the advisor to the AOG Institutional Fund.\n\nClose×\n\n\nAaron Rosen is the Chief Investment Officer for AOG Institutional Fund (AOGFX). He has more than 20 years of financial industry experience in an extensive range of investment management services\, including portfolio management and security selection\, as well as due diligence\, research\, trading and sourcing of investments. Aaron specializes in private investments and other illiquid securities\, with additional knowledge in public equities\, mutual funds\, and options trading.\nPreviously\, Aaron served as Director & Principal\, applying his financial and investment industry expertise to both the Sky & Ray Family Office and Copia Wealth Studios platform. Prior to that\, he was a Managing Director and Portfolio Manager for Validus Growth Investors\, LLC\, a boutique investment management firm. There\, he spent extensive time institutionalizing and managing a 1940 Investment Company ActRegistered Interval Fund focused on illiquid alternatives. Prior to Validus\, he provided research and asset allocation services in senior analyst roles at a broker dealer\, a family office\, and a hedge fund\, as well as serving as a co-founder of a digital media startup company.\nAaron graduated magna cum laude from the Honors Program of Boston University with a BSBA in Finance and minor in Economics. He is a Chartered Financial Analyst CFA® and holds an IAR registration with AOG and previously held 7\, 63 securities registrations. He also serves part-time on several external advisory and board roles and is a frequent speaker and panelist at various conferences and events.\nOutside of AOG\, Aaron resides in southern California with his girlfriend and dog. He spends as much of his free time outdoors as he can\, and is an avid professional sports fan\, with strong allegiances to the New England sports teams he grew up watching.\n\n\n\n\n\nAOG Institutional Fund (AOGFX) provides exposure to a mix of registered investment companies and less liquid alternative/non-traditional investments through a closed-end interval fund structure. The fund invests in income-producing assets and assets selected for long-term capital appreciation. Through its investments in non-publicly traded assets\, AOGFX provides an opportunity for accredited investors to access what is generally considered an institutional approach to investing. AOGFX currently features exposure to holdings focused in real estate\, private credit\, and private equity. AOG Wealth Management\, founded in 2000\, is the advisor to the AOG Institutional Fund.\n\nClose×\n\n\n\nBrian Schaffer has 25 years of special situations experience providing corporate\, transaction\, crisis and investor communications counsel to senior management teams and boards of directors. He has helped position numerous M&A transactions\, hostile takeover attempts\, proxy contests (operating companies and funds)\, corporate and sovereign bankruptcies and restructurings\, asset divestitures and public company listings. \nWithin the CEF industry\, Brian has supported over twenty fund complexes in nearly 100 separate contested situations over the past decade. Prosek is currently involved in 86% of active CEF proxy contests. In addition\, Brian has been involved in all litigation of consequence since the repeal of the Boulder Letter. \n\n\n\n\n\n\nProsek Partners builds – and protects – the top brands in business. We are a certified Woman-Owned Business and among the largest independent\, integrated communications and marketing firms globally. Specializing in providing a full range of communications solutions to financial and professional services companies\, Prosek delivers business impact through an unexpected level of passion\, creativity and marketing savvy. Services include media relations\, thought leadership\, social and digital media\, public affairs\, investor relations\, financial communications\, transaction services\, crisis communications and issues management\, content creation\, conference support\, publishing\, media training and more. Prosek’s strategic branding and integrated marketing arm – Prophecy by Prosek – offers brand strategy\, award-winning design\, digital and advertising capabilities. Prosek has been named PRovoke Media’s “Global and North American Financial Agency of the Year” and a top-five global M&A and shareholder activism agency. For more information\, please visit www.prosek.com or follow the firm on LinkedIn.\n\nClose×\n\n\n\nMichael A. Reisner serves as co-Founder\, co-President and co-Chief Executive Officer of CION Investment Group\, LLC\, as well as co-President and co-Chief Executive Officer of CION Investment Corporation (CIC)\, CION Ares Diversified Credit Fund (CADC) and CION Grosvenor Infrastructure Fund. He also serves on the Investment Committee of CIC and Investment Allocation Committee of CADC. \nBefore co-founding CION in 2012\, Mr. Reisner held positions of increasing responsibility at its predecessor company\, including serving as co-Chief Executive Officer from 2008 to 2012\, Chief Financial Officer from 2007 to 2008\, Executive Vice President — Originations from 2006 through 2007 and Senior Vice President and General Counsel from 2004 through 2006. Earlier in his career\, Mr. Reisner was an attorney in private practice in New York from 1996 to 2001. Mr. Reisner serves on the Boards of both CIC and CADC and served on the Board of the Institute for Portfolio Alternatives (IPA) from 2018 to 2021. \nMr. Reisner received a J.D.\, cum laude\, from New York Law School and a B.A. from the University of Vermont. \n\n\n\n\n\n\nCION Investments is a leading open-source provider of alternative investments designed to redefine the way individual investors can build their portfolios and meet their long-term investment goals. CION Investments currently sponsors\, among other products\, CION Investment Corporation (NYSE: CION)\, a leading publicly listed business development company that currently manages approximately $2.0 billion in assets\, and also sponsors CION Ares Diversified Credit Fund\, a globally diversified interval fund that currently manages approximately $6.0 billion in assets.\n\nClose×Close×\n\n\n\nStephen is a closed-end fund product specialist at Nuveen. He works closely with the firm’s US Wealth Sales Teams\, and the financial professionals they serve\, providing insights and information to help advisors better understand and evaluate closed-end funds trading in the secondary market. \nPrior to joining Nuveen in 2022\, Stephen was a Vice President at Cantor Fitzgerald\, where he was responsible for the sales and trading of all U.S.- listed closed-end funds for the firm’s institutional client base. Before joining Cantor Fitzgerald\, Stephen worked in London\, first as an Investment Companies Analyst and later in Sales\, focusing on the U.K. Closed End Investment Companies Sector. \nStephen graduated with a B.Sc. in Applied Economics from the University of Plymouth (U.K.)\, and holds the FINRA series 7 and 55\nregistrations. \n\n\n\n\n\n\n\nNuveen\, the investment manager of TIAA\, offers a comprehensive range of outcome-focused investment solutions designed to secure the long-term financial goals of institutional and individual investors. Nuveen has $1.3 trillion in assets under management as of 30 Sep 2024 and operations in 27 countries. Its investment specialists offer deep expertise across a comprehensive range of traditional and alternative investments through a wide array of vehicles and customized strategies. \nNuveen is a leading sponsor of closed-end funds (CEFs) with $54 billion of assets under management across 45 CEFs as of 30 Sep 2024. The funds offer exposure to a broad range of asset classes and are designed for income-focused investors seeking regular distributions. Nuveen has more than 35 years of experience managing CEFs. \n\n\nClose×Close×\n\n\n\nLarry Holzenthaler is a managing director\, portfolio manager and senior alternatives strategist at First Eagle Alternative Credit\, responsible for the day-to-day implementation and management for several of FEAC’s strategies alongside the portfolio management team and FEAC’s chief investment officer. Larry is also an alternative credit market expert\, working closely with First Eagle US Wealth Solutions and other channels to provide investors insights on FEAC’s investment positioning\, market views and products. He also provides market education to clients\, creates investment-related content\, and develops new products within alternative credit. Prior to joining First Eagle in November 2023\, Larry was a managing director and investment strategist at Nuveen Asset Management\, and prior affiliate Symphony Asset Management\, where he represented Nuveen and Symphony’s investment teams externally and assisted with product management and investment content within the corporate credit market. Before that\, he was an analyst on Symphony’s credit investment team where his research focused on the marine transportation sector. Larry earned a BS in finance from Arizona State University. \n\n\n\n\n\n\n\nFirst Eagle Investments is an independent\, privately owned investment management firm headquartered in New York with approximately $149 billion in assets under management as of September 30\, 2024*. Dedicated to providing prudent stewardship of client assets\, the firm focuses on active\, fundamental and benchmark-agnostic investing\, with a strong emphasis on downside mitigation. With a heritage dating back to 1864\, First Eagle strives to help clients avoid permanent impairment of capital and earn attractive returns through widely varied economic cycles. The firm’s investment capabilities include equity\, fixed income\, alternative credit and multi-asset strategies. \n\n\nClose×\n\n\nAlexander Reiss joined Stifel in 2007. Based out of the New York office\, Mr. Reiss is a Managing Director in the Financial Institutions sector\, covering Closed-End Funds.\n\n\n\n\n\nStifel is a full-service investment firm with a distinguished history of providing securities brokerage\, investment banking\, trading\, investment advisory\, and related financial services to individual investors\, institutions\, corporations\, and municipalities. Established in 1890 and headquartered in St. Louis\, Missouri\, Stifel is one of the nation’s leading firms.\n\nClose×\n\n\n\nChristopher is a managing director of Morgan Stanley Investment Management Fixed Income\, an institutional portfolio manager and head of fixed income product and portfolio strategy. Chris is responsible for market research and analysis\, advancing the firm’s managed strategies through thoughtful investment communications and insights on the credit markets. He joined Eaton Vance in 2008. Morgan Stanley acquired Eaton Vance in March 2021. Chris began his career in the investment management industry in 2002. Before joining Eaton Vance\, he was affiliated with Fidelity Investments as a fixed-income product specialist. He was responsible for product strategy\, investment communications and client portfolio management for Fidelity’s suite of fixed-income investment capabilities. \n\n\n\n\n\n\nEaton Vance provides financial advisors with the investment strategies and resources to solve for their clients’ most advanced investing challenges\, across a range of asset classes in public and private markets. Our investment solutions include a broad range of alternatives\, high-conviction active strategies\, customization strategies\, ESG expertise and tax management solutions. Eaton Vance is part of Morgan Stanley Investment Management\, the asset management division of Morgan Stanley.\n\nClose×\n\n\n\nArie Heijkoop is a partner in the Investment Management Practice Group in Haynes Boone’s Washington\, D.C. office. His practice focuses on advising asset managers and fund sponsors\, registered funds\, and trusts\, and independent directors on various legal\, transactional\, and compliance matters. Arie routinely advises fund management on a range of operational activities\, including the formation\, operation\, merger\, and liquidations of open- and closed-end mutual funds\, ETFs\, variable insurance products and business development companies. \nArie’s experience includes representing open-end registered funds and their board members in the financial services industry about routine and non-routine issues\, such as new and ongoing compliance matters\, disclosure issues\, reorganizations of funds and investment advisers\, engagement with the Securities Exchange Commission and other regulators. He also advises closed-end fund managers and their independent directors on offerings\, proxies\, tender offers\, investor interactions\, and co-investment transactions. \n\n\n\n\n\n\n\nFounded in 1970\, Haynes and Boone\, LLP is among the fastest-growing firms in the Am Law 100\, providing a full spectrum of legal services across multiple sectors\, including corporate\, energy\, financial services\, real estate\, restructuring\, litigation\, intellectual property and specialty transactions. The firm’s nearly 700 lawyers practice across 19 global offices in California\, Colorado\, Illinois\, New York\, North Carolina\, Texas\, Virginia\, Washington\, D.C.\, London\, Mexico City and Shanghai. \nOur Investment Management Practice is comprised of a sophisticated group of lawyers regularly assisting with the formation and on-going operation of investment funds engaging in a broad spectrum of investment activities from general investment in listed stocks to targeted acquisitions in a wide variety of industries\, including in technology\, digital assets\, energy\, real property\, venture\, businesses or investments. We keep up to date on the latest legal and market developments and work collaboratively with other practice areas to help clients anticipate emerging issues and implement strategies. We represent both domestic and offshore investment vehicles and serve as lead outside counsel to numerous investment funds who combined have tens of billions of dollars in assets under management. Our lawyers have knowledge in corporate-securities\, partnership\, tax\, ERISA\, international\, venture capital\, real estate\, employment\, finance\, blockchain\, cryptocurrency and litigation issues that affect all types of investment funds. \n\n\nClose×\n\n\n\n\n\nNishil Mehta is a Managing Director leading the firm’s structured credit investments. He is based in New York.\nPrior to joining Carlyle\, Nishil was a Managing Director at First Eagle where he was the co-portfolio manager for the firm’s structured credit investments. Prior to joining First Eagle\, Nishil was a Managing Director at Prospect Capital where he was responsible for the firm’s $2.5 billion of investments in CLO mezzanine debt and CLO equity.\nHe was also the Head of Capital Markets spearheading over $8 billion of debt and equity capital raised for the firm’s 1940 Act funds. Earlier in his career\, Nishil worked at CIT Asset Management and Wachovia Securities.\nNishil received his BBA from Goizueta Business School at Emory University with Honors.\n\n\n\n\n\nClose×\n\n\n\n\n\nAndy has been with Nasdaq Listing Services since 2004\, and has had various positions in the areas of Issuer Services & Market Intelligence. Andy has been on the New Listings team since 2007\, and works with companies that are considering a Nasdaq listing. Andy has worked with companies that are moving from being a private to a public company in an IPO\, and public companies that trade on the NYSE\, NYSE American\, TSX or OTC and are considering transferring\, dual listing or uplisting to Nasdaq. Andy is a graduate of George Washington University in Washington\, DC.\n\n\n\n\n\nClose×\n\n\n\n\n\n\nJoined the firm in 2012. Industry start date 2004. He is also responsible for trading and analysis of the firm’s strategies. Ryan spent eight years at JP Morgan Chase in New York on the FX Derivatives Operations team and FX Forwards Group. He led multiple projects implementing new trading and risk applications\, new derivative pricing models\, and streamlined end of day P&L processes. He has been interviewed by many financial publications such as Bloomberg\, The Wall Street Journal\, The Financial Times and more. \nWilliams College\, B.A. in Political Science \nMember of Miami Committee of Friends of Caritas Cuba \n\n\n\n\n\n\nClose×\n\n\n\n\n\n\nStephen Minar\, Managing Director\, is a member of BlackRock’s U.S. Wealth Advisory business\, focusing on closed-end fund product management\, development and strategy. \nPrior to joining BlackRock\, Stephen worked in Global Capital Markets at Morgan Stanley where he was primarily responsible for the structuring and sale of closed-end fund initial public offerings and secondary market capital issuance. In a previous role at Morgan Stanley\, Stephen was a research analyst covering both closed-end funds and exchange-traded funds. \nStephen earned a BA degree in Finance from Xavier University. \n\n\n\n\n\n\nClose×\n\n\nLarry Antonatos is a Managing Director and Portfolio Manager on the Multi-Asset Solutions team for Brookfield’s Public Securities Group. In this role\, he oversees the portfolio construction process\, including execution of asset allocation. Mr. Antonatos joined Brookfield in 2011 as Product Manager for the firm’s equity investment strategies. Prior to joining Brookfield\, Mr. Antonatos was a portfolio manager for a U.S. REIT strategy for 10 years. He also has investment experience with direct property\, CMBS\, and mortgage loans. Mr. Antonatos earned a Master of Business Administration from the University of Pennsylvania and a Bachelor of Engineering from Vanderbilt University.\n\n\n\n\n\n\nBrookfield Oaktree Wealth Solutions offers institutional-caliber alternative investment offerings to investors via their financial advisors. Our solutions are built to meet the varying needs of individual investors\, and they are coupled with market and investment insights based on our unique products and portfolio expertise. We offer specialized support for financial advisors and their clients\, built on a foundation of investment excellence\, integrity and alignment of interests. We share a long-term\, value-driven and contrarian investment style\, rooted in rigorous risk management processes — and our market knowledge and in-depth operating experience give us an edge. \n\n\nClose×\n\n\n \n\n\n \n\n\nVlad Bulkin understands the unique needs of business development companies (BDCs)\, registered closed-end funds (CEFs) and private investment funds. From fund formation to capital raising activities\, he brings industry-leading experience to clients at any stage. He has extensive transactional experience\, including public and private securities offerings and strategic transactions. \nCapital markets experience backed by strong regulatory knowledge \nVlad taps into his deep regulatory and transactional knowledge to advise a broad range of clients\, including BDCs\, CEFs\, private investment funds and other financial services firms. Vlad is well positioned to counsel managers of BDCs\, CEFs and private investment funds on establishment and operational matters\, as well as regulatory and compliance with the Investment Company Act of 1940 and the Investment Advisers Act of 1940. He regularly works with alternative investment managers on developing various capital structures. \nVlad frequently works with issuers and underwriters on a broad range of public and private offerings of equity and debt securities. His experience includes initial public offerings (IPOs)\, Rule 144A offerings\, shelf offerings\, at-the-market offerings (ATMs)\, registered direct offerings\, high-yield bond offerings\, convertible debt offerings and rights offerings. \nPublic companies rely on Vlad to help navigate corporate governance and compliance matters. He regularly advises on Securities and Exchange Commission (SEC) reporting obligations and other securities laws\, including Section 16 compliance\, Rule 10b5-1 plans\, the Sarbanes-Oxley Act of 2002\, Rule 144 and the listing requirements of the NYSE and NASDAQ. \n\n\n\n\n\n\nClose×\n\n\n\n\n\n\nRyan McDonald\, CFA\, Managing Director\, is Head of the Municipal High Yield Franchise and a Portfolio Manager in BlackRock’s Portfolio Management Group. He is also a member of the Municipal Management Committee\, which oversees all municipal bond portfolio management\, research and trading activities. Prior to becoming a Portfolio Manager\, Mr. McDonald was a high yield credit research analyst with a particular focus on distressed securities and special situations in the municipal market. \nPrior to joining BlackRock in 2014\, Mr. McDonald was a vice president at Moelis & Co. where his responsibilities included the analysis of distressed municipal bonds and derivative products. His work also encompassed the analysis of monoline insurers and their various municipal/structured finance exposures. Prior to Moelis\, Mr. McDonald was a financial analyst at MAEVA Group\, LLC where he was responsible for analyzing state and local pension plans and making restructuring recommendations. Prior to MAEVA\, Mr. McDonald spent 8 years at JPMorgan where he worked in both the Public Finance and Structured Credit areas. Mr. McDonald graduated summa cum laude from the University of Notre Dame in 2004. \n\n\n\n\n\n\nClose×\n\n\n\n\n\nRushabh Vora is a Managing Director for the FS Global Credit business. Mr. Vora focuses primarily on the sourcing\, structuring and execution of privately negotiated transactions\, including bespoke capital solutions.\nPrior to joining FS Investments\, Mr. Vora was a Managing Director in Macquarie Group’s Principal Finance division\, where he focused on sourcing and executing private middle market debt and equity financings. Previously\, he was a Managing Director in Macquarie Group’s Credit Solutions Group\, which he helped co-found and served as Head of Underwriting. Prior to that\, he was a Desk Analyst on Macquarie Group’s Distressed Credit Trading Desk. He started his career in investment banking at Goldman Sachs & Co.\nMr. Vora currently sits on the boards of Salt Creek Midstream\, EPIC Midstream\, Church’s Chicken and Giving Home Health Care.\nHe earned a BS in Business Administration\, summa cum laude\, with a minor in Economics from the University of Southern California.\n\n\n\n\n\nClose×\n\n\nMr. Merk is the founder\, President\, and Chief Investment Officer of Merk Investments\, the Company’s investment adviser. Merk Investments manages approximately $1.1 billion in gold and gold mining investments. Mr. Merk created the first U.S. based physical gold exchange traded fund with a patented process to facilitate delivery to investors of gold in coins or bars. Axel Merk is a sought-after speaker and author on topics ranging from the economy\, currencies and gold to sustainable wealth and personal finance. Mr. Merk has been quoted by top tier media\, been a guest at business TV\, radio\, podcasts and speaker at conferences.\n\n\n\n\n\n\n\nClose×\n\n\nMr. Staggs joined ArrowMark in June of 2017 and is a team member of ArrowMark’s Private Capital Solutions group where he sources\, structures\, and manages private debt and non-control private equity investments. Prior to joining ArrowMark Partners in 2017\, he worked in similar capacities at firms to include Goldman Sachs & Co.\, Barclays Private Credit Partners LLC and GE Capital. Mr. Staggs previously served over 10 years as a surface warfare officer in the U.S. Navy\, having attained the rank of Lieutenant Commander. He earned a Bachelor of Science degree in Physics from the United States Naval Academy and an MBA from The Mason School of Business at the College of William and Mary.\n\n\n\n\n\n\n\nClose×\n\n\n\nJim Baker is a managing partner and co-head for Kayne Anderson’s energy infrastructure strategies\, responsible for overseeing the group’s investment strategies. Baker serves as chairman of the board\, president and CEO of Kayne Anderson’s publicly traded closed end fund\, KYN. Baker joined Kayne Anderson’s energy infrastructure group in 2004 and has acted as a portfolio manager for various funds and separately managed accounts for the last 17 years. He has had increasing levels of management responsibility during his 20-year tenure at the firm and was named as a co-head of the energy infrastructure group in 2019. \nPrior to joining Kayne Anderson\, Baker was a director in the energy investment banking group at UBS Securities LLC\, focusing on securities underwriting and mergers and acquisitions in the energy industry. Baker began his career in the energy investment banking group at PaineWebber Incorporated. \nBaker earned a B.B.A. in Finance from the University of Texas at Austin in 1995 and an M.B.A. in Finance from Southern Methodist University in 1997. \n\n\n\n\n\n\nKayne Anderson\, founded in 1984\, is a leading alternative investment management firm focused on real estate\, credit\, infrastructure\, and energy. With a team defined by an entrepreneurial and resilient culture\, Kayne Anderson’s investment philosophy is to pursue cash flow-oriented niche strategies where knowledge and sourcing advantages enable us to deliver above average\, risk-adjusted investment returns. As responsible stewards of capital\, Kayne Anderson’s philosophy extends to promoting responsible investment practices and sustainable business practices to create long-term value for our investors. Kayne manages $36 billion in assets (as of 9/30/2024) for institutional investors\, family offices\, high net worth and retail clients and employs 350 professionals.\n\nClose×\n\n\nMr. McGrath joins Bluerock\, a leading alternative asset manager with more than $18 billion in acquired and managed assets across a suite of credit and real estate investment products\, during a period of significant growth. The firm recently acquired a strategic stake in The Townsend Group (“Townsend”) as part of a partnership that will open the door to new product development opportunities and leverage Bluerock’s robust distribution platform to deliver Townsend’s investment capabilities to the private wealth channel.\nIn his new role\, Mr. McGrath will be responsible for managing Bluerock’s product suite\, developing and structuring new investment products for the firm\, and capitalizing upon the deepened intellectual capital resources stemming from Bluerock’s partnership with Townsend. His oversight of the product development process will include guiding the launch process at partner firms across the financial intermediary space.\n\n\n\n\n\nClose×\n\n\n\n\n\nRosey Valencia is responsible for establishing and maintaining strategic relationships with key broker dealers and institutions to increase Destra’s brand and maximize distribution opportunities across all available platforms for our investment suite. She coordinates with national sales and marketing to ensure alignment between firm’s initiatives\, investment themes\, and product placement.\nBefore joining Destra\, Rosey spent 7 years as the National Account Manager for Deutsche Asset & Wealth Management in the Financial Advisor Division. She focused on identifying sales and marketing opportunities to increase the firm’s market share by building relationships with senior executives\, regional directors\, research analysts\, and product managers.\nShe started her career at UBS Financial Services working over 5 years in various roles in operations\, branch administration\, and client services before becoming a financial advisor. Her experience in building trust with clients to deliver customized investment solutions expands to her success today with financial advisors and centers of influence.\nRosey is a Certified Investment Management Analyst CIMA®\, holds key industry licenses\, and a member of The Investments & Wealth Institute. She received her Bachelors of Business Administration in Finance from the University of Notre Dame in 1998 and currently serves on the Mendoza College of Business Advisory Council.\n\n\n\n\n\nClose×\n\n\n\n\n\nCory Johnson serves as Chief Executive Officer of Pender Capital and brings over 20 years of experience in real estate acquisition\, development\, finance\, and asset management. Mr. Johnson co – founded Pend er Capital Management in 201 5 and is responsible for the firm’s strategic vision and financial success. The firm is an SEC – registered investment advisor\, specialized in U.S. based real estate credit opportunities. Since inception\, the firm has funded over $ 1.13B in loans\, secured by commercial real property collateral valued in excess of $1. 87 B * . Prior to Pender Capital\, Mr. Johnson founded several opportunistic real estate funds\, which deployed value – add strategies through asset repositioning\, while mainta ining attractive risk – adjusted returns for investors. In 2012\, Mr. Johnson co – founded Latitude Properties\, LLC\, a vertically integrated real estate investment firm focused on the acquisition\, stabilization\, and disposition of distressed single – family resid ences throughout Central and Southern California. In 2008\, Mr. Johnson served as Managing Partner and Co – Founder of Paladar Capital Investments\, L.P.\, and Montero Capital\, LLC\, with each fund specializing in the acquisition and repositioning of distressed single – family residential assets. From 2006 to 2008\, Mr. Johnson served as land acquisition manager for M.D.C. Holdings\, Inc.\, the nation’s 9th largest homebuilder at the time\, where he was responsible for acquiring prospective development sites based on suitability requirements. From 2002 to 2005\, Mr. Johnson served as a business development representative for Weyerhaeuser Mortgage Company\, a GE Consumer Finance company. During his tenure at GE Consumer Finance\, Mr. Johnson’ s team originated more than $5 25 million in residential debt. Mr. Johnson holds a bachelor’s degree in economics from the University of California\, Santa Barbara.\n* The amount funded by the Firm and the collateral value provided herein includes any amount invested by predecessor fun ds of the Fund\, or any amounts invested by an outside investor.\n\n\n\n\n\nClose×\n\n\n\n\n\nMiguel Laranjeiro is an Investment Director within the Municipals team at abrdn where he is responsible for asset allocation and investment managment decisions for the abrdn Ultra Short Municipal Income Fund\, abrdn National Municipal fund\, abrdn Short Duration High Yield Municipal Fund and abrdn Intermediate Municipal Income Fund at abrdn. Miguel experience includes municipal credit analysis in the high yield sector as well as high grade tax backed sectors. Miguel joined the company in 2018 from Alpine Woods Capital Investors where he was focused on credit analysis in the Public Finance sector for Alpine’s two municipal funds\, Alpine Ultra Short Municipal Income Fund (ATOIX) and Alpine High Yield Managed Duration Fund (AHYMX). Previously\, Miguel worked for Thomson Reuters as a an analyst focused primarily on Fundamentals Analysis in the Emerging Markets sectors.\n\n\n\n\n\nClose×\n\n\nMr. Pines is a Senior Managing Director and Portfolio Manager at Bramshill Investments where he co-manages their flagship Income Performance Strategy with Bramshill’s CIO. Prior to joining Bramshill Investments in 2012\, Mr. Pines spent over a decade as a Proprietary Trader and Portfolio Manager leading a multi-asset class strategy which specialized in quantitative modeling techniques and utilized fundamental research to determine relative value. The bulk of that time was with Assent (Sungard Financial) and Chimera Securities. He also spent a year with Accenture in their Core Trading Services Group. He has over 20 years of investment experience in fixed income and exchange traded securities within both long-only and long-short investment vehicles. Mr. Pines has been involved in charitable organizations such as NextStep\, The Hoya Diamond Club\, and Party with Purpose where he spent several years on the board. He holds a Masters Graduate Certificate in Algorithmic Trading from Stevens University. Mr. Pines graduated cum laude with a B.S. in finance from Georgetown University.