Market Perspectives

GREGORY J. FLEMING

President & Chief Executive Officer

Gregory J. Fleming is the Chief Executive Officer of Rockefeller Capital Management, a role he has held since the firm, formerly known as Rockefeller & Co., launched in March 2018. He is also a member of the Board of Directors.

Prior to leading Rockefeller Capital Management, Greg was the President of Morgan Stanley Wealth Management and Morgan Stanley Investment Management. Before joining Morgan Stanley in 2010, he served as President and Chief Operating Officer of Merrill Lynch, from 2007 to 2009, and previously ran Merrill Lynch’s Global Investment Banking business. Greg joined Merrill Lynch as an investment banker in 1992. He had also been a principal at Booz Allen Hamilton.

He is a member of the Board of Advisors for the Yale Law School Center for the Study of Corporate Law; a member of the Council on Foreign Relations, a member of the Economic Club of New York and a trustee at Deerfield Academy. He also serves as a Resource Council member of the Turn 2 Foundation and serves on the Advisory Board of COVR, an innovative financial services startup. He frequently serves as a Visiting Lecturer in Law at Yale Law School.

Greg is a Phi Beta Kappa, summa cum laude graduate of Colgate University with a bachelor’s degree in Economics. He received his J.D. from Yale Law School.

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MICHAEL R. ARMONDO

Divisional Director, Rockefeller Global Family Office

Michael Armondo is a Managing Director for Rockefeller Capital Management and serves as the Divisional Director for the central United States. Michael joined Rockefeller in 2019 after 25 years at Merrill Lynch, where his latest assignment was as the Managing Director over the Greater Dallas Market.

Michael graduated from the United States Military Academy at West Point, where he played football, and obtained his M.B.A. from Heriot-Watt University in Edinburgh. He served in the United States Army as an Armor Officer after going to airborne school. At Merrill Lynch, he managed over 300 individuals and $36 billion in assets. Beginning as a Financial Advisor in San Antonio, Michael had various roles in leadership, including Resident Director, District Sales Manager, Director, and Managing Director. He was honored to be on the Board of the Merrill Lynch Trust Company of Texas, the Market Executive Strategic Committee, and the Chairman of the Director Advisory Council to Leadership. Michael currently holds his CFP® (Certified Financial Planner) and ChFC® (Chartered Financial Consultant) certifications.

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JAMES M. BEALE

National Business Development Director

James M. Beale is a Managing Director and National Business Development Director for Rockefeller Capital Management. He is a member of the firm’s Management Committee. James is responsible for developing and enhancing Rockefeller Capital Management’s Capital Markets capabilities. Additionally, James is focused on the constant development and enhancement of the Managed Platform.

James joined Rockefeller in April 2020 after 16 years at Merrill Lynch, where he was a Managing Director and Head of Capital Markets Sales within the Investor Solutions Group.

In prior roles at Merrill Lynch, James served as a Northeast Regional Director for Structured Investment Sales and held leadership positions in Equity Syndicate and Product Origination. Before joining Merrill Lynch in 2004, James started his career at Scudder Investments serving in both Origination and Distribution roles after concluding a professional hockey career in Europe and the U.S. James is an active advocate for victims of pediatric cancer and serves as a Trustee and Advisory Director on the board of The Arms Wide Open Childhood Cancer Foundation. A graduate of Wagner College, James holds his Series 7,24, 63 and 65 licenses.

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MICHAEL BRAKEY

Head of Strategic Client Solutions

Michael Brakey is Managing Director and the Head of Strategic Client Solutions for Rockefeller Capital Management which includes the Credit, Banking, Insurance, Annuity and Retirement businesses. Mr. Brakey also serves on the Rockefeller Capital Management Committee. Prior to joining Rockefeller, Mr. Brakey was a Managing Director at Morgan Stanley, which he joined in 2011 to help accelerate the firm’s banking growth strategy. At Morgan Stanley, he ran High Net Worth lending and led Private Banking Group strategy. Prior to joining Morgan Stanley, Mr. Brakey spent 17 years at Merrill Lynch, later Bank of America Merrill Lynch, where he finished as a Managing Director and Head of Global Wealth Credit Strategy and Investment Lending. Before that, he headed the Consumer Lending as well as the Global Securities-Based Lending businesses and ran the Business Financial Services Western Division.

Mr. Brakey began his career in the Corporate Lending unit of Bank One (now JPM) and is a Chartered Financial Analyst (CFA). Mr. Brakey received his MBA from the Cox School of Business at Southern Methodist University and his bachelor’s degree from the University of Texas at Austin.

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JIMMY C. CHANG, CFA®

Chief Investment Officer, Rockefeller Global Family Office

Jimmy C. Chang, CFA®, is the Chief Investment Officer of the Rockefeller Global Family Office. He is a member of the firm’s Management Committee and is a Chartered Financial Analyst®.

Jimmy has spent more than 19 years with Rockefeller. Prior to becoming the Chief Investment Officer in 2020, Jimmy was the Chief Investment Strategist and a Senior Portfolio Manager at Rockefeller Asset Management, where he co-managed several equity strategies and had oversight of the Fixed Income group.

Before joining Rockefeller in 2004, Jimmy was a Senior Vice President, Chief Technology Strategist, and Senior Technology Analyst at the U.S. Trust Company of New York, where he led technology equity research and co-managed a technology fund. He previously served as a Senior Marketing Representative and an Advisory Systems Engineer at International Business Machines Corporation (IBM) from 1985 to 1994, where he was responsible for client relationship management, business volume, and profit attainments at major international financial services and banking accounts.

Jimmy earned an M.B.A. in Finance/International Business from New York University and a B.S. (summa cum laude) in Electrical Engineering from The Cooper Union.

He is a member of the Tau Beta Pi National Engineering Honor Society. He chairs the Investment Committee of the Foundation for Contemporary Arts.

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CASEY C. CLARK, CFA®

President of Rockefeller Asset Management and Chief Investment Officer

Casey C. Clark, CFA, is President and Chief Investment Officer of Rockefeller Asset Management. Mr. Clark is responsible for overseeing Rockefeller’s efforts to maximize alpha and positive outcomes by executing across four strategic pillars: Investments, Distribution, Operations, and Opportunities. He is also a member of RCM’s Management Committee. Prior to joining Rockefeller in 2019, Mr. Clark was Managing Director and Director of Sustainable and Impact Investing at Glenmede, where he helped launch and build Glenmede’s sustainable and impact investing business.

Mr. Clark has authored numerous investment and sustainability-related publications and is often featured in print and broadcast media segments. He is a graduate of Pennsylvania State University, received his MBA from the Stern School of Business at New York University and retains the Charter Financial Analyst® designation. Mr. Clark is also an Advisor to New York University Stern’s Center for Sustainable Business.

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NATHAN D. CRAIR

Divisional Director, Rockefeller Global Family Office

Nathan is a Managing Director and Leader of the Southwest Division for Rockefeller Capital Management. In this role, he plays a vital part in building and managing the Wealth Management business for Rockefeller Capital throughout the Southwest region. He opened the first Southwest hub in Los Angeles in September 2019.

Prior to joining Rockefeller Capital Management, Nathan served as Managing Director, Market Executive of the West LA Market, for over 14 years with Merrill Lynch. His Market had more than 220 Financial Advisors who collectively were entrusted with over $30 billion in total assets and liabilities, making it one of the largest markets in the firm. With over 30 years in the industry, Nathan provides a wealth of experience and skills in helping his Financial Advisors and their clients. His prior experience as a Financial Advisor has given Nathan a unique insight into the needs of both clients and employees alike. For many years, Nathan has been recognized for success in helping Financial Advisors grow their practice and recruiting the best Financial Advisors from the competition.
Before joining Merrill Lynch in 2004, he held various positions with Prudential Securities and Wachovia Securities.

Nathan graduated from U.C Berkeley, and he now resides in Pacific Palisades with his wife Daniela and their daughter Izabella. He also has two grown sons Jordan and Kyle, who are now out of the house. Nathan enjoys participating in endurance sports such as cycling and running and has completed 22 marathons and various Triathlons to date. With a desire to shift his passion for running in a more philanthropic direction, Nathan became involved with Students Run LA, a non-profit organization working with at-risk secondary students, where he now serves on the Board.

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CHLOE DUANSHI, CFA®

Head of Investment Research & Strategy, Rockefeller Global Family Office

Chloe Duanshi is a Managing Director and the Head of Investment Research & Strategy for the Rockefeller Global Family Office. She is a member of the firm’s Management Committee.

As the Head of Investment Research & Strategy, Chloe is responsible for developing broad capital market outlook across asset classes as well as designing strategic and tactical asset allocation guidance for the Rockefeller Global Family Office. Chloe is also focused on working with clients to construct bespoke, institutional-caliber portfolios with traditional and alternative investment solutions, utilizing proprietary portfolio construction techniques that seek to identify and capture a diversified collection of unique, fundamental return drivers.

Before joining Rockefeller, Chloe was a cross-asset strategist at Morgan Stanley, where she specialized in asset allocation and portfolio construction for ultra-high net worth individuals, single family offices, endowments, and foundations. Prior to that, Chloe spent a number of years at BNP Paribas in equities and commodities derivatives.

Chloe received her B.S. degree, magna cum laude, from the Sibley School of Mechanical & Aerospace Engineering at Cornell University and M.A. degree in Mathematics from Columbia University. Chloe is a CFA® charterholder.

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CHRISTOPHER DUPUY

Co-President, Rockefeller Global Family Office

Chris Dupuy is Co-President of the Rockefeller Global Family Office. Prior to this role, Chris was the National Field Director for Private Wealth Management. He is also a member of the firm’s Management Committee.

Chris joined Rockefeller in 2018 from Focus Financial Partners, where he was a Managing Director and President of Focus Independence.

Prior to joining Focus in 2014, Dupuy spent 29 years with Merrill Lynch. Beginning as a Financial Advisor in the 1980s, Chris rose to senior leadership roles at Merrill Lynch, including National Sales Manager for Merrill’s 700 branches in the United States and Latin America. Chris would go on to become Chief Operating Officer of Merrill Lynch’s Americas Bank Group, Managing Director of the Merrill Lynch Global Investment Solutions businesses worldwide, and concluded his time at Merrill Lynch overseeing the firm’s Private Banking, International Private Client, and Wealth Management business units in California and throughout the Pacific Northwest.

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LAURA K. ESPOSITO

Head of the Enterprise Client Coverage Group

Laura K. Esposito is a Managing Director and Head of the Enterprise Client Coverage Group at Rockefeller Capital Management. She is also a member of the firm’s Management Committee. Laura initially joined the organization in May 2018 as Head of Rockefeller Asset Management’s Institutional and Intermediary Sales and Marketing Team.

Prior to joining Rockefeller, Laura served as co-head of global sales and marketing at TT International. She previously worked at First Eagle Investment Management, covering North American and European institutional investors and consultants. She also held various roles in institutional distribution at Goldman Sachs Asset Management and Lord Abbett. Laura started her career in the industry in 1998 and now has more than 24 years of experience.

She earned a B.S. from the Villanova School of Business and is a member of the Advisory Council for the Anne Welsh McNulty Institute for Women’s Leadership at Villanova University.

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WILLIAM "BILLY" FENRICH

General Counsel

William “Billy” Fenrich is the General Counsel of Rockefeller Capital Management. He is a member of the firm’s Management Committee.

Prior to joining Rockefeller, Fenrich was the Chief Legal Officer at AQR Capital Management and a member of the firm’s Operating Committee. Previously, Fenrich was the Global Chief Compliance Officer for Morgan Stanley and a member of the firm’s Management and Risk Committees. Fenrich also served as General Counsel and Chief Operating Officer of Point State Capital, from its 2010 spin-out from Duquesne Capital until 2014. He started his career at Davis Polk & Wardwell in 1999 and was named partner in 2005.

He completed his undergraduate degree at the University of Pennsylvania and received his J.D., magna cum laude, Order of the Coif, from Fordham University School of Law. He clerked for the Honorable Thomas J. Meskill of the United States Court of Appeals for the Second Circuit, from 1998 to 1999, and for the Honorable Loretta A. Preska of the United States District Court for the Southern District of New York, from 1997 to 1998.

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MICHAEL GAAB

Chief Human Capital Officer

Michael Gaab is the Chief Human Capital Officer of Rockefeller Capital Management. He is a member of the firm’s Management Committee.

In his role, Michael is responsible for driving key organizational priorities across all areas of Human Capital, including total rewards, talent acquisition, employee development, and HR technology. Michael joined Rockefeller in November 2018 as the Head of Compensation & Benefits.

Prior to Rockefeller, Michael spent eight years working as a compensation leader at BNY Mellon where he partnered with executive leaders to create and implement global reward strategies. Most recently before joining Rockefeller, Michael was the Head of Compensation for BNY Mellon’s Wealth Management business, which managed over $230B in client assets and had over 2,000 employees.

Michael earned his undergraduate degree in business administration from the Georgetown University McDonough School of Business.

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DAVID P. HARRIS, CFA®

Chairman of Rockefeller Asset Management, Senior Portfolio Manager

David Harris, CFA, is Chairman and Senior Portfolio Manager of Rockefeller Asset Management. He is a member of the RCM and RAM Management Committees and holds more than 28 years’ experience with Rockefeller. Mr. Harris was Chief Investment Officer from 2005 through 2021 and President of Asset Management from 2018 – 2021. He was the firm’s Director of Equity Management from 2003 to 2005. Mr. Harris also served as portfolio manager for non-U.S. and emerging market equity funds at Stein Roe & Farnham in the 1990s.

Mr. Harris Chairs the Board of Trustees of SBH Health System and serves on the Board of Directors of Quarry Underwriting Assurance Limited and Affiliates Risk Management Services, Inc. Mr. Harris received his B.A. in Economics from the University of Michigan, an M.B.A. with distinction from Cornell University and is a Chartered Financial Analyst® charter holder.

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JACKIE KLABER

Head of Opportunistic Investing

Jackie C. Klaber is a Managing Director and the Head of Opportunistic Investing at Rockefeller Capital Management. She is a member of the Management Committee, the New Products Committee, the Manager Selection Committee, and the Rockefeller Capital NextGen Leadership Council. Jackie is responsible for sourcing and structuring differentiated alternative investment opportunities for the firm’s clients.

Jackie previously worked at Goldman Sachs & Co. in the Alternative Investments & Manager Selection division, where she was responsible for sourcing and diligencing a range of alternative investments over time, including in hedge funds, private equity, and credit. Jackie also served as a Business Unit Manager and as a Member of the Data Science Committee.

From 2012-2014, Jackie worked at Citigroup with the management team of the Investment Banking division. Prior to these roles, she graduated from Yale Law School / Yale School of Management, where she completed a J.D./M.B.A. and served as an editor of The Yale Law Journal. She has experience at the U.S. Department of the Treasury, Covington & Burling LLP, and the Yale Investments Office.

Jackie received a bachelor’s degree from Yale College and a master’s degree from Columbia University. She is a member of the New York State Bar Association and the Brookings Council as well as a Term Member at the Council on Foreign Relations. She serves on the Board of the Yale Law School Fund.

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ERIC KONIGSBERG

Chief Operating Officer, Rockefeller Asset Management

Eric Konigsberg is the Chief Operating Officer of Rockefeller Asset Management.

Eric has more than 22 years of experience in the financial industry, holding positions in investments, risk and technology throughout his career. Prior to joining Rockefeller, Eric was the Deputy Chief Investment Officer at Fiera Capital Inc, the US division of Fiera Capital Corp. While at Fiera he oversaw front-office technology implementation, FX hedging strategies, investment risk management and trading process improvement. In addition, Eric was also involved with investment strategy, quantitative risk reporting, product development/implementation, as well as manager and acquisition due diligence. During his time at Fiera, Eric co-led the buildout of the operating model for Fiera's US Private Wealth business. Previously, Eric was the Chief Risk Officer at Larch Lane Advisors LLC, an alternative investments advisor that focuses on fund-of-hedge fund, liquid alternatives and hedge fund seeding products, and as a Vice President in the Risk Management and Quantitative Research Group at Ivy Asset Management. Eric started his career as a database and application developer at Bond Technologies, a technology consulting firm.

Eric completed his undergraduate degree at the University of Pennsylvania, with a BA in economics, and received his M.B.A. at New York University’s Leonard Stern School of Business. Eric holds the certified Professional Risk Manager certification by PRMIA, the Financial Risk Manager certification by GARP, the Chartered Alternative Investment Analyst Certification by CAIA and the Certified Product Manager certification by AIPMM.

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JOSEPH MARTELLA

Head of Technology Support & Services

Joe Martella joined Rockefeller Capital Management in February of 2020. He is a member of the Firm's Management Committee. He brings with him 30+ years of experience in senior management positions in Enterprise Technology and Global Wealth Management organizations for Wall Street firms including Morgan Stanley (6 years), Bank of America Merrill Lynch (17 years), Bankers Trust Company (7 years) American Express, and Paine Webber. Joe has a long history of managing engineering, integration and support organizations across the entire landscape of infrastructure technology and services and has led groups responsible for numerous distributed technologies including desktop and server hardware, Windows/Linux/Unix operating systems, build automation, storage, data and voice networking, market data, video, collaboration, directory services and cloud infrastructure.

