John C Dodd Email and Phone Number

Through strategic sales efforts,mainly face-to-face meetings, and video call/calls, I directly target Institutional Investors and Allocators on the East Coast primarily (along with key consultants, as well as specific investors in the mid-west and west coast . I focus largely on working with endowments, foundations, corporate pensions and healthcare, public funds, and OCIO's, mainly, (and consultants), to find them solutions and to market our top investment strategies. Victory has 12 franchises with distinct boutique investment teams and strategies nationally (where the CIO’s determine the philosophy, process and culture) We are managing traditional equity, fixed income and alternative investment strategies/private market funds. The firm has fully centralized operations that allow for specific client service/investment focus for each boutique manager. We sell domestic (micro, small, smid, mid and large cap -value, core and growth) equities, international equities, international small cap, emerging markets, EM Small Cap, Global equities (quantitative/fundamental),fixed income/credit, EMD, high yield, hedge funds, hedged equities, market neutral, alternative income/various alternative strategies, ETF's, private credit, clean energy, infrastructure funds, and other private market strategies. Victory manages roughly $180+ billion in assets overall as of 09/30/24.

Paradigm Capital Management has a long history as a leader in Small Cap Investing, using a consistent, disciplined, bottom-up investment approach with an emphasis on fundamental analysis and extensive management contact. Our three decades of experience provide an exceptional level of insight,reflected in our high conviction portfolios. Paradigm’s entrepreneurial culture fosters creativity, rewarding independent thinking. We are a Diverse/Women-Owned Firm and Emerging Manager with long track records and a refined process dating back to the mid-1990’s. Across a number of diversified and concentrated portfolios in Small Cap Value and Core, Micro-Cap, SMid-Cap and other strategies, including Long/Short Equity/Small Cap hedge funds, we identify unique opportunities, undervalued securities, and inefficiencies. We find quality companies, selling at substantial discounts to their intrinsic value. We combine a long-term, high conviction approach, with meticulous, independent research. We pursue the best ideas after continued confirmation with company managements’, which is a differentiator. Also, primary research also provides our Edge. The outcome is long-term outperformance. We encourage portfolio manager autonomy, but recognize the merits of a team approach. The results of this investment process speak for themselves: superior investor returns delivered over full market cycles, while mitigating downside risk in tough markets. I led the Institutional Sales/Marketing and other efforts at Paradigm Capital, focusing on Investors globally in the E and F, Corporate Pension/Health Care, Public Fund, Family Office, Sub-Advisory/Insurance, RIA and other channels. We also manage 3Retail Mutual Funds for most smaller cap strategies. We offer SMA’s to Institutional and other clients, Commingled Funds, and.Mutual Funds, and Long/Short (and Long-Biased) Equity/Small Cap Hedge Funds. We have long term track records and add significant alpha short and long-term.

Spouting Rock Asset Management is a boutique investment management firm that is focused on finding inefficient strategies in the market and has created a suite of unique, differentiated strategies to take advantage of this. We are committed to adding value, developing product, and managing risk/protecting capital. We are targeting Institutional investors and clients globally, including endowments, foundations, corporate pensions, public funds,, insurance companies, sub-advisory, family offices, and allocators/others. Our strategies span from long only equity and fixed income strategies and alternative investment strategies, that range from Small Cap Growth, Micro-Cap Equities (Activist) LP’s, to Impact Investing/ESG Equity mandates, EM Equities, Global Risk Manager, and Relative Value Fixed Income, as well other uncorrelated strategies, We market alternatives, such as Long/Short Multi-Cap Equity Hedge Funds, Private Credit, Private RE and PE, a Credit Fund, Absolute Return and Income Alternatives, and other L/S Hedge Funds.

Led the Sales/Marketing effortsj of $8.95 billion private, investment management firm, specializing in domestic and global equity strategies, alternative investment strategies (hedge funds- long/short equity, sector long/short, market neutral funds, event driven, and short only), and specialty equities- Global (ESG/Clean) Alternative Energy, strategies and funds. Firm raised assets of roughly $6.9 billion from 2010 to the end of 2017, with focused marketing efforts in the U.S.and globally. Key Investors and prospects targeted include primarily institutional investors (corporate pensions, health care, public funds, endowments and insurance companies), FOHF's, hedge fund allocators, and SFO's. As primary marketer, significantly increased assets in Domestic Large Cap, Mid-Cap/All-Cap SMid-Cap, Unconstrained Equities, both Value, and Core, Diversified and Concentrated Equity Strategies, and Alternative Investments (5 hedge funds) with investors. Also marketed Global Equities/ESG/and a Global Alternative Energy Fund, EM, and raised over $900 million. Successful in marketing alternatives to traditional institutional clients , and to Multi-Manager Funds/40 Act/UCITS, in Absolute Return and Long/Short, Short Only strategies. Very successful selling to corporate plans, public funds, Healthcare, Endowments,sub-advisors and other allocators, platforms- Including Transamerica, Harbor Capital and others. Strong direct plan/investor,institutional relationships. Was a Member of the Management Committee for nearly 8 years since joining in 2010. Firm was partially purchased in spring of 2017 and then was majority purchased about a year later.