\n\n\n\n\n\nBramshill Investments\, LLC is an employee owned alternative asset management firm that specializes in investment opportunities across the fixed income universe in sectors such as corporate bonds\, preferred securities\, municipal bonds\, structured credit and credit-themed equities. The firm was founded in 2012\, however\, Bramshill strategies have over fourteen year track records with a core absolute return approach. Our investments are designed with the intent to preserve and grow our investors’ capital utilizing our fundamental value-based approach. Bramshill’s investment professionals provide portfolio management and strategy specific solutions across both liquid and illiquid asset classes. We approach risk management with a probability of loss analysis of individual securities combined with both macro and quantitative inputs. Our clients consist of institutions\, family offices\, and high-net-worth individuals. Strategies are managed in co-mingled vehicles\, SMAs\, and through sub-advisory mandates. Bramshill’s team-oriented approach and firm philosophy have been the core reasons for our success in investing\, client relationships\, and risk management.\n\nClose×\n\n\nPhillip Goldstein\n\n\n\n\n\nClose×\n\n\nAdam Sparkman is a client portfolio manager for Thornburg Investment Management. He works with Thornburg’s investment team and serves as a liaison for the team and key investment decision makers\, communicating process and results of the firm’s investment strategies.\nAdam joined Thornburg in 2014 and was previously a member of the firm’s business development group. Prior to Thornburg\, he worked as a business analyst at Los Alamos National Laboratory. Adam graduated cum laude with a BBA in finance from The Sam M. Walton College of Business at University of Arkansas and holds an MBA from New Mexico State University. He is a CFA charterholder.\n\n\n\n\n\nFounded in 1982\, Thornburg Investment Management is a privately owned global investment firm that offers a range of multi-strategy solutions for institutions and financial advisors. A recognized leader in equity\, fixed income\, and multi-asset solutions\, the firm oversees $42 billion (Includes $40.9 billion in assets under management and $1 billion in assets under advisement as of June 30\, 2023) across mutual funds\, closed-end funds\, institutional accounts\, separate accounts for high-net-worth investors and UCITS funds for non-U.S. investors. Thornburg is headquartered in Santa Fe\, New Mexico\, with additional offices in Hong Kong and Shanghai.\nAt Thornburg\, we believe unconstrained investing leads to better outcomes for our clients. Our culture is collaborative\, and our investment solutions are highly active\, high conviction and benchmark agnostic. When it comes to finding value for our clients\, it’s more than what we do\, it’s how we do it: how we think\, how we invest and how we’re structured.\n\nClose×\n\n\n\n\n\nRoxanna Islam is the Head of Sector & Industry Research at TMX VettaFi. Prior to joining TMX VettaFi\, she spent several years in sell-side equity research at Stifel and ETF/Closed-End Fund research at Wells Fargo. Roxanna has appeared in live media segments on Schwab Network and Yahoo Finance and has also been widely quoted in print media including Bloomberg\, The Wall Street Journal\, Fox Business\, CNBC\, Financial Times\, and Reuters. She is a CFA Charterholder and a CAIA Charterholder. Outside of the office\, Roxanna is actively involved with several nonprofit organizations. She serves as an At Large Director on the CFA Society Dallas/Fort Worth Board of Directors\, Treasurer on the Dallas Cotillion Club Board of Directors\, and volunteers with the Junior League of Dallas.\n\n\n\n\n\nClose×\n\n\n\n\n\n\nKenneth Burdon is a Partner in Simpson Thacher’s Registered Funds Practice. Based in the Firm’s Boston office\, Ken advises registered investment funds\, business development companies (BDCs)\, investment advisers and other financial services companies and financial institutions on the full spectrum of product development and distribution and related regulatory\, compliance and governance issues\, as well as M&A\, divestitures and split-offs\, among other matters. He works with fund sponsors on the development of innovative products and counsels BDCs and closed-end funds on IPOs and other capital raising offerings. Ken also guides fund sponsors and distributors\, BDCs and closed-end funds\, mutual funds and others in routine and non-routine activities\, such as seeking exemptive or no-action relief from the SEC and FINRA. Ken is also a leading voice in the closed-end fund industry on the topics of corporate governance and addressing shareholder activism. \nKen’s work has historically included the development of innovative products and product structures to pursue registered and unregistered alternative strategies for clients including BlackRock and FS Investments. He has also advised the EIM Group (now the LumX Group) on a variety of onshore and offshore products in the private product space. Additionally\, Ken has advised financial institutions on transactional activities\, including Thrivent\, Affiliated Managers Group\, The TCW Group\, Société Générale\, Credit Suisse and Ameriprise\, and on associated regulatory and compliance matters. \nKen has been recognized by both Chambers Global and Chambers USA in the Registered Funds category. He was previously named a Rising Star in Registered Funds by IFLR1000\, and one of the Rising Stars of Mutual Funds at Fund Action’s Mutual Fund Industry Awards. \nKen received his J.D. in 2007\, summa cum laude from Boston University School of Law\, where he was an Editor of Boston University Law Review. He received his B.A. from Boston University in 2004\, summa cum laude and Phi Beta Kappa. He is admitted to practice in Massachusetts. \n\n\n\n\n\n\nClose×\n\n\nSara Levin serves as a Director of ETF and Derivative Trading Solutions at WallachBeth’s Cross Asset Solutions team\, providing institutional clients guidance on the complex and evolving exchange-listed space. Sara brings a deep understanding of the institutional investment landscape with particular expertise in fund structuring\, business strategy and distribution across asset classes\, with an emphasis on Derivatives and ETFs.\n\n\n\n\n\nWallachBeth Capital is a leading provider of institutional execution services\, offering our clients a full spectrum of solutions to help them navigate increasingly complex markets. We employ a holistic process for developing and implementing sophisticated trading strategies\, leveraging a combination of deep product knowledge\, extensive market insight and a consultative approach. Our areas of expertise include trading solutions within ETFs\, equities\, derivatives\, mergers and acquisitions\, and CEFs.\n\nClose×\n\n\nSteve joined RiverNorth in 2007 and serves as Portfolio Manager. Steve co-manages the firm’s closed-end fund trading strategies and helps to oversee the firm’s closed-end fund investment analysts.Prior to joining RiverNorth\, Steve was Assistant Vice President at Bank of America in the Global Investment Bank’s Portfolio Management group where he specialized in the corporate real estate\, asset management and structured finance industries.Steve graduated Magna Cum Laude from Miami University of Ohio with a B.S. in Finance and a minor in Economics. He is a CFA Charterholder and member of the CFA Institute and the CFA Society of Chicago.\n\n\n\n\n\nRiverNorth is an investment management firm founded in 2000 that specializes in opportunistic strategies in niche markets where the potential to exploit inefficiencies is greatest. RiverNorth is the manager to multiple registered and private funds.\n\nClose×\n\n\nChirag Goyanka is a seasoned expert in alternative investments\, bringing a unique perspective from both the product and fundraising sides of the industry. With over two decades of experience spanning Asia and the United States\, Chirag has successfully navigated the ever-evolving landscape of private and public markets. His entrepreneurial mindset and a proven track record in fundraising\, business development\, and marketing set him apart.\nChirag embarked on his career as a Wealth Manager in Asia and later played a pivotal role in launching his firm’s asset management business in the United States. Over the years\, he has held key positions in distribution and product roles. In his current role as Head of Intermediary Solutions at Moonfare\, Chirag leads the charge in launching the Intermediary business for Moonfare in the US\n\n\n\n\n\nMoonfare offers advisors & their individual investors access to private market investment opportunities. With its digital onboarding process and asset management platform\, Moonfare allows investors to register and invest directly online.* To date\, Moonfare has offered more than 95 private-market funds from top general partners worldwide such as KKR\, Carlyle and EQT with an emphasis on private equity buyouts\, venture\, growth and real asset categories like infrastructure. Moonfare’s investment team conducts ground-up due diligence on all funds. Fewer than 5% of available funds pass this process and make it onto the Moonfare platform. This focus on quality is one reason why Moonfare has won the trust of 4\,000 clients who have invested more than $2.9 billion on its platform. Headquartered in Berlin\, Moonfare operates in 23 countries across Europe\, Asia\, America and has offices in New York\, Hong Kong\, London\, Zürich\, Singapore\, Paris and Luxembourg. For further information\, please visit www.moonfare.com and LinkedIn\n\nClose×\n\n\nShane Klein is the Head of the Financial Institutions Group (Americas) at Sumitomo Mitsui Banking Corporation having joined the bank in July 2013. Prior to SMBC\, Mr. Klein was the U.S. Head of Funds at Lloyds Bank responsible for coverage of a variety of Financial Institutions including Asset Managers\, Regulated Closed End Funds\, Private Equity Funds\, BDCs and Insurance companies. In 2008\, Mr. Klein established the Private Equity Fund Finance (Subscription Financing & Hybrid Financing) in the U.S. while cross selling the various products of the firm. Additionally\, Shane oversaw and managed over $300m of LP interests in 17 Private Equity Funds.\n\n\n\n\n\nSMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history\, SMBC Group offers a diverse range of financial services\, including banking\, leasing\, securities\, credit cards\, and consumer finance. The Group has more than 150 offices and 86\,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group\, Inc. (SMFG) is the holding company of SMBC Group\, which is one of the three largest banking groups in Japan. SMFG’s shares trade on the Tokyo\, Nagoya\, and ADRs on the New York (NYSE: SMFG) stock exchanges.\nIn the Americas\, SMBC Group has a presence in the U.S.\, Canada\, Mexico\, Brazil\, Chile\, Colombia\, and Peru. Backed by the capital strength of SMBC Group and the value of its relationships in Asia\, the Group offers a range of commercial and investment banking services to its corporate\, institutional\, and municipal clients. It connects a diverse client base to local markets and the organization’s extensive global network. The Group’s operating companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC)\, SMBC Nikko Securities America\, Inc.\, SMBC Nikko Securities Canada\, Ltd.\, SMBC Capital Markets\, Inc.\, SMBC Rail Services LLC\, Manufacturers Bank\, JRI America\, Inc.\, SMBC Leasing and Finance\, Inc.\, Banco Sumitomo Mitsui Brasileiro S.A.\, and Sumitomo Mitsui Finance and Leasing Co.\, Ltd.\n\nClose×\n\n\nMr. Pritchett is a Managing Director and Portfolio Manager in the Ares Credit Group\, where he focuses on alternative credit investments. Prior to joining Ares in 2011\, Mr. Pritchett was an Associate at Indicus Advisors. Mr. Pritchett holds an M.Eng. from Imperial College London in Mechanical Engineering.\n\n\n\n\n\n\nAres Dynamic Credit Allocation Fund\, Inc. (“ARDC”) is a closed-end management company that is externally managed by Ares Capital Management II LLC\, a subsidiary of Ares Management Corporation. ARDC seeks to provide an attractive level of total return primarily through current income and\, secondarily\, through capital appreciation. ARDC invests in a broad\, dynamically-managed portfolio of credit investments. ARDC’s net asset value may be accessed through its NASDAQ ticker symbol\, XADCX. Additional information is available at http://www.arespublicfunds.com. \nAres Management Corporation (NYSE:ARES) is a leading global alternative investment manager offering clients complementary primary and secondary investment solutions across the credit\, private equity\, real estate and infrastructure asset classes. We seek to provide flexible capital to support businesses and create value for our stakeholders and within our communities. By collaborating across our investment groups\, we aim to generate consistent and attractive investment returns throughout market cycles. As of June 30\, 2023\, Ares Management Corporation’s global platform had approximately $378 billion of assets under management\, with over 2\,600 employees operating across North America\, Europe\, Asia Pacific and the Middle East. For more information\, please visit www.aresmgmt.com. \n\n\nClose×\n\n\n\nRyan Crewe | Vice President\, Institutional Relationship ManagerPrior to joining Liberty Street Advisors\, Inc.\, Ryan was Head of Australia & New Zealand at Altive\, a venture-backed investment platform providing access to alternative products across pre-IPO\, venture capital\, private equity and credit. Prior to Altive\, he was a Head of Wholesale\, HNW and Family Office Distribution at GAM Investments (Australia). His experience has focused on the distribution of alternative investment products to qualified and institutional investors. \nRyan graduated from the University of Technology\, Sydney with a BBA in Finance and holds the Chartered Alternative Investment Analyst (CAIA) designation. \n\n\n\n\n\n\n\nThe Private Shares Fund seeks capital appreciation by focusing on investments in late-stage\, venture-backed private companies. As compared to startups and earlier-stage venture companies\, these companies have more established product lines and customer bases\, and typically have displayed revenue growth. The Private Shares Fund’s strategy is to participate in the potential appreciation of these dynamic pre-lPO companies. \nThe Private Shares Fund investment management team monitors an extensive universe of private technology and innovation companies across multiple sectors while staying attuned to significant trends in the marketplace. By utilizing proprietary databases and deep relationships across the venture ecosystem\, we look to identify opportunities involving high-performing companies with strong investor syndicates. Each of these companies will undergo an in-depth analysis of many factors that are likely to influence both capital appreciation and the ultimate exit outcome. Once the evaluation process is complete\, the investment team will negotiate terms and determine the appropriate allocation based on portfolio construction modeling. \n\n\nClose×\n\n\nJonathan Mondillo is Head of US Fixed Income at abrdn. He is responsible for overseeing all public and private markets fixed income teams in the region\, which include IG Credit\, HY Credit\, Municipals\, and USPP. He is further responsible for five municipal bond and infrastructure debt funds that invest in both investment grade and high yield credits. Jonathan joined the firm in 2018 from Alpine Woods Capital Investors\, LLC\, when two mutual funds he managed were acquired by Aberdeen Standard Investments. Prior to that\, Jonathan worked for Fidelity Capital Markets. Jonathan graduated with a B.S. in Finance from Bentley University.\nQualifications\nBSc\nBS in Finance. Jonathan holds both Series 7 and 63 licenses.\n\n\n\n\n\n\nEnabling our clients to be better investors drives everything we do. Our business is structured around three vectors – Investments\, Adviser and Personal – focused on their changing needs. Our investments solutions are built on the strength of our insight – generated from wide-ranging research\, worldwide investment expertise and local market knowledge. Our teams collaborate across regions\, asset classes and specialisms\, connecting diverse perspectives\, working with clients to identify investment opportunities that suit their needs. \n\n\nClose×\n\n\nGeorge Westervelt is Head of Global High Yield and Head of US High Yield Research. He is one of the Portfolio Managers on the team that manages the Global High Yield strategies and is also a member of the North American Fixed Income Leadership team. George joined Aberdeen Standard Investments in 2009 as a Credit Analyst and joined the portfolio management group in 2011. Prior to joining abrdn\, George worked at MFS Investment Management in Boston and Citigroup in New York. He earned a BA in English from the University of Vermont and is a CFA charterholder.\nQualifications:\nBA\, CFA\nGeorge earned a BA in English from the University of Vermont and is a CFA charterholder.\n\n\n\n\n\n\nEnabling our clients to be better investors drives everything we do. Our business is structured around three vectors – Investments\, Adviser and Personal – focused on their changing needs. Our investments solutions are built on the strength of our insight – generated from wide-ranging research\, worldwide investment expertise and local market knowledge. Our teams collaborate across regions\, asset classes and specialisms\, connecting diverse perspectives\, working with clients to identify investment opportunities that suit their needs. \n\n\nClose×\n\n\nJosh Duitz is Deputy Head of Global Income and Infrastructure at abrdn. Josh joined Alpine Woods Capital Management in 2007\, where he was a Portfolio Manager of its Global Dynamic Dividend and Global Infrastructure strategies. The management contracts of the funds he managed at Alpine Woods were acquired by abrdn in April 2018. Previously\, Josh worked for Bear Stearns where he was a Managing Director\, Principal and traded international equities. Prior to that\, Josh worked for Arthur Andersen where he was a senior auditor. Josh continues to be responsible for managing the Global Dynamic Dividend and Global Infrastructure strategies.Qualifications:Josh graduated with an MBA from The Wharton School of the University of Pennsylvania and holds a BA from Emory University.\n\n\n\n\n\n\nEnabling our clients to be better investors drives everything we do. Our business is structured around three vectors – Investments\, Adviser and Personal – focused on their changing needs. Our investments solutions are built on the strength of our insight – generated from wide-ranging research\, worldwide investment expertise and local market knowledge. Our teams collaborate across regions\, asset classes and specialisms\, connecting diverse perspectives\, working with clients to identify investment opportunities that suit their needs. \n\n\nClose×\n\n\nJames Ryan is responsible for leading the distribution strategies of Destra’s investment offerings. Mr. Ryan brings more than 40 years of broad experience in sales management\, asset management and client development to the role. He is accomplished in strategic planning and analysis & business-to-business development\, and has fostered long-standing relationships and successful practices across all distribution channels\, business platforms and product structures including IPOs\, Mutual Funds\, Structured Products\, Closed-End Funds\, Retirement Offerings\, UITs and SMA/UMA.\n\n\n\n\n\n\nFounded in 2008\, Destra Capital was purpose-built to help independent thought leaders achieve better wealth outcomes by sourcing the next generation of investment solutions.To achieve these goals\, Destra selects experienced partners with unique investment strategies or services. Mutual funds\, interval funds\, closed-end funds\, separate accounts\, and investment services – all are tools that the team uses to help investors intentionally grow their wealth outcomes over time. \nMore than 15 years later\, the firm has helped thousands of investors break away from the pack and blaze their own investing trail. We continue to encourage our clients to challenge the conventional and explore new ways of delivering financial freedom. \n\n\nClose×\n\n\nKevin T. Hardy represents public and private funds\, fund sponsors\, investment advisers\, broker-dealers\, investment banks and other financial institutions in connection with the design and formation of investment funds and products\, securities offerings\, regulatory and compliance matters\, transactions and other corporate matters.\nMr. Hardy has been repeatedly selected for inclusion in Chambers Global and Chambers USA\, in addition to being named one of Crain’s Chicago Business’ 2022 Notable Gen X Leaders in Law.\n\n\n\n\n\n\nSkadden\, Arps\, Slate\, Meagher & Flom LLP and Affiliates delivers the highest quality advice and novel solutions to legal challenges\, enabling clients to achieve their business goals. We are known for the innovative and creative thinking we rely on to handle the most complex transactions\, litigation/controversy issues\, and regulatory matters\, as well as the open\, collaborative relationships we build with clients\, including corporations; financial and governmental entities; small\, entrepreneurial companies; and cultural\, educational and charitable institutions. \n\n\nClose×\n\n\nJake manages Destra’s mutual fund products and oversees Destra’s secondary market support services for several NYSE listed closed-end funds. Jake contributes to the Firm’s product\, marketing\, and legal teams through product management and development efforts\, data generation and investment content creation\, as well as day-today operational support and documentation. Jake also sits on the Firm’s Investment Committee adding to portfolio oversight and monitoring in conjunction with manager & fund research\, selection\, and due diligence. Jake received his Bachelor of Science degree in Finance from the Gies College of Business at the University of Illinois at Urbana-Champaign. He holds the FINRA Series 7 and 66 securities licenses and also holds the Chartered Financial Analyst designation. Jake is a member of the CFA Institute and CFA Society Chicago.\n\n\n\n\n\n\nFounded in 2008\, Destra Capital was purpose-built to help independent thought leaders achieve better wealth outcomes by sourcing the next generation of investment solutions. \nTo achieve these goals\, Destra selects experienced partners with unique investment strategies or services. Mutual funds\, interval funds\, closed-end funds\, separate accounts\, and investment services – all are tools that the team uses to help investors intentionally grow their wealth outcomes over time. \nMore than 15 years later\, the firm has helped thousands of investors break away from the pack and blaze their own investing trail. We continue to encourage our clients to challenge the conventional and explore new ways of delivering financial freedom. \n\n\nClose×\n\n\nElliot J. Gluck is a partner in the Asset Management Department of Willkie Farr & Gallagher LLP. Mr. Gluck’s practice focuses on representing mutual funds\, closed-end funds\, exchange-traded funds (ETFs)\, their investment advisers and their boards. He has extensive experience in counseling on the organization and operation of registered investment companies\, including with respect to a broad range of innovative and novel products and structures. Mr. Gluck counsels clients with respect to trending investment products\, such as interval funds\, trending investments and investment strategies\, such as digital assets and ESG. He regularly advises registered funds and their boards on a wide range of compliance\, corporate governance and complex regulatory matters. Mr. Gluck also represents closed-end funds in capital markets transactions\, including initial and secondary public offerings of common and preferred stock and rights offerings\, and counsels closed-end fund and their boards on strategic matters\, such as addressing share price discounts and dealing with activist investors.\n\n\n\n\n\nWillkie Farr & Gallagher LLP provides leading-edge legal solutions on complex\, business critical issues spanning markets and industries. Our approximately 1\,200 attorneys across 13 offices worldwide deliver innovative\, pragmatic and sophisticated legal services across more than 45 practice areas.\n\nClose×\n\n\nMichael is a senior market strategist at Nuveen. In this role\, he supports sales and marketing activity related to all of the firm’s municipal managed money products: open-end mutual funds\, closed-end funds and managed accounts. He serves as one of the company’s chief spokespersons on economic issues and investment philosophy\, especially related to municipal bond investments and tactical asset allocation. Michael brings a unique perspective as a long-time direct participant in the financial markets.\n\n\n\n\n\n\nNuveen\, the investment manager of TIAA\, offers a comprehensive range of outcome-focused investment solutions designed to secure the long-term financial goals of institutional and individual investors. Nuveen has $1.1 trillion in assets under management as of 30 Jun 2022 and operations in 27 countries. Its investment specialists offer deep expertise across a comprehensive range of traditional and alternative investments through a wide array of vehicles and customized strategies. Nuveen is a leading sponsor of closed-end funds (CEFs) with $57 billion of assets under management across 56 CEFs as of 30 Jun 2022. The funds offer exposure to a broad range of asset classes and are designed for income-focused investors seeking regular distributions. Nuveen has more than 35 years of experience managing CEFs. \n\n\nClose×\n\n\nScott is responsible for senior loan-focused portfolio management. When Scott joined Nuveen affiliate Symphony Asset Management in 2002\, he was a gaming and industrials analyst providing long and short credit ideas to the investment team up and down the capital structure. Scott began trading loans for the platform in 2003 and in 2005 was named an associate portfolio manager on the firm’s loan strategies. He became the lead portfolio manager on the firm’s loan strategies in 2008. Prior to joining the firm\, Scott was an investment banking analyst in the industrial group at Deutsche Banc Alex Brown in New York. Scott graduated with a B.S. in Finance from Georgetown University.\n\n\n\n\n\n\nNuveen\, the investment manager of TIAA\, offers a comprehensive range of outcome-focused investment solutions designed to secure the long-term financial goals of institutional and individual investors. Nuveen has $1.1 trillion in assets under management as of 30 Jun 2022 and operations in 27 countries. Its investment specialists offer deep expertise across a comprehensive range of traditional and alternative investments through a wide array of vehicles and customized strategies. Nuveen is a leading sponsor of closed-end funds (CEFs) with $57 billion of assets under management across 56 CEFs as of 30 Jun 2022. The funds offer exposure to a broad range of asset classes and are designed for income-focused investors seeking regular distributions. Nuveen has more than 35 years of experience managing CEFs. \n\n\nClose×\n\n\nChris Janus has 16 years of industry experience and is a Director on the Public Securities Group’s Real Asset Debt team. He is responsible for covering Real Estate and CMBS. Previously\, he was a Director on our Structured Products team focused on CMBS\, CRE CLOs and direct lending. Prior to joining the firm in 2009\, Chris began his career at SunTrust Robinson Humphrey within the Real Estate Investment Banking group. Chris earned a Bachelor of Science degree in Mechanical Engineering from Miami University.\n\n\n\n\n\nAt Brookfield Oaktree Wealth Solutions\, we partner with financial advisors to bring institutional-caliber alternative solutions and insights to individual investors. Our solutions are built to meet the varying needs of individual investors\, and they are coupled with market and investment insights based on our unique products and portfolio expertise. We offer specialized support for financial advisors and their clients\, built on a foundation of investment excellence\, integrity and alignment of interests.\n\nClose×\n\n\nJames Bruno is a Managing Director and Head of Product Development and Advocacy for Brookfield Oaktree Wealth Solutions. In this role\, he leads global product development and programs aimed at helping advisors navigate the world of alternative investments and their role in client portfolios. Before joining the firm in 2023\, Mr. Bruno was a Managing Director\, Co-Head of Product Origination and Development for Alternative Investments at Morgan Stanley Wealth Management\, including private equity\, private credit\, real estate\, hedge funds\, customized solutions\, and pre-IPO offerings. Over his fifteen-year tenure at Morgan Stanley\, Mr. Bruno held other roles within alternative investments\, including Head of Product Development for all illiquid products and liquid offerings. Prior to joining Morgan Stanley\, Mr. Bruno held alternative-focused product development roles at HSBC and Merrill Lynch. Mr. Bruno has an M.B.A. in Finance from Fordham University\, a B.S. in Accounting from Long Island University\, and is a Certified Public Accountant in the State of New York.\n\n\n\n\n\nAt Brookfield Oaktree Wealth Solutions\, we partner with financial advisors to bring institutional-caliber alternative solutions and insights to individual investors. Our solutions are built to meet the varying needs of individual investors\, and they are coupled with market and investment insights based on our unique products and portfolio expertise. We offer specialized support for financial advisors and their clients\, built on a foundation of investment excellence\, integrity and alignment of interests.\n\nClose×\n\n\nDaniil is a director in Cerulli’s Product Development practice\, where he works on the identification\, analysis\, and reporting of asset management industry trends with a focus on the distribution of alternative investments to the private wealth segment.\n\n\n\n\n\nFor over 30 years\, Cerulli has been at the forefront of the industry\, delivering groundbreaking market intelligence. It is our mission to arm asset managers\, wealth managers\, private equity firms\, and financial technology firms with data\, research\, and advice they need to grow.\n\nClose×\n\n\nCarolyn Murphy-Lepore is a Portfolio Manager at City of London Investment Management Company Limited (CLIM)\, based in the company’s US office. Mrs. Murphy-Lepore is responsible for management of the firm’s investments in the Americas with respect to research\, trading and corporate governance. She joined CLIM as a Research Analyst in 2007 and has been a Portfolio Manager since 2012. She has served as the Head of both the Dubai and Singapore offices of CLIM. Prior to joining CLIM\, Mrs. Murphy-Lepore worked as a Registered Sales Assistant at Raymond James Financial\, Stifel Nicolaus and Legg Mason Capital Management. She has a BA from the University of Delaware.\n\n\n\n\n\nCity of London Investment Management was formed out of the London-based operations of Olliff & Partners PLC (O&P) that had been founded by Barry Olliff in 1987. O&P was an agency stockbroker and corporate finance boutique. Mr. Olliff launched City of London Unit Trust Managers\, the predecessor of City of London Investment Management\, in 1991.\n\nClose×\n\n\nPaul E. Dunn is Executive Vice President of Bluerock Capital Markets\, LLC (BCM) and is responsible for building the firm’s internal/external infrastructure as the company experiences explosive growth. Since 2011\, he has been a key member of the management team that has been responsible for the Bluerock Total Income+ Real Estate Fund (a ’40 Act Mutual Fund) and the Bluerock Resident Growth REIT (NYSE American: BRG).\n\n\n\n\n\nBluerock was founded in 2002 and is based in New York City. Today\, the firm has acquired and managed over $15 billion in assets on behalf of more than 120\,000 investors. Bluerock serves the growing need for alternative investments … where there is asymmetric risk and return opportunities (well off the efficient frontier). In 2022 and 2023\, Bluerock was and is a finalist for Barron’s Asset Manager of the Year. Bluerock currently sponsors two interval funds: Bluerock Total Income+ Real Estate Fund\, the nation’s largest real estate interval fund with $6.5 billon of AUM and an 11- year track record and the Bluerock High Income Institutional Credit Fund which invests in a $9 billion portfolio of senior secured loans. In addition\, the firm is one of the most seasoned sponsors of DSTs providing tax advantaged exchanges to investors.