WAISC

Capital Introduction Showcase 2008

 

Capital Introduction Showcase
sponsored by

The Capital Introduction Showcase will feature a presentation by each participating
Hedge Fund Management company and an opportunity for attendees to question the presenters individually. This rotating format allows you to gain knowledge quickly and efficiently, with direct access to the information you need. This showcase is where you need to be for one-on-one interaction with Hedge Fund Managers.

Companies are listed in alphabetical order. Click on a logo to view detailed information.

 

 

 

 

 

 

 

 

 





 

Alpha Scout Capital Management (Alpha Scout) is affiliated with Artemis Corporation, a Group specializing in multi-component alternative investment products. Alpha Scout’s flagship product, The Alpha Scout Fund, is a Fund of Hedge Funds focused on the Canadian alternative investment landscape. The Alpha Scout Fund was launched in 2005 to address institutional and individual investor demand for optimally-constructed alternative investment vehicles. The Fund targets capital preservation, low volatility, and strong absolute returns employing a diversified, yet tactical approach by investing in top Canadian alternative asset managers and strategies. The principals have in-depth knowledge of the alternative asset class, international experience in mature and emerging markets, and deep-seated industry relationships.The Fund has successfully met its objectives to date outperforming industry benchmarks since inception with less volatility than the S&P/TSX. For more information please visit www.alphascoutfund.com.
Claude Robillard, Managing Partner
Most recently, Mr. Robillard was a founding partner of an international asset management company launched in New York that subsequently expanded to Hong Kong and Toronto, where he and his Group structured over USD $3 billion in public company investments, primarily in US and Asian markets. Prior experience includes senior roles within the capital markets and asset management divisions of HSBC Bank, RBC Royal Bank, and CIBC, with a focus on alternative asset classes, equity structured products, equity finance and commodity products. He recently co-founded a European-based real estate investment group focused on development and infrastructure projects in Eastern Europe.
Mr. Robillard received his B. Comm. from McGill University, and completed his MBA at TRIUM, an alliance of the London School of Economics and Political Science, HEC Paris and New York University’s Stern School of Business.
Burlington Capital Management Ltd. is an Ontario corporation which manages investment products geared to sophisticated investors. Headquartered in Burlington, Ontario, about 45 minutes west of Toronto on Lake Ontario, the company is run by Allan Brown and Geoff Barth.
The portfolio management team of Allan and Geoff have worked together for over 11 years. Both managers have managed a number of investment funds in a variety of asset classes and have each individually as well as jointly compiled strong track records of investment performance. Allan and Geoff at one time managed a combined $6 billion in assets, including the largest Science & Technology fund and one of the largest Canadian Equity funds in Canada. Allan and Geoff were also partners in a New York based hedge fund prior to forming Burlington Capital Management Ltd.
Burlington Capital Management Ltd's objective is to generate consistent absolute performance on an annual basis regardless of the market environment and to carefully preserve capital.
Allan P. Brown, CEO & Portfolio Manager
Allan Brown, along with Geoff Barth, co-founded Burlington Capital Management Ltd. in September 2004. Allan is a proven portfolio manager with 13 years of investment experience, including 10 years managing portfolios. Allan combines a background in economics and financial analysis with a number of years of equity research and portfolio management.
Prior to co-founding Burlington Capital Management, Allan co-founded Zinc Capital Management LLC; a New York based long/short equity hedge Fund. Allan was a Partner and Portfolio Manager at Zinc Capital which grew from inception to $129M in assets at its peak. At Zinc, Allan researched and traded a variety of sectors including Technology, Retail, Energy and Special Situations.
Prior to Zinc, Allan was Senior Vice President and Portfolio Manager at AIC Ltd., the 10th largest mutual fund company in Canada. At AIC Allan was co-manager of four sector series mutual funds focused on the Science & Technology sectors. Allan was responsible for the launch of three of these funds, and responsibility was assumed for the fourth on a manager change. The funds had combined assets of over $80 million.
Prior to AIC, Allan was a Partner and Portfolio Manager with Investors Group, Canada's largest mutual fund company. At Investors Group, Allan managed the Investors Summa fund, one of the largest Canadian Equity funds in the country. During his management tenure, the fund from $230M to over $3B in assets and achieved a Morningstar 5-star rating. Allan also launched and co-managed the Investors Global Science & Technology fund, which grew to become the country's largest technology fund with $2B in assets.
Allan is a Chartered Financial Analyst. Allan is also a graduate of the MBA program at McGill University in Montreal, Quebec, Canada, where he received the International Scholarship Foundation Entrance Scholarship. Allan is also a graduate of the University of Western Ontario, where he received an Honours Bachelor of Arts degree in Economics. At Western, Allan received both entrance and in-course scholarships based on academic excellence.