Joe is currently a Managing Director in Rockefeller Capital Management Technology organization where he has responsibility for implementation and support of end user technology solutions including Service Desk, Client Support, cloud applications and services, operating systems, hardware, data protection, remote access, build automation, identity services and authentication, operating system and application virtualization, remote access, mobile solutions for all RCM businesses.

Joe holds a BA in Corporate Finance from Baruch College in New York. He is a native of Brooklyn, NY and currently resides in Florence Township, NJ.

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ASHLEY MCCARTHY

Deputy General Counsel

Ashley McCarthy is Deputy General Counsel of Rockefeller Capital Management. She is a member of the firm’s Management Committee.

Prior to joining Rockefeller, Ashley was in private practice, most recently as a partner at McDermott Will & Emery, where she specialized in executive compensation. Ashley also worked as an associate in the Executive Compensation Practice Group of Kirkland & Ellis, where her practice focused primarily on the executive compensation aspects of public and private mergers and acquisitions.

Ashley received a B.A. in Political Science from Columbia University and a J.D. from Cornell Law School.

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JOHN "CHIP" MONTGOMERY

President, Rockefeller Asset Management International

John “Chip” Montgomery is President of Rockefeller Asset Management International. He is responsible for providing strategic leadership across non-US regions including the UK, Europe, and Asia, and delivering on the group’s long-term plans, including opening a London-based international distribution hub, oversight of the London office and regulatory affairs. In this role, Mr. Montgomery also oversees the firm’s non-US distribution and development of strategic partnerships with global financial institutions across the U.K., Europe, and Asia. Mr. Montgomery was formerly the Head of Business Strategy and Corporate Development efforts across Rockefeller Asset Management. He was responsible for developing global strategy, focused on the expansion of products and territories through inorganic and organic growth initiatives. Upon joining Rockefeller in January 2018, Mr. Montgomery was responsible for oversight and development of global intermediaries, sub-advisory partners, and European asset owners.

Prior to joining Rockefeller, Mr. Montgomery served as Head of Business Development at Cross Stone Capital, a credit hedge fund. Earlier in his career, Mr. Montgomery was a Managing Director and Global Senior Relationship Manager at Bank of America Merrill Lynch’s Global Banking & Markets division. In his role, he was responsible for key institutional client relationships, including traditional and alternative asset managers, universal banks, sovereign wealth funds, and GSEs. Mr. Montgomery has also held senior roles at financial institutions such as Société Générale, UBS, and Paine Webber within capital markets. Mr. Montgomery received a B.S. in business administration from Skidmore College.

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EDMOND N. MORIARTY III

Executive Vice President & Chief Operating Officer

Edmond N. Moriarty is the Executive Vice President & Chief Operating Officer for Rockefeller Capital Management. Prior to his current role, Ed served as Chief Financial Officer and Chief Risk Officer for the firm. He is a member of the firm’s Management Committee.

Previously, Ed served as the Head of Merchant Banking & Real Estate Investing, Alternative Investment Partners (AIP), and Managed Futures at Morgan Stanley, managing in aggregate $77 billion of assets across a variety of alternative strategies and products. Before that, he was the Chief Operating Officer of Investment Management at Morgan Stanley. He was also a member of Morgan Stanley’s Management Committee, Firm-Wide Risk Committee, Asset/Liability Management Committee, and Global Franchise Committee.

Before joining Morgan Stanley, Ed worked for Merrill Lynch & Co., where he finished as a Senior Vice President and Co-Chief Risk Officer and was selected to join the senior transition leadership team for the merger of Merrill Lynch & Co. and Bank of America Corp. At Merrill, he held a variety of leadership roles in investment banking, capital markets, and risk management. He initially joined Merrill Lynch & Co. as an investment banker in 1987.

He received his bachelor’s degree from Hamilton College and his M.B.A. from the Darden School of Business at the University of Virginia.

Ed is Chairman of the Board of Trustees of Elon University. He was formerly Vice Chairman of the Board of Trustees of the Gill St. Bernard’s School and a trustee of Homeless Solutions, Inc., a nonprofit based in Morristown, N.J.

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ELIZABETH P. MUNSON

Senior Private Advisor & Fiduciary Specialist

Elizabeth “Liz” Munson serves as a Managing Director and Senior Private Advisor & Fiduciary Specialist in the Rockefeller Global Family Office. She is a member of the firm's Management Committee. She specializes in advising high-net-worth individuals and families, particularly in trust and estate planning and philanthropic matters.

Prior to joining Rockefeller, Liz was a partner in White & Case’s Private Clients Group, where she practiced from 1983 to 2001. In her law career, she focused on providing tax and estate planning for high-net-worth families, foundations, endowments, and nonprofit organizations. She also advised the Private Clients Group at several leading banking institutions.

Liz earned a bachelor’s degree from Yale College, a J.D. from Harvard Law School, and an LL.M. in taxation from New York University School of Law.

She is highly involved in serving several nonprofit organizations, including as a Director and former Board Chair of Lenox Hill Neighborhood House; Vice President and Secretary of Sheltering Arms Children and Family Services; Secretary of the Cancer Schmancer Foundation; Director of The 1921 Institute; and a Director of Stichting to Promote Women’s World Banking. For over 20 years, she served as a Director of various REITs advised by W.P. Carey & Co, LLC.

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TIMOTHY D. O’HARA

Co-President, Rockefeller Global Family Office

Timothy D. O’Hara is Co-President of the Rockefeller Global Family Office. He is a member of the firm’s Management Committee.

In his role, Tim partners with Private Advisers in the coverage of ultra-high-net-worth clients and prospective clients through an expansive offering of investment, tax and estate planning, strategic advisory, and trustee services, as well as strategic partnerships providing risk management and lifestyle advisory services. Tim is a leader in driving growth in this client segment and also serves as the firm’s senior-most relationship manager with members of the Rockefeller Family. He also focuses on opportunities to bring RIAs and Private Advisors into the firm.

Prior to joining Rockefeller in 2018, Tim was President and CEO of Ayco, joining in 1996 as a client advisor in the Ayco Family Office. At the company, he had served as Head of the Ayco Family Office and Executive Vice President of the Asset Management, Insurance, and Finance divisions.

Tim earned his bachelor’s degree in Accounting from Le Moyne College and his J.D. from Albany Law School. He is a Certified Public Accountant.

Tim serves as a Trustee of Albany Law School, a member of the Board of Advisors of Madden School of Business at Le Moyne College, an advisor of GCM Ventures, LLC, and a member of the Board of GreenSlate. Tim is also a Leaders Council Member of The UHNW Institute.

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MICHAEL OUTLAW

National Field Director, Rockefeller Global Family Office

Michael Outlaw is the National Field Director of the Rockefeller Global Family Office. In this role, Michael oversees the growth and service offerings for Rockefeller clients and advisors. Michael served as Divisional Director of Private Wealth Management for Rockefeller Capital Management from 2018 through 2021. He is also a member of the firm’s Management Committee.

Prior to joining Rockefeller, Mr. Outlaw joined from Morgan Stanley. Michael’s career at Morgan Stanley started in 1996 as a Private Wealth Advisor, as well as, a variety of other senior roles at the firm. Mr. Outlaw was promoted to Southeastern Head of Private Wealth Management in Atlanta, GA from 2011-2018.

Michael earned his MBA from the University of South Carolina. He is married to Laura Outlaw and has two sons, George and Parker. Michael is an Ambassador for the Congaree Golf Foundation.

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MICHAEL PARKER

Head of Advisor Productivity

Michael is a senior executive with 28 years of experience and success in financial services. His areas of expertise include, strategic growth, business development, relationship management, marketing and public relations. Prior to joining Rockefeller, Michael led the RBC Wealth Management – U.S. recruiting efforts. He was responsible for the overall strategy for the RBC field managers across the country.

Previously, Michael served as the executive vice president and chief development officer with Hightower Advisors. In this role, he was responsible for driving organic and inorganic revenue growth for the organization, successfully leading the firm to Top 5 ranking within the industry in new business development/recruiting results for six consecutive years; industry-leading performance in organic growth; and listings in the Inc. Magazine 5000 as a fastest-growing company for five consecutive years.

Prior to Hightower Advisors, Michael was tenured with Citi Group/Smith Barney holding the positions of financial advisor and senior vice president of wealth management. In 2020, Michael and his father authored the book, Positive Influence, “Helping People Become Their Best Self.”

Michael has been a featured writer for wealthmanagement.com where he has authored more than a dozen articles including, Role Clarity Plus Accountability Equals Results; What Did You Learn? On Wealth Management Leadership; The Right People with The Right Stuff; What Gets Measured, What Gets Done; Are You Willing to Sacrifice Growth?; Be The Buyer; Why You?; It’s The Culture Stupid; Scrap the Strategic Planning Meetings, Just Tell a Great Story.

In 2015, Michael created and authored Blueprint for Growth, an industry award winning practice management program recognized by wealthmanagement.com. Michael earned an MBA from the Sawyer School of Business at Suffolk University in Boston.

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JIM RATIGAN

Co-President, Rockefeller Strategic Advisory

Jim Ratigan is a Managing Director and Co-President of Rockefeller Strategic Advisory. He is a member of the firm’s Management Committee.

In his role, Jim is a strategic adviser to senior executives and Boards of Directors of private and public businesses as well as acting as adviser and counselor to family owned businesses. In addition to his advisory work, Jim serves as a Managing Partner within the Executive Leadership Committee for Strategic Advisory, a group responsible for managing the day-to-day operations of Strategic Advisory and developing the longer-term strategic direction for the business.

Prior to joining Rockefeller, Jim served as a Senior Managing Director and Head of Mergers and Acquisitions (M&A) at SVB Leerink. He spent the first eighteen years of his career in the M&A group at Merrill Lynch before joining Deutsche Bank, where he was a member of the Global M&A Leadership team, serving as a Senior Managing Director and Head of Americas M&A.

Jim holds a Bachelor’s degree in Economics from Brown University.

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JASON RICH

Chief Operating Officer, Rockefeller Global Family Office

Jason Rich is Managing Director and Chief Operating Officer for Rockefeller Global Family Office at Rockefeller Capital Management. He is a member of the firm’s Management Committee. Prior to joining Rockefeller, Jason spent 17 years at Merrill Lynch, with responsibility over that time as Head of Advisor Acquisition & Business Enablement, National Sales Manager, and Chief Operating Officer of the Private Banking and Investment Group. He served as Head of Practice Management and Southeast Regional Sales Manager for Credit Suisse Private Banking and began his career with Deloitte & Touche LLP, in their Financial Services Practice.

Jason holds the CFA© designation and received his Certified Public Accountant license. He is published in Advances in Quantitative Analysis of Finance and Accounting. He received his M.B.A. from the Rutgers Graduate School of Management and a Bachelor of Science degree in Accounting from Rutgers University. He is an ultra-marathon runner and professional musician.

Jason lives with his wife and two children in Bedminster, N.J.

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BRIAN RILEY

Divisional Director, Rockefeller Global Family Office

Brian Riley is the Head of Rockefeller's San Francisco Office and Managing Director of its Pacific Northwest Division of the Rockefeller Global Family Office. In this role, Brian is responsible for leading and expanding Rockefeller’s business and stable of elite Private Wealth Advisor teams in the Pacific Northwest.

Prior to Rockefeller, Brian most recently served as the Executive Vice President on the Private Wealth Management team at First Republic Bank. In this role, he led the strategy to position First Republic Wealth Management as a boutique investment firm catering to high net worth individuals and nearly tripled the assets under management in four years.

Prior to First Republic, Brian spent 19 years with Merrill Lynch. He began his career there as a Financial Advisor in Baltimore, Maryland and went into management full time in 2001. He held a variety of leadership positions at Merrill Lynch, including running the largest branch office in the firm and serving as a Regional Managing Director for the Private Bank, catering to the firm’s ultra-high net worth clients. While with Merrill Lynch, Brian also oversaw the West Coast operations for the Corporate Services, Venture Services, and Asian focused wealth management unit.

Brian received his undergraduate degree from Boston University and holds an Advanced Management Degree from Harvard Business School.

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JOSEPH D. ROBERTS

Divisional Director, Rockefeller Global Family Office

Joseph Roberts is a Managing Director and Divisional Director for the new North Atlantic Division of the Rockefeller Global Family Office. He is a member of the firm’s Management Committee.

Prior to joining Rockefeller Capital, Joe worked for Zeke Capital, a National Multi-Family Office, and Abbot Downing, Wells Fargo’s Family Office. Joe started his career at PricewaterhouseCoopers in the Private Financial Services Consulting Group. Joe has spent his career advising families of unique wealth on their financial needs, including fiduciary administration, tax, wealth transfer, and risk mitigation. Joe is a member of the State Bars of Pennsylvania and New Jersey as well as the Tax Section of the American Bar Association.

Joe earned a J.D. and Masters in Taxation from Villanova University and B.A. from the University of South Florida.

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JACK RYAN

Chief Administrative Officer

Jack Ryan is the Chief Administrative Officer of Rockefeller Capital Management and a member of the firm’s Management Committee. He is a global leader with over 30 years of human capital and operations experience and joined Rockefeller in 2018 from General Electric. At GE, Jack was responsible for the firm’s executive and leadership development programs, including succession planning, diversity, and leading the world-renowned Crotonville Leadership Development Institute, in addition to all global learning operations. For the six years prior, he was the top human capital leader for GE’s financial services business – GE Capital. He also spent 20 years in GE’s industrial businesses leading global teams. Jack is a graduate of General Electric’s Human Resources Management Program and has a bachelor’s degree from Cornell University. Jack holds his Series 7, 24, and 66 licenses.

Jack currently serves on the Board of Directors of Auburn Seminary – a leading multi-faith social justice organization and is a member of the Board of Advisors for the Love School of Business at Elon University. He has been actively engaged in the community throughout his career with a focus on youth development, formerly serving on the Board of Directors for the Boys & Girls Clubs of Boston, the Carver Community Center in Norwalk, Connecticut, and Bridges for a Just Community in Cincinnati, Ohio.

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ALISON SCHACHTER

Chief Financial Officer

Alison Schachter is the Chief Financial Officer of Rockefeller Capital Management. Prior to her current role, Alison served as Corporate Controller and earlier as Head of Financial Planning & Analysis for the firm. She is a member of the firm’s Management Committee.

Prior to joining Rockefeller, Alison was the Chief Financial Officer for the Management Company at Chilton Investment Company and Chilton Trust. While at Chilton she held responsibility for the finance, accounting, and tax compliance functions of the firm. Prior to Chilton, Alison held accounting and finance leadership roles at FrontPoint Partners, Morgan Stanley, and Gartmore Global Investments. She received her bachelor’s degree in Accounting from Binghamton University and her Masters of Business Administration from Mercer University. Alison is a Certified Public Accountant.

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JEFFREY SHAMES

Senior Strategy Advisor

Jeffrey Shames is the Senior Strategy Advisor of Rockefeller Capital Management, where he helps drive firm-wide growth strategy. He is a member of the firm’s Management Committee.

Previously, Jeff was the Chairman and CEO of MFS Investment Management and served on the Board of Trustees of the MFS Funds. He joined MFS in 1983 as an industry analyst, then became a portfolio manager, Chief Equity Officer, President, and board member. He retired as CEO in 2002 and as Chairman in 2004.

Jeff was a senior advisor to Morgan Stanley from 2010 to 2013, responsible for advising the President of Investment Management and Morgan Stanley Smith Barney Wealth Management.

Jeff earned his bachelor’s degree from Wesleyan University and his M.B.A. from the MIT Sloan School of Management. In between college and graduate school, he served as a U.S. Peace Corps volunteer and with the U.S. Department of Agriculture.

He is an Executive in Residence at the MIT Sloan School of Management, lecturing in finance, leadership, and global health management, and serving as a member of the Advisory Boards of the MIT Sloan School of Management, MIT Master’s of Finance Program, and MIT Leadership Center.

Jeff is a member of the Boards of Trustees of the X Prize Foundation, City Year, Summer Search, Tufts Medical Center, and the Berklee College of Music. He also serves on the boards of several startups.

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AVERY SHEFFIELD

VantageRock Co-Founder & CIO, Senior Portfolio Manager

Avery Sheffield is a Managing Director and Co-Founder, Chief Investment Officer & Senior Portfolio Manager of VantageRock, a long/short equity hedge fund within Rockefeller Asset Management. Prior to joining Rockefeller in 2020, she was a Portfolio Manager at MSD Capital, a private investment firm that manages the capital of Michael Dell and his family. Before MSD Capital, Ms. Sheffield spent over 6 years at Brandywine Global, where she most recently was the Portfolio Manager of the 30th Street Fund, a long/short equity hedge fund, and was also a Senior Equity Analyst on the US Large Cap Value Fund. She began her investment career as a Senior Research Associate on the US Hardlines Retail Team at Sanford Bernstein. Ms. Sheffield previously worked primarily in the wireless industry in Silicon Valley. She received a B.A. in Neuroscience from Pomona College where she graduated summa cum laude, and an M.B.A from the Wharton School where she graduated as a Palmer Scholar (top 5% of the class).