\n\nClose×\n\n\nKimberly Flynn serves as Managing Director at XA Investments\, a wholly-owned subsidiary of XMS Capital Partners. She is a partner in the firm and responsible for all product and business development activities. Kim created the alternative registered trust platform at XA Investments working in partnership with independent subadvisers representing best-in-class alternative investment managers.Previously\, Kim was Senior Vice President and Head of Product Development for Nuveen Investments’ Global Structured Products Group. In her 11 years at Nuveen\, she helped developed over 40 closed-end funds raising ~$13 billion in capital. In her leadership role at Nuveen\, Kim was responsible for asset raising activities through the development of new traditional and alternative investment funds including CEFs\, ETFs\, UITs and commodity pools.Kim received her MBA degree from Harvard University\, where she was a William J. Carey scholar and President of the HBS Volunteers. Before attending Harvard Business School\, Kim spent three years working in Morgan Stanley’s Investment Banking Division (1999-2002) in their Chicago office.\n\n\n\n\n\nXA Investments LLC (XAI) is a Chicago-based investment manager founded by XMS Capital Partners in April 2016 to pursue a single goal: provide investors with access to institutional-caliber alternative investments. XAI has approximately $428 million in assets under management as of June 30\,2023.\nIn offering quality alternatives that were previously inaccessible to the individual investor community\, XAI not only challenges common views about liquidity\, but allows individuals to better align themselves with the institutional approach to investing.\n\nClose×\n\n\nMs. Charles\, as the Managing Director and Director of Closed-End Fund is responsible for setting general research policy and strategy. She joined Raymond James Financial in November 1995 and joined the Closed-End Fund Research group in September of 1998.\nAmy also was the Director of ETF Research until June 2021. Prior to joining Closed-End Fund Research\, she spent two and a half years in the Equity Research Department. She has been the Director of Closed-End Fund Research since May of 2000. She holds a B.A. from Florida Metropolitan University. Ms. Charles has been quoted in several publications including Business Week and has been a speaker at numerous conferences throughout the year.\n\n\n\n\n\nRaymond James Financial\, Inc. is an American multinational independent investment bank and financial services company providing financial services to individuals\, corporations\, and municipalities through its subsidiary companies that engage primarily in investment and financial planning\, in addition to investment banking and asset management. Headquartered in St. Petersburg\, Florida\, Raymond James is one of the largest banking institutions in the United States.\nToday\, that client-focused approach has extended to serve client accounts through approximately 8\,700 financial advisors in the United States\, Canada and overseas. Further\, the company has expanded through the years to serve corporations\, institutions and municipalities through significant capital markets\, banking and asset management services.\n\nClose×\n\n\n\nDouglas Bond\, Executive Vice President\, is Head of Closed End Funds and a portfolio manager for Cohen & Steers’ Closed-End Opportunity Fund and other portfolios investing in closed-end funds. Before joining Cohen & Steers in 2004\, Mr. Bond worked at Merrill Lynch for 23 years. Between 1992 and 2004\, he ran their closed-end fund new origination effort and was involved in all closed-end funds underwritten by Merrill Lynch. He also headed Merrill’s Private Client Syndicate Group. \nMr. Bond holds a BA from Hamilton College and an MBA from New York University. He is based in New\nYork. \n\n\n\n\n\n\n\n\nClose×\n\n\nDirector / Trustee and Bank Executive with international finance and capital markets expertise in the North American\, European and Australasian markets. Governance\, Executive and Practitioner level experience leading high profile\, high value banking\, funds management and technology organizations.\nSample Experience: Independent Director / Trustee – abrdn Global Infrastructure Income Fund (ASGI). Former Chairman – Macquarie Global Infrastructure TRF (MGU)\, Board Risk Advisor – National Bank of Greece\, Non-Executive Director – Anglo Irish Bank / IBRC Assurance Corporation\, Chairman – National Australia Capital Markets (NACM)\, Trustee – Institute of International Bankers. Also\, EVP / GM / Head of North America / Head of Energy & Utilities – National Australia Bank\, Head of North American Strategy Projects – Bank of Ireland\, Vice President – Mellon Bank – International\, Board Advisor – Ad Fontes Media.\n\nClose×\n\n\n\nMr. Sell is the Principal of Edison Holding GmbH\, which invests in and advises on commercial real estate and early-stage seed investments in Berlin. \nMr. Sell has over 25 years’ experience as an international banker. His career included stints in New York\, Sydney\, London\, Berlin\, and Luxemburg where he was active in global capital markets. While at Landesbank Berlin\, in addition to managing a team of proprietary traders engaged in arbitrage strategies\, Mr. Sell was an activist investor in closed-end funds. This began his parallel and subsequent career as an independent director. \nGrowth Fund of Spain (GSP) 1998 – 1999 \nFrance Growth Fund (FRF) 2000 – 2004 \nAbrdn Australia Equity Fund (IAF) 2004 – present \nSingapore Fund (SGF) 2011-2018. (Chairman) \nGreater China Fund (GCH) 2012-2018 \nSwiss Helvetia Fund (SWZ) 2017-present. (Lead Independent Director and Audit Chair) \nHigh Income Securities Fund (PCF) 2018 – present \nAbrdn Global Income Fund (FCO) 2018 – present \nAbrdn Asia Pacific Income Fund (FAX) 2018 – present \nHe holds a BA in Economics from the George Washington University. \n\n\nClose×\n\n\nDan handles portfolio management\, research\, and trading activities for CEFA. He received his B.A. in Business Administration from the Goizueta Business School at Emory University and holds the Chartered Financial Analyst (“CFA”) designation. Prior to joining CEFA\, he was a portfolio manager for Zoso Capital\, and previously worked for investment banks UBS\, Morgan Stanley\, and SunTrust performing investment research and was a senior analyst at George Weiss Multi-Strategy Advisers.\n\n\n\n\n\n\nClosed-End Fund Advisors (“CEFA”) is a fee-based Registered Investment Advisory firm founded in 1989. \nClosed-End Fund Advisors has its corporate headquarters in Richmond\, Virginia.CEFA’s primary business is discretionary asset management. As a global manager of managers\, we build portfolios for individual and institutional clients\, through either direct work with clients or through financial advisors and planners \n\n\nClose×\n\n\n\n\n\n\nJason Mehring is a Managing Director at BlackRock. He is a voting member and a past Chairman of the investment committee for BlackRock’s US Private Capital Group (“USPC”).Mr. Mehring focuses on the team’s origination\, underwriting and monitoring of middle market private investments\, including those made on behalf of the Middle Market Senior Fund (“MMSF”)\, where he is the lead Portfolio Manager\, and other public and private investment funds. These investment vehicles offer middle-market companies flexible financing solutions to meet their current and future capital needs. \nJason has over 26 years’ experience in middle market investing including his 15 years’ experience with the USPC team\, joining as a Managing Director at BlackRock Capital Investment Corporation’s former advisor in 2005. Mr. Mehring previously spent more than ten years at Banc of America Capital Investors (BACI)\, an affiliate of Bank of America\, Inc.\, in Chicago\, where he held positions of increasing responsibility\, becoming a Principal of the firm in 2000. At BACI\, Mr. Mehring focused on mezzanine and private equity investing in middle market companies. Prior to joining BACI in 1994\, he worked at Firstar Bank\, a predecessor to U.S. Bank. \nMr. Mehring received a B.B.A.\, summa cum laude\, in Finance and Economics from the University of Wisconsin Eau Claire\, where he also graduated with University Honors\, an M.B.A. from the Kellogg School of Management at Northwestern University\, and he has served on a variety of private corporate boards. \n\n\nClose×\n\n\n\n\n\n\nJorge Solares-Parkhurst is a Managing Director in JMP Securities’ financial services investment banking group.Prior to joining JMP\, Jorge had been a Director in the global financial institutions group at Credit Suisse\, where he worked with U.S. specialty lenders and regional banks. He previously served as a Managing Director at FBR Capital Markets and a Senior Managing Director at Bear\, Stearns & Co. Jorge began his career in PaineWebber’s investment banking division\, remaining with the firm following its acquisition by UBS and concluding his tenure there as a Director in the financial institutions group for the Americas. \nJorge holds a BSFS in international economics from The Edmund A. Walsh School of Foreign Service at Georgetown University. \n\n\nClose×\n\n\n\n\n\n\nKenneth E. Burdon represents public and private investment funds\, investment advisers\, financial services companies and other financial institutions in connection with the structuring and distribution of investment products\, and in a variety of regulatory\, compliance\, corporate\, governance\, operational and transactional matters.Serving clients in every major international financial center\, Skadden\, Arps\, Slate\, Meagher & Flom LLP and affiliates is one of the leading law firms in the world\, with 22 offices and approximately 1\,700 attorneys offering solutions to the most challenging legal issues in virtually every area of corporate law. \n\n\nClose×\n\n\n\n\n\n\nVadim Avdeychik advises business development companies (BDCs)\, mutual funds\, closed-end funds\, exchange-traded funds (ETFs)\, hedge funds and their investment advisers on the full range of investment management matters. His experience spans the formation and operation of registered investment companies\, alternative fund structures\, fund governance\, regulatory issues involving public and private funds\, ERISA and investment company status issues and exemptions.Vadim also advises clients on environmental\, social and governance (ESG) investing\, including launching investment products\, advising directors on ESG matters and establishing compliance programs for ESG investing. He has authored several articles on the topic and is a frequent speaker on regulatory issues dealing with ESG investing. \n\n\nClose×\n\n\n \n \n\nRob Watson\, CFP®\nPartner & Head of Investments\nRob Watson is a Partner & Head of Investments for Destra. Rob also serves as President of Destra Capital Advisors\, LLC and DFC Preferred Advisors LLC\, both SEC registered investment advisors\, as well as President of each of Destra’s mutual funds. Rob chairs the Firm’s Investment Committee\, with responsibility for manager research and selection\, as well as portfolio oversight and monitoring. In addition\, he heads the Firm’s investment product and marketing efforts.\nRob has held numerous roles across an almost 30-year career in the financial services industry. Rob has run product units at Morgan Stanley & Aviva Investors and been responsible for business development and account management teams at Janus & Van Kampen. He has extensive experience in product design and investment implementation\, as well as institutional sales and manager due diligence. He holds key industry licenses\, is a CFP® certificate holder\, and has a Bachelor of Science degree in Economics from North Carolina State University.\n\nClose×\n\n\n \n \n\nColin is a Senior Portfolio Manager at Angel Oak Capital and serves as a Portfolio Manager for the Multi-Strategy Income Fund\, the UltraShort Income Fund\, the Strategic Credit Fund\, the Core Impact Fund\, and the Strategic Mortgage Income Fund. He also focuses on security and portfolio analytics and is responsible for building and managing strategies within the residential mortgage-backed securities market.\nColin joined Angel Oak in 2012 and serves as a voting member of the firm’s public funds Investment Committee. He is also a speaker on many of the firm’s quarterly calls for both its private and public funds.\nPrior to Angel Oak\, Colin worked for an Atlanta-based boutique investment firm where he was responsible for the acquisition and management of their distressed debt portfolio\, as well as the development of their proprietary financial technology platform. Previously\, Colin worked in the Real Estate Capital Markets group for Wachovia Bank and Wells Fargo where he focused on risk management for their commercial real estate REPO lines.\nColin holds B.B.A. degrees in Banking & Finance and Real Estate from the Terry College of Business at the University of Georgia.\n\nClose×\n\n\n \n\n \n\nJustin leads product management and development for Nuveen’s Municipal and Preferred Securities product lines. In this role\, he collaborates with Nuveen’s Investment\, Distribution\, Marketing and Operations teams to drive the strategic growth of our Municipal and Preferred Securities business. Justin’s primary responsibilities include the development and management of investment products and strategies in an effort to thoughtfully achieve our strategic product plan.\nPrior to joining Nuveen\, Justin led product management and development for Destra Capital. He also served as a member of the firm’s Investment Committee\, was an officer for Destra’s suite of mutual funds and led sub-advisor due diligence. Prior to joining Destra\, Justin played an integral role in the product management and development of closed-end funds\, mutual fund and ETFs at Guggenheim Investments.\nJustin graduated with a Bachelor’s degree in Business Administration from the University of Wisconsin-Whitewater. He holds the CFA designation and is a member of the CFA Institute and CFA Society of Chicago.\nNuveen\, the investment manager of TIAA\, offers a comprehensive range of outcome-focused investment solutions designed to secure the long-term financial goals of institutional and individual investors. Nuveen has $1.3 trillion in assets under management as of 31 Dec 2021 and operations in 27 countries. Its investment specialists offer deep expertise across a comprehensive range of traditional and alternative investments through a wide array of vehicles and customized strategies. For more information\, please visit www.nuveen.com.\n\nClose×\n\n\n \n \n\nMichael Bell is a Managing Director of Primark. Prior to Primark\, Michael built\, and was the CEO for a $12B RIA managing more than 30 investment strategies and a $10B liquid alternative mutual fund complex that launched more than 50 alternative funds. Most recently he purchased\, grew and sold a family office-backed $6B RIA. Also\, he specialized as a corporate finance attorney for Latham & Watkins and was a CPA for KPMG. He holds a BS in Commerce from the University of Virginia and a JD from West Virginia University.\nPrimark is expanding access to private equity investments without the complexity of subscription documents\, high investment minimums\, and the complex tax treatment associated with traditional institutional private equity fund structures.\n\nClose×\n\n\n \n \n\nShiloh R. Bates joined Flat Rock Global in 2018 and is a Partner and Chief Investment Officer.  Prior to joining Flat Rock Global\, Mr. Bates was a Managing Director at Benefit Street Partners where he worked on corporate acquisitions. Prior to that\, Mr. Bates was the Head of Structured Products at BDCA Advisor\, where he was responsible for investments in CLOs\, leveraged loans\, and publicly traded BDCs.\nDuring his 20-year career\, Mr. Bates worked for several CLO managers and invested over $1.3 billion in CLO securities. He is a frequent panelist at CLO conferences and has written a book on investing in CLO equity.\n\nClose×\n\n\n \n \n\nAlex Condrell is a Managing Director at Cliffwater. Founded in 2004\, Cliffwater provides research and investment due diligence services across the full range of private markets and alternative investments. Cliffwater also manages over $4 billion in private credit funds. Alex joined Cliffwater in 2021.\nPrior to joining Cliffwater\, Alex was a Managing Director at Monroe Capital\, an asset management firm specializing in lower middle market direct lending. Before that\, Alex was the Chief Investment Officer at Main Street Financial\, with prior experience at Calamos Investments\, Lotsoff Capital\, Fannie Mae and Freddie Mac.\nHe earned a BA in Government from Pomona College and an MBA in Finance from Georgetown University. Alex is a CFA charterholder and also holds the CAIA designation..\n\nClose×\n\n\n \n \n\n\nChuck Jaffe is a syndicated financial columnist and the host of “Money Life with Chuck Jaffe\,” a one-hour weekday financial talk show (moneylifeshow.com).Chuck’s work has been syndicated since 1995\, first while based at the Boston Globe and then from MarketWatch.com; he also writes for the Wall Street Journal and elsewhere. A past president of the Society of American Business Editors &and Writers\, Chuck has been a frequent guest on CNBC\, Nightly Business Report\, Fox Business News\, National Public Radio and more\, and is the author of three books: “Getting Started In Finding a Financial Advisor\,” “The Right Way to Hire Financial Help” and “Chuck Jaffe’s Lifetime Guide to Mutual Funds.” \nIn what is jokingly referred to as “spare time\,” Chuck is very involved in the sport of lacrosse as a broadcaster\, referee\, coach\, league owner and player. He lives on Boston’s South Shore with a golden retriever who sleeps under the desk while Chuck is working and whose flatulence issues sometimes explain Chuck’s demeanor. \nYou can follow him on Twitter @ChuckJaffe\, @MoneyLifeShow and\, depending on your sporting interests\, @BostonBoxLax. \nWebsite: http://www.moneylifeshow.com \n\n\nClose×\n\n\n \n\n \n\nMr. Schlemovitz is a Managing Director for Conversus\, a StepStone Company.\nMr. Schlemovitz focuses on strategic relationships and product development.  Prior to StepStone\, Mr. Schlemovitz served as a Managing Director of CNL Financial Group\, a $10 billion asset manager providing access for individual investors to the private markets.  At CNL he created and oversaw the firm’s Private Equity platform and was the Chief Operating Officer of Strategic Capital.  Previously Mr. Schlemovitz was an Executive Director in Investment Banking at J.P. Morgan where he led equity and debt capital raising and merger and acquisition transactions for Financial Institution clients.\nMr. Schlemovitz received his BA from Emory University and is a CFA charterholder.Conversus Company Profile Blurb:\nConversus is an investment firm designed to provide individual investors the opportunity to access private markets with the goal of transforming portfolios and enhancing long-term outcomes. Conversus is a wholly-owned business of StepStone Group\, a global asset management and advisory firm with over $500 billion in assets under advisement. Leveraging StepStone’s extensive experience across the private markets allows Conversus to create innovative\, investor-centric products by focusing on convenience\, efficiency and transparency.\n\nClose×\n\n\n\n\n\n\nMike Taggart\, CFA serves as Closed-End Fund Specialist at abrdn\, where he is responsible for providing and developing the link between the company’s North American closed-end funds\, their investors\, advisors\, and the wider marketplace. \nWith more than 10 years of experience covering closed-end funds\, Mike has extensive experience leading and supporting product development managers with preparation of proposals and project plans related to new product and/or changes to existing product. Prior to abrdn\, Mike covered exchange-traded products\, including closed-end funds\, at Relative Value Partners. For seven years\, he worked on product strategy as Nuveen’s Director of Closed-End Fund Research. Mike started covering closed-end funds at Morningstar\, where he advanced from a Senior Equity Analyst to the head of the firm’s US closed-end fund business. \nMike holds a bachelor’s degree from Virginia Tech\, a master’s degree in Russian history from the University of Illinois Chicago\, and an MBA from Northwestern University’s Kellogg School of Management. \n\n\n\n\n\n\nClose×\n\n\n\n\n\n\nBill has been a leader on the sales and marketing side of the financial services industry for more than 35 years. He joined Wildermuth Securities in March of 2022 and serves as the company’s field representative throughout the eastern US. He earned his MBA from the University of Notre Dame and his BA from Middlebury College. He currently lives in suburban Chicago. \nTHE WILDERMUTH FUND provides investors with access to early-stage private equity that has traditionally been reserved for institutional investors. The Fund offers portfolio diversification among early-stage private equity positions in various asset classes including technology\, real estate\, healthcare\, energy\, and hedge funds that would be difficult for individual investors to achieve because of typically high minimum investments.\nDaniel Wildermuth is the Fund’s portfolio manager. With over 25 years of investment experience\, he has been a pioneer in adapting the endowment investment approach to the needs of individual investors. Mr. Wildermuth is CEO and CIO of Wildermuth Advisory and Asteria Wealth\, a money management firm that administers more than 20 equity and fixed income portfolio strategies for retail and institutional investors. \n\n\nClose×\n\n\n\n\n\n\nMark is responsible for supporting the continued investment success of Parametric’s systematic income product suite—with focus on dividend income and enhanced income strategies. Prior to joining Parametric in 2019\, he spent seven years with US Bank’s Asset Management Group as a vice president in equity portfolio management covering domestic large-cap securities. Mark is also a firefighter for the city of Plymouth\, Minnesota. He earned an MBA from the Kelley School of Business at Indiana University and a BS in finance/information systems from Iowa State University.Parametric partners with advisors to build portfolios focused on what’s important to them and their clients. A leader in custom solutions for more than 30 years\, we help investors access efficient market exposures\, solve implementation challenges\, and design multi-asset portfolios that respond to their evolving needs. Headquartered in Seattle\, Parametric has offices in Minneapolis\, New York City\, Boston\, and Westport\, Connecticut. \n\n\nClose×\n\n\n\n\n\n\nRobert Shaker\, has been working with Shaker Financial Services since 2004 and currently serves as its Chief Investment Strategist. He is responsible for overseeing strategy development\, trading and portfolio allocations.Shaker Financial Services\, LLC (SFS) is a boutique investment advisory firm specializing in the trading of closed-end funds. SFS first began to accept funds for investment in individual separately managed accounts in 1996. SFS’s “Discount Capture” Composite is currently rated five (5) stars by Morningstar. \n\n\nClose×\n\n\nTom DeCapo has been an innovative leader in the closed-end fund industry for more than three decades. Tom is responsible for many of the advances in closed-end fund structuring and finance\, and is recognized for his work defending the industry against activist campaigns. Tom recently retired from the practice of law after more than 25 years as a partner of Skadden\, Arps. He believes that the current activist environment presents opportunities to restructure and refocus the closed-end fund asset class for the long term investment benefit of retail investors.\n\n\n\n\nClose×\n\n\n \n\n\nSteve is a Senior Special Counsel Fellow and the SEC’s industry specialist on Business Development Companies (BDCs). Steve’s work focuses on a broad array of BDC matters\, including disclosure review\, examinations\, enforcement\, rulemaking\, and exemptive relief applications\, among others. \nSteve joined the SEC in 2021. Prior to the SEC\, Steve spent eight years at Blackstone where he was primarily focused on providing legal advice relating to formation\, fundraising\, co-investment transactions\, corporate governance and compliance oversight of Blackstone BDCs. In addition\, while at Blackstone\, Steve worked on a variety of matters pertaining to private funds\, CLOs\, private credit\, debt and equity offerings transactions\, financing facilities and advisory and compliance issues. Prior to joining Blackstone in 2013\, Steve was an associate in the corporate group of Bingham McCutchen LLP (now Morgan\, Lewis & Bockius LLP). Steve earned his B.B.A.\, summa cum laude\, from Pace University\, Lubin School of Business\, Pforzheimer Honors College\, and his J.D.\, cum laude\, from Fordham University School of Law. \n\n\nClose×\n\n\n\n\n\n\nAs Managing Director and Head of UniFi by CAIA™ \, Aaron oversees content and product strategy for the UniFi by CAIA™ Program. Prior to this\, Aaron was responsible for the strategic direction of CAIA Association’s content agenda\, thought leadership\, and member education initiatives\, and supported content development for the CAIA Charter Program. His work has been published by Oxford University Press and The Journal of Investing\, and covers topics such as ESG/sustainable investing\, liquid alternatives\, commodities\, and asset pricing/factor investing. He is a frequent writer and speaker on these topics. Aaron’s practitioner experience lies in private wealth management\, where he served as portfolio manager\, overseeing asset allocation\, portfolio construction\, and manager research efforts for high-net-worth individuals and institutional retirement plans. \nHe earned a B.S. with distinction in Finance and a Master of Finance from Penn State University. He holds the Chartered Alternative Investment Analyst (CAIA)\, Chartered Financial Analyst (CFA)\, Certificate in Investment Performance Measurement (CIPM)\, Financial Data Professional (FDP) designations\, is a CERTIFIED FINANCIAL PLANNER™\, and holds the the CFA Institute’s Certificate in ESG Investing. He is a Past President of CFA Society Columbus and serves on the CFA Society Philadelphia Programs Committee. Aaron is an adjunct professor and serves on multiple advisory boards for Penn State University. \nThe CAIA Association is a global professional credentialing body dedicated to creating greater alignment\, transparency\, and knowledge for all investors\, with a specific emphasis on alternative investments. A Member-driven organization representing professionals in more than 100 countries\, CAIA Association advocates for the highest ethical standards. The organization provides unbiased insight on a broad range of investment strategies and industry issues\, key among them being efforts to bring greater diversification to portfolio construction decisions to achieve better long-term investor outcomes. \n\n\nClose×\n\n\n\n\n\n\nMr. Penn follows business development companies. Prior to joining Oppenheimer and Co. he followed business development companies at Janney Montgomery Scott. In addition\, he was an Equity Portfolio Manager/Financial Analyst at Legg Mason Capital Management from 2001 to 2012 where he specialized in financial companies. From 1996 to 2001 he managed a $400M fixed income portfolio at Legg Mason Capital Management. Prior to joining Legg Mason Mr. Penn managed a $15B fixed income portfolio at Aetna. He also worked for Price Waterhouse from 1981 to 1985.Mr. Penn received his Chartered Financial Analyst designation in 1995 and is a member of the Baltimore CFA Society. He was President of the Baltimore Society (2001-2002) and served on the Board of Directors. Mr. Penn received his Certified Public Accounting designation in 1983\, but he no longer maintains this designation. He is a graduate of Villanova University\, Magna Cum Laude\, Phi Kappa Phi\, Beta Gamma Sigma (1981) and University of Chicago (MBA-1987). \n\n\nClose×\n\n\nCheryl is a Senior Portfolio Manager at Angel Oak Capital and serves as a Portfolio Manager for the Financials Income Impact Fund and the Financial Strategies Income Term Trust\, as well as two ETFs and several of the firm’s private funds and separately managed accounts.\nCheryl has nearly two decades of investment experience and primarily focuses on investment research and management across the firm’s financial sector-focused strategies.\nCheryl joined Angel Oak in 2017 from Morgan Stanley\, where she was an Executive Director and Head of Consumer & Specialty Finance Equity Research. Her research coverage included a multitude of financial sectors\, including consumer\, specialty\, mortgage\, REIT\, payments\, fintech and banking.\nCheryl has been featured as a television guest on Bloomberg\, CNBC\, TD Ameritrade Network and Yahoo! Finance TV and has been quoted in various publications including American Banker\, Marketwatch\, DailyAlts and S&P Global Market Intelligence. Cheryl has also been named one of the “Women at the Forefront of Alternative Investments” in a 2023 iConnections report.\nCheryl holds a B.S. in Commerce (Finance) from the University of British Columbia and an M.B.A. from Duke University’s Fuqua School of Business. She also holds the Chartered Financial Analyst (CFA®) designation.\n\n\n\n\n\nAngel Oak Capital Advisors is an investment management firm focused on providing compelling fixed income investment solutions for its clients. Backed by a value-driven approach\, Angel Oak Capital seeks to deliver attractive risk-adjusted returns through a combination of stable current income and price appreciation. Its experienced investment team seeks the best opportunities in fixed income with a specialization in mortgage-backed securities and other areas of structured credit.\nAs of 6/30/23\, Angel Oak Capital had an estimated $16.5 billion in assets under management (AUM) through a combination of mutual funds\, private funds and separately managed accounts. AUM represents the sum of assets managed or serviced\, and committed but uncalled capital.\n\nClose×\n\n\n\n\n\nParth is a vice president and leads product management and\ndevelopment efforts for Nuveen’s closed-end fund product line. He is\nresponsible for developing and bringing new concepts to market\, as well\nas overseeing the ongoing product management of existing closed-end\nfunds.\nPrior to joining Nuveen\, Parth was a senior tax consultant at Deloitte\,\nwhere he specialized in investment company taxation.\nParth graduated with a B.S. in Accountancy and Finance from the\nUniversity of Illinois. He holds the Series 7 and 66 securities\nregistrations.Nuveen\, the investment manager of TIAA\, offers a comprehensive range of outcome-focused investment solutions designed to secure the long-term financial goals of institutional and individual investors.\nNuveen has $1.1 trillion in assets under management as of 30 Jun 2022 and operations in 27 countries. Its investment specialists offer deep expertise across a comprehensive range of traditional and alternative investments through a wide array of vehicles and customized strategies. Nuveen is a leading sponsor of closed-end funds (CEFs) with $57 billion of assets under management across 56 CEFs as of 30 Jun 2022. The funds offer exposure to a broad range of asset classes and are designed for income-focused investors seeking regular distributions. Nuveen has more than 35 years of experience managing CEFs.