Creststreet is a leading investment management firm specializing in structuring and managing high quality energy investment products for Canadian and international institutional and affluent investors.
Our mission is to provide the highest quality energy investment funds available in the Canadian capital markets in both traditional energy (oil and gas) and alternative energy (non-carbon emitting sources). Creststreet manages several energy investment products including flow-through limited partnerships, Creststreet Mutual Funds Limited and the number one ranked global energy hedge fund, according to Barclays’ Global Hedge Fund Rankings.
Grant Bunker, Vice President, Business Development
Grant Bunker joined Creststreet in 2006, bringing with him nearly a decade of sales experience in the financial services industry.
Prior to joining Creststreet, Grant held the position of Regional Sales Manager, responsible for investment sales, marketing and client services for a Canadian-based $1 billion managed futures fund. From 1996 to 2004, Grant was Senior Account Manager at Great-West Life Assurance Co., in Toronto.
Grant’s holds the Certified Investment Management (CIM) designation and his academic credentials include a Masters of Business Administration from the Schulich School of Business with a specialization in Finance and Strategy, and an undergraduate (honours) degree from the University of Guelph.

DDX Capital Partners LP seeks absolute return on capital through a market neutral, long-short hedged style focused exclusively on a select universe of U.S. listed equities. The managers use an automated behavioral-based model to screen for long and short candidates supplemented by in-depth sector research to identify pair based trades.
All securities held or shorted by the fund must operate within our chosen industry sectors, trade on the NYSE or Nasdaq at least 500,000 shares per day and have a minimum market cap of US$500 million. The current DDX Capital Partners eligible investment universe comprises over 500 companies with a combined market capitalization exceeding US$4 trillion.
Tom Steen, Managing Partner, Business Development
Tom is Managing Partner, Business Development at DDX Capital Partners LP.
Prior to joining DDX in March 2008, Tom had accumulated extensive experience in derivative trading, structuring, marketing, risk analysis, and management over the last 18 years and has spent part of his career in Japan and New York. Most recently Tom was the co-founder of a Japan-focused value fund advised by Ottoman Research Group in Tokyo where he was responsible for business development and equity/derivative trading. From 1999-2004, Tom was a Managing Director and Head of Global Equity Linked Products at Merrill Lynch Canada.
Tom holds a B.Sc. in Electrical Engineering from Pennsylvania State University and an MBA from the International University of Japan / Amos Tuck School of Business.