As senior institutional sales producer and part of the leadership team at SGI, was integral in increasing and building out the global institutional marketing and new business efforts and raising assets with key endowments, foundations, corporate pensions, healthcare, public funds, sub-advisory, insurance companies, financial intermediaries, family offices, and fund of hedge funds, in Domestic Equities (Small, SMid, Mid and Large Cap Growth and Value), Global Equities, Global L/S Equity and US L/S Hedge Funds, Sustainable/ESG, High Yield Bond/Fixed Income/Credit strategies,Structured Notes, Private Equity, Private Debt and RE, Managed Futures, Absolute Return strategies, Liquid Alternatives, Hedged and Market Neutral Equity L/S Funds , Global Macro and Enhanced/Quantitative funds.Have strong rapports nationally with key decision makers, but significant focus was on the East Coast and Northeast, across a large network of direct investors. Was able to get approvals, into searches/finals and win business through major, regional and boutique investment consultants Focused mainly on calling on and meeting with East Coast, the Mid -West and other states to institutional investors/allocators. Marketed for five asset managers within Security Global Investors, as well as for Rydex Investors (purchased in late 2008). Had significant success in raising assets across most institutional strategies with large public funds, corporate plans, healthcare, foundations and other investors. Parent company was purchased on July 1, 2010, by Guggenheim Partners.

Head of US Trust Asset Management’s Institutional Sales and Consultant Relations Groups for U.S. Trust Company. As primary salesman/player-coach, focused nationally, with team, on growing assets in Domestic Equities(Large, Mid, Small Cap, Growth, Core and Value), International Equities, Emerging Markets, Alternative Investment Strategies(hedge funds, absolute return, Private Equity, and Real Estate funds) Fixed Income, Credit and other strategies with Endowments, Foundations, Pensions, Insurance Companies, Family Offices, FOHF's, and in other channels. Raised significant assets (roughly $4.3 billion) over tenure directly with institutional clients and developed many new, consultant relationships, leading to approvals, searches and wins. Asset growth came mainly from Domestic Equities, Alternative Investment and Absolute Return Strategies, International Equities/Emerging Markets, Frontier Markets, Fixed Income/Liability-Driven Investments/Credit, and Quantitative/Enhanced strategies, with a variety of investors. US Trust was purchased by Bank of America (Columbia Management) in July 2007.

Head of Sales and primary producer at this boutique equity firm that specialized in growth equity strategically across all market capitalizations (Small Cap, SMid Cap, Mid Cap, All Cap and Large Cap). Significant and widespread direct calling efforts, led to 100 new clients, and 16 new consultant relationships and helped increase the assets by over of the firm,from $4.6 billion to $15.7 billion roughly, over 4 + years.Success in marketing equity strategies to a variety of investors, allocators and consultants, led to significant new clients and the closing of several strategies at capacity, including Small-Cap, SMID-Cap Growth Equities.. Marketing of equities and funds was focused mainly on direct institutional investors, sub-advisors, and other investors/allocators, and resulted in substantial new business with endowments, foundations, corporate pensions, public funds, financial intermediaries, and others Worked closely as a client liaison with new clients-largely on the east coast. Firm was purchased by AMG partially and then more 3 years later , and was an affiliate. Focus by the firm in mid-2005 gravitated more towards client service, with significant new business wins over 4 years (100 new clients) with institutional investors primarily)..

Senior Institutional Regional Salesperson/Manager, with focus on marketingi to U.S. corporate pensions, public funds, endowments, foundations, insurance companies, and others, on the east coast-primarily,and other states. Sold Domestic Value Equities, (and Core or Dynamic Growth) of all market capitalizations, International Value/International Small Cap Equities, Emerging Markets, Fixed Income/Credit, and Alternatives , predominantly to direct institutional plans. Called on consultants on the East Coast, largely, in regional and primary offices.As producer, raised significant assets of over $4.5 billion, over 5+ years, with 119 new clients, l primarily serviced. Firm assets grew from $11.0 billion to over $60 billion, during tenure.

Marketed for 6 subsidiary investment managers on centralized team to institutional investors (public funds, corporates, endowments, foundations and insurance) and investment consultants for most of the East Coast, Mid-West, and Northwest states. Primarily sold Fixed Income, High Yield Bonds, MBS/ Commercial MBS , Domestic Active Value (Small and Mid-Cap) and Growth Equities, Quantitative/Enhanced Equity Strategies, and International Growth ans EM Strategies. Successful in marketing especially International Growth and Emerging Market Equities, Domestic Active and Quantitative Equities and FIxed Income. and EM Equities . New England Investment Companies (and Associates) was purchased later by Natixis.

Institutional Mortgage-Backed and Derivatives Salesman in the Taxable Fixed Income Division, focused on selling Mortgage-Backed Securities, Derivatives (CMO’s, IO’s PO’s etc), Asset Backed Securities, Options, Futures, and Corporate Bonds to Bank Portfolios, Insurance Companies, Money Managers, Mortgage Companies, Regional Banks, REIT's, and S&L's. Chosen to join new Mortgage-Backed/specialized desk with an exclusive new globally formed team, primarily on the East Coast, Mid-West, and part of the West Coast. Strong increase in new business/sales across territory and key clients for several years. Added 49 clients nationally over initial year(s),