\n\nClose×\n\n\n\n\n\n\nMr. Arduini is a Partner and Portfolio Manager in the Ares Credit Group\, where he focuses on alternative credit investments. Mr. Arduini serves as a Vice President and Portfolio Manager for the Ares Dynamic Credit Allocation Fund\, Inc. (NYSE:ARDC). Additionally\, he serves as a member of the Ares Dynamic Credit Allocation Fund Investment Committee.Prior to joining Ares in 2011\, Mr. Arduini was a Managing Director at Indicus Advisors LLP\, where he focused on structured credit investment opportunities. Previously\, Mr. Arduini was Director of Structured Credit in the Fixed Income Investment Group and a Manager in the Risk Management Group at TIAA-CREF. In addition\, Mr. Arduini worked in the telecommunications and information technology industries in various systems\, operations and management roles. Mr. Arduini holds a B.A. from Bucknell University in Mathematics and an M.S. from Stevens Institute of Technology in Mathematics. \nMr. Arduini also holds an M.S. from Carnegie Mellon University in Computational Finance. Mr. Arduini is a CFA® charterholder and a member of the New York Society of Security Analysts. \n\n\nClose×\n\n\nGretchen Lam\, Senior Portfolio Manager. Ms. Lam is a member of Octagon’s Investment Committee and serves as a Portfolio Manager across CLOs\, Separately Managed Accounts and Commingled Funds. Ms. Lam oversees the Firm’s Structured Credit (CLO debt & equity) investment strategies. Ms. Lam is a member of the Octagon & Conning’s Global DEI (diversity\, equity and inclusion) Council and a member of the Firm’s ESG (environmental\, social\, and corporate governance) Committee.Prior to becoming a Portfolio Manager\, Ms. Lam oversaw Octagon’s investments in the software\, business services\, finance & insurance\, paper & packaging\, gaming & lodging\, homebuilding and real estate industries. She was also responsible for the structured credit exposure held in Octagon’s CLO vehicles. Prior to joining Octagon in 1999\, Ms. Lam attended Babson College where she graduated Summa Cum Laude with a B.S. in Investments. She received her CFA Charter in 2006.\n\n\n\n\n\nOctagon is a 25+ year old\, $30.6B below-investment grade corporate credit investment adviser focused on leveraged loan\, high yield bond and structured credit (CLO debt and equity) investments. Through fundamental credit analysis and active portfolio management\, Octagon’s investment team identifies attractive relative value opportunities across below-investment grade asset classes\, sectors and issuers. Octagon’s investment philosophy and methodology encourage and rely upon dynamic internal communication to manage portfolio risk. Over its history\, the firm has applied a disciplined\, repeatable and scalable approach in its effort to generate attractive risk-adjusted returns for its investors. For more information\, please visit www.octagoncredit.com.\n\nClose×\n\n\n\n\n\n\nRobert Amodeo is Head of Municipals at Western Asset Management Company\, LLC and has 34 years of investment experience. Mr. Amodeo began his career at The Bank of New York but soon thereafter joined Salomon Brothers Inc.\, where he was responsible for analyzing various private investment partnerships\, including venture-capital\, oil-and-gas\, and real-estate\, equity and bond portfolios.In 1992\, Robert joined Salomon Brothers Asset Management where his role evolved into managing director\, head of the municipal bond investment team and he worked with Salomon’s Yield Book department to adapt advanced technology for municipal bond and tax-efficient portfolio management. Since 2005\, Robert has been part of Western Asset’s municipal bond investment team and is the sector head of that group. \nMr. Amodeo holds a Bachelor’s degree from Long Island University and a Master of Public Administration\, Advanced Management and Finance from Columbia University. He holds the Chartered Financial Analyst designation and has written various articles regarding the public finance market. \n\n\nClose×\n\n\n\n\n\n\nLaura is a Product Specialist within Nuveen’s Alternative Investment distribution team. She is focused on supporting business development efforts across the private credit spectrum.Laura joined Nuveen in 2021.From 2014 to 2021\, she worked for Invesco’s Global Private Credit platform where she supported new business development and institutional client communications\, shaping investor messaging and business strategy globally. \nPreviously\, Laura worked in corporate finance and investor relations at CIFC Asset Management where she supported marketing efforts and was responsible for financial projections on behalf of their private equity owners. Prior to CIFC\, she was an associate at Goldman Sachs\, where she worked in the firm’s investment management finance division focused on credit strategies. Laura began her career at Deloitte & Touche. \nShe entered the investment management industry in 2003.Laura graduated with both a B.S. in Business with a major in Accounting and an M.S. in Accounting from the University of Connecticut. She is a Certified Public Accountant (inactive) and holds the FINRA Series 7 and Series 66 registrations. \n\n\nClose×\n\n\n\n\n\n\nChristian has 21 years of experience in financial services and investment management\, with the last 16 years focused on secondary investments involving venture-backed and growth equity-oriented companies and funds. During this time\, he has also served on the boards of many of these companies and funds. \nPrior to Liberty Street Advisors\, Christian was CIO of SPIM overseeing all investment related functions. Christian still serves as one of the portfolio managers of The Private Shares Fund\, formerly the SharesPost 100 Fund\, and a member of the investment committee. \nPrior to joining The Private Shares Fund investment management team and Liberty Street Advisors\, Inc.\, Christian was Co-Head of the Global Private Equity Secondaries Practice at HQ Capital based in New York\, a $10+ billion alternative investment firm headquartered in Germany. Prior to that\, he served as Head of Secondaries at Thomas Weisel Partners. Christian started his career as an investment banker at Banc of America Securities. \nIn aggregate\, Christian has helped raise more than $1 billion globally from institutional investors\, corporations\, pensions\, endowments\, and family offices\, and has completed or overseen the completion of more than 100 secondary transactions representing over $1 billion in capital commitments. \nChristian received his BA from Rutgers College. \n\n\nClose×\n\n\n\n\n\nMichael Grayson is a Portfolio Manager at First Trust Capital Management L.P (“FTCM”). Michael focuses on FTCM´s event-driven and multi-alternative mandates as well as private market platform. Michael started his career at Vivaldi Asset Management\, LLC\, an independently owned\, boutique alternative investment firm based in Chicago. Vivaldi was predominantly a Multi-Family Office and Advisor to several public (1940 Act) alternative products. Michael was dedicated to the firm´s investment management as well as business and product development verticals.\nMichael holds a B.A from University where he studied Political Science and Economics.\n\nClose×\n\n\nMr. Hobbs leads Oaktree’s North American Sourcing and Origination group\, which focuses on private credit sourcing and deal origination for the firm’s U.S. Private Debt\, Global Private Debt\, Special Situations and Global Opportunities strategies. He also serves on the investment committee for Oaktree’s Direct Lending platform. Prior to joining the firm in 2013\, Mr. Hobbs was an executive director at Natixis Securities focused on building the high yield sales and trading franchise. Prior thereto\, he spent five years at Goldman Sachs as a vice president in leveraged finance origination and sales. Before joining Goldman Sachs in 2007\, Mr. Hobbs was a director in Leveraged Finance at Deutsche Bank Securities\, which he joined in 2000. Additional experience includes regional account management focused on fleet financing at GE Capital Corporation and controller for Leveraged Finance at Bank of America. Mr. Hobbs received his M.B.A. from Columbia Business School and a B.S. degree in accounting from Rutgers University. Brookfield Oaktree Wealth Solutions partners with financial professionals around the world to connect investors to the innovative solutions\, expertise and insights.\n\n\n\n\n\nBrookfield and Oaktree. From public to private markets\, and across the liquidity spectrum\, we aim to be the single point of entry into the very best of Brookfield and Oaktree – with the goal of helping advisors and their clients understand how to navigate key investment decisions\n\nClose×\n\n\n\n\n\n\nCFA (2012); BSc (Pure and Applied Mathematics) (Hons\, 2008)\, Trinity College\, Ireland. \nKevin is an institutional portfolio manager for RBC GAM-US. He specializes in a broad spectrum of global credit strategies including Investment Grade\, Leveraged Finance\, Emerging Markets\, Multi-Asset and Alternatives. \nKevin joined RBC GAM in 2014; he moved from BlueBay Asset Management to RBC GAM-US in 2020. During his time at BlueBay\, he initially worked as an institutional portfolio manager on the Emerging Markets desk\, before broadening his remit to cover other areas of the global credit markets. Prior to joining BlueBay\, Kevin worked for another global asset management company\, where he specialized in fixed income fund manager research to feed ideas into the firm’s suite of multi-manager portfolios. Prior to this\, Kevin worked as an investment consultant at a global consulting firm. \nHe began his career in the investment industry in 2008. \n\n\nClose×\n\n\n\n\n\n\nErin is head of strategic development for Thornburg Investment Management\, leading corporate and product development initiatives across the firm. She has extensive investment and management experience\, including with large and small asset management firms and most recently the financial technology industry. \nPrior to joining Thornburg\, Erin was chief investment officer for C2FO\, a Kansas City–based financial technology company focusing on supply-chain finance solutions. She developed private investment solutions to provide working capital liquidity to small businesses\, utilizing C2FO’s proprietary technology platform. \nPrior to C2FO\, Erin spent 11 years with Fountain Capital Management\, a boutique high-yield investment firm also based in Kansas City. At Fountain\, Erin held various positions\, including partner\, portfolio manager\, head trader\, and research analyst. She started her career at Strong Capital Management as an equity research analyst\, focusing on small- and mid-cap value portfolios and later as a private equity analyst for McCarthy Capital. \nErin is a graduate of Indiana University with a BS in finance and is a CFA charterholder. \n\n\nClose×\n\n\n\n\n\nMr. Stone joined Flaherty & Crumrine in 2003 after a 20-year career on Wall Street. Based in Summit\, New Jersey\, he is a member of the firm’s portfolio management team. He is responsible for macroeconomic and quantitative research and analysis and directs our credit research group. Together with Mr. Chadwick and Mr. Conwell\, he serves on the firm’s board of directors and is a member of the executive management committee. He also serves as Chief Financial Officer\, Vice President and Treasurer of the U.S. Flaherty & Crumrine closed-end funds and oversees the financial reporting and tax operations for the Flaherty & Crumrine closed-end funds.\nFrom 2001 until joining Flaherty & Crumrine\, he was Director of U.S. Market Strategy at Barclays Capital in New York\, where he advised clients on market strategies across U.S. treasuries\, agencies\, and interest rate derivative products. Prior to Barclays\, he spent 14 years at Goldman Sachs\, where he most recently held the position of Director — Interest Rate Product Strategy\, Americas. He was a regular member of Institutional Investor’s All-America Fixed Income Research Team\, earning the top ranking in Derivatives Strategy in 2001. He began his career at Salomon Brothers as an options trader and derivative salesperson.\n\nClose
URL:https://dev.aicalliance.org/aica-event/aica-2024-fall-roundtable/
LOCATION:Downtown Association\, 60 Pine Street\, New York\, NY\, 10005\, United States
CATEGORIES:Past Events
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END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250611
DTEND;VALUE=DATE:20250712
DTSTAMP:20260404T174708
CREATED:20241220T213103Z
LAST-MODIFIED:20251031T173858Z
UID:38083-1749600000-1752278399@dev.aicalliance.org
SUMMARY:AICA 2025 BDC Forum
DESCRIPTION:Explore the universe of exchange listed and private and non-traded business development companies (BDCs) at the AICA 2025 BDC Forum! \nThis conference is an extension of our six years of hosting the AICA Fall Roundtable in NYC\, which primarily focused on closed-end funds (CEFs) and interval funds. This event is packed with informative panels\, engaging speakers\, and valuable networking opportunities with fund sponsors\, asset managers\, institutional investors\, RIAs\, and financial advisors active in the Business Development Company (BDC) space. Get up to date on the latest trends\, developments\, and investment strategies. \nThe all-day event will be held on Wednesday\, June 11\, 2025\, in New York City at the Cafe 55: 55 Water St\, PECK SLIP\, NY 10041. \nSince 2019\, AICA is known for combining high-quality\, advisor-centric content\, distinguished by its invited speaker presentations (our speakers don’t pay to speak) that enable meaningful discussion and interaction. AICA also sponsors the weekly NAVigator Podcast. True to our motto — Excellence Beyond Indexing — AICA strives to help grow relationships for institutional investors\, advisors\, service providers\, and fund sponsors within the industry. \n \nSponsorsInterviewsArticlesAttendee ClassificationSponsors\n\n\n\n\n\n\n\n\nBe an AICA event sponsor!\nSponsorship opportunities – Click here\n\n\n\nCEF Advisors & CEFData.com\nKatten\nOppenheimer\n\n\n\n\n\nInterviews\n\n  \n  \n\n\n\n\nJohn Cole Scott on BDC Forum\n.\n\n\n\n\nJohn Cole Scott on CEF Advisors\n.\n\n\n\n\nMitchel Penn on Evaluating BDCs\n.\n\n\n\n\nChuck Jaffe on BDCs and CEFs\n.\n\n\n\n\nMichael Testa on Trinity Capital\n.\n\n\n\n\nGladstone’s Bob Marcotte on BDCs\n.\n\n\n\n\nVlad Bulkin on BDC Regulation:\n.\n\n\n\n\n\nArticles\n\n  \n\n\n\n\nThe Formula for BDC Success? ‘Stick to Your Knitting’\n.\n\n\n\n\n\nAttendee Classification\n\nAgenda – 4CE Credits approved10:00 AM to 11:00 AM - Registration / Breakfast11:00 AM - Conference Welcome\n\n\n\n\n\n\n\n\n\n\n\nJohn Cole Scott\,\nFounder – Active Investment Company Alliance\n\n\n\n\n\n\n\n\n11:05 AM to 11:45 AM - Event Keynote: Fireside Chat: ''Structuring Alpha: Unpacking BDCs with a Market Veteran''\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nJohn Cole Scott\,\nFounder – Active Investment Company Alliance\nFinian O’Shea\,\nDirector – WFS Research\n\n\n\n\n\n\n\n11:45 AM to 12:35 PM- Panel #1 - Trends & Outlook for BDCs: View from a Regulator\, Industry Advocate and Counsel\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nModerator\nChuck Jaffe\,\nHost – MoneyLife\nSpeaker #1\nKaitlin C. Bottock\,\nAssistant Director – SEC\nSpeaker #2\nTonnie Wybensinger\,\nHead of Government Relations – Small Business Investor Alliance (SBIA)\nSpeaker #3\nKenneth Burdon\,\nPartner – Simpson Thacher & Bartlett LLP\n\n\n\n\n\n12:35 PM to 1:45 PM - Networking Lunch1:45 PM to 2:35 PM - Panel #2 - Differentiated BDC Managers and Private Credit Outlook\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nModerator\nVlad Bulkin\,\nPartner – Katten\nSpeaker #1\nMichael Testa\,\nCFO – Trinity Capital\nSpeaker #2\nBob Marcotte\,\nPresident – Gladstone Capital\nSpeaker #3\nLee Feingold\,\nManaging Director – Kayne Anderson\n\n\n\n\n\n2:35 PM to 3:10 PM PM - Networking Break3:10 PM to 4:00 PM - Panel #3 - Analysts and Investor Panel - Key to Picking and reviewing BDCs for Clients\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nModerator\nDan Silver\,\nCEF Advisors\nSpeaker #1\nMitchel Penn\,\nManaging Director – Oppenheimer & Co.\nSpeaker #2\nJohn Cole Scott\,\nPresident – CEF Advisors\n\n\n\n\n\n\n4:00 PM to 6:00 PM - Cocktail ReceptionNote: Agenda & Speakers are Subject to Change. Attending the conference in person gives AICA permission to use your likeness in replay content and marketing materials. \n×\n\n  \n\n\n\n\n\nLee Feingold is a managing director for Kayne Anderson’s private credit strategies. \nPrior to joining Kayne Anderson in 2018\, Feingold spent several years in middle market management consulting at the Keystone Group where his primary focus was on turnaround situations within the manufacturing and distribution space. These projects included interim management\, lender negotiations\, and refinance initiatives. Feingold also served in a portfolio management role at The Riverside Company\, monitoring company performance\, supported investor requests and performed ad hoc analyses on behalf of fund managers. \nFeingold holds a B.S. from Indiana University and an MBA from New York University. \n\n\nClose×\n\n\n\n\n\n\nMichael Testa is the CFO at Trinity Capital and joined Trinity in November 2020. He previously served as Trinity’s Chief Accounting Officer. Prior to Trinity\, Michael served as Vice President and Controller at Oxford Funds. Michael started his career within the financial services practice of Ernst & Young LLP focusing on financial audits of clients in the asset management industry. He spent four years with Ernst & Young in Switzerland\, where he served as an auditor of global financial institutions. Michael has over 20 years of experience in financial services.\n\nClose×\n\n\n\n\n\n\nBob joined Gladstone Capital Corporation in December 2013 with extensive background in commercial finance and investment banking. Since 2002\, Bob has been focused on the origination and management of middle market debt and equity investments supporting both private equity sponsors and owner operators. Prior to joining us\, Bob served as an Executive Vice President and Co-Head of Asset Management for MCG Capital where he was responsible for investment origination\, evaluation\, underwriting and portfolio management for the $500+ million publicly traded business development company. Bob also served on MCG Capital’s investment committee since 2007. While at MCG Capital\, Bob led more than $625 million of middle market debt and equity investments across a variety of industries\, served on the board of numerous investment entities and spearheaded the successful development of sector experience and investment activities within the colocation\, cable and education industries. \nPrior to MCG Capital\, Mr. Marcotte was Chief Financial Officer for Aleron\, Inc.\, a wholesale internet access and network services provider and worked in the investment banking divisions of Goldman\, Sachs & Co. and Merrill Lynch & Co.\, and in the project financing department of GE Capital and as a banking officer at Mellon Bank. \nMr. Marcotte received his B.S.B.A. in accounting and finance from Georgetown University. \n\n\nClose×\n\n  \n\n\n\n\nMr. Penn follows business development companies. Prior to joining Oppenheimer and Co. he followed business development companies at Janney Montgomery Scott. In addition\, he was an Equity Portfolio Manager/Financial Analyst at Legg Mason Capital Management from 2001 to 2012 where he specialized in financial companies. From 1996 to 2001 he managed a $400M fixed income portfolio at Legg Mason Capital Management. Prior to joining Legg Mason Mr. Penn managed a $15B fixed income portfolio at Aetna. He also worked for Price Waterhouse from 1981 to 1985.Mr. Penn received his Chartered Financial Analyst designation in 1995 and is a member of the Baltimore CFA Society. He was President of the Baltimore Society (2001-2002) and served on the Board of Directors. Mr. Penn received his Certified Public Accounting designation in 1983\, but he no longer maintains this designation. He is a graduate of Villanova University\, Magna Cum Laude\, Phi Kappa Phi\, Beta Gamma Sigma (1981) and University of Chicago (MBA-1987).\n\nClose×\n\n\n\n\n\n\nKenneth Burdon is a Partner in Simpson Thacher’s Registered Funds Practice. Based in the Firm’s Boston office\, Ken advises registered investment funds\, business development companies (BDCs)\, investment advisers and other financial services companies and financial institutions on the full spectrum of product development and distribution and related regulatory\, compliance and governance issues\, as well as M&A\, divestitures and split-offs\, among other matters. He works with fund sponsors on the development of innovative products and counsels BDCs and closed-end funds on IPOs and other capital raising offerings. Ken also guides fund sponsors and distributors\, BDCs and closed-end funds\, mutual funds and others in routine and non-routine activities\, such as seeking exemptive or no-action relief from the SEC and FINRA. Ken is also a leading voice in the closed-end fund industry on the topics of corporate governance and addressing shareholder activism. \nKen’s work has historically included the development of innovative products and product structures to pursue registered and unregistered alternative strategies for clients including BlackRock and FS Investments. He has also advised the EIM Group (now the LumX Group) on a variety of onshore and offshore products in the private product space. Additionally\, Ken has advised financial institutions on transactional activities\, including Thrivent\, Affiliated Managers Group\, The TCW Group\, Société Générale\, Credit Suisse and Ameriprise\, and on associated regulatory and compliance matters. \nKen has been recognized by both Chambers Global and Chambers USA in the Registered Funds category. He was previously named a Rising Star in Registered Funds by IFLR1000\, and one of the Rising Stars of Mutual Funds at Fund Action’s Mutual Fund Industry Awards. \nKen received his J.D. in 2007\, summa cum laude from Boston University School of Law\, where he was an Editor of Boston University Law Review. He received his B.A. from Boston University in 2004\, summa cum laude and Phi Beta Kappa. He is admitted to practice in Massachusetts. \n\n\n\n\n\n\nClose×\n\n\n\n\n\n\nTonnie Wybensinger serves as Head of Government Relations at the Small Business Investor Alliance\, where she leads a team of lobbying professionals advocating for the small business private equity industry. \nTonnie began her public service career on Capitol Hill in 2002 and quickly rose through the ranks to become the youngest Chief of Staff in Congress\, serving three Members. During her tenure\, she advised on strategic communications and served as a senior advisor to the Senate Banking Committee\, which oversees U.S. capital markets. She also helped launch one of the largest free-market-focused leadership PACs of its time. \nIn the private sector\, Tonnie has been instrumental in several government relations initiatives\, earning recognition in The Hill’s “Top Ten Lobbying Victories” and being consistently named one of Washington’s “Top Lobbyists.” She is known for her strategic mindset\, collaborative leadership\, and ability to build high-performing teams that drive policy success. \nTonnie holds a bachelor’s degree from The Ohio State University and a certificate in Strategic Reputation Management from the Tuck School of Business at Dartmouth College. \n\n\nClose×\n\n\n\nKaitlin is a Branch Chief in the Chief Counsel’s Office of the SEC’s Division of Investment Management. Kaitlin’s work focuses on exemptive applications\, no-action letters and counseling other divisions and offices at the SEC on investment management issues. Kaitlin joined the SEC in 2014. \nKaitlin received a Bachelor of Arts degree with high distinction from the University of Virginia and a Juris Doctor degree from the University of Virginia School of Law. Prior to joining the SEC\, Kaitlin worked at Dechert LLP. \n\n\nClose×\n\n\nDan handles portfolio management\, research\, and trading activities for CEFA. He received his B.A. in Business Administration from the Goizueta Business School at Emory University and holds the Chartered Financial Analyst (“CFA”) designation. Prior to joining CEFA\, he was a portfolio manager for Zoso Capital\, and previously worked for investment banks UBS\, Morgan Stanley\, and SunTrust performing investment research and was a senior analyst at George Weiss Multi-Strategy Advisers.\n\n\n\n\n\n\nClosed-End Fund Advisors (“CEFA”) is a fee-based Registered Investment Advisory firm founded in 1989. \nClosed-End Fund Advisors has its corporate headquarters in Richmond\, Virginia.CEFA’s primary business is discretionary asset management. As a global manager of managers\, we build portfolios for individual and institutional clients\, through either direct work with clients or through financial advisors and planners \n\n\nClose×\n\n\n \n\n\n \n\n\nVlad Bulkin understands the unique needs of business development companies (BDCs)\, registered closed-end funds (CEFs) and private investment funds. From fund formation to capital raising activities\, he brings industry-leading experience to clients at any stage. He has extensive transactional experience\, including public and private securities offerings and strategic transactions. \nCapital markets experience backed by strong regulatory knowledge \nVlad taps into his deep regulatory and transactional knowledge to advise a broad range of clients\, including BDCs\, CEFs\, private investment funds and other financial services firms. Vlad is well positioned to counsel managers of BDCs\, CEFs and private investment funds on establishment and operational matters\, as well as regulatory and compliance with the Investment Company Act of 1940 and the Investment Advisers Act of 1940. He regularly works with alternative investment managers on developing various capital structures. \nVlad frequently works with issuers and underwriters on a broad range of public and private offerings of equity and debt securities. His experience includes initial public offerings (IPOs)\, Rule 144A offerings\, shelf offerings\, at-the-market offerings (ATMs)\, registered direct offerings\, high-yield bond offerings\, convertible debt offerings and rights offerings. \nPublic companies rely on Vlad to help navigate corporate governance and compliance matters. He regularly advises on Securities and Exchange Commission (SEC) reporting obligations and other securities laws\, including Section 16 compliance\, Rule 10b5-1 plans\, the Sarbanes-Oxley Act of 2002\, Rule 144 and the listing requirements of the NYSE and NASDAQ. \n\n\n\n\n\n\nClose×\n\n\n \n \n\n\nChuck Jaffe is a syndicated financial columnist and the host of “Money Life with Chuck Jaffe\,” a one-hour weekday financial talk show (moneylifeshow.com).Chuck’s work has been syndicated since 1995\, first while based at the Boston Globe and then from MarketWatch.com; he also writes for the Wall Street Journal and elsewhere. A past president of the Society of American Business Editors &and Writers\, Chuck has been a frequent guest on CNBC\, Nightly Business Report\, Fox Business News\, National Public Radio and more\, and is the author of three books: “Getting Started In Finding a Financial Advisor\,” “The Right Way to Hire Financial Help” and “Chuck Jaffe’s Lifetime Guide to Mutual Funds.” \nIn what is jokingly referred to as “spare time\,” Chuck is very involved in the sport of lacrosse as a broadcaster\, referee\, coach\, league owner and player. He lives on Boston’s South Shore with a golden retriever who sleeps under the desk while Chuck is working and whose flatulence issues sometimes explain Chuck’s demeanor. \nYou can follow him on Twitter @ChuckJaffe\, @MoneyLifeShow and\, depending on your sporting interests\, @BostonBoxLax. \nWebsite: http://www.moneylifeshow.com \n\n\nClose×\n\n\n\n\n\nJohn Cole is proud to lead CEF Advisors and continue the legacy of his father\, George\, a pioneer in closed-end investments who bought into the firm in 1996. After earning his bachelor’s degree from William and Mary\, John Cole joined his father at the firm in 2001\, launching his own rewarding and distinguished career. \nToday John Cole is regarded as one of the foremost experts in the industry\, and is frequently consulted by investment groups\, professional organizations\, and the national financial press for his deep insight and knowledge about closed-end fund (CEF)\, business development company (BDC)\, and interval fund data\, research\, and investing. Highly motivated and goal-oriented\, he is driven by his passion for the industry\, building meaningful connections with people\, and a deeply personal aspiration to do hard things well. \nIn 2008\, John Cole founded CEFData.com\, a data service now covering all U.S. listed and non-listed CEFs\, BDCs\, and interval funds. In 2019\, he also founded the Active Investment Company Alliance (AICA)\, and serves as its executive chairman. John Cole holds the FINRA 66 license and the Certified Fund Specialist® (CFS®) designation. \nA Richmond native\, John Cole\, his wife Katherine\, and daughter Lexi call Short Pump home. An active supporter of his alma mater\, John Cole serves on the board of the William & Mary Foundation and is a board member of the William & Mary Alumni Association. He is also a long-time member of the Richmond Association for Business Economics (RABE) and is Treasurer and Co-Chair of the Investment Committee for The New York State Society of The Cincinnati. John Cole founded an acapella group in college and still loves singing karaoke today. \n\n\nClose×\n\n\n\nPatrick K. Thomson works on Virtu’s expansive ETF desk and focuses on Equites\, Fixed Income ETF’s and bonds. Patrick’s responsibilities include block market making and transition trades in ETF’s\, working with issuers on developing new and managing existing ETFs\, while trading an ETF’s for a firm that see’s 20% of retail ETF volume in the United States. \nOver the last 7 years\, Patrick and Rich Mauro have built a Fixed Income ETP franchise\, providing transparent trading solutions for clients with an emphasis on total cost of execution. Patrick was Europe the last 3yrs helping expand the businesses there. Known for its global scale\, competitive liquidity\, and transparent execution service\, Virtu’s disclosed and customized offerings are built on the quality of its liquidity and accountability to the relationship. Over the past decade\, Virtu has become one of the largest global liquidity providers in equities\, ETPs\, foreign exchange\, fixed income\, and commodities such as energy\, metals\, and softs. \nPatrick started his career in ETP’s at their “birthplace” on American Stock Exchange in 2000. Over the next 11 years at Goldman Sachs\, Patrick participated in the rapid expansion of ETP’s as a trader on both the AMEX and NYSE. During that time\, his initial focus on domestic and international equities shifted to the fixed income and commodity space as his role evolved from low-latency\, principal trading to client facilitation. \n\n\n\n\n\n\nVirtu is a leading provider of financial services and products that leverages cutting-edge technology to deliver liquidity to the global markets and innovative\, transparent trading solutions to its clients. Leveraging its global market making expertise and infrastructure\, Virtu provides a robust product suite including offerings in execution\, liquidity sourcing\, analytics and broker-neutral\, multi-dealer platforms in workflow technology. Virtu’s product offerings allow clients to trade on hundreds of venues across 50+ countries and in multiple asset classes\, including global equities\, ETFs\, foreign exchange\, futures\, fixed income and a myriad of other commodities. In addition\, Virtu’s integrated\, multi-asset analytics platform provides a range of pre and post-trade services\, data products and compliance tools that clients rely upon to invest\, trade and manage risk across global markets.\n\nClose×\n\n\n\n\n\nJohnathan is a writer and editor with more than 20 years of experience as a journalist\, plain language web writer\, and marketing communications specialist. He got his start in Washington\, D.C.\, covering Congress and the courts for various trade publications. In this role\, he reported on regulatory news of interest to various industry audiences. As a web writer in the federal space\, Johnathan consulted with clients on usability\, accessibility\, plain language principles\, and the importance of centering the user in digital communications. Johnathan also writes about alternative investments and closed-end funds\, crafting thought leadership stories\, reports\, newsletters\, and social media posts.\n\n\n\n\n\nClose×\n\n\nAaron represents investors and institutions in cases involving fiduciary misconduct\, securities violations\, control contests and shareholder rights\, with a special focus on matters involving asset managers and activist opportunities.\nHe formerly defended financial services firms and public companies at Skadden\, Arps\, Slate\, Meagher & Flom.\nAaron maintains an active pro bono practice\, and has represented clients from local pizza shops to non-profit board members.\nHe writes frequently about developments relating to investment funds and corporate governance.\n\n\n\n\n\nMorris Kandinov LLP is an investor-focused law firm with extensive experience in corporate governance matters\, securities violations\, and shareholder activism.\n\nClose