ETF Capital Management (ETFCM) was founded to offer an outstanding value proposition to investors. We blend traditional old world values and cutting edge modern thinking to offer the first truly comprehensive solution for global investing - the “Global Portfolio Solution Fund”.
Using Exchange Traded Funds and our PIC process - we bring the world of global investing to our clients. The greatest challenge facing a global fund is determining where in the world to be and when. How does one pick the best investments when there are far too many choices? How does one determine optimal entry and exit points around the world 24/7 when it is extremely challenging just to beat the domestic index? Can a single investment fund bring together equities, fixed income, commodities, and currencies without prohibitive cost and foreign current risk for investors?
A better global investment fund calls for a more robust navigational model. Probability Indicator Convergence (PIC), is our proprietary set of technology and processes developed by renown technical strategist, Larry Berman. We don’t PICK investments - they “PIC” themselves by standing out when multiple success factors align. This unique approach to probability metrics is designed to control risk and deliver absolute returns in any market condition. Our goal is to never stand still because a particular asset class, region, or investment style is out of favor; moving around the world seamlessly as required to produce consistent and positive returns.
We allocate capital cost-efficiently and exclusively by way of Exchange Traded Funds (ETF). This allows us to bring the best of the world to our clients in the form of a total global portfolio solution; while providing a favorable value to investors. We are confident in our ability to generate exceptional returns for clients, thus our performance fee is only calculated on returns in excess of our generous hurdle rate.
Larry Berman, Co-Founder of ETF Capital Management
Larry M. Berman is a Co-Founder of ETF Capital Management, and brings nearly twenty years of industry experience to the role of Chief Investment Officer. Larry has been consistently ranked as one of Canada’s “Top 3 Analysts” according to institutional investor surveys.
Larry began his career as a Toronto based investment advisor in 1989 and completed a technical internship in New York with the Market Technicians Association (MTA) in 1994, where he studied the techniques of many top Wall Street technicians. Prior to founding ETFCM, he was Chief Technical Strategist and Managing Director for CIBC World Markets since 1997. Larry was a senior technical analyst for Thomson IFR in Boston and senior technical analyst and trader for Marleau, Lemire Futures in Toronto.
Larry is a Chartered Market Technician (CMT), a Chartered Financial Analyst (CFA), and is a US registered Commodity Trading Advisor (CTA). Larry is the primary author of the textbook for the technical analysis course offered by the Canadian Securities Institute (CSI), which is the primary source of education for technical analysis in Canada. Larry is past President of the Canadian Society of Technical Analysts (CSTA), past Vice-Chairman (Americas) of the International Federation of Technical Analysts (IFTA), and is currently the Vice-President of the Market Technicians Association (MTA). Larry’s opinions frequently appear in the media, and he is a featured weekly on BNN’s (formerly RobTV) Berman’s Call.
Larry graduated from York University with a BA in Economics.
Predecessor companies to Front Street Capital began as a focused and dedicated alternative asset management group with initial assets of approximately $400 million. The firm has since grown to over $3 billion among various long/short equity strategies, mutual funds, limited partnerships and trusts, all structured for maximum tax benefits and designed to meet the needs of investors.
Privately-held and independent, Front Street Capital is rapidly becoming a preferred choice for individual and institutional investors, looking to elevate returns with strategies and products designed to provide superior performance, and/or tax efficiency in a variety of market conditions.
Front Street Capital partners are the largest investors in each of the products, with over $250 million invested.
Chris Fontana, National Director of Sales
D. Christopher Fontana is the National Director of Sales at Front Street Capital.
Mr. Fontana has been involved in the investment industry since 1994 and joined Front Street Capital in 2003. His responsibilities include managing the Canadian sales and marketing team and building retail and institutional relationships.
Before joining Front Street Capital, Mr. Fontana was V.P Sales for Synergy Mutual Funds from 2000-2003. Prior to 2000 he was employed as a retail broker at RBC Dominion Securities.
Mr. Fontana is a Chartered Financial Analyst and holds a Bachelor of Arts Degree from McMaster University.
Fortress Investment Group is a leading global alternative asset manager with approximately $35.1 billion in assets under management (fee paying) as of June 30, 2008. Fortress is headquartered in New York and has affiliates with offices in Chicago, Dallas, Frankfurt, Geneva, Hong Kong, London, Los Angeles, Munich, New Canaan, Rome, San Francisco, San Diego, Sydney, Tokyo and Toronto.
Fortress was founded in 1998 as an asset-based investment management firm with a fundamental philosophy premised on its alignment of interests with the investors in its funds. Fortress raises, invests and manages private equity funds and hedge funds. Fortress intends to grow its existing businesses, while continuing to create innovative products to meet the increasing demand by sophisticated investors for superior risk-adjusted investment returns.
Howard Steinberg, Managing Director
Howard Steinberg joined Fortress Investment Group in March 2005 as a managing director to lead the corporate lending and investing team in Canada. Fortress Investment Group is a leading global alternative asset manager with approximately $34.2 billion in assets under management as of March 31, 2008.
Fortress is headquartered in New York and has affiliates with offices in Chicago, Dallas, Frankfurt, Geneva, Hong Kong, London, Los Angeles, Munich, New Canaan, Rome, San Francisco, San Diego, Sydney, Tokyo and Toronto.
Prior to joining Fortress, Mr. Steinberg was a senior vice president within the Commercial Finance division of General Electric Corporation overseeing the Canadian operations of the National Restructuring Group. In addition, Mr. Steinberg was formerly a managing partner at RBC Capital Partners Inc. where he managed investments within the merchant banking fund, telecommunications fund, and a wide assortment of technology related investments. Mr. Steinberg received a Masters of Business Administration from Ivey Business School, University of Western Ontario, and is a Chartered Financial Analyst charter holder.
Greenrock Asset Management, founded by Richard D. McGraw in 2007, was created to offer focused investment products in the clean technology sector which promises to be a tremendous growth area for decades to come. With a disciplined, proven investment methodology and extensive investment experience, Greenrock is applying its technology, business and investing expertise to generating long-term value growth for its clients.
Peter Hofstra, Vice President and Founding Portfolio Manager
Peter has more than 20 years of technology, business and investing experience, including a term as a Research Chemist with Xerox Research, and eight years with Luxell Technologies, a public Canadian tech firm he joined in the early stage and served as Vice President of Research & Development. Prior to joining Greenrock, Peter was six years with one of Canada’s largest money managers where he served as Portfolio Manager of a Science & Technology fund. Peter holds a B.Sc in Chemistry, a Ph.D in Engineering Physics and holds his CFA designation. He brings a unique combination of technology training, business experience and investment discipline to the Greenrock team. As Portfolio Manager he uses a ‘bottoms up’ analysis to select attractively valued investments and embraces the challenge of comprehending the many innovations occurring in the cleantech industry.