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SHARATH SHETTY

Chief Operating Officer, Strategic Advisory

Sharath Shetty is a Managing Director and Chief Operating Officer of Strategic Advisory, responsible for leading the Strategic Advisory execution activities of Rockefeller Capital Management. He is a member of the firm’s Management Committee.

Prior to joining Rockefeller in March 2018, Mr. Shetty served as an investment banker at UBS, where he led strategic advisory assignments including mergers, acquisitions, divestitures, and capital markets transactions for clients in the financial services sector. Previously, Mr. Shetty spent 8 years combined at Merrill Lynch and Bank of America Merrill Lynch in the Global Financial Institutions Investment Banking group. Prior to investment banking, Mr. Shetty worked in consulting and operational roles in the financial services industry.

Mr. Shetty earned an M.B.A. in Finance (with Honors) from the Wharton School at the University of Pennsylvania, a Master of Science degree in Engineering from the Massachusetts Institute of Technology, and a Bachelor’s degree in Engineering from the Indian Institute of Technology.

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SATISH SHIKHARE

Head of Strategic Platform Management

Satish Shikhare is responsible for collaborating closely with Private Wealth Advisors and their teams to implement wealth management solutions to simplify personalized planning, advice, implementation, and monitoring. He is a member of the Firm's Management Committee.

Satish joined the financial services industry at the dawn of dot com era in 1996 at Merrill Lynch and was responsible for architectural framework of Merrill Lynch Online. Driven by the thrill of working with high quality colleagues focused on advising clients through their financial roadmaps, he adopted the role of using technology to simplify and automate advice and implementation processes. He worked on launching fee-based products such as Unified Managed Account. Satish joined Morgan Stanley in 2014 to lead the technology platform for planning and advisory solutions. His team launched a new planning platform along with holistic advice implementation solutions.

Since joining Rockefeller Capital Management in 2019, Satish has collaborated closely with Private Wealth Advisors to transition their practice to RCM and to deliver highly personalized client solutions across their critical life goals by employing diverse strategies across multiple financial products.

Satish has MS in Computer Science from University of Alabama in Huntsville, and Bachelor of Engineering in Digital Electronics from University of Bombay.

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PATRICIA "TRISH" SOLFARO

Chief Compliance Officer

Patricia Solfaro is a Managing Director and Chief Compliance Officer of Rockefeller Capital Management. She is also a member of the firm’s Management Committee.

Prior to joining Rockefeller, Solfaro was the General Counsel for the parent company to a Network of Independent Broker Dealers as well as serving on the firm’s Executive Committee. Previously, Solfaro was the Head of Wealth and Investment Management Compliance at Barclays and Credit Suisse and served as the Head of Private Banking Litigation while at Credit Suisse. She has provided legal and compliance counsel to a variety of other financial institutions throughout her 20+ year career, both in her own compliance consulting practice and in private legal practice.

Patricia started her career as a law clerk to the Honorable William M. D’Annunzio of the N.J. Appellate Division in 1998 upon graduation from Seton Hall University School of Law.

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BRETT THELANDER

Divisional Director, Rockefeller Global Family Office

Brett Thelander is the Divisional Director for the Rockefeller Global Family Office in the Midwest where he leads the continued growth of our current locations as well as our strategic expansion into new markets. He is a member of the firm’s Management Committee.

Prior to joining Rockefeller, Brett worked at Merrill Lynch where he served as Regional Managing Director for the Mid-America Market of the Private Banking and Investment Group. Brett began his industry career as a financial advisor, and later moved into management where his executive positions included director of sales complexes in Oklahoma and Ohio, and regional head of the wealth management business in Southern California and the Midwest. Brett is widely respected across our industry as a skilled executive with an impressive track record of building and leading client-focused, principled, and entrepreneurial teams and organizations.

Brett earned his Master of Business Administration degree from the University of Colorado.

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GRACE YOON

Head of Strategic Partnerships & Community Impact

Grace Yoon is Head of Strategic Partnerships & Community Impact at Rockefeller Capital Management. She is a member of the firm's Management Committee. As Head of Strategic Partnerships & Community Impact for the firm, Grace is responsible for deepening client relationships and elevating client engagement for the Rockefeller Global Family Office. In this role, Grace is focused on enhancing the overall client experience, including engagement with women and next generation family members, and advising families on Financial Education, Lifestyle & Impact advisory solutions for clients. She is also responsible for curating and managing key relationships with strategic partners and is Chair of the Rockefeller Next Gen Advisory Council. Prior to her current role, Grace was Head of Business Development & Strategic Partnerships, and previously Chief Marketing Officer for the firm. Grace joined Rockefeller in March 2018 as Chief Operating Officer of Strategic Advisory and Head of Strategic Initiatives. Before joining Rockefeller, Grace was a Managing Director at Morgan Stanley, leading a group responsible for delivering "One Firm" to the firm's institutional and investment banking clients. Prior to that, Grace spent a number of years at Bank of America Merrill Lynch in investment banking and equity capital markets and was a Director in Investor Relations for Merrill Lynch during the financial crisis. Grace earned a B.A. in Economics from Brown University, an M.B.A. in Finance from the Leonard N. Stern School of Business at New York University, and is a graduate from Phillips Exeter Academy. She is an inaugural member of Phillips Exeter Academy Women’s Leadership Circle and is a volunteer instructor for Girls Who Code. Grace was recognized in Crain's Notable Women in Financial Advice in 2020, and in Crain’s inaugural Notable Diverse Leaders in Banking and Finance in 2022.

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CHRISTOPHER J. RANDAZZO

Special Advisor to the CEO

Christopher Randazzo is the Co-Founder and Managing Partner of the Technology Ventures Group within Rockefeller Asset Management. Chris serves as the chairman of the Investment Committee for the Technology Ventures Group and is also a senior advisor to the CEO of Rockefeller Capital Management.

Chris was previously President of Private Wealth Management and Head of Technology and Operations for Rockefeller Capital Management.

Prior to joining Rockefeller Capital Management, Randazzo was CIO of Morgan Stanley and Head of Institutional Wealth Management. Prior to that, Randazzo was CIO of Merrill Lynch Global Wealth and Asset Management. Chris joined Merrill Lynch in 1994 in Government & Repo Trading Technology and has held a series of senior technology leadership positions during his 19 years with the company. Prior to his appointment as CTO of Global Wealth Management in June 2008, Randazzo was Chief Technology Officer for the Merrill Lynch Global Bank, and head of technology for the Merrill Lynch Trust business and the Advisory and Services groups within Global Wealth Management. Randazzo has also held positions in Global Markets and Investment Banking Operations and Global Derivative Systems. During his tenure with Merrill Lynch, Randazzo has also led the technology component of a number of strategic corporate initiatives including the acquisitions of First Republic Bank and Advest, and the divestitures of ML Capital and Merrill Lynch’s International Wealth Management business.

Chris is a board member of NinthWave, KelvinZero and LeapXpert. Chris is also senior advisor of Portage Ventures.

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JOHN J. BRENNAN

Board Member

John J. Brennan is chairman emeritus and senior advisor of Vanguard, one of the world’s largest investment companies. Headquartered in Malvern, Pennsylvania, Vanguard currently has more than $4 trillion in assets under management. Mr. Brennan joined Vanguard in July 1982. He was elected president in 1989, served as chief executive officer from 1996 to 2008, and served as chairman of the board from 1998 to 2009.

He is a director of Guardian Life Insurance Company of America, American Express Company, and Rockefeller Capital Management; chairman of the board of trustees of the University of Notre Dame; a founding trustee of King Abdullah University of Science and Technology (KAUST); chairman of Vanguard Charitable; and a member of the Pennsylvania Early Learning Investment Commission. He is past chairman of the Financial Industry Regulatory Authority (FINRA), the Financial Accounting Foundation, and the Investment Company Institute.

Mr. Brennan graduated from Dartmouth College and earned a master’s degree in business administration from the Harvard Business School. He has received honorary degrees from Mount Aloysius College, Curry College, and Drexel University.

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DEREK JETER

Board Member

By the time he stepped away from baseball in 2014 after a historic 20-year career, Derek Jeter had established himself as one of the most respected men to ever have played the game. In recognition of his on-field accomplishments and impact on the game, he was elected to the Baseball Hall of Fame in the Class of 2020.

With a reputation as an unmatched leader both on and off the field, Jeter has established a second career leading a variety of successful business ventures and entrepreneurial investments, while still maintaining his ties with baseball. From 2017-2022, he served as part-owner and CEO of MLB’s Miami Marlins, overseeing the day-to-day for both the business and baseball operations for the team. He was the first African-American to serve in this role for any Major League team in the history of the sport and prioritized diversity in his front office and coaching hires.

Jeter is also the founder of The Players’ Tribune, a subsidiary of Minute Media for which he also is a member of the Board. TPT is an innovative multimedia company where world-class athletes share their honest and unique perspectives, bringing fans closer to the games they love. In November 2013, Jeter and Simon & Schuster announced the Jeter Publishing imprint, which has produced a number of New York Times best sellers including the first children’s book released, The Contract, and a full-color photo book called Jeter Unfiltered, which provided fans an in-depth look at his life through never-before-published images taken over the course of his final season.

Jeter continues to be the driving force behind the Turn 2 Foundation, which he established in 1996 to give back to the communities with which he has a close connection, including West Michigan, Tampa and New York City. He satisfies his passion for inspiring young people through initiatives -- like the Jeter’s Leaders program -- that promote academic excellence, leadership development, positive behavior, healthy choices and social change. To date, the Turn 2 Foundation has awarded more than $30 million in grants to create and support signature programs that motivate young people to turn away from drugs and alcohol and “Turn 2” healthy lifestyles.

A five-time World Series champion and member of baseball’s exclusive 3,000-hit club, Jeter earned numerous accolades throughout his career in recognition of both his on-field skill and his commitment to the community, including: World Series MVP (2000); 14 MLB All-Star selections; 5 Gold Glove Awards; 5 Silver Slugger Awards; AL Rookie of the Year (1996); Roberto Clemente Award (2009); and Sports Illustrated Sportsman of the Year Award (2009). In 2017, the Yankees retired his No. 2 jersey and unveiled a plaque in the famed Monument Park in recognition of his historic career with the organization.

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ANDREA JUNG

Board Member

Andrea Jung is President and Chief Executive Officer of Grameen America, the fastest-growing microfinance organization in the United States. The former Chairman and Chief Executive Officer of Avon Products, Inc., and longtime champion of women’s issues, Ms. Jung was appointed by Grameen’s Founder and Chairman and Nobel Peace Prize Laureate Muhammad Yunus to the position in April 2014. Founded in 2008, Grameen America is dedicated to helping women who live in poverty build small businesses to create better lives for their families. The organization has invested more than $870 million in women’s small businesses around the country.

Ms. Jung, the longest-serving female chief executive in the Fortune 500, is respected as a trailblazer for women. She served as CEO of Avon from 1999 through April 2012, and as Chairman from 2001 through December 2012. As Avon’s first woman CEO and Chairman, Ms. Jung was also the first woman to serve as Chairman of the Cosmetic, Toiletry & Fragrance Association, and as Chairman of the World Federation of Direct Selling Associations.

During her tenure at Avon, she was responsible for developing and expanding economic earnings opportunities for over six million women in more than 100 countries. She has been lauded globally for her pursuit of public-private partnerships to end violence against women and to stem the breast cancer epidemic. Under her leadership, the Avon Foundation for Women raised and awarded nearly $1 billion to support health and empowerment causes, becoming the largest women-focused corporate philanthropy around the world. Ms. Jung's efforts were recognized by the Clinton Global Initiative, which in 2010 honored her with the Clinton Global Citizen Award for her visionary leadership in solving pressing global challenges.

Throughout her corporate tenure, Ms. Jung ranked consistently among the top leaders on lists including Fortune’s “Most Powerful Women in Business,” Forbes’ “Most Powerful Women in the World,” and the Financial Times’ “Top Women in World Business.”

Ms. Jung is a graduate of Princeton University. She is a member of the Board of Directors of Apple Inc., Unilever, Rockefeller Capital Management, and Wayfair Inc. She previously served on the boards of General Electric and Daimler AG.

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BRIAN KAUFMANN

Board Member

Brian Kaufmann is a Portfolio Manager at Viking Global Investors LP. He currently leads the firm’s private equity investment practice.

From 2010 to 2015, Mr. Kaufmann was a Portfolio Manager and Investment Analyst responsible for identifying, researching, and making public equity investments in the consumer, healthcare, and business services sectors.

From 2005 to 2008, Mr. Kaufmann was an Associate at TA Associates, responsible for originating, researching, and executing private equity investments in the healthcare and business services sectors.

From 2003 to 2005, Mr. Kaufmann was an Investment Banking Analyst in Merrill Lynch’s Mergers & Acquisitions Group.

Mr. Kaufmann earned an M.B.A. from Harvard Business School, where he graduated with High Distinction as a George F. Baker Scholar, and he received a B.S. in applied economics and business management, magna cum laude, from Cornell University.

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SHELLY LAZARUS

Board Member

Shelly has been working, as she would say it, “In the business I love,” for more than four decades, almost all of that time at Ogilvy & Mather.

Shelly rose through the ranks of Ogilvy & Mather assuming positions of increasing responsibility in the management of the company, including president of O&M Direct North America, Ogilvy & Mather New York and Ogilvy & Mather North America. She was named worldwide CEO of Ogilvy & Mather in 1996 and Chairman in 1997. She became Chairman Emeritus in July 2012.

Shelly started at Ogilvy at a time when the agency’s legendary founder David Ogilvy still walked the halls, and personally preached that the purpose of advertising was to build great brands. Under Shelly’s leadership, that essential mission has remained the centerpiece of the company’s philosophy, extending across regions and marketing disciplines, and attracting some of the world’s largest and most respected brands including American Express, BP, Coca-Cola, IBM and Unilever among many others.

Shelly has been a frequent industry honoree. Advertising Women of New York selected Shelly as its Woman of the Year in 1994. She was honored by Women in Communications with their Matrix Award in 1995, was named Business Woman of the Year by the New York City Partnership in 1996, and Woman of the Year in 2002 by the Direct Marketing Association (DMA). Shelly was the first woman to receive Columbia Business School’s Distinguished Leader in Business Award as well as the Advertising Educational Foundation’s (AEF) Lifetime Achievement Award. She was inducted into the American Advertising Federation Hall of Fame in 2013 and is also a Hall of Fame member of the DMA, American Marketing Association and Crain's New York Business.

Shelly serves on the boards of several corporate, philanthropic and academic institutions: The Blackstone Group, Merck, New York Presbyterian Hospital, Committee Encouraging Corporate Philanthropy, World Wildlife Fund, Partnership for New York City, Lincoln Center, and the Board of Overseers of Columbia Business School, where she received her MBA in 1970. She served for five years as Chairman of the Board of Trustees of Smith College, her alma mater. She is a member of Advertising Women of New York, The Committee of 200, Council on Foreign Relations, and Women’s Forum Inc. She has also served as Chairman of the American Association of Advertising Agencies.

Shelly is the wife of Dr. George Lazarus, a New York pediatrician, and mother to their three grown children.

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MARTIN J. MANNION

Board Member

Marty is Chairman, Senior Advisor and former Managing Director of Summit Partners. He joined the firm in 1985, and he has led investments in and served as a board director of more than 35 companies, including eight public companies. He is currently a director of CareCentrix and Champion. His prior directorships include ABILITY Network (acquired by Inovalon), AdvaCare (NASDAQ: AVCR, acquired by Medaphis), American Dental Partners (NASDAQ: ADPI, taken private), Bartlett (acquired by Harvest Partners), Clinical Pathology Laboratories (acquired by Sonic Healthcare), Employee Benefit Plans (NASDAQ: EBPI), ImageAmerica (became MedAlliance, NASDAQ: MDAL), Lincare (NASDAQ: LNCR, later acquired by The Linde Group), Liquidnet, MDVIP (acquired by Leonard Green & Partners), Pharmaco Dynamics Research (merged with Applied Bioscience International Inc., NASDAQ: APBI), Sparta Systems (acquired by Thoma Bravo) and Sun Trading.

Prior to Summit, Marty worked as a Systems Engineer at IBM Corporation. He holds an AB in economics from Princeton University and an MBA from Harvard Business School.

Today, Marty serves on the boards of Up Academy (a charter school management company) and Berklee College of Music, and he is a trustee of the Belmont Hill School in Belmont, Massachusetts and Regis High School in New York City. Marty also serves as Chairman of Summit Partners’ Board of Managers. He has previously served on the boards of Big Brothers Big Sisters of Massachusetts Bay, Children’s Hospital Trust of Boston, Harvard Business School Board of Dean’s Advisors, and The Park School in Brookline, Massachusetts.

In 2015, the Healthcare Private Equity Association (HCPEA) presented Marty with its Russell L. Carson Award for lifetime achievement in healthcare investing.

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PETER M. O’NEILL

Board Member

Peter M. O’Neill is active on the boards of a number of not-for-profit organizations and private companies.