URL:https://dev.aicalliance.org/aica-event/aica-2025-bdc-forum/
LOCATION:Cafe 55\, 55 Water St\, New York\, 10038\, United States
CATEGORIES:Past Events
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END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20251119
DTEND;VALUE=DATE:20251220
DTSTAMP:20260404T174708
CREATED:20241128T152138Z
LAST-MODIFIED:20260313T165249Z
UID:37627-1763510400-1766188799@dev.aicalliance.org
SUMMARY:AICA 2025 Fall Roundtable
DESCRIPTION:7th Annual Active Investment Company Alliance Roundtable \nClosed-End & Interval Fund Forum – The View at the Battery (New York) \nExplore the fast-evolving universe of listed closed-end funds (CEFs) and interval funds in a single\, adviser-centric day of education and networking. Now in its seventh year\, the AICA Roundtable brings together fund sponsors\, portfolio managers\, independent research analysts\, RIAs\, family offices\, and institutional investors for frank discussion on structure\, strategy\, and market outlook. \n\nWhy attend? \nPure CEF & Interval Fund focus. We’ve streamlined the 2025 program to dig deeper into these two structures—no BDC panels this year—so every session is directly relevant to income-oriented and alternative-access portfolios in CEFs and Interval Funds.\nSeven hours CE Credit (pending).\nNo pay-to-play. Speakers are invited for their expertise—not just their marketing budget—ensuring candid debate and practical takeaways.\nHigh-impact networking. Breakfast\, lunch\, and a two-hour cocktail reception make it easy to compare notes with peers\, allocate capital\, or spark new partnerships.\nProduced by the team behind the NAVigator Podcast. Expect the same “content first” ethos that powers our weekly show. \n \nSponsorsInterviewsArticlesAttendee ClassificationFeedbackSponsors\n\n\n\n\n\n\n\n\nBe an AICA event sponsor!\nFor sponsorship\, membership or speaking inquiries – Click here\n\n\n\nCEF Advisors & CEFData.com\nAberdeen Investments\nOppenheimer\n\n\n\n\n\nInterviews\n\n\n\n\n\nMiguel Laranjeiro on Municipal Markets\n.\n\n\n\n\nChris Acito on Alternative Credit\n.\n\n\n\n\nDavid Tepper on the CEF Concept\n.\n\n\n\n\nJohn Cole Scott on Charitable Trusts\n.\n\n\n\n\nJohn Cole Scott on AICA’s 2025 Roundtable\n.\n\n\n\n\nRyan Paylor on HERZ and CLOs\n.\n\n\n\n\nMark Milner on Closed-End Funds\n.\n\n\n\n\nRichard Stone on CEFs in the UK\n.\n\n\n\n\n\nArticles\n\n\n\n\n\nAICA Panelists Praise CEF Structure’s Flexibility Amid IPO Paralysis\n.\n\n\n\n\nCEF Leaders Back CLO BB Debt Amid ‘Cockroach’ Clamor\n.\n\n\n\n\n\nAttendee Classification\n\nFeedback\n\n\nWe appreciate your feedback\n \n\n\n5.5 CE Credits8:15 AM to 9:20 AM Registration & networking breakfast9:20 AM to 9:40 AM Welcome & opening remarks\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nJohn Cole Scott\,\nFounder – Active Investment Company Alliance\n\n\n\n\n\n\n\n\n9:45 AM to 10:35 AM Panel #1 - Real Assets\, Real Income: Building Durable Portfolios with Gold\, Infrastructure\, and Real Estate\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nModerator\nKen Burdon\,\nPartner – Simpson Thacher & Bartlett\nSpeaker #1\nAxel Merk\,\nPresident and CIO – Merk Investments\nSpeaker #2\nJosh Duitz\,\nHead of Global Income – Aberdeen Investments\nSpeaker #3\nChris Janus\,\nManaging Director\, PM – Brookfield Real Assets Income Fund Inc.\n\n\n\n\n\n10:40 AM to 11:30 AM Panel #2 – Credit Alchemy: Turning CLOs and High Yield into Income Opportunity\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nModerator\nMike Taggart\,\nHead of Closed-End Fund Investor Relations – Aberdeen Investments\nSpeaker #1\nConnor Dugan\,\nCFA – Octagon\nSpeaker #2\nKristofer Pritchett\,\nPartner and Portfolio Manager – Ares Credit Group\n\n\n\n\n\n\n11:30 AM to 1:00 PM Networking lunch1:00 PM to 1:50 PM Panel #3 – Credit at the Crossroads: From Munis to Bank Debt in a Shifting Rate Cycle\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nModerator\nTony Maltese\,\nAdvisory Council – AICA\nSpeaker #1\nMiguel Laranjeiro\,\nInvestment Director – Aberdeen Investments\nSpeaker #2\nKevin Parks\,\nPortfolio Manager – Angel Oak Capital\nSpeaker #3\nDana Staggs\,\nPresident – ArrowMark Financial Group\n\n\n\n\n\n1:55 PM to 2:45 PM Panel #4 – The Evolution of Access: What’s Next for Closed-End and Interval Fund\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nModerator\nChuck Jaffe\,\nHost – Money Life with Chuck Jaffe\nSpeaker #1\nKim Flynn\,\nPresident – XA Investments\nSpeaker #2\nKen Burdon\,\nPartner – Simpson Thacher & Bartlett\nSpeaker #3\nChris Acito\,\nCEO – Gapstow Capital Partners\n\n\n\n\n\n2:45 PM to 3:05 PM Networking break3:05 PM to 3:55 PM Panel $5 - Institutional Perspectives on Today’s CEF Market: Structure\, Strategy & Trading Discipline\nTranscript\n Video\n\n\n\n\n\n\n\n\n\n\n\nModerator\nDan Silver\,\nPortfolio Manager – CEF Advisors\nSpeaker #1\nJohn Cole Scott\,\nPresident – CEF Advisors\nSpeaker #2\nDavid Tepper\,\nPrincipal – Tepper Capital Management\nSpeaker #3\nRob Shaker\,\nPortfolio Manager\, Chief CEF Strategist – Shaker Financial\nSpeaker #4\nMark Milner\,\nSenior Investment Strategist – Parametric\n\n\n\n\n3:55 PM to 4:00 PM Closing remarks4:00 PM to 6:00 PM Networking cocktail reception×\n\n\n\n\n\nJohn Cole is proud to lead CEF Advisors and continue the legacy of his father\, George\, a pioneer in closed-end investments who bought into the firm in 1996. After earning his bachelor’s degree from William and Mary\, John Cole joined his father at the firm in 2001\, launching his own rewarding and distinguished career. \nToday John Cole is regarded as one of the foremost experts in the industry\, and is frequently consulted by investment groups\, professional organizations\, and the national financial press for his deep insight and knowledge about closed-end fund (CEF)\, business development company (BDC)\, and interval fund data\, research\, and investing. Highly motivated and goal-oriented\, he is driven by his passion for the industry\, building meaningful connections with people\, and a deeply personal aspiration to do hard things well. \nIn 2008\, John Cole founded CEFData.com\, a data service now covering all U.S. listed and non-listed CEFs\, BDCs\, and interval funds. In 2019\, he also founded the Active Investment Company Alliance (AICA)\, and serves as its executive chairman. John Cole holds the FINRA 66 license and the Certified Fund Specialist® (CFS®) designation. \nA Richmond native\, John Cole\, his wife Katherine\, and daughter Lexi call Short Pump home. An active supporter of his alma mater\, John Cole serves on the board of the William & Mary Foundation and is a board member of the William & Mary Alumni Association. He is also a long-time member of the Richmond Association for Business Economics (RABE) and is Treasurer and Co-Chair of the Investment Committee for The New York State Society of The Cincinnati. John Cole founded an acapella group in college and still loves singing karaoke today. \n\n\nClose×\n\n\n\n\n\n\nMr. Dugan is a Principal on Octagon’s Investment Team\, focused on the Firm’s CLO debt and equity investments. Mr. Dugan is a member of the Firm’s ESG Committee\, and he serves as a member on the Conning Holdings Limited Global DEI Council. Prior to joining Octagon in 2017\, Mr. Dugan worked at Deloitte & Touche LLP as an Advisory Risk Services Senior Consultant for the Securitization Transactions team. He earned a B.S. in Finance and Accounting from Bentley University. Mr. Dugan received his CFA Charter in 2018. \n\n\n\n\n\n\nClose×\n\n\n\n\n\nDan handles portfolio management\, research\, and trading activities for CEFA. He received his B.A. in Business Administration from the Goizueta Business School at Emory University and holds the Chartered Financial Analyst (“CFA”) designation. Prior to joining CEFA\, he was a portfolio manager for Zoso Capital\, and previously worked for investment banks UBS\, Morgan Stanley\, and SunTrust performing investment research and was a senior analyst at George Weiss Multi-Strategy Advisers.\nClosed-End Fund Advisors (“CEFA”) is a fee-based Registered Investment Advisory firm founded in 1989.Closed-End Fund Advisors has its corporate headquarters in Richmond\, Virginia.CEFA’s primary business is discretionary asset management. As a global manager of managers\, we build portfolios for individual and institutional clients\, through either direct work with clients or through financial advisors and planners\n\n\n\n\n\nClose×\n\n\n\n\n\nChris is the Chief Executive Office of Gapstow Capital Partners\, a specialist investment consultant to the alternative credit industry\, which he founded in 2009. Prior to Gapstow\, Chris was the Global Chief Operating Officer for Investcorp’s Hedge Fund Group. Prior to Investcorp\, Chris enjoyed a ten-year career as a management consultant\, beginning with Booz-Allen & Hamilton and with Casey\, Quirk & Acito (now Casey Quirk a Deloitte business). Chris began his career as an economist\, serving on the President’s Council of Economic Advisers in both the Bush and Clinton administrations. Chris holds a B.A. in Economics from Duke University and an M.A. in Economics from the University of Chicago. He is Board Chair Emeritus Trustee of The Peddie School in Hightstown\, NJ and serves on the investment committees of Peddie and The New York Community Trust. \nGapstow Capital Partners is a registered investment advisor based in New York City. From its inception in 2009\, Gapstow has specialized in managing fund-of-funds products focused on alternative credit opportunities. \n\n\n\n\n\n\nClose×\n\n\n\n\n\nJosh Duitz is Deputy Head of Global Income and Infrastructure at Aberdeen Investments. Josh joined Alpine Woods Capital Management in 2007\, where he was a Portfolio Manager of its Global Dynamic Dividend and Global Infrastructure strategies. The management contracts of the funds he managed at Alpine Woods were acquired by Aberdeen Investments in April 2018. Previously\, Josh worked for Bear Stearns where he was a Managing Director\, Principal and traded international equities. Prior to that\, Josh worked for Arthur Andersen where he was a senior auditor. Josh continues to be responsible for managing the Global Dynamic Dividend and Global Infrastructure strategies.Qualifications:Josh graduated with an MBA from The Wharton School of the University of Pennsylvania and holds a BA from Emory University.Enabling our clients to be better investors drives everything we do. Our business is structured around three vectors – Investments\, Adviser and Personal – focused on their changing needs. Our investments solutions are built on the strength of our insight – generated from wide-ranging research\, worldwide investment expertise and local market knowledge. Our teams collaborate across regions\, asset classes and specialisms\, connecting diverse perspectives\, working with clients to identify investment opportunities that suit their needs.\n\n\n\n\n\nClose×\n\n\n\n\nChristopher Janus\, Co-Head of Real Asset Debt\nChristopher Janus is a Managing Director and Portfolio Manager on Brookfield’s Public Securities Group’s Real Asset Debt team. In this role\, he oversees and contributes to the portfolio construction process\, including execution of buy/sell decisions. In addition\, he is responsible for covering Real Estate and CMBS. Previously\, he was a Director on PSG’s Structured Products team focused on CMBS\, CRE CLOs and direct lending. Prior to joining Brookfield in 2009\, Mr. Janus began his career at SunTrust Robinson Humphrey within the Real Estate Investment Banking group. Mr. Janus earned a Bachelor of Science degree in Mechanical Engineering from Miami University.Brookfield Oaktree Wealth SolutionsBrookfield Oaktree Wealth Solutions offers institutional-caliber alternative investment offerings to investors via their financial advisors. Our solutions are built to meet the varying needs of individual investors\, and they are coupled with market and investment insights based on our unique products and portfolio expertise. We offer specialized support for financial advisors and their clients\, built on a foundation of investment excellence\, integrity and alignment of interests. We share a long-term\, value-driven and contrarian investment style\, rooted in rigorous risk management processes — and our market knowledge and in-depth operating experience give us an edge.\n\n\n\n\n\nClose×\n\n\n\n\n\n\nMr. Pritchett is a Managing Director and Portfolio Manager in the Ares Credit Group\, where he focuses on alternative credit investments. Prior to joining Ares in 2011\, Mr. Pritchett was an Associate at Indicus Advisors. Mr. Pritchett holds an M.Eng. from Imperial College London in Mechanical Engineering.Ares Dynamic Credit Allocation Fund\, Inc. (“ARDC”) is a closed-end management company that is externally managed by Ares Capital Management II LLC\, a subsidiary of Ares Management Corporation. ARDC seeks to provide an attractive level of total return primarily through current income and\, secondarily\, through capital appreciation. ARDC invests in a broad\, dynamically-managed portfolio of credit investments. ARDC’s net asset value may be accessed through its NASDAQ ticker symbol\, XADCX. Additional information is available at http://www.arespublicfunds.com.Ares Management Corporation (NYSE:ARES) is a leading global alternative investment manager offering clients complementary primary and secondary investment solutions across the credit\, private equity\, real estate and infrastructure asset classes. We seek to provide flexible capital to support businesses and create value for our stakeholders and within our communities. By collaborating across our investment groups\, we aim to generate consistent and attractive investment returns throughout market cycles. As of June 30\, 2023\, Ares Management Corporation’s global platform had approximately $378 billion of assets under management\, with over 2\,600 employees operating across North America\, Europe\, Asia Pacific and the Middle East. For more information\, please visit www.aresmgmt.com. \n\n\n\n\n\n\nClose×\n\n\n\n\n\n\nKevin is a Portfolio Manager at Angel Oak Capital and serves as a Portfolio Manager for one of the firm’s private funds. \nKevin previously served as the Chief Investment Officer for Parks Capital Management\, LLC\, which specialized in community bank long/short equity investing. Prior to launching Parks Capital Management\, Kevin was an Analyst at Hildene Capital Management from 2009 until 2015\, where he analyzed structured products such as TruPS CDOs and CLOs and helped maintain the infrastructure by monitoring the underlying collateral of the structured products. He also analyzed some of Hildene’s niche investments in TARP\, single-name distressed TruPS\, and microcap bank equities. \nKevin graduated summa cum laude from Syracuse University and holds a B.S. degree in Finance with a minor in Public Communications\, as well as an M.B.A. from the New York University Stern School of Business with a concentration in Law & Business and Entrepreneurship. \n\n\n\n\n\n\nClose×\n\n\n\n\nDavid is a graduate of Cornell University\, Class of 1970. He began his career in the investment industry in 1979\, working first with Merrill Lynch and later with Dean Witter\, where he gained extensive experience in portfolio management and client advisory services.In the spring of 1990\, David founded Tepper Capital Management (TCM) as an independent\, registered investment advisor (RIA). Under his leadership\, TCM has grown to manage over $50 million in assets\, serving a diverse clientele that includes individuals\, family trusts\, and small limited partnerships. The firm’s investment strategy emphasizes total return through a balanced approach to capital appreciation and income\, focusing primarily on closed-end funds.Throughout his career\, David has been committed to providing thoughtful\, research-driven investment management and maintaining strong\, long-term client relationships. \n\n\n\n\n\n\nClose×\n\n\n\nPatrick K. Thomson works on Virtu’s expansive ETF desk and focuses on Equites\, Fixed Income ETF’s and bonds. Patrick’s responsibilities include block market making and transition trades in ETF’s\, working with issuers on developing new and managing existing ETFs\, while trading an ETF’s for a firm that see’s 20% of retail ETF volume in the United States. \nOver the last 7 years\, Patrick and Rich Mauro have built a Fixed Income ETP franchise\, providing transparent trading solutions for clients with an emphasis on total cost of execution. Patrick was Europe the last 3yrs helping expand the businesses there. Known for its global scale\, competitive liquidity\, and transparent execution service\, Virtu’s disclosed and customized offerings are built on the quality of its liquidity and accountability to the relationship. Over the past decade\, Virtu has become one of the largest global liquidity providers in equities\, ETPs\, foreign exchange\, fixed income\, and commodities such as energy\, metals\, and softs. \nPatrick started his career in ETP’s at their “birthplace” on American Stock Exchange in 2000. Over the next 11 years at Goldman Sachs\, Patrick participated in the rapid expansion of ETP’s as a trader on both the AMEX and NYSE. During that time\, his initial focus on domestic and international equities shifted to the fixed income and commodity space as his role evolved from low-latency\, principal trading to client facilitation. \n\n\n\n\n\n\nVirtu is a leading provider of financial services and products that leverages cutting-edge technology to deliver liquidity to the global markets and innovative\, transparent trading solutions to its clients. Leveraging its global market making expertise and infrastructure\, Virtu provides a robust product suite including offerings in execution\, liquidity sourcing\, analytics and broker-neutral\, multi-dealer platforms in workflow technology. Virtu’s product offerings allow clients to trade on hundreds of venues across 50+ countries and in multiple asset classes\, including global equities\, ETFs\, foreign exchange\, futures\, fixed income and a myriad of other commodities. In addition\, Virtu’s integrated\, multi-asset analytics platform provides a range of pre and post-trade services\, data products and compliance tools that clients rely upon to invest\, trade and manage risk across global markets.\n\nClose×\n\n\n\n\n\nJohnathan is a writer and editor with more than 20 years of experience as a journalist\, plain language web writer\, and marketing communications specialist. He got his start in Washington\, D.C.\, covering Congress and the courts for various trade publications. In this role\, he reported on regulatory news of interest to various industry audiences. As a web writer in the federal space\, Johnathan consulted with clients on usability\, accessibility\, plain language principles\, and the importance of centering the user in digital communications. Johnathan also writes about alternative investments and closed-end funds\, crafting thought leadership stories\, reports\, newsletters\, and social media posts.\n\n\n\n\n\nClose×\n\n\nAaron represents investors and institutions in cases involving fiduciary misconduct\, securities violations\, control contests and shareholder rights\, with a special focus on matters involving asset managers and activist opportunities.\nHe formerly defended financial services firms and public companies at Skadden\, Arps\, Slate\, Meagher & Flom.\nAaron maintains an active pro bono practice\, and has represented clients from local pizza shops to non-profit board members.\nHe writes frequently about developments relating to investment funds and corporate governance.\n\n\n\n\n\nMorris Kandinov LLP is an investor-focused law firm with extensive experience in corporate governance matters\, securities violations\, and shareholder activism.\n\nClose×\n\n\n\nChip is a Senior Vice President of Business Development at AOG Funds. He has been in the investment management business for more than 30 years and has been active in both traditional and alternative investments. During his career\, he has worked with a diverse set of investors including institutional organizations and their consultants\, private wealth advisors\, and family offices. \nChip has served as Treasurer and is currently an active member of Masonic University Lodge #51 in Philadelphia\, PA. \nChip completed his undergraduate work at Dickinson College with a B.A. in Classical Studies and earned his MBA at The University of North Carolina at Chapel Hill with a concentration in Finance. He currently holds the Series 7 and 63 FINRA Licenses. \nChip lives with his wife\, Lenka\, in suburban Philadelphia\, and their daughter\, Alex\, is pursuing her Master’s Degree in Political Science at University College London. \n\n\n\n\n\n\nAOG Institutional Fund (AOGFX) provides exposure to a mix of registered investment companies and less liquid alternative/non-traditional investments through a closed-end interval fund structure. The fund invests in income-producing assets and assets selected for long-term capital appreciation. Through its investments in non-publicly traded assets\, AOGFX provides an opportunity for accredited investors to access what is generally considered an institutional approach to investing. AOGFX currently features exposure to holdings focused in real estate\, private credit\, and private equity. AOG Wealth Management\, founded in 2000\, is the advisor to the AOG Institutional Fund.\n\nClose×\n\n\nAaron Rosen is the Chief Investment Officer for AOG Institutional Fund (AOGFX). He has more than 20 years of financial industry experience in an extensive range of investment management services\, including portfolio management and security selection\, as well as due diligence\, research\, trading and sourcing of investments. Aaron specializes in private investments and other illiquid securities\, with additional knowledge in public equities\, mutual funds\, and options trading.\nPreviously\, Aaron served as Director & Principal\, applying his financial and investment industry expertise to both the Sky & Ray Family Office and Copia Wealth Studios platform. Prior to that\, he was a Managing Director and Portfolio Manager for Validus Growth Investors\, LLC\, a boutique investment management firm. There\, he spent extensive time institutionalizing and managing a 1940 Investment Company ActRegistered Interval Fund focused on illiquid alternatives. Prior to Validus\, he provided research and asset allocation services in senior analyst roles at a broker dealer\, a family office\, and a hedge fund\, as well as serving as a co-founder of a digital media startup company.\nAaron graduated magna cum laude from the Honors Program of Boston University with a BSBA in Finance and minor in Economics. He is a Chartered Financial Analyst CFA® and holds an IAR registration with AOG and previously held 7\, 63 securities registrations. He also serves part-time on several external advisory and board roles and is a frequent speaker and panelist at various conferences and events.\nOutside of AOG\, Aaron resides in southern California with his girlfriend and dog. He spends as much of his free time outdoors as he can\, and is an avid professional sports fan\, with strong allegiances to the New England sports teams he grew up watching.\n\n\n\n\n\nAOG Institutional Fund (AOGFX) provides exposure to a mix of registered investment companies and less liquid alternative/non-traditional investments through a closed-end interval fund structure. The fund invests in income-producing assets and assets selected for long-term capital appreciation. Through its investments in non-publicly traded assets\, AOGFX provides an opportunity for accredited investors to access what is generally considered an institutional approach to investing. AOGFX currently features exposure to holdings focused in real estate\, private credit\, and private equity. AOG Wealth Management\, founded in 2000\, is the advisor to the AOG Institutional Fund.\n\nClose×Close×Close×\n\n\n\nBrian Schaffer has 25 years of special situations experience providing corporate\, transaction\, crisis and investor communications counsel to senior management teams and boards of directors. He has helped position numerous M&A transactions\, hostile takeover attempts\, proxy contests (operating companies and funds)\, corporate and sovereign bankruptcies and restructurings\, asset divestitures and public company listings. \nWithin the CEF industry\, Brian has supported over twenty fund complexes in nearly 100 separate contested situations over the past decade. Prosek is currently involved in 86% of active CEF proxy contests. In addition\, Brian has been involved in all litigation of consequence since the repeal of the Boulder Letter. \n\n\n\n\n\n\nProsek Partners builds – and protects – the top brands in business. We are a certified Woman-Owned Business and among the largest independent\, integrated communications and marketing firms globally. Specializing in providing a full range of communications solutions to financial and professional services companies\, Prosek delivers business impact through an unexpected level of passion\, creativity and marketing savvy. Services include media relations\, thought leadership\, social and digital media\, public affairs\, investor relations\, financial communications\, transaction services\, crisis communications and issues management\, content creation\, conference support\, publishing\, media training and more. Prosek’s strategic branding and integrated marketing arm – Prophecy by Prosek – offers brand strategy\, award-winning design\, digital and advertising capabilities. Prosek has been named PRovoke Media’s “Global and North American Financial Agency of the Year” and a top-five global M&A and shareholder activism agency. For more information\, please visit www.prosek.com or follow the firm on LinkedIn.\n\nClose×\n\n\n\nMichael A. Reisner serves as co-Founder\, co-President and co-Chief Executive Officer of CION Investment Group\, LLC\, as well as co-President and co-Chief Executive Officer of CION Investment Corporation (CIC)\, CION Ares Diversified Credit Fund (CADC) and CION Grosvenor Infrastructure Fund. He also serves on the Investment Committee of CIC and Investment Allocation Committee of CADC. \nBefore co-founding CION in 2012\, Mr. Reisner held positions of increasing responsibility at its predecessor company\, including serving as co-Chief Executive Officer from 2008 to 2012\, Chief Financial Officer from 2007 to 2008\, Executive Vice President — Originations from 2006 through 2007 and Senior Vice President and General Counsel from 2004 through 2006. Earlier in his career\, Mr. Reisner was an attorney in private practice in New York from 1996 to 2001. Mr. Reisner serves on the Boards of both CIC and CADC and served on the Board of the Institute for Portfolio Alternatives (IPA) from 2018 to 2021. \nMr. Reisner received a J.D.\, cum laude\, from New York Law School and a B.A. from the University of Vermont. \n\n\n\n\n\n\nCION Investments is a leading open-source provider of alternative investments designed to redefine the way individual investors can build their portfolios and meet their long-term investment goals. CION Investments currently sponsors\, among other products\, CION Investment Corporation (NYSE: CION)\, a leading publicly listed business development company that currently manages approximately $2.0 billion in assets\, and also sponsors CION Ares Diversified Credit Fund\, a globally diversified interval fund that currently manages approximately $6.0 billion in assets.\n\nClose×Close×\n\n\n\nStephen is a closed-end fund product specialist at Nuveen. He works closely with the firm’s US Wealth Sales Teams\, and the financial professionals they serve\, providing insights and information to help advisors better understand and evaluate closed-end funds trading in the secondary market. \nPrior to joining Nuveen in 2022\, Stephen was a Vice President at Cantor Fitzgerald\, where he was responsible for the sales and trading of all U.S.- listed closed-end funds for the firm’s institutional client base. Before joining Cantor Fitzgerald\, Stephen worked in London\, first as an Investment Companies Analyst and later in Sales\, focusing on the U.K. Closed End Investment Companies Sector. \nStephen graduated with a B.Sc. in Applied Economics from the University of Plymouth (U.K.)\, and holds the FINRA series 7 and 55\nregistrations. \n\n\n\n\n\n\n\nNuveen\, the investment manager of TIAA\, offers a comprehensive range of outcome-focused investment solutions designed to secure the long-term financial goals of institutional and individual investors. Nuveen has $1.3 trillion in assets under management as of 30 Sep 2024 and operations in 27 countries. Its investment specialists offer deep expertise across a comprehensive range of traditional and alternative investments through a wide array of vehicles and customized strategies. \nNuveen is a leading sponsor of closed-end funds (CEFs) with $54 billion of assets under management across 45 CEFs as of 30 Sep 2024. The funds offer exposure to a broad range of asset classes and are designed for income-focused investors seeking regular distributions. Nuveen has more than 35 years of experience managing CEFs. \n\n\nClose×Close×\n\n\n\nLarry Holzenthaler is a managing director\, portfolio manager and senior alternatives strategist at First Eagle Alternative Credit\, responsible for the day-to-day implementation and management for several of FEAC’s strategies alongside the portfolio management team and FEAC’s chief investment officer. Larry is also an alternative credit market expert\, working closely with First Eagle US Wealth Solutions and other channels to provide investors insights on FEAC’s investment positioning\, market views and products. He also provides market education to clients\, creates investment-related content\, and develops new products within alternative credit. Prior to joining First Eagle in November 2023\, Larry was a managing director and investment strategist at Nuveen Asset Management\, and prior affiliate Symphony Asset Management\, where he represented Nuveen and Symphony’s investment teams externally and assisted with product management and investment content within the corporate credit market. Before that\, he was an analyst on Symphony’s credit investment team where his research focused on the marine transportation sector. Larry earned a BS in finance from Arizona State University. \n\n\n\n\n\n\n\nFirst Eagle Investments is an independent\, privately owned investment management firm headquartered in New York with approximately $149 billion in assets under management as of September 30\, 2024*. Dedicated to providing prudent stewardship of client assets\, the firm focuses on active\, fundamental and benchmark-agnostic investing\, with a strong emphasis on downside mitigation. With a heritage dating back to 1864\, First Eagle strives to help clients avoid permanent impairment of capital and earn attractive returns through widely varied economic cycles. The firm’s investment capabilities include equity\, fixed income\, alternative credit and multi-asset strategies. \n\n\nClose×\n\n\nAlexander Reiss joined Stifel in 2007. Based out of the New York office\, Mr. Reiss is a Managing Director in the Financial Institutions sector\, covering Closed-End Funds.\n\n\n\n\n\nStifel is a full-service investment firm with a distinguished history of providing securities brokerage\, investment banking\, trading\, investment advisory\, and related financial services to individual investors\, institutions\, corporations\, and municipalities. Established in 1890 and headquartered in St. Louis\, Missouri\, Stifel is one of the nation’s leading firms.\n\nClose×\n\n\n\nChristopher is a managing director of Morgan Stanley Investment Management Fixed Income\, an institutional portfolio manager and head of fixed income product and portfolio strategy. Chris is responsible for market research and analysis\, advancing the firm’s managed strategies through thoughtful investment communications and insights on the credit markets. He joined Eaton Vance in 2008. Morgan Stanley acquired Eaton Vance in March 2021. Chris began his career in the investment management industry in 2002. Before joining Eaton Vance\, he was affiliated with Fidelity Investments as a fixed-income product specialist. He was responsible for product strategy\, investment communications and client portfolio management for Fidelity’s suite of fixed-income investment capabilities. \n\n\n\n\n\n\nEaton Vance provides financial advisors with the investment strategies and resources to solve for their clients’ most advanced investing challenges\, across a range of asset classes in public and private markets. Our investment solutions include a broad range of alternatives\, high-conviction active strategies\, customization strategies\, ESG expertise and tax management solutions. Eaton Vance is part of Morgan Stanley Investment Management\, the asset management division of Morgan Stanley.