For any further information on Greenrock Asset Management or the Greenrock Global Cleantech L.P., please contact Chris Doll at 416-944-2700 or cdoll@greenrockfunds.com.
Established in January 2001, JCClark is a Toronto based 14-person hedge fund management firm. JCClark was founded by John Clark, former chairman of the Toronto Stock Exchange, co-founder of Connor Clark & Co., a leading wealth management firm and co-founder of Connor, Clark & Lunn a large pension fund manager. He has 40 years of investment management experience and over 20 years of long/short experience. He has successfully managed money through 6 bear markets during his career. JCClark manages approximately $300 million predominantly in long/short equity strategies.
The managers are supported by an investment team, trader, in-house compliance officer, operations staff and business development personnel. The firm focuses on opportunistic, high-return investment opportunities and emphasizes open and transparent client relationships.
Website: www.jcclark.com Email: swynn@jcclark.com Phone: 416.361.4533
Sean Wynn, Director of Marketing
Sean Wynn is the Director of Marketing at JCClark and is responsible for the firms’ marketing and business development initiatives.
Mr. Wynn joined the firm in 2006, and has more than ten years experience in the financial services industry in various roles. Mr. Wynn received a Bachelor of Arts degree from the University of Western Ontario in 1994 and has also completed the Canadian Securities Course (1998), the Conduct & Practices Handbook Course (1999), Branch Manager Course (2002) and Level II Life License (2004).
Prior to joining JCClark, Mr. Wynn served as Director of Investments at Laurentian Financial Services, a Regional Sales Director for Desjardins Financial Security and a Financial Advisor at Merrill Lynch Canada, where he started his career.
Mr. Wynn also currently serves as Co-Chair of the AIMA Canada Sales Practices Committee.
Jemekk Capital Management is a Canadian based, employee owned, private investment management firm. The company is registered and licensed in Ontario as an Investment Counsel & Portfolio Manager and Limited Market Dealer..
Jemekk Capital Management is responsible for making investment decisions on behalf of institutional, high net worth and pooled clients, with the objective of providing consistent, positive, absolute returns. The company was formed in March of 2004 and launched its first product, the Jemekk Long/Short Fund L.P., in July of 2004. Jemekk Capital Management is also the manager of the Jemekk Long/Short Canada Fund, launched in September of 2005, available to non-Canadian residents.
The company strives to achieve its investment goals through long and short investments in common equities, convertible bonds and options primarily in the North American capital markets.
Jemekk's core competence is the expertise of its management team with a combined 30 years of buy and sell side experience in public market research, trading, portfolio management, portfolio structuring and risk management.
Mark Tredgett MCs
Prior to joining Jemekk Capital Management in 2006, Mark was the Director of National Bank Financial's Hedge Fund Group (2004 - 2006). At National Bank, Mark was responsible for identifying, publishing and communicating Canadian investment opportunities to the North American hedge fund community. In this capacity, Mark developed a reputation as a capable and insightful identifier of value and investable ideas. In addition to direct client coverage, Mark also managed NBF's hedge fund team, the fastest growing segment within NBF's institutional cash equities business.

Prior to joining National Bank, Mark was a Vice President of Institutional Equities at Credit Suisse First Boston (CSFB) and Robertson Stephens in London , England (1998 - 2003). While at CSFB and Robertson Stephens, Mark managed relationships with European asset managers focused on North American equities.

