I am the content creator and host of this show that explores the inner workings of the most sophisticated institutions in the industry. In each episode, we profile executives across operations, compliance, legal, finance, technology and other non-investment roles to better understand how the world’s most sophisticated investment institutions run their businesses. Whether you’re a current operator, an investor looking to start your own fund, or new to the game, this show has nuggets of wisdom for you.

Spruceview is the spinout of the team running JP Morgan’s Pension Plan. We built an amazing team and culture. Executive management responsibility for the operational, strategic, legal, tax, and technical processes to enable our firm to deliver meaningful investment results for our clients. Deep expertise in closing investment transactions across different governance structures and geographies including Mexico (CERPI) and Latin America. I am a utility infielder who can play most positions including sales, client service and contributing to the investment diligence process. I bring a team approach with a positive outlook to make the pie bigger for key stakeholders. I was accountable for Spruceview’s investment processes, governance, investment data systems, analytic applications, overall technology initiatives and manage select key client relationships. Spruceview was created from personal partnerships going back to my time at Founders Asset Management in the late 1990’s. After successfully growing two firms from the ground up, I downshifted with purpose in July 2022 to make space for the next chapter.

Member of the Client Advisory Board providing feedback to the executive team on various topics such firm product roadmap, feature prioritization and other related matters. Solovis was sold to Nasdaq in March 2020.

We created one of the first Endowment Funds following the “Swensen model” for small institutions looking to invest like the large endowments with liquidity. I played a lot positions during our growth. As a member of the founding team I had operational responsibility for Legal & Compliance, Enterprise Business Risk, Investor Relations, Manager Selection Business/Operational Due Diligence and Alternative Investment Structuring focused on tax. Starting a business from the ground up in the emerging OCIO space was an exciting time.

Member of PanAgora’s Management Committee which is responsible for designing its strategy and operating plan. Senior management role with primary responsibility for handling the firm’s enterprise risk and serving as a lead for our joint ventures with Putnam Investments and Nippon Life. Key responsibilities for the firm: enhancing and enforcing all firm compliance policies and procedures including AIMR-PPS compliance, structuring new investment products such as hedge funds, sub-advised mutual funds, common collective group trust for ERISA clients, Jersey Islands (UK) Umbrella Unit Trusts for the Japanese pension market, Collective Trusts for DB and DC Plans, as well as traditional separate account products.

Hired by the parent company to lead regulatory and operational enhancements to a high yield subsidiary already in the midst of an SEC Enforcement case. I provided a comprehensive assessment of the firm's compliance program and implemented new policies, procedures and training to the firm. Initiative led to assisting review of marketing/client service business process to enhance its marketing initiatives and strategic options for success.

Chief Compliance Officer for the Advisor and Founders Family of Mutual Funds, Institutional accounts and its Broker Dealer. This is the first place that I experienced what defined good culture and how we came together to solve problems.