Mr. O’Neill is a current member of the Investment Committee and Chair of the Audit Committee of the Rockefeller Family Fund and was President of the Rockefeller Family Fund from 2001 to 2004. He is a member of the Investment Committee and Executive Committee, and Chair of the Audit Committee of the Rockefeller Brothers Fund.

Mr. O’Neill presently chairs the Room 2500 LLC and is currently the Chair of the Rockefeller Family Council.

At International House, New York, Mr. O’Neill is a trustee and Chair of the Executive Committee, and a member of the Governance Committee and Personnel Practices Committee.

Mr. O’Neill is a trustee of Winrock International and serves as a member of its Governance Committee and is Chair of the Partnerships, Development and Philanthropy Committee.

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DAVID ROCKEFELLER, JR.

Board Member

David Rockefeller Jr. is a long-standing businessman and philanthropist. He has held many positions amongst Rockefeller-related entities, as well as in nonprofits that support the arts and the environment. Mr. Rockefeller previously served as Chairman of the Rockefeller Foundation and Rockefeller Brothers Fund, as well as President of the Rockefeller Family Fund. He was twice Chairman of Rockefeller & Company, which became Rockefeller Capital Management in 2018, and where he now serves as a Director. He is a trustee of the Rockefeller Brothers Fund and the David Rockefeller Fund, as well as a member of the Council on Foreign Relations. True to his family’s legacy of land preservation, Mr. Rockefeller served as Citizen Chair of the National Parks Foundation from 1995 to 2005. Mr. Rockefeller is a life trustee of the Museum of Modern Art, a trustee of the Asian Cultural Council, and a fellow of the Academy of Arts and Sciences. Mr. Rockefeller’s commitment to environmental preservation—and passion for sailing—led him to found the nonprofit organization Sailors for the Sea (SfS) in 2004. In 2018 SfS joined forces with the global ocean conservation organization Oceana, becoming one of its programs. Mr. Rockefeller is now a director of Oceana.

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CANDICE DIAL

Director of ESG, Family Office

Candice Dial is the Director of ESG Investments at Rockefeller. In her role, she is responsible for leading strategic ESG initiatives within the Family Office, which includes working with the manager selection team to build the third-party manager platform, engaging in thought leadership activities, and supporting Client Advisors. Previously, Candice implemented a sustainable investing program at the Church Pension Group and managed a $1.2 billion sustainability portfolio oversaw the private market sustainable investing program for the Church Pension Group, a pension fund with assets exceeding $14 billion. Candice has spoken in multiple global sustainable investment conferences and featured and mentioned in various video and print publications.

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VINCE HAAS

Chief Administrative Officer, Rockefeller Global Family Office

Vince Haas is the Chief Administrative Officer for Rockefeller Global Family Office. In this role, Vince leads a shared business administration capability that drives organizational efficiency, optimizes processes, and promotes communication and transparency. Working in partnership with the RCM Marketing Team, Vince also serves as the business lead in defining a vision, creating a strategy, and executing a plan to build the RGFO brand nationally and regionally through the strategic use of media, public relations, community outreach.

Vince joined Rockefeller Capital Management in May 2019 and served as the Chief of Staff and Head of Marketing and Communications for Private Wealth Management before moving to his current role. A financial services veteran with over twenty-five years of experience, Vince has held leadership roles in corporate communication, learning and development, and brokerage operations with Merrill Lynch and Bank of America. Vince has also held roles in publishing and media and has served for the past fifteen years as an adjunct professor on the Communications faculty at La Salle University in Philadelphia.

Vince holds a bachelor’s degree in English studies from St. Joseph’s University, and a master’s degree in business communication from La Salle University where he also earned a graduate certificate in public relations.

A native Philadelphian currently residing in Doylestown, PA, Vince is active in homelessness support and advocacy with the Bucks County Coalition to Shelter and Support the Homeless, and the Drueding Center in Philadelphia.

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SANJEEVAN ISWARA

Head of Advisor Acquisition & Product Strategy, Rockefeller Global Family Office

San Iswara is a Managing Director and the Head of Advisor Acquisition & Product Strategy for the Rockefeller Global Family Office. San joined Rockefeller in May 2018 and is responsible with leading our efforts related to Advisor and RIA acquisitions, due diligence and the transition & onboarding process. In this role, San also provides both strategic and tactical business management support across the Investment Solutions and CIO organizations. San’s strategic priorities include implementing automation and workflow efficiencies across product platforms and business lines, while also broadening the deployment of data analytics and reporting tools for advisors.

Prior to joining Rockefeller, San was an Executive Director at Morgan Stanley, where he most recently served as Chief Operating Officer for Wealth Management’s Advisory Platforms Business. During his 11-years at Morgan Stanley, San held roles across Strategic Client Management, Investment Banking and Capital Markets.

San has a Bachelor’s degree from Drew University where he double majored in Economics and Behavioral Science. San resides in New York City with his wife Rebecca and two sons, Winston and Wyatt.

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ANGIE LATIF

Head of Practice Management, Rockefeller Global Family Office

Angie Latif is the Head of Practice Management for the Rockefeller Global Family Office. As Head of Practice Management, Angie will assist advisors and teams in achieving business goals, optimizing performance, and improving client service through planning, goal setting, coaching, and personal development. Prior to that, Angie was the Human Capital Business Partner for Private Wealth Management at Rockefeller.

Before joining Rockefeller Capital Management, Angie was a Senior Vice President in Global Human Resources at Bank of America Merrill Lynch. She joined Merrill Lynch in 2005 spending over ten years on the business side managing Financial Advisor compensation programs and policies. She has also written executive speeches and presentations, led development trainings, and was Co-President of the Women’s Network.

In her spare time, Angie is a freelance writer and enjoys volunteer work, coaching, mentoring and travel. Angie has also designed and launched her own professional development program targeting women looking to advance their careers.

Angie graduated from Rutgers University with degrees in Economics and Journalism. Angie has also completed the Securities Industry Institute’s Excellence in Leadership program at Wharton Business School at the University of Pennsylvania.

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SARAH MAHON

Director of Marketing, Rockefeller Global Family Office

Sarah Mahon is a Senior Vice President and the Director of Marketing for the Rockefeller Global Family Office at Rockefeller Capital Management. In this role, Sarah provides advice, guidance, and support to executive management and advisors in communicating the Rockefeller brand and value proposition, and in connecting clients, prospects, and partners to the firm and its capabilities. She is a member of the firm’s Inclusion Coalition.

Prior to joining Rockefeller, Sarah spent time at Cantor Fitzgerald where she was responsible for managing the marketing initiatives for over 100 brands under the Cantor Fitzgerald, L.P. umbrella. She began her career in the financial service industry as an Investor Relations Analyst at BGC Partners.

Sarah graduated from Rutgers, The State University of New Jersey, where she received a B.A. in Psychology and was a member of the Women’s Varsity Lacrosse Team. She serves on the Junior Advisory Board for CityLax, Inc., a non-profit organization dedicated to growing the game of lacrosse in New York City in a public-private partnership with the public school system and in partnerships and alliances with community-based organizations. Sarah is an ambassador of the New York Athletic Club, where she is a member of the Women’s Lacrosse Team.

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TOM DAVIDSON

President, The Rockefeller Trust Company (Delaware)

Tom Davidson is the President of the Rockefeller Trust Company (Delaware). He is responsible for the overall management of the Delaware Trust Company including building and cultivating strong client relationships, fulfilling fiduciary responsibilities, and ensuring adherence to standards and practices. Tom offers innovative solutions to help remedy complex problems involving all aspects of trust administration. He has over 26 years of experience in the trust and estate industry with over 21 years of Delaware-specific trust administration, estate planning and fiduciary risk management.

Prior to joining The Rockefeller Trust Company (Delaware), Tom was President of a major international trust company in Delaware. Prior to that role, he was Director of Trust Administration for another major international trust company, also in Delaware. Previously, Tom was Trust Counsel for a prominent national trust company and he was in private practice with a boutique law firm in northern Maryland focusing on estate administration, estate planning, estate litigation, heir disputes and other fiduciary litigation matters. Tom is a veteran having served in the US Air Force as a Flight Engineer Supervisor.

Tom received his undergraduate degree from the University of Delaware and his law degree from Widener University School of Law. He is a member of the American Bar Association section of Real Property, Trusts & Estates, a member of the Delaware Estate Planning Council and a former member of the New Jersey State Bar Association and the Maryland State Bar Association.

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TIMOTHY LAFFEY

Head of Tax Policy & Research

Timothy Laffey is Head of Tax Policy & Research within the Global Family Office at Rockefeller Capital Management. In his role, Tim partners with colleagues across the organization in strategically advising clients with executive compensation, private equity, and multi-state taxation issues, as well as guide them through the implications of tax regulations while advising on tax strategies. He is also responsible for supporting our Family Office tax teams as well as setting tax policy for the Family Office.

Prior to joining Rockefeller, Tim was a Senior Vice President and Senior Wealth Planner in Wells Fargo Private Bank’s Regional Wealth Planning group and was a practicing attorney in the Personal Law group of Morgan, Lewis & Bockius. He has spent his entire career counseling and advising ultra-high net worth clients in all aspects of income, estate, gift and generation skipping transfer tax planning, as well as business succession and philanthropic planning. Tim started his career in the Private Client Advisors group of Deloitte Tax.

Tim earned his accounting degree from the University of Scranton, magna cum laude, and his J.D. and Masters of Law in Taxation from Villanova University School of Law. He is licensed to practice law in Pennsylvania and New Jersey.

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ELISABETH MADDEN

Head of Fiduciary Services, Rockefeller Global Family Office

Elisabeth “Lisi” Madden serves as Managing Director and Head of Fiduciary Services, Rockefeller Global Family Office, at Rockefeller Capital Management. She is a member of the firm's Management Committee. In this role, Lisi is responsible for all activities across both Rockefeller Trust Company, N.A., and The Rockefeller Trust Company (Delaware).

Prior to joining Rockefeller in 2014, Lisi was an associate with Milbank LLP for seven years, focusing on estate planning and administration of trusts and estates. Lisi holds a B.A. from the University of Pennsylvania and a M.Sc. from the London School of Economics. She also holds a J.D. from Vanderbilt University Law School and an Advanced Certificate in the field of Estate Planning from New York University School of Law. Lisi is a member of the New York State Bar Association.

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KALEEN ALLYN

Kaleen Allyn oversees a Private Investment Platform for 50 State LLC, a private family office based in Skaneateles, New York. She focuses on strategic investments across private equity, real estate, venture capital, and direct investments.

Prior to joining 50 State, Kaleen worked for five years at Rockefeller Capital Management in the alternative investment and wealth management divisions. As an Alternative Investment Product Specialist, her team built an open architecture menu of best-in-class alternative investment products including hedge fund, private equity, and real estate managers for high-net-worth individuals, families, and foundations.

Kaleen serves on the Board of Directors, as well as the Investment Committee and Finance Committee, of the Allyn Family Foundation. The Foundation is committed to building a vibrant, equitable, and prosperous community in central New York. She also serves on the Investment Committee of Nolan-Jones LLC, a private investment vehicle.

Kaleen has a B.A. from Gettysburg College in Psychology and Business. She also serves on the Gettysburg College Entrepreneurship and Social Innovation Initiative Advisory Council.

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LAUREN BIEKER

Lauren Bieker graduated from Gonzaga University with degrees in Business Marketing and English. Lauren studied fashion at the Fashion Institute of Design and Merchandising in her hometown of Los Angeles and subsequently worked as a buyer for an online retailer. After her decision to focus on writing and work in publishing, Lauren participated in a writing intensive program with the National Academy of Writing at the University of Cambridge’s Pembroke College in the UK. Currently, Lauren is working at her dream job as a literary agent for FinePrint Literary Management in New York City. Her goals include giving voice to people’s stories, especially those who have not had their chance at the mic yet. Lauren is also the eldest member of the fifth generation of the Cowles-Hammett family. Her goal is to continue the legacy set forth by earlier generations and put to practice the paraphrased message; with great privilege, comes great responsibility.

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MAC BRODERICK

Mac Broderick is Executive Director, Merchant Strategy for Castleton Commodities international (CCI). He previously worked in strategy and business development for Tellurian, Inc. a Houston-based energy company. He is a passionate advocate for all-of-the-above solutions to climate change. Prior to his work in energy, he worked in investment management in Russia and Ukraine.

Mac is a director of Rockefeller Philanthropy Advisors, a nonprofit focused on fostering thoughtful, effective philanthropy. He is also a term member of the Council on Foreign Relations and a member of the Atlantik-Brücke.

He received his undergraduate degree from Georgetown University’s School of Foreign Service, where he was the Editor-in-Chief of the Georgetown Journal of International Affairs, the school’s flagship publication. He holds an M.B.A. from the Wharton School of the University of Pennsylvania, in global investment management, and an M.A. in energy economics and international relations from the Nitze School of Advanced International Studies (SAIS), Johns Hopkins University. A sixth-generation member of the Rockefeller family, Mac is a graduate of Groton School and a native Detroiter.

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ALEXANDRA PETERSON

Alexandra Peterson is a co-founder of Trofi Holdings, a collective investment platform that leverages benefit-capital to support exceptional builders and initiatives with a vision to create a healthy, sustainable, and equitable food future. Additionally, she is a founding partner of Anása, a boutique advisory firm that identifies and participates in private deal flow globally, with an emphasis on Greece. Previously, Alexandra co-founded Madeira Global, a leading environmental, social and governance (“ESG”) advisory, analytics and reporting firm, which was acquired in 2020. For her work, Alexandra was named a Forbes “30 Under 30” Social Entrepreneur, a Tribeca Disruptive Innovation Fellow, and one of the WSJ “Women of Note.” She has a B.A. from Middlebury College in International Studies and Political Science with a specialization in Latin America Studies. She is a term member of the Council on Foreign Relations, where she serves on the Term Member Advisory Council. Additionally, Alexandra is an advisor to PATH, the refillable bottled water brand on a mission to end single-use plastic, and serves on the Advisory Council of Rockefeller Capital Management.

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AMANDA EDELMAN

Amanda Edelman is Chief Operating Officer of Edelman’s Gen Z Lab, a recently launched offering that lends expertise to and counsels clients looking to effectively engage Gen Z. Within Edelman, the world’s largest independent communications agency, the Gen Z Lab draws upon a hub of data-driven insights and a roster of internal and external advisers to harness the generation’s perspective and ambitions to solve issues such as diversity and inclusion, sustainability, and cultural relevance, and align with brands to become catalysts for change.

She also serves as Associate Director of the Brand practice and has worked with organizations across corporate affairs; brand; purpose; and environmental, social, and governance sectors in London, New York City, and Washington, DC.

Her prior work includes Pursuit, a social enterprise focused on increasing inclusion within the tech sector; Grameen America, a microfinance nonprofit that provides small business loans to underserved women in the United States; and the Boston Consulting Group.

Amanda sits on Rockefeller Capital Management’s Next Generation Advisory Council, advising the organization on next generation cultural and financial trends, and serves as a member of Leadership Now, a community of business professionals dedicated to preserving the future of democracy in the United States. She is a 2022 Atlantic Council Millennium Leadership Fellow and graduated from Stanford University, where she was President of her class and Vice President of the student body, and Harvard Business School.

In her spare time, Amanda can be found exploring new cities, neighborhoods, and cultural venues and reading any book she can get her hands on.

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ADAM ROCKEFELLER GROWALD

Adam Rockefeller Growald is an alignment investor, philosopher, philanthropist and poet. He invests in and advises organizations that align head with heart and value with values. Adam speaks about investing, philanthropy, and spirituality, and has presented at numerous conferences and convenings on topics ranging from family business, philanthropy, and impact investing to holistic wellness and climate stewardship.

Adam has been studying philosophy and wisdom traditions both in and out of the academic system for over a decade, and received his BA in Philosophy from Princeton University. He has worked as a management and brand strategy consultant at Bain & Co. and Lippincott, and now applies philosophical insight to his investing, board service, and advisory work to create paradigm-shifting evolution in business strategy, organizational culture, and interpersonal relationships. Adam is Principal at Tree of Life Ventures, member of the boards of the Growald Climate Fund and the David Rockefeller Fund, and a former board member of the Rockefeller Family Fund and the National Center for Family Philanthropy.

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SURAJ K. GUPTA

Suraj K. Gupta (Columbia MBA ’17) is the Co-Founder, President and CEO of Rogue Insight Capital, the CIO for the Easton’s Group of Hotels & the Gupta Group (Canada’s largest private hotel developer), and the CSO and Co-Chair for the Gupta Family Foundation. Rogue Insight Capital is a venture capital and alternative asset investment fund co-founded by Suraj and his sister Reetu Gupta. Rogue’s primary mandates include investing in diverse, socially impactful companies where it can add significant strategic value. Under Suraj’s leadership, the firm has made investments across six continents. Rogue’s portfolio includes investments in ThriveWorks, Drop Technologies, Andela, and the Golden State Warriors. Rogue has had a very successful tenure to date, with several exits and IRRs well above industry benchmarks. The Easton’s Group of Hotels is one of Canada’s largest private hotel operators and the Gupta Group is one of Canada’s largest private real estate developers. Suraj managed the company’s finance and investment strategy during the pandemic, allowing Easton’s to keep over 90% of their hotels open (despite the market having less than 25% of hotels open). He also advised the Prime Minister’s Office on legislation to support the hospitality industry through the crisis, saving hundreds of thousands of jobs across the country. His work with Easton’s has not gone unnoticed, as Suraj was recently recognized by Kostuch Media Ltd. as a Top-30-Under-30 Award Winner (2020).