Mark graduated from the University of Western Ontario with a bachelors degree in Economics (1991), and earned a Masters degree from the London School of Economics (1998).
Landry Morin was started in 2002 to exploit a price momentum based approach to stock selection to generate above-average market neutral returns. Our purely quantitative approach uses a proprietary algorithm based on a well documented and persistent phenomenon of continuation of medium term returns: a stock that has outperformed (underperformed) in the past 6-12 months tends to continue to outperform (underperform) for the next 6-12 months, before a “return to the mean” occurs.
The Landry Morin long/short momentum fund is a market neutral, large to mid-cap equities fund that invests in a well diversified portfolio of over 150 stocks in 13 different markets globally. The fund is managed by Jean-Luc Landry – a past CEO of a $10 billion asset management firm – who has spent more than 10 years developing the quantitative momentum based strategy used by Landry Morin. Two analysts perform ongoing research to maintain and continually improve the proprietary algorithm and database of the firm.
www.landrymorin.com
Richard Morin, Chief Operating Officer
Richard Morin obtained a B.Sc. in Economics from the University of Montreal in 1982 and an MBA from McGill University in 1988. Richard has 20 years of experience in financial markets in Canada and abroad. Richard spent 10 years at the Montreal Exchange, including 5 years as vice president of Operations for the financial derivatives and equity options markets.
From 1996 to 1998, Richard was Chief Executive of the Stock Exchange of Mauritius. In 1998 and 1999 he helped establish an electronic regional stock exchange and central depository for securities in West Africa. From 1999 to 2001, Richard managed the discount brokerage division of the National Bank. Richard is Chief Operating Officer of Landry Morin.
Mau Capital Management LLC is a Delaware incorporated limited liability company based out of Point Roberts, Washington. The company manages a small cap resource fund that specialises in negotiating private placements in public companies (PIPE). Those vehicles enable us obtain shares at discount to market price, with free warrants which offer additional risk-free leverage.
John Lee, CFA, is Mau’s general manager. Since 2001, Mr. Lee has researched hundreds of mining companies and personally met with dozens of management teams. Mr. Lee also actively consults and advices resource companies on project acquisitions, strategic marketing and corporate financing. He is a sought-after speaker at all major resource conferences and publisher of articles at various online news websites such as Kitco.com. Those activities help him establish an extensive network of industry contacts.
Our portfolio is designed to have a very low correlation to all other types of asset classes. This complements well to your existing asset mix. Mr. Lee invests his own money in the company and spends most of time in Vancouver, Canada, the home to well over 1,000 junior resource companies, to find the best investment opportunities for our clients.
John Lee, General Manager
Mr. John Lee is a CFA charter holder and has degrees in Economics and Engineering from Rice University. He previously studied under Mr. James Turk, a renowned authority on the gold market.
John founded Mau Capital Management in 2004. Since 2001, Mr. Lee has researched hundreds of mining companies and personally met with dozens of management teams. He is a sought-after speaker at all major resource conferences and publisher of articles at various online news websites such as Kitco.com. Mr. Lee is also the manager for a private equity fund and a private investor.
Niagara Capital Partners Ltd. is an administrative management firm which, through its funds, offers institutional and high net worth individuals investments in liquid alternative strategies. The strategies are incorporated into fund-of-fund and multi-strategy fund formats and are managed under an exclusive agreement with Friedberg Mercantile Group Ltd. The agreement is for the management services of Albert Friedberg, as well as for all trading, compliance and administrative facilities. Niagara Capital Partners Ltd. acts as exclusive international sales agent of the Friedberg Global Macro Hedge Fund Ltd. In Canada the fund is available through the Canadian feeder fund, the Niagara Legacy Fund.
David Rothberg, Chairman
Mr. Rothberg, who is Chairman of Niagara Capital, began working at Friedberg Mercantile Group (a predecessor to Friedberg Mercantile) in 1976 as Director of Research. He later joined its portfolio management team for commodity futures and options and became a Contributing Editor of Friedberg’s Commodity and Currency Comments. In 1978 he started David Rothberg Futures Limited which, in 1981, was vended to Friedberg Mercantile Group. From 1984 through 1990 Mr. Rothberg started a number of private companies including two private partnerships that traded non G-7 currencies. Since 1990, Mr. Rothberg co-developed a variety of investment strategies at Friedberg Mercantile Group (and Friedberg Mercantile). He graduated with a degree in English literature from Carleton University in Ottawa.
Northern Rivers Capital Management Inc. is an independent investment company located in Toronto, Ontario.
Our mission is to provide innovative investment opportunities and outstanding long term returns to investors.
Founded in 2001, we are an entrepreneurial company with the solid backing of Likrilyn Capital Corporation, a family office and majority shareholder. Our portfolio managers and shareholders invest in the funds we manage—a fact that is key to the success of both our clients and the firm.
Northern Rivers currently offers a family of eight pooled and mutual funds for high net worth and retail investors.
Our offerings include some of Canada's top performing equity funds, alternative funds, a tax efficient vehicle and a closed end limited partnership.
Hugh C. Cleland, Executive Vice President & Portfolio Manager
Mr. Cleland is Portfolio Manager for the Northern Rivers Innovation mandate, the Northern Rivers Evolution Fund and the Northern Rivers Silicon Valley Access Fund LP. Mr. Cleland is Executive Vice President of Northern Rivers and has managed the Northern Rivers Innovation mandate since inception of its first fund in May 2001.
Prior to starting at Northern Rivers, Mr. Cleland worked at Interward Capital Corporation from 1998 to 2001 originally as an analyst, and later as Associate Portfolio Manager, specializing in technology equities. In 1997/1998 he was the research associate to the senior telecom services analyst at Midland Walwyn. Mr. Cleland has an Honours Bachelor of Arts degree (1997) from Harvard University and earned his CFA designation in 2001.