\n\nClose×\n\n\n\nArie Heijkoop is a partner in the Investment Management Practice Group in Haynes Boone’s Washington\, D.C. office. His practice focuses on advising asset managers and fund sponsors\, registered funds\, and trusts\, and independent directors on various legal\, transactional\, and compliance matters. Arie routinely advises fund management on a range of operational activities\, including the formation\, operation\, merger\, and liquidations of open- and closed-end mutual funds\, ETFs\, variable insurance products and business development companies. \nArie’s experience includes representing open-end registered funds and their board members in the financial services industry about routine and non-routine issues\, such as new and ongoing compliance matters\, disclosure issues\, reorganizations of funds and investment advisers\, engagement with the Securities Exchange Commission and other regulators. He also advises closed-end fund managers and their independent directors on offerings\, proxies\, tender offers\, investor interactions\, and co-investment transactions. \n\n\n\n\n\n\n\nFounded in 1970\, Haynes and Boone\, LLP is among the fastest-growing firms in the Am Law 100\, providing a full spectrum of legal services across multiple sectors\, including corporate\, energy\, financial services\, real estate\, restructuring\, litigation\, intellectual property and specialty transactions. The firm’s nearly 700 lawyers practice across 19 global offices in California\, Colorado\, Illinois\, New York\, North Carolina\, Texas\, Virginia\, Washington\, D.C.\, London\, Mexico City and Shanghai. \nOur Investment Management Practice is comprised of a sophisticated group of lawyers regularly assisting with the formation and on-going operation of investment funds engaging in a broad spectrum of investment activities from general investment in listed stocks to targeted acquisitions in a wide variety of industries\, including in technology\, digital assets\, energy\, real property\, venture\, businesses or investments. We keep up to date on the latest legal and market developments and work collaboratively with other practice areas to help clients anticipate emerging issues and implement strategies. We represent both domestic and offshore investment vehicles and serve as lead outside counsel to numerous investment funds who combined have tens of billions of dollars in assets under management. Our lawyers have knowledge in corporate-securities\, partnership\, tax\, ERISA\, international\, venture capital\, real estate\, employment\, finance\, blockchain\, cryptocurrency and litigation issues that affect all types of investment funds. \n\n\nClose×\n\n\n\n\n\nNishil Mehta is a Managing Director leading the firm’s structured credit investments. He is based in New York.\nPrior to joining Carlyle\, Nishil was a Managing Director at First Eagle where he was the co-portfolio manager for the firm’s structured credit investments. Prior to joining First Eagle\, Nishil was a Managing Director at Prospect Capital where he was responsible for the firm’s $2.5 billion of investments in CLO mezzanine debt and CLO equity.\nHe was also the Head of Capital Markets spearheading over $8 billion of debt and equity capital raised for the firm’s 1940 Act funds. Earlier in his career\, Nishil worked at CIT Asset Management and Wachovia Securities.\nNishil received his BBA from Goizueta Business School at Emory University with Honors.\n\n\n\n\n\nClose×\n\n\n\n\n\nAndy has been with Nasdaq Listing Services since 2004\, and has had various positions in the areas of Issuer Services & Market Intelligence. Andy has been on the New Listings team since 2007\, and works with companies that are considering a Nasdaq listing. Andy has worked with companies that are moving from being a private to a public company in an IPO\, and public companies that trade on the NYSE\, NYSE American\, TSX or OTC and are considering transferring\, dual listing or uplisting to Nasdaq. Andy is a graduate of George Washington University in Washington\, DC.\n\n\n\n\n\nClose×\n\n\n\n\n\n\nJoined the firm in 2012. Industry start date 2004. He is also responsible for trading and analysis of the firm’s strategies. Ryan spent eight years at JP Morgan Chase in New York on the FX Derivatives Operations team and FX Forwards Group. He led multiple projects implementing new trading and risk applications\, new derivative pricing models\, and streamlined end of day P&L processes. He has been interviewed by many financial publications such as Bloomberg\, The Wall Street Journal\, The Financial Times and more. \nWilliams College\, B.A. in Political Science \nMember of Miami Committee of Friends of Caritas Cuba \n\n\n\n\n\n\nClose×\n\n\n\n\n\n\nStephen Minar\, Managing Director\, is a member of BlackRock’s U.S. Wealth Advisory business\, focusing on closed-end fund product management\, development and strategy. \nPrior to joining BlackRock\, Stephen worked in Global Capital Markets at Morgan Stanley where he was primarily responsible for the structuring and sale of closed-end fund initial public offerings and secondary market capital issuance. In a previous role at Morgan Stanley\, Stephen was a research analyst covering both closed-end funds and exchange-traded funds. \nStephen earned a BA degree in Finance from Xavier University. \n\n\n\n\n\n\nClose×\n\n\nLarry Antonatos is a Managing Director and Portfolio Manager on the Multi-Asset Solutions team for Brookfield’s Public Securities Group. In this role\, he oversees the portfolio construction process\, including execution of asset allocation. Mr. Antonatos joined Brookfield in 2011 as Product Manager for the firm’s equity investment strategies. Prior to joining Brookfield\, Mr. Antonatos was a portfolio manager for a U.S. REIT strategy for 10 years. He also has investment experience with direct property\, CMBS\, and mortgage loans. Mr. Antonatos earned a Master of Business Administration from the University of Pennsylvania and a Bachelor of Engineering from Vanderbilt University.\n\n\n\n\n\n\nBrookfield Oaktree Wealth Solutions offers institutional-caliber alternative investment offerings to investors via their financial advisors. Our solutions are built to meet the varying needs of individual investors\, and they are coupled with market and investment insights based on our unique products and portfolio expertise. We offer specialized support for financial advisors and their clients\, built on a foundation of investment excellence\, integrity and alignment of interests. We share a long-term\, value-driven and contrarian investment style\, rooted in rigorous risk management processes — and our market knowledge and in-depth operating experience give us an edge. \n\n\nClose×\n\n\n \n\n\n \n\n\nVlad Bulkin understands the unique needs of business development companies (BDCs)\, registered closed-end funds (CEFs) and private investment funds. From fund formation to capital raising activities\, he brings industry-leading experience to clients at any stage. He has extensive transactional experience\, including public and private securities offerings and strategic transactions. \nCapital markets experience backed by strong regulatory knowledge \nVlad taps into his deep regulatory and transactional knowledge to advise a broad range of clients\, including BDCs\, CEFs\, private investment funds and other financial services firms. Vlad is well positioned to counsel managers of BDCs\, CEFs and private investment funds on establishment and operational matters\, as well as regulatory and compliance with the Investment Company Act of 1940 and the Investment Advisers Act of 1940. He regularly works with alternative investment managers on developing various capital structures. \nVlad frequently works with issuers and underwriters on a broad range of public and private offerings of equity and debt securities. His experience includes initial public offerings (IPOs)\, Rule 144A offerings\, shelf offerings\, at-the-market offerings (ATMs)\, registered direct offerings\, high-yield bond offerings\, convertible debt offerings and rights offerings. \nPublic companies rely on Vlad to help navigate corporate governance and compliance matters. He regularly advises on Securities and Exchange Commission (SEC) reporting obligations and other securities laws\, including Section 16 compliance\, Rule 10b5-1 plans\, the Sarbanes-Oxley Act of 2002\, Rule 144 and the listing requirements of the NYSE and NASDAQ. \n\n\n\n\n\n\nClose×\n\n\n\n\n\n\nRyan McDonald\, CFA\, Managing Director\, is Head of the Municipal High Yield Franchise and a Portfolio Manager in BlackRock’s Portfolio Management Group. He is also a member of the Municipal Management Committee\, which oversees all municipal bond portfolio management\, research and trading activities. Prior to becoming a Portfolio Manager\, Mr. McDonald was a high yield credit research analyst with a particular focus on distressed securities and special situations in the municipal market. \nPrior to joining BlackRock in 2014\, Mr. McDonald was a vice president at Moelis & Co. where his responsibilities included the analysis of distressed municipal bonds and derivative products. His work also encompassed the analysis of monoline insurers and their various municipal/structured finance exposures. Prior to Moelis\, Mr. McDonald was a financial analyst at MAEVA Group\, LLC where he was responsible for analyzing state and local pension plans and making restructuring recommendations. Prior to MAEVA\, Mr. McDonald spent 8 years at JPMorgan where he worked in both the Public Finance and Structured Credit areas. Mr. McDonald graduated summa cum laude from the University of Notre Dame in 2004. \n\n\n\n\n\n\nClose×\n\n\n\n\n\nRushabh Vora is a Managing Director for the FS Global Credit business. Mr. Vora focuses primarily on the sourcing\, structuring and execution of privately negotiated transactions\, including bespoke capital solutions.\nPrior to joining FS Investments\, Mr. Vora was a Managing Director in Macquarie Group’s Principal Finance division\, where he focused on sourcing and executing private middle market debt and equity financings. Previously\, he was a Managing Director in Macquarie Group’s Credit Solutions Group\, which he helped co-found and served as Head of Underwriting. Prior to that\, he was a Desk Analyst on Macquarie Group’s Distressed Credit Trading Desk. He started his career in investment banking at Goldman Sachs & Co.\nMr. Vora currently sits on the boards of Salt Creek Midstream\, EPIC Midstream\, Church’s Chicken and Giving Home Health Care.\nHe earned a BS in Business Administration\, summa cum laude\, with a minor in Economics from the University of Southern California.\n\n\n\n\n\nClose×\n\n\nMr. Merk is the founder\, President\, and Chief Investment Officer of Merk Investments\, the Company’s investment adviser. Merk Investments manages approximately $1.1 billion in gold and gold mining investments. Mr. Merk created the first U.S. based physical gold exchange traded fund with a patented process to facilitate delivery to investors of gold in coins or bars. Axel Merk is a sought-after speaker and author on topics ranging from the economy\, currencies and gold to sustainable wealth and personal finance. Mr. Merk has been quoted by top tier media\, been a guest at business TV\, radio\, podcasts and speaker at conferences.\n\n\n\n\n\n\n\nClose×\n\n\nMr. Staggs joined ArrowMark in June of 2017 and is a team member of ArrowMark’s Private Capital Solutions group where he sources\, structures\, and manages private debt and non-control private equity investments. Prior to joining ArrowMark Partners in 2017\, he worked in similar capacities at firms to include Goldman Sachs & Co.\, Barclays Private Credit Partners LLC and GE Capital. Mr. Staggs previously served over 10 years as a surface warfare officer in the U.S. Navy\, having attained the rank of Lieutenant Commander. He earned a Bachelor of Science degree in Physics from the United States Naval Academy and an MBA from The Mason School of Business at the College of William and Mary.\n\n\n \n\n\n\nClose×\n\n\n\nJim Baker is a managing partner and co-head for Kayne Anderson’s energy infrastructure strategies\, responsible for overseeing the group’s investment strategies. Baker serves as chairman of the board\, president and CEO of Kayne Anderson’s publicly traded closed end fund\, KYN. Baker joined Kayne Anderson’s energy infrastructure group in 2004 and has acted as a portfolio manager for various funds and separately managed accounts for the last 17 years. He has had increasing levels of management responsibility during his 20-year tenure at the firm and was named as a co-head of the energy infrastructure group in 2019. \nPrior to joining Kayne Anderson\, Baker was a director in the energy investment banking group at UBS Securities LLC\, focusing on securities underwriting and mergers and acquisitions in the energy industry. Baker began his career in the energy investment banking group at PaineWebber Incorporated. \nBaker earned a B.B.A. in Finance from the University of Texas at Austin in 1995 and an M.B.A. in Finance from Southern Methodist University in 1997. \n\n\n\n\n\n\nKayne Anderson\, founded in 1984\, is a leading alternative investment management firm focused on real estate\, credit\, infrastructure\, and energy. With a team defined by an entrepreneurial and resilient culture\, Kayne Anderson’s investment philosophy is to pursue cash flow-oriented niche strategies where knowledge and sourcing advantages enable us to deliver above average\, risk-adjusted investment returns. As responsible stewards of capital\, Kayne Anderson’s philosophy extends to promoting responsible investment practices and sustainable business practices to create long-term value for our investors. Kayne manages $36 billion in assets (as of 9/30/2024) for institutional investors\, family offices\, high net worth and retail clients and employs 350 professionals.\n\nClose×\n\n\n\n\n\nMiguel Laranjeiro is an Investment Director within the Municipals team at Aberdeen Investments where he is responsible for asset allocation and investment managment decisions for the Aberdeen Investments Ultra Short Municipal Income Fund\, Aberdeen Investments National Municipal fund\, Aberdeen Investments Short Duration High Yield Municipal Fund and Aberdeen Investments Intermediate Municipal Income Fund at Aberdeen Investments. Miguel experience includes municipal credit analysis in the high yield sector as well as high grade tax backed sectors. Miguel joined the company in 2018 from Alpine Woods Capital Investors where he was focused on credit analysis in the Public Finance sector for Alpine’s two municipal funds\, Alpine Ultra Short Municipal Income Fund (ATOIX) and Alpine High Yield Managed Duration Fund (AHYMX). Previously\, Miguel worked for Thomson Reuters as a an analyst focused primarily on Fundamentals Analysis in the Emerging Markets sectors.\n\n\n\n\n\nClose×\n\n\nMr. Pines is a Senior Managing Director and Portfolio Manager at Bramshill Investments where he co-manages their flagship Income Performance Strategy with Bramshill’s CIO. Prior to joining Bramshill Investments in 2012\, Mr. Pines spent over a decade as a Proprietary Trader and Portfolio Manager leading a multi-asset class strategy which specialized in quantitative modeling techniques and utilized fundamental research to determine relative value. The bulk of that time was with Assent (Sungard Financial) and Chimera Securities. He also spent a year with Accenture in their Core Trading Services Group. He has over 20 years of investment experience in fixed income and exchange traded securities within both long-only and long-short investment vehicles. Mr. Pines has been involved in charitable organizations such as NextStep\, The Hoya Diamond Club\, and Party with Purpose where he spent several years on the board. He holds a Masters Graduate Certificate in Algorithmic Trading from Stevens University. Mr. Pines graduated cum laude with a B.S. in finance from Georgetown University.\n\n\n\n\n\nBramshill Investments\, LLC is an employee owned alternative asset management firm that specializes in investment opportunities across the fixed income universe in sectors such as corporate bonds\, preferred securities\, municipal bonds\, structured credit and credit-themed equities. The firm was founded in 2012\, however\, Bramshill strategies have over fourteen year track records with a core absolute return approach. Our investments are designed with the intent to preserve and grow our investors’ capital utilizing our fundamental value-based approach. Bramshill’s investment professionals provide portfolio management and strategy specific solutions across both liquid and illiquid asset classes. We approach risk management with a probability of loss analysis of individual securities combined with both macro and quantitative inputs. Our clients consist of institutions\, family offices\, and high-net-worth individuals. Strategies are managed in co-mingled vehicles\, SMAs\, and through sub-advisory mandates. Bramshill’s team-oriented approach and firm philosophy have been the core reasons for our success in investing\, client relationships\, and risk management.\n\nClose×\n\n\nPhillip Goldstein\n\n\n\n\n\nClose×\n\n\nAdam Sparkman is a client portfolio manager for Thornburg Investment Management. He works with Thornburg’s investment team and serves as a liaison for the team and key investment decision makers\, communicating process and results of the firm’s investment strategies.\nAdam joined Thornburg in 2014 and was previously a member of the firm’s business development group. Prior to Thornburg\, he worked as a business analyst at Los Alamos National Laboratory. Adam graduated cum laude with a BBA in finance from The Sam M. Walton College of Business at University of Arkansas and holds an MBA from New Mexico State University. He is a CFA charterholder.\n\n\n\n\n\nFounded in 1982\, Thornburg Investment Management is a privately owned global investment firm that offers a range of multi-strategy solutions for institutions and financial advisors. A recognized leader in equity\, fixed income\, and multi-asset solutions\, the firm oversees $42 billion (Includes $40.9 billion in assets under management and $1 billion in assets under advisement as of June 30\, 2023) across mutual funds\, closed-end funds\, institutional accounts\, separate accounts for high-net-worth investors and UCITS funds for non-U.S. investors. Thornburg is headquartered in Santa Fe\, New Mexico\, with additional offices in Hong Kong and Shanghai.\nAt Thornburg\, we believe unconstrained investing leads to better outcomes for our clients. Our culture is collaborative\, and our investment solutions are highly active\, high conviction and benchmark agnostic. When it comes to finding value for our clients\, it’s more than what we do\, it’s how we do it: how we think\, how we invest and how we’re structured.\n\nClose×\n\n\n\n\n\nRoxanna Islam is the Head of Sector & Industry Research at TMX VettaFi. Prior to joining TMX VettaFi\, she spent several years in sell-side equity research at Stifel and ETF/Closed-End Fund research at Wells Fargo. Roxanna has appeared in live media segments on Schwab Network and Yahoo Finance and has also been widely quoted in print media including Bloomberg\, The Wall Street Journal\, Fox Business\, CNBC\, Financial Times\, and Reuters. She is a CFA Charterholder and a CAIA Charterholder. Outside of the office\, Roxanna is actively involved with several nonprofit organizations. She serves as an At Large Director on the CFA Society Dallas/Fort Worth Board of Directors\, Treasurer on the Dallas Cotillion Club Board of Directors\, and volunteers with the Junior League of Dallas.\n\n\n\n\n\nClose×\n\n\n\n\n\n\nKenneth Burdon is a Partner in Simpson Thacher’s Registered Funds Practice. Based in the Firm’s Boston office\, Ken advises registered investment funds\, business development companies (BDCs)\, investment advisers and other financial services companies and financial institutions on the full spectrum of product development and distribution and related regulatory\, compliance and governance issues\, as well as M&A\, divestitures and split-offs\, among other matters. He works with fund sponsors on the development of innovative products and counsels BDCs and closed-end funds on IPOs and other capital raising offerings. Ken also guides fund sponsors and distributors\, BDCs and closed-end funds\, mutual funds and others in routine and non-routine activities\, such as seeking exemptive or no-action relief from the SEC and FINRA. Ken is also a leading voice in the closed-end fund industry on the topics of corporate governance and addressing shareholder activism. \nKen’s work has historically included the development of innovative products and product structures to pursue registered and unregistered alternative strategies for clients including BlackRock and FS Investments. He has also advised the EIM Group (now the LumX Group) on a variety of onshore and offshore products in the private product space. Additionally\, Ken has advised financial institutions on transactional activities\, including Thrivent\, Affiliated Managers Group\, The TCW Group\, Société Générale\, Credit Suisse and Ameriprise\, and on associated regulatory and compliance matters. \nKen has been recognized by both Chambers Global and Chambers USA in the Registered Funds category. He was previously named a Rising Star in Registered Funds by IFLR1000\, and one of the Rising Stars of Mutual Funds at Fund Action’s Mutual Fund Industry Awards. \nKen received his J.D. in 2007\, summa cum laude from Boston University School of Law\, where he was an Editor of Boston University Law Review. He received his B.A. from Boston University in 2004\, summa cum laude and Phi Beta Kappa. He is admitted to practice in Massachusetts. \n\n\n\n\n\n\nClose×\n\n\nSara Levin serves as a Director of ETF and Derivative Trading Solutions at WallachBeth’s Cross Asset Solutions team\, providing institutional clients guidance on the complex and evolving exchange-listed space. Sara brings a deep understanding of the institutional investment landscape with particular expertise in fund structuring\, business strategy and distribution across asset classes\, with an emphasis on Derivatives and ETFs.\n\n\n\n\n\nWallachBeth Capital is a leading provider of institutional execution services\, offering our clients a full spectrum of solutions to help them navigate increasingly complex markets. We employ a holistic process for developing and implementing sophisticated trading strategies\, leveraging a combination of deep product knowledge\, extensive market insight and a consultative approach. Our areas of expertise include trading solutions within ETFs\, equities\, derivatives\, mergers and acquisitions\, and CEFs.\n\nClose×\n\n\nSteve joined RiverNorth in 2007 and serves as Portfolio Manager. Steve co-manages the firm’s closed-end fund trading strategies and helps to oversee the firm’s closed-end fund investment analysts.Prior to joining RiverNorth\, Steve was Assistant Vice President at Bank of America in the Global Investment Bank’s Portfolio Management group where he specialized in the corporate real estate\, asset management and structured finance industries.Steve graduated Magna Cum Laude from Miami University of Ohio with a B.S. in Finance and a minor in Economics. He is a CFA Charterholder and member of the CFA Institute and the CFA Society of Chicago.\n\n\n\n\n\nRiverNorth is an investment management firm founded in 2000 that specializes in opportunistic strategies in niche markets where the potential to exploit inefficiencies is greatest. RiverNorth is the manager to multiple registered and private funds.\n\nClose×\n\n\nChirag Goyanka is a seasoned expert in alternative investments\, bringing a unique perspective from both the product and fundraising sides of the industry. With over two decades of experience spanning Asia and the United States\, Chirag has successfully navigated the ever-evolving landscape of private and public markets. His entrepreneurial mindset and a proven track record in fundraising\, business development\, and marketing set him apart.\nChirag embarked on his career as a Wealth Manager in Asia and later played a pivotal role in launching his firm’s asset management business in the United States. Over the years\, he has held key positions in distribution and product roles. In his current role as Head of Intermediary Solutions at Moonfare\, Chirag leads the charge in launching the Intermediary business for Moonfare in the US\n\n\n\n\n\nMoonfare offers advisors & their individual investors access to private market investment opportunities. With its digital onboarding process and asset management platform\, Moonfare allows investors to register and invest directly online.* To date\, Moonfare has offered more than 95 private-market funds from top general partners worldwide such as KKR\, Carlyle and EQT with an emphasis on private equity buyouts\, venture\, growth and real asset categories like infrastructure. Moonfare’s investment team conducts ground-up due diligence on all funds. Fewer than 5% of available funds pass this process and make it onto the Moonfare platform. This focus on quality is one reason why Moonfare has won the trust of 4\,000 clients who have invested more than $2.9 billion on its platform. Headquartered in Berlin\, Moonfare operates in 23 countries across Europe\, Asia\, America and has offices in New York\, Hong Kong\, London\, Zürich\, Singapore\, Paris and Luxembourg. For further information\, please visit www.moonfare.com and LinkedIn\n\nClose×\n\n\nShane Klein is the Head of the Financial Institutions Group (Americas) at Sumitomo Mitsui Banking Corporation having joined the bank in July 2013. Prior to SMBC\, Mr. Klein was the U.S. Head of Funds at Lloyds Bank responsible for coverage of a variety of Financial Institutions including Asset Managers\, Regulated Closed End Funds\, Private Equity Funds\, BDCs and Insurance companies. In 2008\, Mr. Klein established the Private Equity Fund Finance (Subscription Financing & Hybrid Financing) in the U.S. while cross selling the various products of the firm. Additionally\, Shane oversaw and managed over $300m of LP interests in 17 Private Equity Funds.\n\n\n\n\n\nSMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history\, SMBC Group offers a diverse range of financial services\, including banking\, leasing\, securities\, credit cards\, and consumer finance. The Group has more than 150 offices and 86\,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group\, Inc. (SMFG) is the holding company of SMBC Group\, which is one of the three largest banking groups in Japan. SMFG’s shares trade on the Tokyo\, Nagoya\, and ADRs on the New York (NYSE: SMFG) stock exchanges.\nIn the Americas\, SMBC Group has a presence in the U.S.\, Canada\, Mexico\, Brazil\, Chile\, Colombia\, and Peru. Backed by the capital strength of SMBC Group and the value of its relationships in Asia\, the Group offers a range of commercial and investment banking services to its corporate\, institutional\, and municipal clients. It connects a diverse client base to local markets and the organization’s extensive global network. The Group’s operating companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC)\, SMBC Nikko Securities America\, Inc.\, SMBC Nikko Securities Canada\, Ltd.\, SMBC Capital Markets\, Inc.\, SMBC Rail Services LLC\, Manufacturers Bank\, JRI America\, Inc.\, SMBC Leasing and Finance\, Inc.\, Banco Sumitomo Mitsui Brasileiro S.A.\, and Sumitomo Mitsui Finance and Leasing Co.\, Ltd.\n\nClose×\n\n\n\nRyan Crewe | Vice President\, Institutional Relationship ManagerPrior to joining Liberty Street Advisors\, Inc.\, Ryan was Head of Australia & New Zealand at Altive\, a venture-backed investment platform providing access to alternative products across pre-IPO\, venture capital\, private equity and credit. Prior to Altive\, he was a Head of Wholesale\, HNW and Family Office Distribution at GAM Investments (Australia). His experience has focused on the distribution of alternative investment products to qualified and institutional investors. \nRyan graduated from the University of Technology\, Sydney with a BBA in Finance and holds the Chartered Alternative Investment Analyst (CAIA) designation. \n\n\n\n\n\n\n\nThe Private Shares Fund seeks capital appreciation by focusing on investments in late-stage\, venture-backed private companies. As compared to startups and earlier-stage venture companies\, these companies have more established product lines and customer bases\, and typically have displayed revenue growth. The Private Shares Fund’s strategy is to participate in the potential appreciation of these dynamic pre-lPO companies. \nThe Private Shares Fund investment management team monitors an extensive universe of private technology and innovation companies across multiple sectors while staying attuned to significant trends in the marketplace. By utilizing proprietary databases and deep relationships across the venture ecosystem\, we look to identify opportunities involving high-performing companies with strong investor syndicates. Each of these companies will undergo an in-depth analysis of many factors that are likely to influence both capital appreciation and the ultimate exit outcome. Once the evaluation process is complete\, the investment team will negotiate terms and determine the appropriate allocation based on portfolio construction modeling. \n\n\nClose×\n\n\nJonathan Mondillo is Head of US Fixed Income at abrdn. He is responsible for overseeing all public and private markets fixed income teams in the region\, which include IG Credit\, HY Credit\, Municipals\, and USPP. He is further responsible for five municipal bond and infrastructure debt funds that invest in both investment grade and high yield credits. Jonathan joined the firm in 2018 from Alpine Woods Capital Investors\, LLC\, when two mutual funds he managed were acquired by Aberdeen Standard Investments. Prior to that\, Jonathan worked for Fidelity Capital Markets. Jonathan graduated with a B.S. in Finance from Bentley University.\nQualifications\nBSc\nBS in Finance. Jonathan holds both Series 7 and 63 licenses.\n\n\n\n\n\n\nEnabling our clients to be better investors drives everything we do. Our business is structured around three vectors – Investments\, Adviser and Personal – focused on their changing needs. Our investments solutions are built on the strength of our insight – generated from wide-ranging research\, worldwide investment expertise and local market knowledge. Our teams collaborate across regions\, asset classes and specialisms\, connecting diverse perspectives\, working with clients to identify investment opportunities that suit their needs. \n\n\nClose×\n\n\nGeorge Westervelt is Head of Global High Yield and Head of US High Yield Research. He is one of the Portfolio Managers on the team that manages the Global High Yield strategies and is also a member of the North American Fixed Income Leadership team. George joined Aberdeen Standard Investments in 2009 as a Credit Analyst and joined the portfolio management group in 2011. Prior to joining abrdn\, George worked at MFS Investment Management in Boston and Citigroup in New York. He earned a BA in English from the University of Vermont and is a CFA charterholder.\nQualifications:\nBA\, CFA\nGeorge earned a BA in English from the University of Vermont and is a CFA charterholder.