Suraj also co-chairs his family’s philanthropic organization, the Gupta Family Foundation, alongside his sister Reetu. The Foundation’s initiatives are centered around global equality and education, including donating educational technology to rural Jamaica, creating a microfinance program for female-led businesses in Egypt, building solar-powered, internet-enabled schools in Uganda, and emergency relief for India during the pandemic and for Turkey after the 2023 earthquake. Suraj has been a keynote speaker at the Ontario Economic Summit and at York University’s Alumni Speaker Series. He is a member of the Rockefeller NextGen Advisory Council and the Forbes Business Council. He is also an Entrepreneur-in-Residence at York University and has guest lectured MBA classes at the Schulich School of Business. Suraj is an advisor to several companies and has been a Special Delegate to the United Nations in the past.

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KATE ASHFORTH HURLEY

Kate is a member of Spencer Stuart’s Technology, Media & Telecommunications and CEO practices. She works with a range of organizations, spanning Fortune 100 companies to high-growth media and technology startups, helping them to recruit CEOs and general managers, chief revenue officers and chief marketing officers, as well as other core members of the leadership team. Kate often works at the intersection of the technology and consumer industries, and has expertise in media, consumer internet, direct-to-consumer, e-commerce, marketing/advertising technology and software. She also brings deep experience recruiting next-gen board directors and leaders, identifying rising stars to help organizations on their digital transformation journeys. In addition, she contributed to the development of The Career Playbook and the related interactive training experience. Passionate about conservation, Kate serves on the board of the Norwalk Maritime Aquarium. Prior to Spencer Stuart, Kate was responsible for marketing and new business development initiatives at sports agency Octagon Worldwide. She received her B.A. from Brown University, where she was a two-sport Division I athlete.

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ALEXANDRA IDOL

Alexandra is a partner and board member of Rosehill Investors, where she focuses on strategic growth investments and philanthropic initiatives. She began her career in Morgan Stanley’s private equity and investment banking division and has held leadership roles in both the retail and beauty sectors at Michael Kors and Charlotte Tilbury Beauty.

Alexandra is a founding member of MaverickNext and a founding co-member and Giving Circle Associate of Maverick Collective. She is also a member of Nexus Global, President of the Idol Family Foundation, and an active junior board member of both God’s Love We Deliver and Harlem Academy.

Alexandra received an M.B.A. from the Wharton School of the University of Pennsylvania, with a double major in Operations and Entrepreneurial Management, and a B.S.B.A. from Villanova University, with majors in Marketing and Finance.

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MAHUM JAMAL

Mahum Jamal is currently an MBA-MFA dual degree candidate at NYU Stern School of Business and NYU Tisch School of the Arts. Prior to NYU, Mahum founded the production company Doe-eyed Pictures and wrote, directed, and produced the feature film A Good Dream (2018). Her experience spans media strategy, content development, and film production.

Mahum attended Barnard College at Columbia University where she received a Bachelor of Arts degree in Film Studies with a minor in Religion. Her interests include projects that showcase stories from marginalized communities.

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ALEXA RACHLIN

Alexa Rachlin is a Principal at Declaration Partners LP focusing on strategic investments. Alexa has over twelve years of investment experience, most recently serving as an Investment Director at Cambridge Associates in the firm’s Private Practice where she worked with family offices on asset allocation and manager selection. Previously Alexa worked at Goldman Sachs in Private Wealth Management advising clients with assets from $10m – $1bn+ on fixed income, equities, hedge funds and private equity. Alexa started her career at Morgan Stanley in real estate investment banking. Alexa holds a Bachelor’s degree, cum laude, and an MBA with distinction from Harvard University.

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ARIANA ROCKEFELLER

Ariana Rockefeller is a 5th generation member of the John D. Rockefeller family, an equestrian athlete and founder of her brand Ariana Rockefeller, LLC. She is a Trustee of her Grandfather’s foundation, The David Rockefeller Fund; a board member of God’s Love We Deliver, and a Junior Associate of the Museum of Modern Art. She graduated from The Ethel Walker school for girls, and Columbia University with a BA in political science. She is pleased to serve on the Next Generation Advisory Council of Rockefeller Capital Management.

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HALL ROCKEFELLER

Hall Rockefeller is an art historian and the founder of less than half, an art criticism website covering the solo shows and goings-on of women artists in New York City. Previously, Hall served as the Warshawsky Fellow at the Cleveland Museum of Art. She has also worked at the Marina Abramovic Institute and the Rosenberg & Co. Gallery.

She holds both a bachelor’s and a master’s degree in the History of Art, from Yale and the Courtauld Institute of Art, respectively.

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JUSTIN ROCKEFELLER

Justin Rockefeller is Global Director of Family Offices and Foundations at Addepar, the financial operating system designed to bring common sense and ethical, data-driven investing to our financial world.

Addepar serves, pro bono, as the transaction-level data platform for The ImPact, a social enterprise Justin cofounded to increase the probability and pace of solving social problems by improving the flow of capital to businesses creating measurable social impact. The ImPact provides families with the knowledge and network they need to make more impact investments, more effectively. Those who make The Pact commit to 1) explore the impact of all of their investments, and 2) invest to create measurable social benefit.

Since 2009, Justin has served on the board and the investment and audit committees of Rockefeller Brothers Fund; he helped steer the private foundation toward mission-aligned investing of its endowment. He also serves on the board of Japan Society.

In 2002, Justin received a B.A. from Princeton University. Justin is married, has one daughter, and lives in New York City.

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RYAN ROCKEFELLER

Ryan Rockefeller has spent the last decade as a serial entrepreneur, inventor, investor, and artist. For the past four years, Ryan has served as cofounder and CEO of Liyo, a social music streaming platform. He is currently in the process of selling the company to Muzik Connect, a smart headphone maker, where he will work while simultaneously attending Columbia Business School’s Executive M.B.A. Program. Ryan has also been an avid angel investor and is President of R2 Ventures, an early-stage venture fund he cofounded with his brother.

Prior to his work with startups, Ryan pursued music professionally, performing in venues around NYC in a band and as a solo artist. He has also been an active student of sculpture and painting. In the nonprofit sector, he sits on the Boards of Rockefeller Philanthropy Advisors and Art21, a Peabody Award–winning organization dedicated to producing documentaries of the world’s most esteemed artists. Ryan holds a B.A. in religion and a certificate in urban planning from Princeton University.

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WILLIAM ROCKEFELLER

William Rockefeller works for the Winrock Group, Inc., which has holdings in automotive dealerships, real estate development, row crop farming, and cattle ranching. William served on the staff of U.S. Senator John Boozman from 2011 until 2016. He served as a Legislative Correspondent in Senator Boozman’s Washington, D.C. office, before being promoted to Projects Director for western Arkansas. As Projects Director, he handled infrastructure and economic development projects affecting communities in western Arkansas; acted as liaison between constituents and the Corps of Engineers and Interior Department agencies; handled water, waste water, and land issues; and spearheaded special projects for Senator Boozman.

William earned a B.A. in history from Rhodes College in 2010 and an M.B.A. from the University of Arkansas in 2018. He is currently pursuing a master’s in real estate development from Georgetown University.

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JAMES ROTHSCHILD

James Rothschild is a Founder and Managing Partner of Tru Arrow Partners. Tru Arrow is a global growth technology firm built around family capital. Born and raised in London, James has been an investor for 15 years with his family as well as independent institutions. James began with training at Hargreave-Hale and Rothschild and Co in London before moving into real estate investment at Europe’s largest privately-held real estate developer, TriGranit, where he worked from the Budapest headquarters for three years. James moved to New York City in 2012 as a Partner with Lepe Partners, the TMT specialist investment and advisory firm. In this role, James was part of the growth stage technology investment practice responsible for sourcing, executing and managing a global portfolio of growth tech assets.

Subsequently, James co-founded West Arrow. West Arrow is an investment and advisory firm based in New York that has invested strategic family capital as well as leveraged global relationships to assist in the growth of global growth technology companies.

James is a Trustee of Yad Hanadiv (the Rothschild Foundation) where he also serves on the Finance and Audit Committee. Yad Hanadiv continues the tradition of Rothschild family philanthropy in Israel, where it was responsible for the Supreme Court and Knesset buildings in Jerusalem.

James serves on the Investment Advisory Committee of Windmill Hill Asset Management, the management company of certain Rothschild Family philanthropic endowments. James also serves on the Next Gen Advisory Council of Rockefeller Capital Management and the Strategic Advisory Board of IP Group (US), the early-stage science investment platform that partners with university laboratories to commercialize scientific IP. James is honored to be a part of the 2020/21 Nominating Committee for the Justice Ruth Bader Ginsburg Woman of Leadership Award.

James is authorized and regulated in the US by FINRA under Series 63, SIE and Series 79.

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LACEY TISCH

Lacey Ann Tisch, the daughter of Susan Tisch Allen and Andrew H. Tisch, is a founder and co-president of an Internet venture in Manhattan called Travelin Gals, which provides travel advice for young women. She graduated from the University of Pennsylvania.

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BARRY A. WINTNER, CFA

Head of Markets Portfolio Strategy

Barry A. Wintner, CFA is the Head of Markets Portfolio Strategy and a Managing Director of Rockefeller Capital Management. He is a member of the firm's Management Committee. Barry is responsible for advancing the delivery of third-party investment solutions in support of our client advisors. Prior to joining Rockefeller Capital Management in 2013, Barry was Senior Vice President of Research and Investments at Protégé Partners. Prior to joining Protégé in 2008, Barry served in various capacities for Asset Alliance Corporation as Senior Managing Director of Research and Investments, and held positions as Director of Research, and Senior Analyst. Barry is a Chartered Financial Analyst ® charterholder. He received a B.A. in Physics from the University of Pennsylvania, an M.S. in Physics from Cornell University and an M.B.A. from the Johnson Graduate School of Management at Cornell University. He is also a member of the Board of Trustees and the Investment Committee of St. Barnabas Hospital in the Bronx.

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SAMUEL CAFRITZ

Investment Analyst

Samuel M. Cafritz is an Investment Analyst on the Manager Selection team at Rockefeller Capital Management. Sam interned with the firm in Summer 2017 and has served in his current role since July 2018.

Sam is responsible for researching prospective managers and monitoring approved managers for the firm’s Open Architecture Product Platform. He specializes in environmental, social, and governance (ESG) focused managers.

Sam graduated with a B.A. in Economics with Distinction from the University of Virginia.

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WENDY XU

Director of Private Equity

Wendy Xu is the Director of Private Equity and a Senior Vice President at Rockefeller Capital Management. She is responsible for manager selection, research, and oversight of private equity investments and the private equity fund-of-funds platform. Prior to joining Rockefeller, Ms. Xu worked at New Mountain Capital, an alternative asset manager with $20B in AUM, where she focused on screening, evaluating, and executing growth equity and leveraged buyout investments in software, healthcare, and other business services companies. Ms. Xu also has experience underwriting corporate credit opportunities at Sandler Capital, a hedge fund with over $1.5B in AUM. Previously. Ms. Xu worked in the Investment Banking Division at Goldman Sachs & Co., where she worked on M&A and corporate finance transactions in the industrials sector. Ms. Xu holds a B.A. cum laude in Economics from Princeton University and an M.B.A. from The Wharton School of the University of Pennsylvania, where she was a Joseph Wharton Fellow.

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JOHN BERNBACH

Senior Advisor

Mr. John Bernbach is CEO of The Bernbach Group, a business consulting firm. In 2017, Mr. Bernbach was part of a team of diverse corporate executives who founded Distillier, LLC and developed and introduced Grand Brulot, the esteemed VSOP Cognac & coffee alcoholic beverage, in the US & Europe. Mr. Bernbach served as Vice Chairman of Engine, one of the largest privately-owned independent marketing services companies, which he joined in January 2010. He was also a co-founder of NTM (Not Traditional Media) Inc., a marketing and media advisory firm created in 2003 to work with clients and media companies to develop strategies integrating nontraditional marketing solutions and new media models. Prior to that, Mr. Bernbach, as CEO of The Bernbach Group, LLC, led this executive management consulting business concentrating on corporate and communications strategies. From 1995 to 2000, Mr. Bernbach served as Director and then CEO and Chairman of North American Television, which produced and distributed news and entertainment programming. In 1994, Mr. Bernbach launched the publication of luxury goods magazines in China, Japan, France and Spain. Prior to 1994, Mr. Bernbach spent 22 years at the advertising firm Doyle Dane Bernbach, the last eight as President/COO of DDB Needham Worldwide. In 1986, he was one of five founders of Omnicon, which at that time was the largest marketing services and communications groups in the world.

Mr. Bernbach currently serves on the Boards of Great-West Life & Annuity Insurance Company, Putnam Investments LLC; Empower Retirement; Power Pacific Corporation Limited; and Casita Maria. Mr. Bernbach was advisor to Blackstone from 2008 and then became Chairman of the Board of Ai Media Group LLC, which is a Blackstone company. Mr. Bernbach is Chairman of the Board of Distillier, LLC, as well as a Senior Advisor to and investor in BrainLit AB. Mr. Bernbach also serves as Senior Advisor to the Board of Rockefeller Capital Management.

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SAMUEL R. CHAPIN

Senior Advisor

Samuel R. Chapin is a Senior Advisor for Rockefeller Capital Management. Drawing on more than three decades of investment banking experience, Mr. Chapin works closely with the Rockefeller Strategic Advisory business in providing trusted advice to family-owned businesses, corporate, and investor clients. Prior to joining Rockefeller, Mr. Chapin was Executive Vice Chairman of Global Corporate and Investment Banking at Bank of America Merrill Lynch from 2010 to 2016. In that role, he was responsible for managing relationships with some of that firm’s largest and most complex clients. Mr. Chapin previously held a variety of leadership roles at Merrill Lynch, including Vice Chairman and a member of the Executive Operating Committee, as well as Senior Vice President and Head of the Global Investment Banking division. He joined Merrill Lynch in 1984 after beginning his career at Chase Manhattan Bank in the corporate banking group.

Mr. Chapin is a graduate of Lafayette College and received his M.B.A. with distinction from the Wharton School of the University of Pennsylvania. He currently serves on the Boards of Directors of PerkinElmer, CIRCOR International, and the Roundabout Theatre Company, Inc. Mr. Chapin also serves on the Board of Trustees at Lafayette College.

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BRIAN LESSIG

Managing Director, Strategic Advisory

Brian Lessig is a Managing Director in the Strategic Advisory group focused on M&A and capital raising for Rockefeller Capital Management.

Mr. Lessig was previously the founder and President of Grace Bay Ventures, LLC, an advisory, consulting, and investment firm focused primarily on the financial services, sports entertainment, healthcare, technology, and blockchain industries. Selected advisory work at Grace Bay Ventures included M&A advisor to Derek Jeter, and eventually the entire buyer group, for the $1.2 billion purchase of the Miami Marlins baseball club.

Previously, Mr. Lessig co-founded multiple businesses, and served in leadership roles, principally in the financial services and technology/medical device industries.

Prior to these entrepreneurial ventures, he was Managing Director in the Financial Institutions Investment Banking Group at Merrill Lynch, where he led strategic advisory assignments that included mergers, acquisitions, divestitures, as well as capital-raising transactions in both public and private markets, primarily in the asset management, specialty finance, insurance/wholesale brokerage, and infrastructure sectors. Prior to joining Merrill Lynch, he worked for Ernst & Young as an auditor; he also lectured to CPA candidates preparing to take the CPA examination.

He graduated summa cum laude with a B.B.A. in accounting from Hofstra University and received an M.B.A. with distinction from the Kellogg School of Management at Northwestern University.

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MARK PATTERSON

Senior Advisor

Mark Patterson is a Senior Advisor to Rockefeller Capital Management. Mr. Patterson has been a real estate consultant and financial advisor since leaving Merrill Lynch in 2009 and is currently an Advisory Director in the Real Estate Group at Investcorp International. He joined Merrill Lynch as the Global Head of Real Estate Investment Banking in April 2005 and in 2006 also became the Co-Head of Global Commercial Real Estate, a role that encompassed real estate investment banking, principal investing, and mortgage debt. Prior to leaving Merrill Lynch, Mr. Patterson was a Managing Director and Head of the Real Estate Global Principal Investments. Prior to his time at Merrill Lynch, Mr. Patterson spent 16 years at Citigroup, where he was the Global Head of Real Estate Investment Banking from 1996 to 2005. He started his career working in the real estate groups at Chemical Realty Trust and Arthur Andersen. Mr. Patterson serves on the Board of Directors of Digital Realty Trust, Americold Realty Trust; UDR, Inc.; and Paramount Group. He also served as the Chairman and CEO of Boomerang Systems from 2010 to 2016, and 2010 to 2015, respectively. Mr. Patterson has a bachelor’s degree from the College of William and Mary and a Master of Business Administration degree from the Darden School of Business at the University of Virginia, and is a Certified Public Accountant.