Picton Mahoney Asset Management is a portfolio management boutique named after its founders and principle portfolio managers, David Picton and Michael Mahoney. We manage over $4.5 billion in assets for investors through three lines of investment solutions: hedge funds, separately managed accounts, and institutional long-only mandates. Our focus is on earnings momentum and growth strategies with expertise in Canadian, U.S. and global equities. Our systematic approach to security selection and portfolio construction underlies all our investment solutions - regardless of investment type or geographic mandate. For every portfolio, we make use of leading technology, fundamental analysis and sophisticated risk controls to maximize risk-adjusted return potential for our clients.
At Picton Mahoney we offer both Canadian and Global authentic hedge funds designed to provide investors with attractive risk-adjusted returns with zero or low correlation to equity indices. Picton Mahoney hedge funds were founded on three basic principles: authenticity; transparency; and capacity. We are dedicated to offering authentic hedge funds that will not reach an unmanageable size, while ensuring that clients receive timely access to information about our investment process and our funds' holdings.
James Lawson, Portfolio Manager, Canadian Small Cap & Mid Cap
James Lawson has been a Canadian equity portfolio manager for 13 years specializing in small and mid-capitalization stocks. Prior to joining Picton Mahoney Asset Management, he was a senior member of the investment management team at KBSH Capital Management Inc. He has also managed retail and institutional portfolios at Guardian Capital and Bank of Montreal and was a software analyst at Merrill Lynch. His other business experience includes eight years as a strategy consultant. James has an MBA from York University and an HBA from the University of Western Ontario.
Polar Securities is a Canadian hedge fund management firm, established in 1991. It has 23 employees with offices in Toronto and Calgary. Polar manages two hedge funds; North Pole, a Canadian focused multi-strategy fund and Altairis, a US focused long/short fund.
Paul Mayer, Director of Sales
Paul graduated from Queen’s University in 1992 with a Bachelor in Political Science. He joined Mackenzie Financial Corp. in 1993 and became a VP of Sales and Marketing. In 2004, Paul left Mackenzie to pursue his MBA at IESE Business School in Barcelona, Spain. He joined Polar in early 2007. He speaks English, French and German, with an understanding of Spanish.
Quadrexx Asset Management Inc. (Quadrexx) is a Toronto based hedge fund company whose objective is to introduce hedge fund products to the Canadian and global marketplace with attributes of either high returns or low risk and consistent performance. Quadrexx’s hedge fund index product, the Canadian Hedge Watch Index Plus (CHWIP), is managed internally with the objective of achieving a higher Sharpe ratio than that of the Non-Investable CHW Equity Hedge Sub-Index.
Quadrexx also structures and manages private equity type limited partnerships. Its latest offering, the $27MM Diversifed Assets LP which launched June 16, 2008, guarantees distributions to unitholders for the first 3 years and combines the benefit of private equity investments with diversified investing and an income stream. Please call 416 216-4632 or email info@quadrexx.com for further information.
CHWIP’s offering memoranda and monthly update sheets are available on the Quadrexx website: www.quadrexx.com..
Jeff Parent, Associate Portfolio Manager and Officer of Quadrexx
Mr. Parent has been providing wealth management services to his high net worth clients since 1992.
From many years of experience and training, he has become proficient in portfolio management techniques and has a broad knowledge of estate and tax planning. This enables Jeff to provide appropriate and timely advice to his clients ensuring they meet their varying financial goals.
In his associate portfolio management role, he applies a strong price discipline to help ensure risk is controlled without reducing potential returns. His specialty is technical analysis with a focus on quantitative methods. Jeff uses his unique form of analysis to identify trends and turning points in the markets and individual stocks.
He has appeared on Business News Network, is a recognized author, public speaker and educator. He has been quoted by the national media in Canada and the US.
Jeff has a degree in Engineering (Electrical) and is a Fellow of the Canadian Securities Institute. He is the president of the Canadian Society of Technical Analysts and an associate member of the Market Technicians Association.
Regent Global Funds LLC is a U.S. based private equity and collateralized debt fund that operates much like a commercial real estate bank in an Asset Based Lending format. Its Asset Based Lending activities are modeled after a pure income approach and collateralized by commercial real estate across the United States. This approach, coupled with an extensive due diligence process, and the requirement that the fund managers be personally invested, has brought exceptional performance through accountability.
Regent Global Funds’ offering is classified as an alternative investment, and by its asset-backed and private nature, it is a diversification from traditional investment vehicles. The Fund strives to provide to its Participating Investors premium returns backed by tangible security in a predictable, absolute return model. Also, due to Regent Global Funds’ private nature, it may provide an opportunity for its investor to limit their exposure to public financial market turmoil.
Dominic Mazzone, Managing Partner
Dominic Mazzone is a Managing Partner of Regent Global Funds, a private equity and debt fund. He brings a track record of success and innovation to his current position as a fund manager of the Asset Based Lending Fund with his experience in commercial real estate and lending. His past experience in real estate included maximizing revenue through strategic best-use practices and property rehabilitation in a portfolio of investment properties within the U.S. He has been involved with development projects throughout the U.S. and is currently part of a consortium of investors in Scottsdale, AZ, developing an 80-acre site for an exclusive enclave of luxury homes overlooking the Estancia Golf Course.
Dominic had his start in the lending business underwriting and funding loans in Canada on properties through alternative financing. This led to similar lending opportunities in the U.S. and the eventual formation of Regent Global Funds in Chicago.
Dominic is a frequent speaker and publisher of many articles discussing the topics of asset based lending, commercial real estate, and alternative investing.