\n\n\n\n\n\n\nEnabling our clients to be better investors drives everything we do. Our business is structured around three vectors – Investments\, Adviser and Personal – focused on their changing needs. Our investments solutions are built on the strength of our insight – generated from wide-ranging research\, worldwide investment expertise and local market knowledge. Our teams collaborate across regions\, asset classes and specialisms\, connecting diverse perspectives\, working with clients to identify investment opportunities that suit their needs. \n\n\nClose×\n\n\nJames Ryan is responsible for leading the distribution strategies of Destra’s investment offerings. Mr. Ryan brings more than 40 years of broad experience in sales management\, asset management and client development to the role. He is accomplished in strategic planning and analysis & business-to-business development\, and has fostered long-standing relationships and successful practices across all distribution channels\, business platforms and product structures including IPOs\, Mutual Funds\, Structured Products\, Closed-End Funds\, Retirement Offerings\, UITs and SMA/UMA.\n\n\n\n\n\n\nFounded in 2008\, Destra Capital was purpose-built to help independent thought leaders achieve better wealth outcomes by sourcing the next generation of investment solutions.To achieve these goals\, Destra selects experienced partners with unique investment strategies or services. Mutual funds\, interval funds\, closed-end funds\, separate accounts\, and investment services – all are tools that the team uses to help investors intentionally grow their wealth outcomes over time. \nMore than 15 years later\, the firm has helped thousands of investors break away from the pack and blaze their own investing trail. We continue to encourage our clients to challenge the conventional and explore new ways of delivering financial freedom. \n\n\nClose×\n\n\nKevin T. Hardy represents public and private funds\, fund sponsors\, investment advisers\, broker-dealers\, investment banks and other financial institutions in connection with the design and formation of investment funds and products\, securities offerings\, regulatory and compliance matters\, transactions and other corporate matters.\nMr. Hardy has been repeatedly selected for inclusion in Chambers Global and Chambers USA\, in addition to being named one of Crain’s Chicago Business’ 2022 Notable Gen X Leaders in Law.\n\n\n\n\n\n\nSkadden\, Arps\, Slate\, Meagher & Flom LLP and Affiliates delivers the highest quality advice and novel solutions to legal challenges\, enabling clients to achieve their business goals. We are known for the innovative and creative thinking we rely on to handle the most complex transactions\, litigation/controversy issues\, and regulatory matters\, as well as the open\, collaborative relationships we build with clients\, including corporations; financial and governmental entities; small\, entrepreneurial companies; and cultural\, educational and charitable institutions. \n\n\nClose×\n\n\nJake manages Destra’s mutual fund products and oversees Destra’s secondary market support services for several NYSE listed closed-end funds. Jake contributes to the Firm’s product\, marketing\, and legal teams through product management and development efforts\, data generation and investment content creation\, as well as day-today operational support and documentation. Jake also sits on the Firm’s Investment Committee adding to portfolio oversight and monitoring in conjunction with manager & fund research\, selection\, and due diligence. Jake received his Bachelor of Science degree in Finance from the Gies College of Business at the University of Illinois at Urbana-Champaign. He holds the FINRA Series 7 and 66 securities licenses and also holds the Chartered Financial Analyst designation. Jake is a member of the CFA Institute and CFA Society Chicago.\n\n\n\n\n\n\nFounded in 2008\, Destra Capital was purpose-built to help independent thought leaders achieve better wealth outcomes by sourcing the next generation of investment solutions. \nTo achieve these goals\, Destra selects experienced partners with unique investment strategies or services. Mutual funds\, interval funds\, closed-end funds\, separate accounts\, and investment services – all are tools that the team uses to help investors intentionally grow their wealth outcomes over time. \nMore than 15 years later\, the firm has helped thousands of investors break away from the pack and blaze their own investing trail. We continue to encourage our clients to challenge the conventional and explore new ways of delivering financial freedom. \n\n\nClose×\n\n\nElliot J. Gluck is a partner in the Asset Management Department of Willkie Farr & Gallagher LLP. Mr. Gluck’s practice focuses on representing mutual funds\, closed-end funds\, exchange-traded funds (ETFs)\, their investment advisers and their boards. He has extensive experience in counseling on the organization and operation of registered investment companies\, including with respect to a broad range of innovative and novel products and structures. Mr. Gluck counsels clients with respect to trending investment products\, such as interval funds\, trending investments and investment strategies\, such as digital assets and ESG. He regularly advises registered funds and their boards on a wide range of compliance\, corporate governance and complex regulatory matters. Mr. Gluck also represents closed-end funds in capital markets transactions\, including initial and secondary public offerings of common and preferred stock and rights offerings\, and counsels closed-end fund and their boards on strategic matters\, such as addressing share price discounts and dealing with activist investors.\n\n\n\n\n\nWillkie Farr & Gallagher LLP provides leading-edge legal solutions on complex\, business critical issues spanning markets and industries. Our approximately 1\,200 attorneys across 13 offices worldwide deliver innovative\, pragmatic and sophisticated legal services across more than 45 practice areas.\n\nClose×\n\n\nMichael is a senior market strategist at Nuveen. In this role\, he supports sales and marketing activity related to all of the firm’s municipal managed money products: open-end mutual funds\, closed-end funds and managed accounts. He serves as one of the company’s chief spokespersons on economic issues and investment philosophy\, especially related to municipal bond investments and tactical asset allocation. Michael brings a unique perspective as a long-time direct participant in the financial markets.\n\n\n\n\n\n\nNuveen\, the investment manager of TIAA\, offers a comprehensive range of outcome-focused investment solutions designed to secure the long-term financial goals of institutional and individual investors. Nuveen has $1.1 trillion in assets under management as of 30 Jun 2022 and operations in 27 countries. Its investment specialists offer deep expertise across a comprehensive range of traditional and alternative investments through a wide array of vehicles and customized strategies. Nuveen is a leading sponsor of closed-end funds (CEFs) with $57 billion of assets under management across 56 CEFs as of 30 Jun 2022. The funds offer exposure to a broad range of asset classes and are designed for income-focused investors seeking regular distributions. Nuveen has more than 35 years of experience managing CEFs. \n\n\nClose×\n\n\nScott is responsible for senior loan-focused portfolio management. When Scott joined Nuveen affiliate Symphony Asset Management in 2002\, he was a gaming and industrials analyst providing long and short credit ideas to the investment team up and down the capital structure. Scott began trading loans for the platform in 2003 and in 2005 was named an associate portfolio manager on the firm’s loan strategies. He became the lead portfolio manager on the firm’s loan strategies in 2008. Prior to joining the firm\, Scott was an investment banking analyst in the industrial group at Deutsche Banc Alex Brown in New York. Scott graduated with a B.S. in Finance from Georgetown University.\n\n\n\n\n\n\nNuveen\, the investment manager of TIAA\, offers a comprehensive range of outcome-focused investment solutions designed to secure the long-term financial goals of institutional and individual investors. Nuveen has $1.1 trillion in assets under management as of 30 Jun 2022 and operations in 27 countries. Its investment specialists offer deep expertise across a comprehensive range of traditional and alternative investments through a wide array of vehicles and customized strategies. Nuveen is a leading sponsor of closed-end funds (CEFs) with $57 billion of assets under management across 56 CEFs as of 30 Jun 2022. The funds offer exposure to a broad range of asset classes and are designed for income-focused investors seeking regular distributions. Nuveen has more than 35 years of experience managing CEFs. \n\n\nClose×\n\n\nJames Bruno is a Managing Director and Head of Product Development and Advocacy for Brookfield Oaktree Wealth Solutions. In this role\, he leads global product development and programs aimed at helping advisors navigate the world of alternative investments and their role in client portfolios. Before joining the firm in 2023\, Mr. Bruno was a Managing Director\, Co-Head of Product Origination and Development for Alternative Investments at Morgan Stanley Wealth Management\, including private equity\, private credit\, real estate\, hedge funds\, customized solutions\, and pre-IPO offerings. Over his fifteen-year tenure at Morgan Stanley\, Mr. Bruno held other roles within alternative investments\, including Head of Product Development for all illiquid products and liquid offerings. Prior to joining Morgan Stanley\, Mr. Bruno held alternative-focused product development roles at HSBC and Merrill Lynch. Mr. Bruno has an M.B.A. in Finance from Fordham University\, a B.S. in Accounting from Long Island University\, and is a Certified Public Accountant in the State of New York.\n\n\n\n\n\nAt Brookfield Oaktree Wealth Solutions\, we partner with financial advisors to bring institutional-caliber alternative solutions and insights to individual investors. Our solutions are built to meet the varying needs of individual investors\, and they are coupled with market and investment insights based on our unique products and portfolio expertise. We offer specialized support for financial advisors and their clients\, built on a foundation of investment excellence\, integrity and alignment of interests.\n\nClose×\n\n\nDaniil is a director in Cerulli’s Product Development practice\, where he works on the identification\, analysis\, and reporting of asset management industry trends with a focus on the distribution of alternative investments to the private wealth segment.\n\n\n\n\n\nFor over 30 years\, Cerulli has been at the forefront of the industry\, delivering groundbreaking market intelligence. It is our mission to arm asset managers\, wealth managers\, private equity firms\, and financial technology firms with data\, research\, and advice they need to grow.\n\nClose×\n\n\nCarolyn Murphy-Lepore is a Portfolio Manager at City of London Investment Management Company Limited (CLIM)\, based in the company’s US office. Mrs. Murphy-Lepore is responsible for management of the firm’s investments in the Americas with respect to research\, trading and corporate governance. She joined CLIM as a Research Analyst in 2007 and has been a Portfolio Manager since 2012. She has served as the Head of both the Dubai and Singapore offices of CLIM. Prior to joining CLIM\, Mrs. Murphy-Lepore worked as a Registered Sales Assistant at Raymond James Financial\, Stifel Nicolaus and Legg Mason Capital Management. She has a BA from the University of Delaware.\n\n\n\n\n\nCity of London Investment Management was formed out of the London-based operations of Olliff & Partners PLC (O&P) that had been founded by Barry Olliff in 1987. O&P was an agency stockbroker and corporate finance boutique. Mr. Olliff launched City of London Unit Trust Managers\, the predecessor of City of London Investment Management\, in 1991.\n\nClose×\n\n\nPaul E. Dunn is Executive Vice President of Bluerock Capital Markets\, LLC (BCM) and is responsible for building the firm’s internal/external infrastructure as the company experiences explosive growth. Since 2011\, he has been a key member of the management team that has been responsible for the Bluerock Total Income+ Real Estate Fund (a ’40 Act Mutual Fund) and the Bluerock Resident Growth REIT (NYSE American: BRG).\n\n\n\n\n\nBluerock was founded in 2002 and is based in New York City. Today\, the firm has acquired and managed over $15 billion in assets on behalf of more than 120\,000 investors. Bluerock serves the growing need for alternative investments … where there is asymmetric risk and return opportunities (well off the efficient frontier). In 2022 and 2023\, Bluerock was and is a finalist for Barron’s Asset Manager of the Year. Bluerock currently sponsors two interval funds: Bluerock Total Income+ Real Estate Fund\, the nation’s largest real estate interval fund with $6.5 billon of AUM and an 11- year track record and the Bluerock High Income Institutional Credit Fund which invests in a $9 billion portfolio of senior secured loans. In addition\, the firm is one of the most seasoned sponsors of DSTs providing tax advantaged exchanges to investors.\n\nClose×\n\n\n\n\n\n\nFinancial professional with 42 years of industry experience\, Anthony served as Senior Vice President at Neuberger Berman from 2000 to 2024. As the firm’s Closed-End Fund Product Specialist\, he managed sales and market support for Neuberger’s closed-end fund platform and played a key role in the development of new closed-end fund products. \nBefore joining Neuberger Berman\, Mr. Maltese held senior research positions at Smith Barney\, Shearson Lehman Brothers\, and Merrill Lynch. He was also an active member of the Investment Company Institute (ICI) Closed-End Investment Company Committee from 2004 to 2024. \nMr. Maltese earned a Bachelor of Arts in Political Science from Drew University. \n\n\n\n\n\n\nClose×\n\n\n\n\n\n\nKimberly Flynn serves as a President at XA Investments\, a wholly-owned subsidiary of XMS Capital Partners. She is a partner in the firm and responsible for all product and business development activities. Kim created the alternative registered trust platform at XA Investments working in partnership with independent subadvisers representing best-in-class alternative investment managers. \nPreviously\, Kim was Senior Vice President and Head of Product Development for Nuveen Investments’ Global Structured Products Group. In her 11 years at Nuveen\, she helped developed over 40 closed-end funds raising ~$13 billion in capital. In her leadership role at Nuveen\, Kim was responsible for asset raising activities through the development of new traditional and alternative investment funds including CEFs\, ETFs\, UITs and commodity pools.Kim received her MBA degree from Harvard University\, where she was a William J. Carey scholar and President of the HBS Volunteers. \nBefore attending Harvard Business School\, Kim spent three years working in Morgan Stanley’s Investment Banking Division (1999-2002) in their Chicago office. \nXA Investments LLC (XAI) is a Chicago-based investment manager founded by XMS Capital Partners in April 2016 to pursue a single goal: provide investors with access to institutional-caliber alternative investments. XAI has approximately $428 million in assets under management as of June 30\,2023.\nIn offering quality alternatives that were previously inaccessible to the individual investor community\, XAI not only challenges common views about liquidity\, but allows individuals to better align themselves with the institutional approach to investing. \n\n\n\n\n\n\nClose×\n\n\nMs. Charles\, as the Managing Director and Director of Closed-End Fund is responsible for setting general research policy and strategy. She joined Raymond James Financial in November 1995 and joined the Closed-End Fund Research group in September of 1998.\nAmy also was the Director of ETF Research until June 2021. Prior to joining Closed-End Fund Research\, she spent two and a half years in the Equity Research Department. She has been the Director of Closed-End Fund Research since May of 2000. She holds a B.A. from Florida Metropolitan University. Ms. Charles has been quoted in several publications including Business Week and has been a speaker at numerous conferences throughout the year.\n\n\n\n\n\nRaymond James Financial\, Inc. is an American multinational independent investment bank and financial services company providing financial services to individuals\, corporations\, and municipalities through its subsidiary companies that engage primarily in investment and financial planning\, in addition to investment banking and asset management. Headquartered in St. Petersburg\, Florida\, Raymond James is one of the largest banking institutions in the United States.\nToday\, that client-focused approach has extended to serve client accounts through approximately 8\,700 financial advisors in the United States\, Canada and overseas. Further\, the company has expanded through the years to serve corporations\, institutions and municipalities through significant capital markets\, banking and asset management services.\n\nClose×\n\n\n\nDouglas Bond\, Executive Vice President\, is Head of Closed End Funds and a portfolio manager for Cohen & Steers’ Closed-End Opportunity Fund and other portfolios investing in closed-end funds. Before joining Cohen & Steers in 2004\, Mr. Bond worked at Merrill Lynch for 23 years. Between 1992 and 2004\, he ran their closed-end fund new origination effort and was involved in all closed-end funds underwritten by Merrill Lynch. He also headed Merrill’s Private Client Syndicate Group. \nMr. Bond holds a BA from Hamilton College and an MBA from New York University. He is based in New\nYork. \n\n\n\n\n\n\n\n\nClose×\n\n\nDirector / Trustee and Bank Executive with international finance and capital markets expertise in the North American\, European and Australasian markets. Governance\, Executive and Practitioner level experience leading high profile\, high value banking\, funds management and technology organizations.\nSample Experience: Independent Director / Trustee – abrdn Global Infrastructure Income Fund (ASGI). Former Chairman – Macquarie Global Infrastructure TRF (MGU)\, Board Risk Advisor – National Bank of Greece\, Non-Executive Director – Anglo Irish Bank / IBRC Assurance Corporation\, Chairman – National Australia Capital Markets (NACM)\, Trustee – Institute of International Bankers. Also\, EVP / GM / Head of North America / Head of Energy & Utilities – National Australia Bank\, Head of North American Strategy Projects – Bank of Ireland\, Vice President – Mellon Bank – International\, Board Advisor – Ad Fontes Media.\n\nClose×\n\n\n\nMr. Sell is the Principal of Edison Holding GmbH\, which invests in and advises on commercial real estate and early-stage seed investments in Berlin. \nMr. Sell has over 25 years’ experience as an international banker. His career included stints in New York\, Sydney\, London\, Berlin\, and Luxemburg where he was active in global capital markets. While at Landesbank Berlin\, in addition to managing a team of proprietary traders engaged in arbitrage strategies\, Mr. Sell was an activist investor in closed-end funds. This began his parallel and subsequent career as an independent director. \nGrowth Fund of Spain (GSP) 1998 – 1999 \nFrance Growth Fund (FRF) 2000 – 2004 \nAbrdn Australia Equity Fund (IAF) 2004 – present \nSingapore Fund (SGF) 2011-2018. (Chairman) \nGreater China Fund (GCH) 2012-2018 \nSwiss Helvetia Fund (SWZ) 2017-present. (Lead Independent Director and Audit Chair) \nHigh Income Securities Fund (PCF) 2018 – present \nAbrdn Global Income Fund (FCO) 2018 – present \nAbrdn Asia Pacific Income Fund (FAX) 2018 – present \nHe holds a BA in Economics from the George Washington University. \n\n\nClose×\n\n\n\n\n\n\nJason Mehring is a Managing Director at BlackRock. He is a voting member and a past Chairman of the investment committee for BlackRock’s US Private Capital Group (“USPC”).Mr. Mehring focuses on the team’s origination\, underwriting and monitoring of middle market private investments\, including those made on behalf of the Middle Market Senior Fund (“MMSF”)\, where he is the lead Portfolio Manager\, and other public and private investment funds. These investment vehicles offer middle-market companies flexible financing solutions to meet their current and future capital needs. \nJason has over 26 years’ experience in middle market investing including his 15 years’ experience with the USPC team\, joining as a Managing Director at BlackRock Capital Investment Corporation’s former advisor in 2005. Mr. Mehring previously spent more than ten years at Banc of America Capital Investors (BACI)\, an affiliate of Bank of America\, Inc.\, in Chicago\, where he held positions of increasing responsibility\, becoming a Principal of the firm in 2000. At BACI\, Mr. Mehring focused on mezzanine and private equity investing in middle market companies. Prior to joining BACI in 1994\, he worked at Firstar Bank\, a predecessor to U.S. Bank. \nMr. Mehring received a B.B.A.\, summa cum laude\, in Finance and Economics from the University of Wisconsin Eau Claire\, where he also graduated with University Honors\, an M.B.A. from the Kellogg School of Management at Northwestern University\, and he has served on a variety of private corporate boards. \n\n\nClose×\n\n\n\n\n\n\nJorge Solares-Parkhurst is a Managing Director in JMP Securities’ financial services investment banking group.Prior to joining JMP\, Jorge had been a Director in the global financial institutions group at Credit Suisse\, where he worked with U.S. specialty lenders and regional banks. He previously served as a Managing Director at FBR Capital Markets and a Senior Managing Director at Bear\, Stearns & Co. Jorge began his career in PaineWebber’s investment banking division\, remaining with the firm following its acquisition by UBS and concluding his tenure there as a Director in the financial institutions group for the Americas. \nJorge holds a BSFS in international economics from The Edmund A. Walsh School of Foreign Service at Georgetown University. \n\n\nClose×\n\n\n\n\n\n\nKenneth E. Burdon represents public and private investment funds\, investment advisers\, financial services companies and other financial institutions in connection with the structuring and distribution of investment products\, and in a variety of regulatory\, compliance\, corporate\, governance\, operational and transactional matters.Serving clients in every major international financial center\, Skadden\, Arps\, Slate\, Meagher & Flom LLP and affiliates is one of the leading law firms in the world\, with 22 offices and approximately 1\,700 attorneys offering solutions to the most challenging legal issues in virtually every area of corporate law. \n\n\nClose×\n\n\n\n\n\n\nVadim Avdeychik advises business development companies (BDCs)\, mutual funds\, closed-end funds\, exchange-traded funds (ETFs)\, hedge funds and their investment advisers on the full range of investment management matters. His experience spans the formation and operation of registered investment companies\, alternative fund structures\, fund governance\, regulatory issues involving public and private funds\, ERISA and investment company status issues and exemptions.Vadim also advises clients on environmental\, social and governance (ESG) investing\, including launching investment products\, advising directors on ESG matters and establishing compliance programs for ESG investing. He has authored several articles on the topic and is a frequent speaker on regulatory issues dealing with ESG investing. \n\n\nClose×\n\n\n \n \n\nRob Watson\, CFP®\nPartner & Head of Investments\nRob Watson is a Partner & Head of Investments for Destra. Rob also serves as President of Destra Capital Advisors\, LLC and DFC Preferred Advisors LLC\, both SEC registered investment advisors\, as well as President of each of Destra’s mutual funds. Rob chairs the Firm’s Investment Committee\, with responsibility for manager research and selection\, as well as portfolio oversight and monitoring. In addition\, he heads the Firm’s investment product and marketing efforts.\nRob has held numerous roles across an almost 30-year career in the financial services industry. Rob has run product units at Morgan Stanley & Aviva Investors and been responsible for business development and account management teams at Janus & Van Kampen. He has extensive experience in product design and investment implementation\, as well as institutional sales and manager due diligence. He holds key industry licenses\, is a CFP® certificate holder\, and has a Bachelor of Science degree in Economics from North Carolina State University.\n\nClose×\n\n\n \n \n\nColin is a Senior Portfolio Manager at Angel Oak Capital and serves as a Portfolio Manager for the Multi-Strategy Income Fund\, the UltraShort Income Fund\, the Strategic Credit Fund\, the Core Impact Fund\, and the Strategic Mortgage Income Fund. He also focuses on security and portfolio analytics and is responsible for building and managing strategies within the residential mortgage-backed securities market.\nColin joined Angel Oak in 2012 and serves as a voting member of the firm’s public funds Investment Committee. He is also a speaker on many of the firm’s quarterly calls for both its private and public funds.\nPrior to Angel Oak\, Colin worked for an Atlanta-based boutique investment firm where he was responsible for the acquisition and management of their distressed debt portfolio\, as well as the development of their proprietary financial technology platform. Previously\, Colin worked in the Real Estate Capital Markets group for Wachovia Bank and Wells Fargo where he focused on risk management for their commercial real estate REPO lines.\nColin holds B.B.A. degrees in Banking & Finance and Real Estate from the Terry College of Business at the University of Georgia.\n\nClose×\n\n\n \n\n \n\nJustin leads product management and development for Nuveen’s Municipal and Preferred Securities product lines. In this role\, he collaborates with Nuveen’s Investment\, Distribution\, Marketing and Operations teams to drive the strategic growth of our Municipal and Preferred Securities business. Justin’s primary responsibilities include the development and management of investment products and strategies in an effort to thoughtfully achieve our strategic product plan.\nPrior to joining Nuveen\, Justin led product management and development for Destra Capital. He also served as a member of the firm’s Investment Committee\, was an officer for Destra’s suite of mutual funds and led sub-advisor due diligence. Prior to joining Destra\, Justin played an integral role in the product management and development of closed-end funds\, mutual fund and ETFs at Guggenheim Investments.\nJustin graduated with a Bachelor’s degree in Business Administration from the University of Wisconsin-Whitewater. He holds the CFA designation and is a member of the CFA Institute and CFA Society of Chicago.\nNuveen\, the investment manager of TIAA\, offers a comprehensive range of outcome-focused investment solutions designed to secure the long-term financial goals of institutional and individual investors. Nuveen has $1.3 trillion in assets under management as of 31 Dec 2021 and operations in 27 countries. Its investment specialists offer deep expertise across a comprehensive range of traditional and alternative investments through a wide array of vehicles and customized strategies. For more information\, please visit www.nuveen.com.\n\nClose×\n\n\n \n \n\nMichael Bell is a Managing Director of Primark. Prior to Primark\, Michael built\, and was the CEO for a $12B RIA managing more than 30 investment strategies and a $10B liquid alternative mutual fund complex that launched more than 50 alternative funds. Most recently he purchased\, grew and sold a family office-backed $6B RIA. Also\, he specialized as a corporate finance attorney for Latham & Watkins and was a CPA for KPMG. He holds a BS in Commerce from the University of Virginia and a JD from West Virginia University.\nPrimark is expanding access to private equity investments without the complexity of subscription documents\, high investment minimums\, and the complex tax treatment associated with traditional institutional private equity fund structures.\n\nClose×\n\n\n \n \n\nShiloh R. Bates joined Flat Rock Global in 2018 and is a Partner and Chief Investment Officer.  Prior to joining Flat Rock Global\, Mr. Bates was a Managing Director at Benefit Street Partners where he worked on corporate acquisitions. Prior to that\, Mr. Bates was the Head of Structured Products at BDCA Advisor\, where he was responsible for investments in CLOs\, leveraged loans\, and publicly traded BDCs.\nDuring his 20-year career\, Mr. Bates worked for several CLO managers and invested over $1.3 billion in CLO securities. He is a frequent panelist at CLO conferences and has written a book on investing in CLO equity.\n\nClose×\n\n\n \n \n\nAlex Condrell is a Managing Director at Cliffwater. Founded in 2004\, Cliffwater provides research and investment due diligence services across the full range of private markets and alternative investments. Cliffwater also manages over $4 billion in private credit funds. Alex joined Cliffwater in 2021.\nPrior to joining Cliffwater\, Alex was a Managing Director at Monroe Capital\, an asset management firm specializing in lower middle market direct lending. Before that\, Alex was the Chief Investment Officer at Main Street Financial\, with prior experience at Calamos Investments\, Lotsoff Capital\, Fannie Mae and Freddie Mac.\nHe earned a BA in Government from Pomona College and an MBA in Finance from Georgetown University. Alex is a CFA charterholder and also holds the CAIA designation..\n\nClose×\n\n\n \n \n\n\nChuck Jaffe is a syndicated financial columnist and the host of “Money Life with Chuck Jaffe\,” a one-hour weekday financial talk show (moneylifeshow.com).Chuck’s work has been syndicated since 1995\, first while based at the Boston Globe and then from MarketWatch.com; he also writes for the Wall Street Journal and elsewhere. A past president of the Society of American Business Editors &and Writers\, Chuck has been a frequent guest on CNBC\, Nightly Business Report\, Fox Business News\, National Public Radio and more\, and is the author of three books: “Getting Started In Finding a Financial Advisor\,” “The Right Way to Hire Financial Help” and “Chuck Jaffe’s Lifetime Guide to Mutual Funds.” \nIn what is jokingly referred to as “spare time\,” Chuck is very involved in the sport of lacrosse as a broadcaster\, referee\, coach\, league owner and player. He lives on Boston’s South Shore with a golden retriever who sleeps under the desk while Chuck is working and whose flatulence issues sometimes explain Chuck’s demeanor. \nYou can follow him on Twitter @ChuckJaffe\, @MoneyLifeShow and\, depending on your sporting interests\, @BostonBoxLax. \nWebsite: http://www.moneylifeshow.com \n\n\nClose×\n\n\n \n\n \n\nMr. Schlemovitz is a Managing Director for Conversus\, a StepStone Company.\nMr. Schlemovitz focuses on strategic relationships and product development.  Prior to StepStone\, Mr. Schlemovitz served as a Managing Director of CNL Financial Group\, a $10 billion asset manager providing access for individual investors to the private markets.  At CNL he created and oversaw the firm’s Private Equity platform and was the Chief Operating Officer of Strategic Capital.  Previously Mr. Schlemovitz was an Executive Director in Investment Banking at J.P. Morgan where he led equity and debt capital raising and merger and acquisition transactions for Financial Institution clients.\nMr. Schlemovitz received his BA from Emory University and is a CFA charterholder.Conversus Company Profile Blurb:\nConversus is an investment firm designed to provide individual investors the opportunity to access private markets with the goal of transforming portfolios and enhancing long-term outcomes. Conversus is a wholly-owned business of StepStone Group\, a global asset management and advisory firm with over $500 billion in assets under advisement. Leveraging StepStone’s extensive experience across the private markets allows Conversus to create innovative\, investor-centric products by focusing on convenience\, efficiency and transparency.