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EMILIANO ROMAN

Managing Director, Strategic Advisory

Emiliano Román is a Managing Director and Head of Consumer and Retail at Rockefeller Capital Management. Emiliano is based in New York and leads Rockefeller’s strategic advisory, capital raising and merchant banking activities across the consumer and retail industry.

Mr. Román has over 15 years of experience in M&A advisory, capital markets and principal investing. Over the course of his career, he has completed over $100 billion in transactions across a broad range of consumer-facing industries. He has significant cross-border advisory and global capital markets experience and has executed transactions in North America, Latin America, Europe and Asia.

Prior to joining Rockefeller Capital Management in 2020, Mr. Román served as a Managing Director at Morgan Stanley in New York, where he was responsible for senior coverage of corporate and financial sponsor clients, as well as family-owned and founder-led businesses in the consumer and retail sector globally. While at Morgan Stanley, from 2011 to 2020, Mr. Román led the origination and execution of a variety of strategic advisory assignments that included mergers, acquisitions and divestitures, as well as capital markets transactions across debt and equity products. Earlier in his career, from 2004 to 2011, Emiliano was an investment banker in the Global Consumer Products & Retail and Mergers & Acquisitions groups at UBS Investment Bank in New York.

Mr. Román holds a B.B.A. and an M.S. from Texas A&M University, where he serves on the Dean’s Advisory Board at Mays Business School and is a guest lecturer at the University. He also serves on the board of Glasswing International, a non-profit organization that operates health, education and community development programs for underprivileged children throughout Latin America.

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PAUL M. WETZEL

Senior Advisor

Paul M. Wetzel, is a member of the Board of Directors of Brighthouse Financial, Inc. (NASDAQ: BHF). Mr. Wetzel joined the board of BHF, a new company established by MetLife, at its inception on August 4th, 2017, following its spin-off from MetLife, Inc. As a board member, he serves on the Finance and Risk, Compensation, and Nominating and Corporate Governance Committees.

After more than 30 years in investment banking, Mr. Wetzel retired from Deutsche Bank in October 2016. He joined Deutsche Bank in 2009 as a Managing Director and Head of Financial Institutions Mergers and Acquisitions in the Americas, and was additionally named Vice Chairman of Financial Institutions in 2010. He later served as Head of Investment Banking in Japan from 2011 to 2013 and as Chairman of the Global Financial Institutions Group, based in New York, from 2013 until his retirement in 2016.

Prior to joining Deutsche Bank, Mr. Wetzel was a Senior Vice President and Head of Global Strategy and Business Development for Merrill Lynch & Co. Mr. Wetzel joined Merrill Lynch in its Financial Institutions Group (FIG) in 1992. From 2005 through 2008 he was based in Japan as Head of Merrill Lynch’s Asia Pacific FIG investment banking practice. In that role, he managed Merrill Lynch’s FIG businesses in Tokyo, Hong Kong, Seoul, Singapore, Sydney, and Mumbai. Prior to that assignment, Mr. Wetzel was based in New York and held the position of Head of Global Financial Institutions Mergers & Acquisitions. Before joining Merrill Lynch, Mr. Wetzel worked, beginning in 1985, in the Financial Institutions Group at the investment banking firm Salomon Brothers.

Through his more than 30 years as an investment banker covering financial institutions, Mr. Wetzel has extensive global experience advising major banking, insurance, asset management, financial technology, and specialty finance companies in mergers and acquisitions, securities offerings, and other financial transactions.

Mr. Wetzel graduated summa cum laude from the State University of New York at Buffalo in 1981 with a B.S. degree in business, and earned his M.B.A. from The University of Chicago Graduate School of Business in 1985.

Mr. Wetzel and his wife, Melissa, have four adult children and reside in New York City. They also spend time at their house in Vermont, where they enjoy skiing, biking, and kayaking.

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Charles DyReyes, CFA®

Director of Research, Rockefeller Asset Management

Charles DyReyes, CFA®, is a Senior Vice President and the Director of Research, Portfolio Manager for Rockefeller Asset Management. Mr. DyReyes leads the equity research activities across active, multi-factor passive, and thematic approaches while overseeing a team of equity analysts and partnering with senior leadership on the development of equity investment strategies. Prior to joining Rockefeller, he was a Portfolio Manager for Invesco’s large-cap value strategies. Before joining Invesco in 2015, Mr. DyReyes served as a senior equity analyst with Brandywine Global Investment Management, where he focused on large-cap equities and assisted in launching and managing a global all-cap value equity product. From 2006 to 2010, Mr. DyReyes served as vice president and senior analyst at Defiance Asset Management, LLC, managing a value long/short equity portfolio. Before joining Defiance, he served as a vice president and portfolio manager with Viking Investment Group, managing a long/short equity portfolio. Mr. DyReyes has also served as an equity and high yield credit analyst with PENN Capital Management and as an equity analyst with the Glenmede Trust Company, where he began his investment career in 2001. Mr. DyReyes earned a B.S. degree in Finance from Lehigh University and retains the Chartered Financial Analyst® (CFA) charterholder designation.

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CRAIG LEOPOLD, CFA®

Senior Portfolio Manager, Rockefeller Asset Management

Craig Leopold, CFA is a Portfolio Manager and a Managing Director within Rockefeller Asset Management. He is responsible for the management of the U.S. SMID Cap Strategy and is a Co-Portfolio Manager on the U.S. Small Cap, U.S. Small Cap ESG, and U.S All Cap ESG equity strategies. Mr. Leopold rejoined the firm after 17 years as a Senior Portfolio Manager at Columbia Management, where he managed several equity strategies including U.S. Equities and Global Infrastructure. He first joined Rockefeller in 1991 and worked as an Equity Analyst covering the consumer and technology sectors.

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ROLANDO F. MORILLO

Portfolio Manager, Thematic

Rolando F. Morillo is Senior Vice President and serves as Portfolio Manager for Rockefeller Asset Management’s thematic equity offerings, including the Climate Solutions Strategy and the Credit Suisse RockefellerSM Ocean Engagement Strategy. Mr. Morillo first joined the firm in October 2000 serving as an Equity Analyst focused on Latin America and renewable energy. Prior to joining Rockefeller, Mr. Morillo served as a portfolio assistant with UBS Private Banking-Latin America Division.

Mr. Morillo serves on the board of directors for The Ocean Foundation, is an advisor to the National Marine Sanctuary Foundation and received a B.S. in Environmental Economics and Geography from Rutgers University, and has obtained an Executive MBA from the Stern School of Business at New York University.

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DANIEL ROSENTHAL

VantageRock Co-Founder & Head of Research

Daniel Rosenthal is a Managing Director and Co-Founder & Head of Research of VantageRock, a long/short equity hedge fund within Rockefeller Asset Management. Prior to joining Rockefeller in 2020, he was a Portfolio Manager at MSD Capital, a private investment firm that manages the capital of Michael Dell and his family. Before MSD Capital, Mr. Rosenthal was on the founding team and a partner for over 10 years at Valinor Management, where he helped build the firm into a ~$3B Long/Short Equity hedge fund by the time he left. He previously held professional roles at Mayfield, IPWireless and McKinsey & Company. Mr. Rosenthal received a A.B. in Politics from Princeton University where he graduated with honors, and an M.B.A. from the Harvard Business School where he graduated as a Baker Scholar (top 5% of the class).

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MICHAEL SEO, CFA®

Portfolio Manager

Michael Seo, CFA, is a Managing Director and Portfolio Manager of our Global Equity strategies at Rockefeller Asset Management. He joined Rockefeller in 1999 as a Performance Analyst and subsequently assumed the role of Equity Analyst covering the global industrials sector and the role of Director of Equity Research. Mr. Seo is a Chartered Financial Analyst® charterholder and received a B.S. in Finance and Information Systems from the Stern School of Business at New York University.

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ALBERT P. SINDALL III, CFA®

Portfolio Manager

Albert P. Sindall III (Trey), CFA© is a Portfolio Manager within the Investment Group. Prior to joining the Investment Group, he was a Senior Performance Analyst with Rockit Solutions. Before he joined the Rockefeller, Mr. Sindall worked as an Investment Performance Analyst at Cambridge Associates. Mr. Sindall holds a B.S. in Analytical Finance from Wake Forest University and is a member of the CFA Society New York.

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Sheryl Tierney, CFA®

Director of ESG Research & Engagement

Sheryl Tierney, CFA, is Senior Vice President and Director of ESG Research & Engagement, Portfolio Manager for Rockefeller Asset Management. Ms. Tierney leads the ESG-integration and company engagement efforts across Rockefeller’s investment platform and is also responsible for overseeing Rockefeller’s frameworks for materiality mapping, incorporating ESG metrics into valuation models, quantifying ESG improvement, and assessing climate risks and opportunities. Prior to joining Rockefeller in August 2021, Ms. Tierney was a Senior Research Analyst evaluating ESG processes and ranked managers for inclusion in multi-asset and multi-manager portfolios for Russell Investments. Prior to joining Russell, Ms. Tierney spent two decades at First Eagle Investment Management, where she was a Senior Equity Analyst responsible for healthcare and consumer stocks.

Ms. Tierney is the recipient of several industry awards, most recently the 2019 Women in Asset Management Award. She received a B.A. from Boston College, where she graduated magma cum laude, and a post-baccalaureate certification from Columbia University. She is a Chartered Financial Analyst (R) charter holder and a Fundamentals of Sustainability Accounting (FSA) credential holder.

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ROCKEFELLER ASSET MANAGEMENT – PROFESSIONAL AND INSTITUTIONAL INVESTOR CONTENT

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Non-U.S. investors may learn more about our UCITS Funds here

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Rockefeller Climate Solutions Strategy
Climate change is a defining issue of our time. In 2012, we created the Rockefeller Climate Solutions Strategy, a portfolio of companies focused on producing climate mitigation or adaptation solutions that we believe will outperform equity markets over the long-term. Casey Clark, Deputy CIO and Global Head of ESG Investments, discusses how climate change is transforming economies and markets, creating long-term opportunities for companies delivering products or services that help reduce greenhouse gas emissions and adapt to a changing climate. Read the article here On December 9, 2020, we launched Rockefeller Climate Solutions UCITS Fund for non-U.S. investors. Non-U.S. investors may learn more about this opportunity here On July 22, 2021, we launched Rockefeller Climate Solutions 40 Act Fund for U.S. investors. U.S. investors may learn more about this opportunity here Contact us to learn more

Rockefeller Climate Solutions Strategy

Climate change is a defining issue of our time. In 2012, we created the Rockefeller Climate Solutions Strategy, a portfolio of companies focused on producing climate mitigation or adaptation solutions that we believe will outperform equity markets over the long-term.

Casey Clark, Deputy CIO and Global Head of ESG Investments, discusses how climate change is transforming economies and markets, creating long-term opportunities for companies delivering products or services that help reduce greenhouse gas emissions and adapt to a changing climate. Read the article here

On December 9, 2020, we launched Rockefeller Climate Solutions UCITS Fund for non-U.S. investors.
Non-U.S. investors may learn more about this opportunity here

On July 22, 2021, we launched Rockefeller Climate Solutions 40 Act Fund for U.S. investors.
U.S. investors may learn more about this opportunity here

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Strategies	Portfolio Manager	Inception Date
Global Equity	David Harris, CFA Michael Seo, CFA	1/1/1993
Global ESG	David Harris, CFA Michael Seo, CFA	1/1/1991
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Strategies	Portfolio Manager
Bloomberg Rockefeller Multi-Factor ESG Improvers Index	Casey Clark, CFA
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VantageRock Capital
VantageRock Capital is a female-led, fundamental-based, U.S. focused, multi-sector long/short equity strategy utilizing the co-founders’ experience running low net and a commitment to short selling, coupled with integrated ESG research and independent thinking, to pursue asymmetric risk/reward and strong alpha generation. Contact us to learn more

VantageRock Capital

VantageRock Capital is a female-led, fundamental-based, U.S. focused, multi-sector long/short equity strategy utilizing the co-founders’ experience running low net and a commitment to short selling, coupled with integrated ESG research and independent thinking, to pursue asymmetric risk/reward and strong alpha generation.

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Bloomberg Rockefeller Multi-Factor ESG Improvers Index (BRAMUT)
Rockefeller Asset Management and Bloomberg have partnered to launch the first in a suite of planned ESG Improvers Indices. This “next-gen” multi-factor Index leverages the Rockefeller ESG Improvers Score™ to provide differentiated ESG factor exposure, offering potential to outperform broad, traditional indices. View Press Release → View Index methodology → Contact us to learn more

Bloomberg Rockefeller Multi-Factor ESG Improvers Index (BRAMUT)

Rockefeller Asset Management and Bloomberg have partnered to launch the first in a suite of planned ESG Improvers Indices. This “next-gen” multi-factor Index leverages the Rockefeller ESG Improvers Score™ to provide differentiated ESG factor exposure, offering potential to outperform broad, traditional indices.

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View Index methodology →

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Strategies	Portfolio Manager	Inception Date
U.S. Large Cap	David Harris, CFA Michael Seo, CFA	7/1/1998
U.S. ESG Equity	David Harris, CFA Michael Seo, CFA	9/4/2018
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Strategies	Portfolio Manager	Inception Date
Non-U.S. Equity	David Harris, CFA Michael Seo, CFA	7/1/1998
Non-U.S. ESG Equity	David Harris, CFA Michael Seo, CFA	8/1/2018
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Strategies	Portfolio Manager	Inception Date
U.S. Small Cap Tax Aware	Jason Kotik, CFA	1/1/1989
U.S. Small Cap ESG	Jason Kotik, CFA	8/1/2011
U.S. Small Cap Core	Jason Kotik, CFA	10/1/2022
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Strategies	Portfolio Manager	Inception Date
U.S. SMID Cap	David Harris, CFA Jason Kotik, CFA	11/1/2017
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Strategies	Portfolio Manager	Inception Date
Long-Short Equity	Avery Sheffield Dan Rosenthal	10/1/2020
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Strategies	Portfolio Manager	Inception Date
Ocean Engagement	Jose Garza Rolando Morillo	9/30/2020
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Strategies	Portfolio Manager	Inception Date
Climate Solutions	Jose Garza Rolando Morillo	7/1/2012
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Strategies	Portfolio Manager	Inception Date
Short-Term Taxable ESG Fixed Income	Trey Sindall, CFA	11/1/2013
Short-Term Taxable Fixed Income	Trey Sindall, CFA	11/1/2012
Core Taxable ESG Fixed Income	Trey Sindall, CFA	1/1/2012
Core Taxable Fixed Income	Trey Sindall, CFA	1/1/2012
Intermediate Taxable Fixed Income	Trey Sindall, CFA	6/1/2017
Preferred Securities	Trey Sindall, CFA	6/1/2017
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Strategies	Portfolio Manager	Inception Date
Short-Term Tax Exempt Fixed Income	Alex Petrone	1/1/2012
Intermediate Tax-Exempt ESG Fixed Income	Alex Petrone	10/1/2014
Intermediate Tax-Exempt Fixed Income	Alex Petrone	1/1/2012
Long-Term Tax-Exempt Fixed Income	Alex Petrone	10/1/2013
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Low Wealth Partners

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MARK ALEXANDER

Head of Technology and Operations

Mark Alexander is Head of Technology and Operations for Rockefeller Capital Management. He is a member of the firm’s Management Committee.

Mark has nearly 40 years of experience in technology, operations, securities, derivatives, wealth management and banking – 24 of them with Bank of America Merrill Lynch in a succession of senior management roles including Chief Information Officer and Head of Technology and Operations for both Global Wealth and Investment Management and Global Markets. Most recently, he was CEO and member of the Board of Directors of iCreditWorks, a fintech start up transforming point-of-care lending for healthcare patients through a first-in-market and leading-edge mobile app, and as an external advisor to McKinsey, Broadridge and private equity firms. Since 2015, Mark has been serving as a Director of Ladder Capital Corp, a leader in commercial real estate finance.

Mark has played an active role in numerous securities industry associations in the U.S. and Europe and has served on the boards of Depository Trust and Clearing Corporation, where he was Lead Director in 2012/2013, Euroclear, LCH.Clearnet, the European Securities Clearing Corporation, the Government Securities Clearing Corporation, and the Participants’ Trust Company, where he was Chairman in 1996/1997.

Mark is a magna cum laude graduate of Hofstra University with a bachelor’s degree in accounting, was a certified public account at Deloitte & Touche for seven years, and holds an MBA in finance from the Stern School of Business at New York University.

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PHILIP KOLB

Head of Operations

Philip Kolb is Head of Operations at Rockefeller Capital Management. He is a member of the firm’s Management Committee.

Prior to Rockefeller, Phil was Managing Director and Head of Product Operations and Account Services at Morgan Stanley. In this capacity he was responsible for the full end to end service delivery of many of the Wealth Management Investment products offered through the firm’s financial advisor network.