Dominic is a general partner of Scottsdale Partners LLP, which is involved in real estate development in Scottsdale, AZ, as well as Waikoloa Partners LLP, a syndicate of real estate investors in Hawaii. Dominic sits on the advisory boards for the technology companies Voice Cloud and Nile Source Outsourcing.
Robson Capital Management Inc. is a Canadian alternative investment management firm that seeks to create funds capable of consistently generating absolute returns in all market conditions. The firm uses its proprietary manager selection process to identify alternative investment managers who possess dependable investment strategies. Robson is a member of AIMA.
Jeffrey C. Shaul, Founder, President and Chief Executive Officer
With over 20 years of investment industry experience, Jeffrey Shaul has an impressive track record in advising on domestic and international mergers and acquisitions and financing transactions, as well as in establishing and administering investment funds. Prior to establishing Robson Capital, Jeffrey was a partner at Kensington Capital Partners and helped build its funds management business from inception to approximately $285 million, consisting of private equity funds managed on behalf of Canada Pension Plan Investment Board, Investment Grade Trust, a publicly traded bond fund and Kensington Limited Partnership, a general equity fund for accredited investors. He also has held senior positions with ScotiaMcLeod, Lancaster Financial and TD Securities Inc. Jeffrey started his career practising corporate and securities law at Osler, Hoskin & Harcourt in Toronto. Jeffrey’s extensive work experience is complemented by his LL.B. and B.Comm. degrees from the University of Toronto. He is also a member of the Law Society of Upper Canada.
Roundtable provides actively managed pooled fund offerings to high net worth individuals, families, endowments and foundations.
Our central mission is to build and protect the capital of our clients who seek superior long-term absolute returns. We focus on a limited number of client relationships to ensure the highest standard of personal service.
Roundtable is registered with the Ontario Securities Commission as an Investment Counsel & Portfolio Manager and is a Limited Market Dealer. The Roundtable Funds are purchased via Offering Memorandum.
Geoffrey Spidle, President and co-founder
Geoff Spidle is the President and co-founder of Roundtable Capital Partners Inc. responsible for onshore business operations and is registered as a Director of the Roundtable Canadian Offshore Hedge Fund. He is the Designated Compliance Officer and part of the investment committee. His primary focus is on business development with institutional and family office investors both domestically and offshore.
Prior to Roundtable, Geoff was Vice President of Business Development with a boutique, Toronto-based asset management firm and was a partner with two successful private equity ventures in Bermuda and Montreal.
Salida Capital Corp is a private investment management firm located in Toronto, Canada established for the purpose of offering alternative investment expertise to institutional clients and high net worth individuals. Salida is a leader in the development and growth of the global alternative investment industry.
Our successful track record has been built upon the depth and expertise of our team, a well-defined, collaborative investment approach and an unwavering commitment to performance excellence.
Jason Russell, Portfolio Manager
Jason Russell joined Salida Capital in 2005 as a portfolio manager to start and manage the Global Macro Hedge Fund strategy. Jason has 17 years of investment experience including roles at Bankers Trust, Merrill Lynch and CIBC. He has considerable expertise and experience in the areas of systematic trading research, design, testing and execution.
Jason continues to be very active in the areas of systematic trading research and trading psychology. He closely collaborates with several distinguished traders and has founded two research groups focusing on system development and trading psychology.
Jason was highlighted in the book Trend Following by Michael Covel where he is listed as a student of systems trader Ed Seykota. Jason earned his CFA in 1997 and a degree in business from the University of Ottawa in 1991. He is a member of the CFA Institute, the Toronto Society of Financial Analysts, and the Alternative Investment Management Association.
Selective Asset Management Inc. (“SAMI”) offers the Long-Biased Equity Hedge Fund.
Managed by top-ranked, veteran money manager Robert J, McWhirter F.C.S.I, CFA, the Fund provides investors with ample flexibility to benefit from the upside, when markets are rising, and cushion the downside, when markets move lower.
Mr. McWhirter uses a disciplined methodology combining a 12-factor, computer-assisted, quantitative model with a fundamental approach.
Although no one can guarantee performance, Mr. McWhirter’s proven methodology seeks to achieve better frequency of out performance and deliver better absolute returns. Funds managed by Mr. McWhirter are highly ranked by Fundata.com, Globefund.com and Morningstar.ca.
Robert J. McWhirter, President and Portfolio Manager
Robert J. McWhirter, President and Portfolio Manager of Selective Asset Management Inc. ("SAMI"), has 30 years in the securities industry and is a top-ranked money manager in Canada. Mr. McWhirter manages the Selective Asset Long-Biased Equity Hedge Fund using a 12-factor stock selection methodology that has both growth and value characteristics, including: return on equity, earnings surprise, earnings estimate revision, price to book, and price to earnings ratios.
Funds managed by Mr. McWhirter are ranked with high ratings from Fundata.com, Globefund.com and Morningstar.ca. Mr. McWhirter also manages the Northwest Specialty Innovations Fund, which was awarded the Science and Technology Equity Fund of the Year in Canada in 2004, 2005 and 2006 by the Canadian Investment Awards. He manages five other funds on behalf of NexGen Financial.
Prior to establishing SAMI, Mr. McWhirter was VP and Portfolio Manager at First Asset Investment Management Inc. and RBC Global Investment Management Inc., where he worked for more than 20 years, including predecessor firm, RBC Dominion Securities Investment Management. Mr. McWhirter managed approximately $2.25 billion in the Canadian High-Technology sector of the Royal Bank's Canadian Equity Mutual Funds.
Mr. McWhirter is a holder of the Chartered Financial Analyst designation (CFA) and is a Fellow of the Canadian Securities Institute (FCSI). He has a diploma in Business Marketing and Logistics.
He is also a member of the Canadian Society of Technical Analysts, the Toronto CFA Society, and is a member of the Ticker Club (Toronto-based securities industry club).
Mr. McWhirter provides regular market commentary for BNN, CBC Business News, CP 24 and has been featured in The Globe and Mail (Report on Business, and Report on Business Magazine), The Financial Post, Les Affaires, Canadian Business, Investment Executive, Bloomberg, Dow Jones, Reuters, and other industry-related media.