\n\nClose×\n\n\n\n\n\n\nMike Taggart\, CFA\, CAIA serves as Head of Closed-End Fund Investor Relations at Aberdeen Investments\, where his team is responsible for keeping stakeholders (shareholders\, advisors\, and analysts) informed about the company’s North American closed-end funds. \nWith more than 15 years’ experience covering closed-end funds\, Mike has extensive experience with analyzing the funds and educating the investing public about them. Prior to Aberdeen\, Mike covered exchange-traded products\, including closed-end funds\, at Relative Value Partners. For seven years\, he worked on product strategy as Nuveen’s Director of Closed-End Fund Research. Mike started covering closed-end funds at Morningstar. \nMike holds a bachelor’s degree from Virginia Tech\, a master’s degree in Russian history from the University of Illinois Chicago\, and an MBA from Northwestern University’s Kellogg School of Management. \n\n\n\n\n\n\nClose×\n\n  \n\n\n\n\n\nMs. Law is a Senior Portfolio Manager for various CLOs\, separately managed accounts\, and commingled funds. She is a member of Octagon’s Liquid Credit Investment Committee and oversees the Firm’s Structured Credit (CLO debt and equity) investment strategies. She also serves on the Executive Committee. Ms. Law joined Octagon in 2004; prior to becoming a Portfolio Manager in 2018\, Ms. Law was an Investment Team Principal whose coverage areas included healthcare\, industrials\, financials\, business services\, and the Firm’s CLO debt and equity investments. She earned a B.S. from Babson College\, where she graduated Magna Cum Laude. Ms. Law received her CFA Charter in 2009. \n\n\n\n\n\n\nClose×\n\n\n\n\n\n\nBill has been a leader on the sales and marketing side of the financial services industry for more than 35 years. He joined Wildermuth Securities in March of 2022 and serves as the company’s field representative throughout the eastern US. He earned his MBA from the University of Notre Dame and his BA from Middlebury College. He currently lives in suburban Chicago. \nTHE WILDERMUTH FUND provides investors with access to early-stage private equity that has traditionally been reserved for institutional investors. The Fund offers portfolio diversification among early-stage private equity positions in various asset classes including technology\, real estate\, healthcare\, energy\, and hedge funds that would be difficult for individual investors to achieve because of typically high minimum investments.\nDaniel Wildermuth is the Fund’s portfolio manager. With over 25 years of investment experience\, he has been a pioneer in adapting the endowment investment approach to the needs of individual investors. Mr. Wildermuth is CEO and CIO of Wildermuth Advisory and Asteria Wealth\, a money management firm that administers more than 20 equity and fixed income portfolio strategies for retail and institutional investors. \n\n\nClose×\n\n  \n\n\n\n\n\nMark is responsible for supporting the continued investment success of Parametric’s systematic income product suite—with focus on dividend income and enhanced income strategies. Prior to joining Parametric in 2019\, he spent seven years with US Bank’s Asset Management Group as a vice president in equity portfolio management covering domestic large-cap securities. Mark is also a firefighter for the city of Plymouth\, Minnesota. He earned an MBA from the Kelley School of Business at Indiana University and a BS in finance/information systems from Iowa State University.Parametric partners with advisors to build portfolios focused on what’s important to them and their clients. A leader in custom solutions for more than 30 years\, we help investors access efficient market exposures\, solve implementation challenges\, and design multi-asset portfolios that respond to their evolving needs. Headquartered in Seattle\, Parametric has offices in Minneapolis\, New York City\, Boston\, and Westport\, Connecticut. \n\n\nClose×\n\n\n\n\n\nRobert Shaker\, has been working with Shaker Financial Services since 2004 and currently serves as its Chief Investment Strategist. He is responsible for overseeing strategy development\, trading and portfolio allocations.Shaker Financial Services\, LLC (SFS) is a boutique investment advisory firm specializing in the trading of closed-end funds. SFS first began to accept funds for investment in individual separately managed accounts in 1996. SFS’s “Discount Capture” Composite is currently rated five (5) stars by Morningstar.\n\nClose×\n\n\nTom DeCapo has been an innovative leader in the closed-end fund industry for more than three decades. Tom is responsible for many of the advances in closed-end fund structuring and finance\, and is recognized for his work defending the industry against activist campaigns. Tom recently retired from the practice of law after more than 25 years as a partner of Skadden\, Arps. He believes that the current activist environment presents opportunities to restructure and refocus the closed-end fund asset class for the long term investment benefit of retail investors.\n\n\n\n\nClose×\n\n\n \n\n\nSteve is a Senior Special Counsel Fellow and the SEC’s industry specialist on Business Development Companies (BDCs). Steve’s work focuses on a broad array of BDC matters\, including disclosure review\, examinations\, enforcement\, rulemaking\, and exemptive relief applications\, among others. \nSteve joined the SEC in 2021. Prior to the SEC\, Steve spent eight years at Blackstone where he was primarily focused on providing legal advice relating to formation\, fundraising\, co-investment transactions\, corporate governance and compliance oversight of Blackstone BDCs. In addition\, while at Blackstone\, Steve worked on a variety of matters pertaining to private funds\, CLOs\, private credit\, debt and equity offerings transactions\, financing facilities and advisory and compliance issues. Prior to joining Blackstone in 2013\, Steve was an associate in the corporate group of Bingham McCutchen LLP (now Morgan\, Lewis & Bockius LLP). Steve earned his B.B.A.\, summa cum laude\, from Pace University\, Lubin School of Business\, Pforzheimer Honors College\, and his J.D.\, cum laude\, from Fordham University School of Law. \n\n\nClose×\n\n\n\n\n\n\nAs Managing Director and Head of UniFi by CAIA™ \, Aaron oversees content and product strategy for the UniFi by CAIA™ Program. Prior to this\, Aaron was responsible for the strategic direction of CAIA Association’s content agenda\, thought leadership\, and member education initiatives\, and supported content development for the CAIA Charter Program. His work has been published by Oxford University Press and The Journal of Investing\, and covers topics such as ESG/sustainable investing\, liquid alternatives\, commodities\, and asset pricing/factor investing. He is a frequent writer and speaker on these topics. Aaron’s practitioner experience lies in private wealth management\, where he served as portfolio manager\, overseeing asset allocation\, portfolio construction\, and manager research efforts for high-net-worth individuals and institutional retirement plans. \nHe earned a B.S. with distinction in Finance and a Master of Finance from Penn State University. He holds the Chartered Alternative Investment Analyst (CAIA)\, Chartered Financial Analyst (CFA)\, Certificate in Investment Performance Measurement (CIPM)\, Financial Data Professional (FDP) designations\, is a CERTIFIED FINANCIAL PLANNER™\, and holds the the CFA Institute’s Certificate in ESG Investing. He is a Past President of CFA Society Columbus and serves on the CFA Society Philadelphia Programs Committee. Aaron is an adjunct professor and serves on multiple advisory boards for Penn State University. \nThe CAIA Association is a global professional credentialing body dedicated to creating greater alignment\, transparency\, and knowledge for all investors\, with a specific emphasis on alternative investments. A Member-driven organization representing professionals in more than 100 countries\, CAIA Association advocates for the highest ethical standards. The organization provides unbiased insight on a broad range of investment strategies and industry issues\, key among them being efforts to bring greater diversification to portfolio construction decisions to achieve better long-term investor outcomes. \n\n\nClose×\n\n\n\n\n\n\nMr. Penn follows business development companies. Prior to joining Oppenheimer and Co. he followed business development companies at Janney Montgomery Scott. In addition\, he was an Equity Portfolio Manager/Financial Analyst at Legg Mason Capital Management from 2001 to 2012 where he specialized in financial companies. From 1996 to 2001 he managed a $400M fixed income portfolio at Legg Mason Capital Management. Prior to joining Legg Mason Mr. Penn managed a $15B fixed income portfolio at Aetna. He also worked for Price Waterhouse from 1981 to 1985.Mr. Penn received his Chartered Financial Analyst designation in 1995 and is a member of the Baltimore CFA Society. He was President of the Baltimore Society (2001-2002) and served on the Board of Directors. Mr. Penn received his Certified Public Accounting designation in 1983\, but he no longer maintains this designation. He is a graduate of Villanova University\, Magna Cum Laude\, Phi Kappa Phi\, Beta Gamma Sigma (1981) and University of Chicago (MBA-1987). \n\n\nClose×\n\n\nCheryl is a Senior Portfolio Manager at Angel Oak Capital and serves as a Portfolio Manager for the Financials Income Impact Fund and the Financial Strategies Income Term Trust\, as well as two ETFs and several of the firm’s private funds and separately managed accounts.\nCheryl has nearly two decades of investment experience and primarily focuses on investment research and management across the firm’s financial sector-focused strategies.\nCheryl joined Angel Oak in 2017 from Morgan Stanley\, where she was an Executive Director and Head of Consumer & Specialty Finance Equity Research. Her research coverage included a multitude of financial sectors\, including consumer\, specialty\, mortgage\, REIT\, payments\, fintech and banking.\nCheryl has been featured as a television guest on Bloomberg\, CNBC\, TD Ameritrade Network and Yahoo! Finance TV and has been quoted in various publications including American Banker\, Marketwatch\, DailyAlts and S&P Global Market Intelligence. Cheryl has also been named one of the “Women at the Forefront of Alternative Investments” in a 2023 iConnections report.\nCheryl holds a B.S. in Commerce (Finance) from the University of British Columbia and an M.B.A. from Duke University’s Fuqua School of Business. She also holds the Chartered Financial Analyst (CFA®) designation.\n\n\n\n\n\nAngel Oak Capital Advisors is an investment management firm focused on providing compelling fixed income investment solutions for its clients. Backed by a value-driven approach\, Angel Oak Capital seeks to deliver attractive risk-adjusted returns through a combination of stable current income and price appreciation. Its experienced investment team seeks the best opportunities in fixed income with a specialization in mortgage-backed securities and other areas of structured credit.\nAs of 6/30/23\, Angel Oak Capital had an estimated $16.5 billion in assets under management (AUM) through a combination of mutual funds\, private funds and separately managed accounts. AUM represents the sum of assets managed or serviced\, and committed but uncalled capital.\n\nClose×\n\n\n\n\n\nParth is a vice president and leads product management and\ndevelopment efforts for Nuveen’s closed-end fund product line. He is\nresponsible for developing and bringing new concepts to market\, as well\nas overseeing the ongoing product management of existing closed-end\nfunds.\nPrior to joining Nuveen\, Parth was a senior tax consultant at Deloitte\,\nwhere he specialized in investment company taxation.\nParth graduated with a B.S. in Accountancy and Finance from the\nUniversity of Illinois. He holds the Series 7 and 66 securities\nregistrations.Nuveen\, the investment manager of TIAA\, offers a comprehensive range of outcome-focused investment solutions designed to secure the long-term financial goals of institutional and individual investors.\nNuveen has $1.1 trillion in assets under management as of 30 Jun 2022 and operations in 27 countries. Its investment specialists offer deep expertise across a comprehensive range of traditional and alternative investments through a wide array of vehicles and customized strategies. Nuveen is a leading sponsor of closed-end funds (CEFs) with $57 billion of assets under management across 56 CEFs as of 30 Jun 2022. The funds offer exposure to a broad range of asset classes and are designed for income-focused investors seeking regular distributions. Nuveen has more than 35 years of experience managing CEFs.\n\nClose×\n\n\n\n\n\n\nMr. Arduini is a Partner and Portfolio Manager in the Ares Credit Group\, where he focuses on alternative credit investments. Mr. Arduini serves as a Vice President and Portfolio Manager for the Ares Dynamic Credit Allocation Fund\, Inc. (NYSE:ARDC). Additionally\, he serves as a member of the Ares Dynamic Credit Allocation Fund Investment Committee.Prior to joining Ares in 2011\, Mr. Arduini was a Managing Director at Indicus Advisors LLP\, where he focused on structured credit investment opportunities. Previously\, Mr. Arduini was Director of Structured Credit in the Fixed Income Investment Group and a Manager in the Risk Management Group at TIAA-CREF. In addition\, Mr. Arduini worked in the telecommunications and information technology industries in various systems\, operations and management roles. Mr. Arduini holds a B.A. from Bucknell University in Mathematics and an M.S. from Stevens Institute of Technology in Mathematics. \nMr. Arduini also holds an M.S. from Carnegie Mellon University in Computational Finance. Mr. Arduini is a CFA® charterholder and a member of the New York Society of Security Analysts. \n\n\nClose×\n\n\nGretchen Lam\, Senior Portfolio Manager. Ms. Lam is a member of Octagon’s Investment Committee and serves as a Portfolio Manager across CLOs\, Separately Managed Accounts and Commingled Funds. Ms. Lam oversees the Firm’s Structured Credit (CLO debt & equity) investment strategies. Ms. Lam is a member of the Octagon & Conning’s Global DEI (diversity\, equity and inclusion) Council and a member of the Firm’s ESG (environmental\, social\, and corporate governance) Committee.Prior to becoming a Portfolio Manager\, Ms. Lam oversaw Octagon’s investments in the software\, business services\, finance & insurance\, paper & packaging\, gaming & lodging\, homebuilding and real estate industries. She was also responsible for the structured credit exposure held in Octagon’s CLO vehicles. Prior to joining Octagon in 1999\, Ms. Lam attended Babson College where she graduated Summa Cum Laude with a B.S. in Investments. She received her CFA Charter in 2006.\n\n\n\n\n\nOctagon is a 25+ year old\, $30.6B below-investment grade corporate credit investment adviser focused on leveraged loan\, high yield bond and structured credit (CLO debt and equity) investments. Through fundamental credit analysis and active portfolio management\, Octagon’s investment team identifies attractive relative value opportunities across below-investment grade asset classes\, sectors and issuers. Octagon’s investment philosophy and methodology encourage and rely upon dynamic internal communication to manage portfolio risk. Over its history\, the firm has applied a disciplined\, repeatable and scalable approach in its effort to generate attractive risk-adjusted returns for its investors. For more information\, please visit www.octagoncredit.com.\n\nClose×\n\n\n\n\n\n\nRobert Amodeo is Head of Municipals at Western Asset Management Company\, LLC and has 34 years of investment experience. Mr. Amodeo began his career at The Bank of New York but soon thereafter joined Salomon Brothers Inc.\, where he was responsible for analyzing various private investment partnerships\, including venture-capital\, oil-and-gas\, and real-estate\, equity and bond portfolios.In 1992\, Robert joined Salomon Brothers Asset Management where his role evolved into managing director\, head of the municipal bond investment team and he worked with Salomon’s Yield Book department to adapt advanced technology for municipal bond and tax-efficient portfolio management. Since 2005\, Robert has been part of Western Asset’s municipal bond investment team and is the sector head of that group. \nMr. Amodeo holds a Bachelor’s degree from Long Island University and a Master of Public Administration\, Advanced Management and Finance from Columbia University. He holds the Chartered Financial Analyst designation and has written various articles regarding the public finance market. \n\n\nClose×\n\n\n\n\n\n\nLaura is a Product Specialist within Nuveen’s Alternative Investment distribution team. She is focused on supporting business development efforts across the private credit spectrum.Laura joined Nuveen in 2021.From 2014 to 2021\, she worked for Invesco’s Global Private Credit platform where she supported new business development and institutional client communications\, shaping investor messaging and business strategy globally. \nPreviously\, Laura worked in corporate finance and investor relations at CIFC Asset Management where she supported marketing efforts and was responsible for financial projections on behalf of their private equity owners. Prior to CIFC\, she was an associate at Goldman Sachs\, where she worked in the firm’s investment management finance division focused on credit strategies. Laura began her career at Deloitte & Touche. \nShe entered the investment management industry in 2003.Laura graduated with both a B.S. in Business with a major in Accounting and an M.S. in Accounting from the University of Connecticut. She is a Certified Public Accountant (inactive) and holds the FINRA Series 7 and Series 66 registrations. \n\n\nClose×\n\n\n\n\n\n\nChristian has 21 years of experience in financial services and investment management\, with the last 16 years focused on secondary investments involving venture-backed and growth equity-oriented companies and funds. During this time\, he has also served on the boards of many of these companies and funds. \nPrior to Liberty Street Advisors\, Christian was CIO of SPIM overseeing all investment related functions. Christian still serves as one of the portfolio managers of The Private Shares Fund\, formerly the SharesPost 100 Fund\, and a member of the investment committee. \nPrior to joining The Private Shares Fund investment management team and Liberty Street Advisors\, Inc.\, Christian was Co-Head of the Global Private Equity Secondaries Practice at HQ Capital based in New York\, a $10+ billion alternative investment firm headquartered in Germany. Prior to that\, he served as Head of Secondaries at Thomas Weisel Partners. Christian started his career as an investment banker at Banc of America Securities. \nIn aggregate\, Christian has helped raise more than $1 billion globally from institutional investors\, corporations\, pensions\, endowments\, and family offices\, and has completed or overseen the completion of more than 100 secondary transactions representing over $1 billion in capital commitments. \nChristian received his BA from Rutgers College. \n\n\nClose×\n\n\n\n\n\nMichael Grayson is a Portfolio Manager at First Trust Capital Management L.P (“FTCM”). Michael focuses on FTCM´s event-driven and multi-alternative mandates as well as private market platform. Michael started his career at Vivaldi Asset Management\, LLC\, an independently owned\, boutique alternative investment firm based in Chicago. Vivaldi was predominantly a Multi-Family Office and Advisor to several public (1940 Act) alternative products. Michael was dedicated to the firm´s investment management as well as business and product development verticals.\nMichael holds a B.A from University where he studied Political Science and Economics.\n\nClose×\n\n\nMr. Hobbs leads Oaktree’s North American Sourcing and Origination group\, which focuses on private credit sourcing and deal origination for the firm’s U.S. Private Debt\, Global Private Debt\, Special Situations and Global Opportunities strategies. He also serves on the investment committee for Oaktree’s Direct Lending platform. Prior to joining the firm in 2013\, Mr. Hobbs was an executive director at Natixis Securities focused on building the high yield sales and trading franchise. Prior thereto\, he spent five years at Goldman Sachs as a vice president in leveraged finance origination and sales. Before joining Goldman Sachs in 2007\, Mr. Hobbs was a director in Leveraged Finance at Deutsche Bank Securities\, which he joined in 2000. Additional experience includes regional account management focused on fleet financing at GE Capital Corporation and controller for Leveraged Finance at Bank of America. Mr. Hobbs received his M.B.A. from Columbia Business School and a B.S. degree in accounting from Rutgers University. Brookfield Oaktree Wealth Solutions partners with financial professionals around the world to connect investors to the innovative solutions\, expertise and insights.\n\n\n\n\n\nBrookfield and Oaktree. From public to private markets\, and across the liquidity spectrum\, we aim to be the single point of entry into the very best of Brookfield and Oaktree – with the goal of helping advisors and their clients understand how to navigate key investment decisions\n\nClose×\n\n\n\n\n\n\nCFA (2012); BSc (Pure and Applied Mathematics) (Hons\, 2008)\, Trinity College\, Ireland. \nKevin is an institutional portfolio manager for RBC GAM-US. He specializes in a broad spectrum of global credit strategies including Investment Grade\, Leveraged Finance\, Emerging Markets\, Multi-Asset and Alternatives. \nKevin joined RBC GAM in 2014; he moved from BlueBay Asset Management to RBC GAM-US in 2020. During his time at BlueBay\, he initially worked as an institutional portfolio manager on the Emerging Markets desk\, before broadening his remit to cover other areas of the global credit markets. Prior to joining BlueBay\, Kevin worked for another global asset management company\, where he specialized in fixed income fund manager research to feed ideas into the firm’s suite of multi-manager portfolios. Prior to this\, Kevin worked as an investment consultant at a global consulting firm. \nHe began his career in the investment industry in 2008. \n\n\nClose×\n\n\n\n\n\n\nErin is head of strategic development for Thornburg Investment Management\, leading corporate and product development initiatives across the firm. She has extensive investment and management experience\, including with large and small asset management firms and most recently the financial technology industry. \nPrior to joining Thornburg\, Erin was chief investment officer for C2FO\, a Kansas City–based financial technology company focusing on supply-chain finance solutions. She developed private investment solutions to provide working capital liquidity to small businesses\, utilizing C2FO’s proprietary technology platform. \nPrior to C2FO\, Erin spent 11 years with Fountain Capital Management\, a boutique high-yield investment firm also based in Kansas City. At Fountain\, Erin held various positions\, including partner\, portfolio manager\, head trader\, and research analyst. She started her career at Strong Capital Management as an equity research analyst\, focusing on small- and mid-cap value portfolios and later as a private equity analyst for McCarthy Capital. \nErin is a graduate of Indiana University with a BS in finance and is a CFA charterholder. \n\n\nClose×\n\n\n\n\n\nMr. Stone joined Flaherty & Crumrine in 2003 after a 20-year career on Wall Street. Based in Summit\, New Jersey\, he is a member of the firm’s portfolio management team. He is responsible for macroeconomic and quantitative research and analysis and directs our credit research group. Together with Mr. Chadwick and Mr. Conwell\, he serves on the firm’s board of directors and is a member of the executive management committee. He also serves as Chief Financial Officer\, Vice President and Treasurer of the U.S. Flaherty & Crumrine closed-end funds and oversees the financial reporting and tax operations for the Flaherty & Crumrine closed-end funds.\nFrom 2001 until joining Flaherty & Crumrine\, he was Director of U.S. Market Strategy at Barclays Capital in New York\, where he advised clients on market strategies across U.S. treasuries\, agencies\, and interest rate derivative products. Prior to Barclays\, he spent 14 years at Goldman Sachs\, where he most recently held the position of Director — Interest Rate Product Strategy\, Americas. He was a regular member of Institutional Investor’s All-America Fixed Income Research Team\, earning the top ranking in Derivatives Strategy in 2001. He began his career at Salomon Brothers as an options trader and derivative salesperson.\n\nClose
URL:https://dev.aicalliance.org/aica-event/aica-2025-fall-roundtable/
LOCATION:The View at the Battery\, 1 Battery Pl\, New York\, NY\, 10004\, United States
CATEGORIES:Past Events
ATTACH;FMTTYPE=image/png:https://dev.aicalliance.org/wp-content/uploads/2024/11/Featured-AICA-2025-Fall-roundtable.png
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20251210
DTEND;VALUE=DATE:20260110
DTSTAMP:20260404T174708
CREATED:20251128T162052Z
LAST-MODIFIED:20260106T154400Z
UID:43283-1765324800-1768003199@dev.aicalliance.org
SUMMARY:BDC Earnings Pulse
DESCRIPTION:Article Video \nBDC Earnings Pulse: Trends\, Takeaways & Tactical Positioning \nArticle Video \nA quarterly debrief with leading BDC analysts and institutional investors interpreting the latest results and the road ahead. \n\nThe Active Investment Company Alliance\, is presenting a fast-paced 40-minute virtual discussion moderated by John Cole Scott\, AICA Executive Chairman and President of CEF Advisors. \nThis quarterly session brings together leading BDC analysts and institutional investors to examine the latest earnings results\, assess trends in credit quality\, NAV performance\, and dividend coverage\, and discuss how institutional portfolios are positioned for the next 3–6 months across the BDC landscape. \nThis quarterly “pulse check” goes beyond the numbers\, offering a candid look at opportunities and headwinds in the sector as we move into the next reporting cycle. \nKey Topics: \n• What we learned from the latest BDC earnings results\n• Dividend coverage\, non-accruals\, PIK\, ROE and NAV trends across the sector\n• Analyst and investor views on spreads\, valuations\, and risk appetite\n• Positioning strategies and sector outlook for the next 3–6 monthsStay current on the evolving BDC landscape—join the discussion and hear how leading professionals are navigating the market right now. \n \n\n	\n	\n	\n	\n    \n\n	    \n            Register Now\n        Register Now\n    \n        		There were errors with your submission. Please try again.\n		\n        \n\n\n		\n\n	\n\n				\n				\n\n		\n		\n			\n			\n	\n		Note: Promo Codes will be redeemed at final checkout Attendee Classification\n\n	Early-Bird Registration*\n	\n					\n				Individual Investor - $399\n			\n						\n				Financial Advisor / RIA - $399\n			\n						\n				⁠Institutional Investor in CEF - $399\n			\n						\n				CEF / Interval Fund / BDC Sponsor - $699\n			\n						\n				Service Provider - $999\n			\n						\n				Speakers (Free - AICA Approval)\n			\n						\n				Event Sponsor (Free - AICA Approval)\n			\n						\n				Financial Press (Free - AICA Approval)\n			\n								\n\n\n\n	First*\n	\n						\n									\n\n\n\n	Last*\n	\n						\n									\n\n\n\n	Title\n	\n						\n									\n\n\n\n	Company*\n	\n						\n									\n\n\n\n	Address Line*\n	\n						\n									\n\n\n\n	City*\n	\n						\n									\n\n\n\n	State*\n	\n						\n									\n\n\n\n	Zip Code*\n	\n						\n									\n\n\n\n	Country\n	\n						\n									\n\n\n\n	Cell Phone (for day of event updates if needed) eg (123) 123-8888\n	\n						\n									\n\n\n\n	Email*\n	\n						\n									\n\n\n\n	Dietary restrictions\n	\n				\n							\n\n\n\n	Structure Interests\n	\n					\n				Traditional CEFs\n			\n						\n				BDCs\n			\n						\n				Interval Funds\n			\n						\n				Tender Offer Funds\n			\n								\n\n\n\n	Sector Interests\n	\n					\n				Muni Bonds\n			\n						\n				Taxable Fixed Income\n			\n						\n				Equity Income\n			\n						\n				Equity Growth\n			\n						\n				Alternative Investing\n			\n								\n\n\n\n	Do You Need CE Credits?*\n	\n				\n							No\n								Yes\n						\n							\n\n\n\n	If Yes\, Please Provide CFP #\n	\n						\n									\n\n\n\n	Referral Source\n	\n						\n									\n\n\n\n	Please verify that you are not a robot*\n	\n				\n						\n\n\n\n	Confirm I understand*\n	\n					\n				Confirm\n			\n					I understand\, as a condition of accessing the information\, I agree to become a AICA subscriber and receive weekly content and event emails. I can unsubscribe at any time using the link at the bottom of any email.			\n\n	\n		\n\n				\n			Address\n			\n				\n				If you are a human\, do not fill in this field
URL:https://dev.aicalliance.org/aica-event/bdc-earnings-pulse/
LOCATION:Virtual\, United States
CATEGORIES:Past Events
ATTACH;FMTTYPE=image/png:https://dev.aicalliance.org/wp-content/uploads/2024/11/Featured-AICA-2025-Fall-roundtable.png
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20260311
DTEND;VALUE=DATE:20260411
DTSTAMP:20260404T174708
CREATED:20260107T163450Z
LAST-MODIFIED:20260313T165244Z
UID:44148-1773187200-1775865599@dev.aicalliance.org
SUMMARY:BDC Earnings Pulse
DESCRIPTION:RegisterBDC Earnings Pulse: Trends\, Takeaways & Tactical Positioning \nRegisterA quarterly debrief with leading BDC analysts and institutional investors interpreting the latest results and the road ahead. \nThe Active Investment Company Alliance presents a fast-paced 40-minute virtual discussion moderated by John Cole Scott\, Executive Chairman of AICA and President of CEF Advisors. \nThis Quarter’s Panel: \n\nMichael Petro\nPortfolio Manager\, Putnam\nFinian O’Shea\nDirector & Senior Equity Research Analyst\, Wells Fargo Securities\n\nThis quarterly session convenes experienced BDC analysts and institutional investors to dissect the latest earnings results\, evaluate trends in credit quality\, NAV performance\, dividend coverage\, and capital structure dynamics\, and assess portfolio positioning across the BDC landscape for the next 3–6 months. \nThis “pulse check” goes beyond headline numbers\, offering candid insight into sector risks\, relative value opportunities\, and forward-looking positioning as we move into the next reporting cycle. \n\nKey Topics: \n\nKey takeaways from the latest BDC earnings season\nDividend coverage\, non-accruals\, PIK income\, ROE and NAV trends\nSpread environment\, valuations\, and institutional risk appetite\nTactical positioning and outlook for the next 3–6 months
URL:https://dev.aicalliance.org/aica-event/bdc-earnings-pulse-2026-2/
LOCATION:Virtual\, United States
CATEGORIES:Past Events
ATTACH;FMTTYPE=image/png:https://dev.aicalliance.org/wp-content/uploads/2026/01/BDC-earnings_Pulse-2026-picture.png
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20260610
DTEND;VALUE=DATE:20260711
DTSTAMP:20260404T174708
CREATED:20260316T150814Z
LAST-MODIFIED:20260316T150814Z
UID:45059-1781049600-1783727999@dev.aicalliance.org
SUMMARY:BDC Earnings Pulse June 2026
DESCRIPTION:RegisterBDC Earnings Pulse: Trends\, Takeaways & Tactical Positioning \nRegisterJoin the Active Investment Company Alliance (AICA) for a concise\, insight-driven discussion unpacking the latest developments across the Business Development Company (BDC) sector. \nModerated by John Cole Scott\, Executive Chairman of AICA and President of CEF Advisors\, this 40-minute virtual session brings together leading analysts and institutional investors to interpret the most recent earnings results and discuss what they signal for the months ahead. \nOur panel will go beyond the headlines to examine what is really happening inside BDC portfolios—credit quality trends\, dividend sustainability\, NAV performance\, and evolving capital market dynamics. \nFeatured Panelists (TBC)\nThis fast-paced “pulse check” is designed for investors seeking timely insight into sector risks\, relative value opportunities\, and tactical positioning across the BDC landscape as we move into the next reporting cycle. \nDiscussion Highlights \n\nKey insights from the latest BDC earnings season\nDividend coverage\, non-accruals\, PIK income\, ROE\, and NAV trends\nThe evolving spread environment and institutional risk appetite\nTactical positioning and outlook for the next 3–6 months
URL:https://dev.aicalliance.org/aica-event/bdc-earnings-pulse-june-2026/
LOCATION:Virtual\, United States
CATEGORIES:Upcoming Events
ATTACH;FMTTYPE=image/png:https://dev.aicalliance.org/wp-content/uploads/2026/03/Featured-Image.png
END:VEVENT
END:VCALENDAR