Over the years, Phil has built an extensive network and has been a member of multiple Financial Services industry groups. Most recently he sat on the Executive Board at NICSA, and served as Chairman of the Membership Committee since 2016. He has been a member of DTCC’s Senior Advisory Board for Wealth Management and a Senior Committee Member of the Alternative Investment Platform (AIP). He has been a frequent contributor and speaker at industry conferences on topics including, the impacts of DOL Fiduciary Rule, the role of Artificial Intelligence in Operations and Alternative Investment operating standards.

Phil is an experienced leader who has held multiple management positions over his 35-year career in Financial Services. He has significant global experiences and influence and has resided in New York, New Jersey, Singapore and Zurich, Switzerland.

Phil has been active in various philanthropic and socially conscious endeavors. He currently is on the global Board of Directors of Kick4Life, a unique sports and education organization focused on transforming the lives of young men and women. Over the years he has been active with The United Way, The Xavier High School Alumni Giving Campaign, and various local New York/New Jersey charities and The Mary Millus Foundation, where Phil also serves on the Board.

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RUCHIR SHARMA

Chairman, Rockefeller International

Ruchir Sharma is Chairman of Rockefeller International. He is a member of the Firm’s Management Committee.

In this role, Ruchir serves as an advisor to the firm, a resource to our Rockefeller Global Family Office advisors and clients, and as a global brand ambassador for our international activities.

Prior to joining the firm, he worked for 25 years at Morgan Stanley Investment Management, most recently as Head of Emerging Markets and Chief Global Strategist. He was responsible for managing nearly $20 billion in assets – while achieving stature as a popular market and economic commentator in the print and broadcast media, including a current bi-weekly column for The Financial Times. He is also a prolific author of best-selling books, including “The 10 Rules of Successful Nations,” “The Rise and Fall of Nations,” and “Breakout Nations.”

He augments his research and writing on emerging markets with extensive travels to developing countries. In 2016, Barron’s Ruchir on its cover as “Wall Street’s New Global Thinker,” and he has been included in the World Economic Forum’s “Top Young Leaders” list and Bloomberg’s global “50 Most Influential People.”

Ruchir's other interests include a serious passion for running. He represented India in the 2011 World Masters Athletic championship in Sacramento and continues to train for the 100- and 200-meter sprints, regardless of where he is on the road. He considers running a factor in the discipline he brings to investing.

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Mooney Stanley Wealth Partners

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Richeda, Farr & Cassidy Wealth Partners

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Monarch Wealth Partners

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BRENDAN WELTER

Chief Information Security Officer & Chief Data Officer

Brendan Welter is the Chief Information Security Officer & Chief Data Officer for Rockefeller Capital Management. Brendan has 20 years of leadership experience focused on building innovative cybersecurity and risk programs within diverse global businesses, including commercial, private and investment banking.

Before joining Rockefeller Capital Management, Brendan served as Chief Security and Technology Officer at Sterling National Bank, where he was responsible for cybersecurity strategy, resiliency, governance and enterprise-wide technology services at the bank. Prior to Sterling, Brendan spent seven years with Credit Suisse where he held a number of firm-wide roles leading cyber security, technology risk management and product management. Earlier in his career, Brendan held senior roles with Oliver Wyman Group and NERA Economic Consulting.

Brendan received his bachelor’s degree from Fordham University’s Gabelli School of Business and his master’s degree from New York Institute of Technology College of Engineering and Computing Sciences. Brendan was a Military-Business Fellow with the Madison Policy Forum focusing on national cybersecurity policy. He also served as a Chair of the CISO committee within the Mid-Size Bank Coalition of America (MBCA) focused on influencing federal policy, regulatory affairs and collaboration across commercial, digital and consumer banks in the U.S.

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JANETTE CABALLERO JOVIC

Chief Marketing Officer

Janette Caballero Jovic is Chief Marketing Officer of Rockefeller Capital Management and a member of the Firm’s Management Committee. In her role, she is responsible for the vision, strategy and execution of Rockefeller Capital Management’s integrated end-to-end marketing functions, including brand, design, product marketing, thought leadership, communications and public relations, events, social media and multimedia.

Prior to joining Rockefeller, Janette held a succession of marketing leadership roles at various financial services firms, most recently as Head of Strategic Marketing & Content Communications for UBS Wealth Management’s U.S. division, where she oversaw brand strategy, digital marketing, creative solutions, editorial content, broadcast communications and advisor marketing teams in the HNW/UHNW marketplace. She spearheaded the launch of UBS Studios, creating podcasts and other video programs for advisors. At PGIM (the asset management arm of Prudential), as part of the Executive Office, Janette led development of the new brand. Previously, she worked in marketing at Pershing (a BNY Mellon company).

Janette holds an MBA in Marketing from Montclair State University and a bachelor’s in Communications from William Paterson University in New Jersey. She completed the Digital Marketing Strategies certification at Northwestern University’s Kellogg School of Management.

In 2018-19, Janette was named one of The Gramercy Institute’s Top 20 Rising Stars in Financial Marketing. She is a member of the Financial Communications Society and the New York Chapter of the Association for Latino Professionals in Finance and Accounting (ALPFA).

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CATHERINE MURPHY

Senior Regulatory Counsel & Head of AML and Sanctions Compliance

Catherine Murphy is Senior Regulatory Counsel & Head of AML and Sanctions Compliance. She is a member of the firm’s Management Committee.

Prior to joining Rockefeller, Catherine worked more than six years in the United States Attorney’s Office for the District of New Jersey, serving as an Assistant U.S. Attorney and then as Chief of the Economic Crimes Unit. There, she supervised and prosecuted complex financial fraud cases, including securities, commodities, and investment fraud schemes, corporate and bank fraud, and Foreign Corrupt Practices Act violations.

Previously, she spent more than eight years in private law practice in Washington, DC, and New York City, specializing in securities regulatory enforcement and litigation matters and representing broker-dealers and other financial institutions.

Catherine completed her bachelor’s degree in communication at Boston University (magna cum laude) and received her J.D., with honors, from The George Washington University Law School.

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KRISTEN SARIO

Divisional Director, Rockefeller Global Family Office

Kristen Sario is a Managing Director for Rockefeller Capital Management and serves as Divisional Director for the Southeast Division. Kristen is a member of the firm’s Management Committee.

Prior to joining Rockefeller, Kristen spent over 15 years with Morgan Stanley, most recently as Executive Director and Manager of the firm’s Carolinas Complex, comprising 350 financial advisors and support professionals serving clients and institutions representing some $30 billion in assets. Kristen joined the financial services industry in 2006, serving initially as an advisor and subsequently holding a variety of leadership roles.

While at Morgan Stanley, Kristen received the prestigious MAKER designation, recognizing her as one of the company’s leading women groundbreakers, innovators and advocates. Kristen is a graduate of the University of Florida and currently a candidate for her master’s degree from Duke University. She is a committed endurance athlete who is also active in her community. Kristen and her husband, Kevin, have three children, Ella Sage, London and Pierce.

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Paget Wealth Partners

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ROSE LEE

Head of Investment Solutions

Rose Lee serves as Managing Director and Head of Investment Solutions at Rockefeller Capital Management. She is a member of the firm’s Management Committee.

Before joining Rockefeller Capital Management, Rose served as Head of Structured Product Sales & Development at Credit Suisse, where she focused on cross-asset investor products, including exchange traded products. In six years there, she was also co-head of the global electronic structured products platform initiative, a member of the Americas Equity Derivatives Management Committee, and Director of the Promotion Committee. Prior to Credit Suisse, Rose spent 14 years at Goldman Sachs where she built the institutional structured solutions business and served as Head of Institutional Structured Notes. She also held multiple leadership positions in Synthetic Convertibles, Structured Equity Solutions, and the Structuring Sales Strategist group. She began her career in strategy consulting.

Rose holds an MBA from Columbia University and bachelor’s degree in psychology from Dartmouth College. She lives in New York City with her family.

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JOSE GARZA

Portfolio Manager, Thematic

Jose Garza is Senior Vice President and Portfolio Manager supporting Rockefeller Asset Management’s thematic equity offerings, including the Climate Solutions Strategy and as Portfolio Manager for the Credit Suisse RockefellerSM Ocean Engagement Strategy. Prior to joining Rockefeller in June 2021, Mr. Garza served as Portfolio Manager at GAMCO Investors, Inc. from 2018-2021 across energy, utility, and infrastructure funds. Principally, Mr. Garza was co-PM across the Gabelli global utility strategies, with $2.5 billion in AUM investing in products, services, or equipment companies for the generation or distribution of electricity, gas, and water. Mr. Garza began his career at GAMCO in 2007 as a member of the Utilities research team and rejoined the firm upon completing his graduate studies in 2013 as a research analyst covering Water and Infrastructure companies.

Mr. Garza earned a dual B.A. in Economics and Biology from Yale University and an M.B.A. from Columbia Business School, where he participated in the school’s renowned Value Investing Program.

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JASON THOMPSON

Chief Wealth Strategist

Jason R. Thompson is the Chief Wealth Strategist at Rockefeller Capital Management. Prior to joining Rockefeller Capital, Jason worked at Wells Fargo Private Bank in both the Philadelphia and Los Angeles offices. He started his career at PwC in their National Tax Services office in Washington, D.C. Jason has spent his career advising a select group of wealthy families on estate and gift taxes, philanthropy, business transition, and wealth preservation.

Jason earned his B.A. in Political Science from DePaul University, J.D. from Syracuse University College of Law, and LL.M. in Tax from Villanova University School of Law. His memberships include the Philadelphia Estate Planning Council, United States Tax Court, and American Bar Association.

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Bostwick Walters Group

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Bostwick Walters Group

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ERIC HEATON

Head of Finance, Risk Management and Strategy

Eric Heaton is Managing Director and Head of Finance, Risk Management and Strategy for Rockefeller Capital Management. In his role, he is responsible for leading the Finance, Risk and Strategic Client Solutions teams for the firm. In addition, he advises President & CEO Gregory Fleming on all strategic objectives, including growth plans, while working with leaders at Rockefeller Global Family Office on expanding product offerings across credit, banking, insurance, annuities, and retirement; with leaders in Strategic Advisory on accelerating growth in that business; and with the Head of Enterprise Coverage in developing key enterprise-wide client relationships. He is a member of the firm’s Management Committee.

Mr. Heaton brings more than 30 years of deep experience in leadership positions at some of the industry’s preeminent firms. Before joining Rockefeller, Mr. Heaton served for 10 years as President of U.S. Banks at Morgan Stanley, where he led banking and lending products for both the wealth management and institutional securities divisions. In his role, he oversaw two OCC-regulated banks with approximately $400 billion in assets. He also oversaw the firm’s Community Development Finance Group, responsible for meeting CRA obligations.

Prior to Morgan Stanley, Mr. Heaton was Head of the America’s Financial Institutions Group at Deutsche Bank, managing an investment banking team covering all subsectors of the financial services industry. Mr. Heaton began his career in 1989 at Merrill Lynch, where over two decades he held a series of senior leadership roles, including Global Treasurer, Head of Global Strategy and Business Development, and Co-Head of the America’s Financial Institutions Group.

Mr. Heaton holds a bachelor’s degree in economics from Dartmouth College.

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BURT MILLS

Head of Capital Markets

Burt Mills is Managing Director and Head of Capital Markets at Rockefeller Capital Management. In his role, Burt oversees a team which coordinates the offering and execution of Equities, Derivatives, Fixed Income, and Structured Solutions across the Rockefeller Global Family Office. Burt Joined the firm in June of 2019 where he initially led the platform build out and offering of Structured Products. Prior to Joining Rockefeller, Burt spent 15 years at Merrill Lynch in product Sales and Origination roles. At the time of his departure, he was a Director on the Structuring and Origination Desk for derivative based solutions. He is a graduate of Providence College with a Bachelor of Science degree in Finance. Burt is an avid runner, having completed marathons in New York and Philadelphia, and plays guitar. He resides in Huntington, Long Island with his wife and three children.

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JASON KOTIK, CFA®

Portfolio Manager

Jason Kotik, CFA®, is Managing Director and Portfolio Manager. Mr. Kotik is responsible for the U.S. Small and Smid Cap business for Rockefeller Asset Management. Prior to joining Rockefeller in June 2022, Mr. Kotik served as Lead Portfolio Manager for Aberdeen Standard Investments Small Cap Core strategy. Prior to joining Aberdeen, Mr. Kotik was an Equity Research Analyst at Allied Investment Advisors. Mr. Kotik began his career at T. Rowe Price.

Mr. Kotik received a B.S. in Business from the University of Delaware and a M.A. in Business from John’s Hopkins University and is a Chartered Financial Analyst® charterholder.

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PHILIPPE DESMARAIS

Philippe Desmarais co-founded Kelvin Zero in 2018. In his role as Chief Executive Officer, he is responsible for Kelvin Zero's strategic direction. Beyond building a world class team, he is the driving force behind Kelvin Zero's vision and unique culture. Philippe started his career in Shanghai as a buy-side analyst at Power Pacific before moving to Hong Kong for a position in the business development and treasury department at CITIC Pacific. For nearly a decade prior to Kelvin Zero, he was involved in several start-ups focused on data, cyber security, and blockchain.

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Adrienne Hart

Head of Philanthropy

Adrienne Hart is a Vice President and Head of Philanthropy at Rockefeller Capital Management, based in Philadelphia, PA. Prior to joining Rockefeller Capital Management, Adrienne was an associate in the Private Client Group at Troutman Pepper and a Fiduciary Advisor for Hawthorn, PNC’s Family Office Division. Adrienne has spent her career counseling ultra-high net worth individuals and families on matters of individual estate, tax, business succession, charitable and generational wealth planning and administration. Adrienne also counsels charitable and non-profit organizations on qualification for and maintenance of tax-exempt status. Adrienne is a member of the State Bars of Pennsylvania, New Jersey, and New York as well as the Philadelphia Estate Planning Council. Adrienne received her J.D. and LL.M from Villanova University Charles Widger School of Law.

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OLIVIA DELL

Olivia Dell is a Next-Gen Investor, Partner at Regeneration.VC, and Co-Founder of NOVA Impact, a private community of Next-Gen Investors, Entrepreneurs, and Philanthropists dedicated to collaboratively driving impact through investment, philanthropy, and advisory. Olivia has focused her career on supporting and investing in scalable technology transforming the world and created NOVA Impact to convene and galvanize Next-Gen and global leaders toward collaborative impact.

Through NOVA Impact, Olivia facilitates Next-Gen Educational Cohorts, Advisory Committees, Global Events, and has built an extensive platform that serves as a resource guide and vehicle to aggregate, highlight, track, and support technology and leaders in the Impact Space.

At Regeneration.VC, Olivia invests in and supports a portfolio of companies leveraging deep technological breakthroughs to scale solutions in the Climate Space. Olivia and her partners bring a diversity of experiences as operators, climate scientists, branding experts, and long-term investors.

Additionally, Olivia serves as a Member of the Board of Advisors of The Keep Families Giving Foundation, The University of Pennsylvania’s Center for High-Impact Philanthropy, Kollectiff, House Of Ventures, Climatetech.org, The Mayor of Austin’s Corporate Engagement Council, as a Member of Rockefeller Capital Management’s Next-Gen Advisory Council, and more.

Olivia shares time between New York City, her hometown of Austin, Texas, and Aspen, Colorado.

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MICHAEL P. MISCIAGNA

Head of RGFO Investment Banking Coverage

Michael Misciagna is the Head of RGFO Investment Banking Coverage at Rockefeller Capital Management. Michael joined the Strategic Advisory Group at Rockefeller Capital Management in April 2018.

In his role as Head of RGFO Investment Banking Coverage, Michael leads the delivery of our full suite of best-in-class investment banking capabilities to Rockefeller Global Family Office clients.

Michael has more than 14 years of investment banking experience across a variety of industries. Prior to joining Rockefeller, he was a Vice President at Galatioto Sports Partners, a boutique investment bank specializing in the global professional sports industry. Prior to joining Galatioto Sports Partners, Michael began his career in the Investment Banking group at Stifel Nicolaus Weisel, where he worked from 2008 to 2011, advising on numerous buy-side and sell-side M&A and public equity offering transactions.

Michael earned his MBA from Columbia Business School and a BS in Finance from Georgetown University. He is active in Georgetown University’s alumni interviewing program and serves as a volunteer with New York Professional Advisors for Community Entrepreneurs (NYPACE).

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The Maxwell Group

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STEVE VALENTINO

Co-President, Rockefeller Strategic Advisory

Steve Valentino is a Managing Director and Co-President of Rockefeller Strategic Advisory. He is a member of the firm’s Management Committee.

In his role, Steve helps leads the Strategic Advisory Group for Rockefeller and provides strategic advice to Rockefeller Global Family Office clients and outside Boards/Corporate C-Suites. He is a Co-Chair of the Executive leadership Committee for Strategic Advisory, a group responsible for the leadership of day-to-day operations and developing longer term direction for the business.

Prior to joining Rockefeller, Steve was the Global Co-Head of Financial Institutions at Deutsche Bank, based in New York where he was on numerous leadership committees. Before that, he was with Lehman Brothers where he led a Principal / Advisory Group that supported client transactions in the Global FIG markets. He has over 25 years of experience in investment banking and capital markets.

Steve Holds a Bachelor Degree from Rockhurst University, where he is currently the Chairman of the Audit Committee and past member of the Board of Trustees.

He lives in New York City with his wife and twin daughters.

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MITCH THEISS

Executive Chairman, Strategic Advisory

Mitch Theiss is the Executive Chairman of Strategic Advisory for Rockefeller Capital Management. Prior to joining Rockefeller in January 2019, Mr. Theiss spent 10 years in investment banking at Goldman Sachs and another 20+ years at Merrill Lynch / Bank of America Merrill Lynch, the last decade as Head of Global Industrials Corporate and Investment Banking.

During his career, Mr. Theiss has been involved in a wide range of investment banking activities from mergers and acquisition advisory, to capital raisings of all types – high-yield debt, IPO, follow-on equity offerings, convertible debt, leveraged lease financings and investment grade bonds.

His experience spans many industries from materials – he ran BAML’s Global Metals and Mining practice – to general industrial, and selected retail and telecom clients. His practice focuses principally on strategic advice for CEOs, other senior leaders and Boards of Directors.

Mr. Theiss has an M.B.A. from The Wharton School of the University of Pennsylvania.

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Ladage, Smith, Garcia, Wealth Partners

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Katherine DiSalvo

Senior Trust & Estate Advisor

As Senior Trust & Estate Advisor, Katherine DiSalvo is responsible for all business development activity for both Rockefeller Trust Company, N.A. and The Rockefeller Trust Company (Delaware), including serving as resident expert on trust and estate planning matters and interfacing with our most sophisticated clients and advisors. In addition, she is the first point of contact in addressing legal questions that arise in connection with fiduciary accounts in the Trust Companies.

Prior to joining the firm, Katherine served as a Partner at a boutique law firm in New York City where she advised on a wide range of complex trust, tax, and estate planning activities in support of ultra-high-net worth clients and their closely held companies and foundations. She received her Juris Doctorate from New York Law School where she graduated cum laude and her Bachelor of Arts in Political Science from the University of San Diego. Katherine is admitted to practice law in the State of New York and United States Tax Court. She is a member of the New York State Bar Association, New York County Lawyers Association, and the New York City Bar Association.

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The Jones Connolly Pollock Group

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Conclusion is based on a hypothetical ESG Improvers market cap weighted portfolio, which seeks to isolate pure ESG Improvement while controlling for sector and factor biases. The hypothetical back-tested performance shown here was not calculated in the same manner as the Bloomberg Rockefeller ESG improvers IndexTM Family because, among other things, no quality and low volatility factors were applied, and no negative screens were included in the analysis. The back-tested hypothetical performance information shown is not that of a Bloomberg Rockefeller ESG Improvers Index. Transaction costs are not considered in this analysis; reflects the reinvestment of all distributions. It is not possible to invest directly in an index. Actual performance will differ. Please refer to the disclosures and methodology at the end of this presentation and our whitepaper, ESG Improvers: An Alpha Enhancing Factor, for additional information regarding the universe, methodology and inherent limitations. For more information on the methodology reference: ESG Improvers: An Alpha Enhancing Factor (ESG-improvers-Whitepaper.pdf (rockco.com))

REIS Methodology for Quintile Analysis

Our ESG process centers around RAM’s proprietary materiality map, which was developed in collaboration with our equity and ESG analysts and based on guidance from SASB. We then conducted an extensive data mapping project to determine which metrics best quantify each material ESG issue. After integrating data from various data providers, we utilized academic imputation best practices to approximate missing values. This is especially important given that ESG data is not always available and is not reported in a consistent manner. Approximately 30-50% of the data used in calculating Rockefeller ESG Improvers Score™ (REIS) was derived in this manner. If ESG data were available for all issuers over all periods covered by this presentation, the hypothetical back-tested performance shown would likely have been different. To consider how material ESG issues can have varying impacts on financial performance, our issue weights are adjusted depending on the historical relationship between financial performance and material ESG metrics. We developed a quantitative process to determine material issue weights referred to as Rockefeller ESG Relevance Rankings™. When analyzing ESG improvement, we aim to capture the portion of observed change in a firm’s ESG scores unexplained by traditional financial metrics and firm characteristics. To that end, we run cross-sectional regressions between firms’ rolling 12-month change in ESG score and changes in key financial variables and firm characteristics. The Rockefeller ESG Improvers Score™ (REIS) is the vector of rgression residuals.

Limitations

ESG data is subjective and non-standardized, has a limited history, coverage gaps, challenges with timeliness and inherent biases. The analysis does not incorporate transaction costs.

Universe

The universe consists of developed market stocks. Over the time series of analysis, changes in coverage patterns may occur based on changes in data availability. For example, we see ESG data coverage improve gradually after 2016, particularly for mid and small-cap companies.

Backtested Performance

Each quarter, we form top and bottom quintile portfolios based on REIS values. Rebalancing of the portfolios based on REIS occurs quarterly. Within each quarter, portfolio constituent weights are adjusted monthly based on relative market cap. Portfolio monthly performance is backtested against Bloomberg Developed Markets Total Return Index over the time period of analysis.

Rebalancing

The backtested results were rebalanced quarterly based on REIS and monthly based on market capitalization.

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WILLIAM B. DREWRY

Managing Director, Strategic Advisory

William (Bill) Drewry is a Managing Director and Head of Technology, Media & Telecom at Rockefeller Capital Management. He has more than 15 years of advisory experience with media, technology, digital and private equity clients across a M&A, public equity, private capital, IG and HY debt deals. Just prior to joining Rockefeller he ran the Internet and Media Group at Truist Securities. From 2015 to 2019, Drewry was a Founding Partner and CEO at Pursuit Advisory, a boutique specializing in advising Media and Internet companies. Pursuit advised on over $15 billion of M&A and private capital transactions. Before Pursuit, Drewry was a Managing Director at RBC Capital Markets in the CME Group and led the media sector coverage across broadcast, entertainment and digital media. While at RBC, Drewry completed approximately 40 lead managed/joint bookrunner-role transactions over four years, across M&A, debt financing, and equity/private placements. Drewry was also the Chairman of Media Investments at Diamond Castle Holdings, a $2 billion private equity firm. He was a board member for Bonten Media Group while at DCH.

Drewry spent over a decade in equity research includes tenures with Credit Suisse and DLJ as a Managing Director. As a top ranked equity analyst for over a decade, he achieved a #1 ranking in the Institutional Investor annual All American Research Team four times and was ranked #2 an additional three times. He held a top 3 ranking across multiple sectors for 11 consecutive years prior and was the Global Head of Media at Credit Suisse in his last research position. Drewry began his career with Paine Webber, Inc./Kidder, Peabody & Co.

Drewry holds a bachelor’s degree in history from Old Dominion University, where he is a Trustee of the ODU Athletic Foundation board.

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SCOTT SPIETH

Managing Director, Strategic Advisory

Scott Spieth is a Managing Director and Head of Strategic Shareholder Advisory at Rockefeller Capital Management. Mr. Spieth provides strategic advisory services related to mergers & acquisitions, corporate governance, and contested shareholder situations.

Prior to joining Rockefeller in 2022, Mr. Spieth was a Senior Managing Director for six years at Evercore in the Strategic, Defense and Shareholder Advisory practice, where he focused on advising companies facing shareholder activism and other hostile activity. Previously, he was a Managing Director in the Deutsche Bank M&A group where he spent 10 years sourcing and executing transactions for public and private companies across industry sectors.

Mr. Spieth served for six years in the U.S. Army as an infantry officer. He received an M.B.A. from the Harvard Business School and B.S. in Economics from the United States Military Academy at West Point.

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JAMES O'SULLIVAN

Board Member

James O’Sullivan is President and Chief Executive Officer of IGM Financial Inc., one of Canada’s leading diversified wealth and asset management companies. IGM Financial’s core companies include IG Wealth Management and Mackenzie Investments, and the company also holds strategic investments in a range of international companies, including Rockefeller Capital Management.

Mr. O’Sullivan joined IGM Financial in September 2020 following a 29-year career at Scotiabank, where he most recently had global oversight of the bank’s asset management and wealth management businesses in addition to the bank’s Canadian personal and commercial banking businesses. During his career at Scotiabank, he also held leadership roles in the investment banking, mergers and acquisitions, personal and commercial banking, and insurance areas of the company.

He holds joint Juris Doctor and Master of Business Administration degrees from Osgoode Hall Law School and Schulich School of Business at York University as well as a Specialized Honours Bachelor of Arts degree in Mathematics from York University.

Mr. O’Sullivan is currently a member of the Board of Directors of Rockefeller Capital Management; a member of the Dean’s Advisory Council, Schulich School of Business; a member of the Regimental Senate, 48th Highlanders of Canada; and a member of the Board of Directors for the Soulpepper Theatre Company.

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ANDRÉ DESMARAIS

Board Member

André Desmarais is Deputy Chairman of Power Corporation of Canada, an international management and holding company that focuses on financial services in North America, Europe and Asia. He has held this position since 2008 and been a member of the board since 1988. Previously, he served as President and Co-Chief Executive Officer of Power Corporation from 1996 until his retirement in February 2020.

At Power Financial, a wholly owned subsidiary of Power Corporation of Canada with interests in financial services and asset management businesses in Canada, the United States and Europe, he was also Executive Co-Chairman from 2015 until 2020, Co-Chairman from 2008 to 2015, and Deputy Chairman from 1996 to 2008. Prior to joining definitively Power Corporation in 1983, he served as Press Secretary and Special Assistant to the Minister of Justice and Attorney General of Canada. Subsequently, he became Institutional Salesman, Options, at Richardson Greenshields of Canada in Toronto.

Mr. Desmarais is a director of many Power Corporation group companies, including Power Financial, Great-West Lifeco, Canada Life, Empower, Putnam Investments, IGM Financial, IG Wealth Management, Mackenzie, and Power Sustainable Capital. He has been a director of Rockefeller Capital Management General Partner L.L.C. since 2023. He was a director and Vice-Chairman of Pargesa in Europe until 2020; of Bellus Health Inc. until 2009; and of CITIC Pacific Ltd. in Asia until 2014.

Over the years, cultural, health, and other not-for-profit organizations have benefitted from his commitment, involvement, and dedication. He has played key roles in a number of fundraising campaigns, including those of the Montreal Museum of Fine Arts, the Montreal Heart Institute, the Montreal General Hospital Foundation, Leucan, the Canadian Red Cross, the Canadian Cancer Society, Centraide of Greater Montreal and the Jean Paul Riopelle Foundation. He is Chairman of the Fondation Baxter & Alma Ricard, a member of the Chairman’s International Advisory Council of the Americas Society, Honorary Chairman of the Canada China Business Council, and a member of the Trilateral Commission and several China-based organizations.

Mr. Desmarais, a native of Ottawa, Ontario, holds a Bachelor of Commerce from Concordia University. He is an Officer of the Order of Canada and of the Ordre national du Québec and has received honorary doctorates from Concordia University, the Université de Montréal and McGill University.

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JEFFREY ORR

Special Advisor to the Board

Mr. Orr was appointed President and Chief Executive Officer of Power Corporation in February 2020.

He has extensive experience in the financial services industry, including the past two decades in executive positions in Power group companies. He has been President and Chief Executive Officer of Power Financial since 2005. From 2001 to 2005, he was President and Chief Executive Officer of IGM Financial. Prior to joining IGM Financial, he was Chairman and Chief Executive Officer of BMO Nesbitt Burns and Vice-Chair, Investment Banking Group, Bank of Montreal.

He serves as a director of Power Corporation and Power Financial. He is also a director and Chairman of a number of Power Corporation subsidiaries, including Great-West Lifeco, Canada Life, Empower, Putnam Investments, IGM Financial, IG Wealth Management and Mackenzie. He is also a director of PanAgora Asset Management Inc.

Mr. Orr is active in various community and business organizations. He holds a Bachelor of Arts — Honours Business Administration (HBA) degree from the Richard Ivey School of Business in London, Ontario.

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ALEX PETRONE

Director of Fixed Income

Alex Petrone is Managing Director and Director of Fixed Income for Rockefeller Asset Management. She is a member of the firm's Management Committee. Ms. Petrone is responsible for leading Rockefeller Asset Management’s Fixed Income business – setting strategy, driving investment performance, and working closely with clients and prospects. Prior to joining Rockefeller in September 2022, Ms. Petrone was a senior member of PIMCO’s municipal portfolio management, municipal product strategy, and global wealth management teams. Ms. Petrone’s responsibilities included buy and sell decisions, portfolio construction, and risk management for the firm’s taxable and tax-exempt municipal bond allocations. Prior to joining PIMCO, Ms. Petrone worked at Goldman Sachs Asset Management as a senior lead client portfolio manager within the municipal team and as a member of Morgan Stanley Smith Barney’s Capital Markets team for municipal sales and trading.

Alex received a B.A. in Economics from Harvard University.

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Reed RGFO

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STEPHANIE CARPON

Head of Total Rewards & HRIS

Stephanie Carpon serves as Managing Director and Head of Total Rewards & HRIS at Rockefeller Capital Management. She is a member of the firm’s Management Committee. In this role, Stephanie is responsible for compensation, benefits, payroll, and HR technology across the firm. Stephanie initially joined the organization in March of 2020.

Prior to Rockefeller, Stephanie spent much of her career at BNY Mellon in various Human Capital leadership roles supporting the Investment Management division. Most recently before joining Rockefeller, she supported the BNY Mellon Wealth Management division where she was responsible for partnering with executive leaders to implement and achieve global reward strategies. Stephanie earned her bachelor’s degree from Allegheny College and master’s degree from Duquesne University.

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CHARLENE CELONA

Head of Advisor Performance & Compensation

Charlene Celona is the Head of the Advisor Performance & Compensation group at Rockefeller Capital Management. In this role, Charlene leads the firm’s strategy and execution for tracking and reporting of all RGFO Advisor performance. Additionally, she is responsible for the administration and finance-related support of the RGFO Compensation plans. In partnership with RGFO Field Leadership and the Technology organization, Charlene’s team provides end-to-end support for the suite of Advisor reporting tools for performance and compensation. She is part of the firm's Management Committee.

Charlene joined Rockefeller Capital Management in March 2019 and served as Head of PWM Business Management Reporting before moving to her current role in January of 2022. Prior to joining Rockefeller, Charlene held a series of leadership roles with Merrill Lynch and Bank of America in Operations and Technology, Finance, Sales Distribution and Securities Based Lending. She has also held leadership roles with RCN, Ansercomm Communications, and Computer Associates International.

Charlene holds a bachelor’s degree in accounting from Rider University and is a graduate of the Securities Industry Institute’s Leadership Development Program conducted at the Wharton School of Business. She holds FINRA Series 7 and 99 designations.

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JAMES RAJESHVINCENT

Head of Enterprise Architecture and Platforms

Janette Caballero Jovic is Chief Marketing Officer of Rockefeller Capital Management and a member of the Firm’s Management Committee. In her role, she is responsible for the vision, strategy and execution of Rockefeller Capital Management’s integrated end-to-end marketing functions, including brand, design, product marketing, thought leadership, communications and public relations, events, social media and multimedia.

Prior to joining Rockefeller, Janette held a succession of marketing leadership roles at various financial services firms, most recently as Head of Strategic Marketing & Content Communications for UBS Wealth Management’s U.S. division, where she oversaw brand strategy, digital marketing, creative solutions, editorial content, broadcast communications and advisor marketing teams in the HNW/UHNW marketplace. She spearheaded the launch of UBS Studios, creating podcasts and other video programs for advisors. At PGIM (the asset management arm of Prudential), as part of the Executive Office, Janette led development of the new brand. Previously, she worked in marketing at Pershing (a BNY Mellon company).

Janette holds an MBA in Marketing from Montclair State University and a bachelor’s in Communications from William Paterson University in New Jersey. She completed the Digital Marketing Strategies certification at Northwestern University’s Kellogg School of Management.

In 2018-19, Janette was named one of The Gramercy Institute’s Top 20 Rising Stars in Financial Marketing. She is a member of the Financial Communications Society and the New York Chapter of the Association for Latino Professionals in Finance and Accounting (ALPFA).

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JENN TSAHALIS

Chief of Staff, Technology & Operations

Jenn Tsahalis is Chief of Staff for Technology & Operations for Rockefeller Capital Management. She is a member of the firm's Management Committee. In her role, Jenn ensures integration and alignment of all strategic technology and operations priorities by partnering closely with stakeholders from across the organization, and is also responsible for digital experience design, project management, business analysis, quality assurance, budget planning and forecasting, strategic planning, and change management.

Prior to joining Rockefeller, Jenn held executive positions within the Client Services & Technology divisions of TIAA, including CAO for the Global Technology and Operations team and COO for TIAA Digital. Prior to TIAA, Jenn was Head of Delivery for the Digital and Client-Facing Technology divisions within Bank of America and Merrill Lynch, where she led the multi-year build of the online & mobile platforms among other high profile, strategic initiatives. Earlier in her career Jenn held roles of increasing complexity at Accenture, Razorfish and Fidelity Investments. Jenn holds a Bachelor of Science in Electrical Engineering from the University of Vermont.

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