Tower Asset Management was established in June 2002 as a performance oriented investment manager serving both conservative and growth-oriented institutional and high-net worth investors through it's three funds: Tower Income Fund, Tower Growth Fund and Tower Hedge Fund. The company uses quantitative screens to assist in its investment decisions.
Mark L. Maxwell, CFA, President and CEO
Prior to founding Tower Asset Management in mid-2002 Mark was President and Director of Rockwater Asset Management, a subsidiary of Rockwater Capital Corp., a firm with $4 billion in assets and revenues of $120 million. Mark began his career in financial services over 20 years ago with CIBC working in their corporate treasury department on fixed income analysis and risk management. He then spent the next ten years as an Equity Analyst working for Dean Witter Canada, Gordon Capital and finally CIBC World Markets. Then in mid-1999, Mark launched Georgian Capital Partners along with a few partners – an asset management firm which grew to $4.6 billion in assets under management by the end of 2001. Mark was President and one of the firm's Portfolio Managers until he sold his interest in the firm.
Mark earned his CFA designation in 1991 and has an MBA in Finance from Baylor University. He also has his Investment Counselor & Portfolio Manager license.
The Turtle Creek Group manages assets invested in the Canadian public and private equity markets, with a focus on non-resource companies that offer superior risk adjusted returns.
Turtle Creek’s partners founded and ran Scotia Merchant Capital, the private equity arm of a major Canadian chartered bank. Turtle Creek’s partners are successful private equity investors, having invested and managed a $300 million portfolio that generated strong positive returns that rank well into the top quartile of North American private equity funds.
Shortly after establishing Scotia Merchant Capital in 1997, Turtle Creek’s partners also began investing in the Canadian public markets through Turtle Creek Investment Fund (“TCIF”). TCIF has portfolio assets in excess of $100 million and is operated primarily for the benefit of Turtle Creek’s partners. Over its ten year life, TCIF has generated very strong returns.
Collectively, the three officers of Turtle Creek Asset Management have 30 years of private equity and public market investing experience and 22 years of investment banking experience. In aggregate they have filled 15 positions as directors on the boards of 13 different public and private companies. In addition to TCIF, TCAM has recently established Turtle Creek Equity Fund, a fund that provides third party investors the opportunity to participate in the investment philosophy successfully utilized in connection with TCIF’s portfolio.
Jeffrey Cole, Managing Partner
Since 2007 Mr. Cole has been a Managing Partner of Turtle Creek Asset Management focusing on public market investing and, prior to that, was involved with Turtle Creek Investment Fund, as a trustee, from its formation in 1998.
From 1997 to May 2007, Mr. Cole was a founding partner at Scotia Merchant Capital where, together with four other partners, he managed a $300 million merchant banking portfolio of public and private investments. Prior to becoming a professional investor, from 1994 to 1997, Mr. Cole was a Vice President in the mergers and acquisitions practice of Scotia Capital and prior to that was a member of the firm’s investment banking team. Mr. Cole joined Scotia Capital in 1992.
Mr. Cole received his MBA from the Kellogg Graduate School of Management in 1992, his law degree from the University of Toronto in 1990 and his Bachelor of Commerce degree from the University of Toronto in 1987.
Venator Capital Management Ltd. is an asset management company founded in March, 2006 by Brandon Osten. It currently provides four offerings to accredited investors with medium to high risk tolerances: the Venator Founders Fund, and the Venator Investment Trust, The Venator Income Fund, and the Venator Offshore Fund. At Venator we use a proprietary screening process, followed by detailed due diligence, to hunt for opportunities before others find them. With a low weighting in resources and financials, we believe that Venator offers good diversification for investors.
JoAnne Halpern, Head of Institutional Sales
JoAnne joined Venator Capital Management Ltd. in July 2007 as Head of Institutional Sales, with her role encompassing sales, marketing, client relations, and operations. JoAnne attained her MBA (Schulich) in 2001, while still immersed in her past career as a Mathematics educator (B.A. Math, Guelph 1996, B.Ed York, 1998). JoAnne has taught all levels and grades (including post-secondary), and was a teacher in the public system, the private system (at Havergal College), and as a tutor to elite (Olympic-bound) athletes. She continues to compose questions for the Gauss Contest, an international Mathematics competition set by the Faculty of Mathematics at the University of Waterloo.
Voltan Capital Management, LLC invests in the frontier markets of Africa, Asia, the Middle East, Latin America, the Balkans, Central Asia, the Caucasus and other regions of the Former Soviet Union. The company’s flagship fund, the Voltan Frontier Markets Fund, has a multi-strategy philosophy, investing in securities ranging from traditional equity and sovereign debt to more exotic opportunities including debt restructurings, special situations and exotic instruments in countries without organized exchanges. Given its broad geography and domestic sector bias, Voltan is able to create a low-correlation portfolio accessing the impressive investment potential of frontier markets with reduced volatility. For further information, contact us at info@voltancapital.com.
Alison Graham, Chief Investment Officer
Alison Graham is a principal of Voltan Capital Management, LLC and lead portfolio manager of the Voltan Frontier Markets Fund. She has over thirteen years' experience in emerging and frontier markets finance.
Ms.Graham began her career as a partner and senior equity analyst at Caspian Securities focusing on Latin American equities. In 1998, she moved to Moscow, Russia to join United Financial Group where she was responsible for analysis and advisory related to the restructuring of the Russian energy system. While still in Russia, she formed Voltan Energy Advisors to assist global clients with due diligence on emerging markets acquisition targets, frontier and second-tier emerging markets security analysis and corporate investigations.
She launched Voltan Capital Management, LLC in August 2007.
Ms. Graham holds a Master's degree from the University of California at Berkeley, is a Chartered Financial Analyst and is fluent in six languages.
Webb Asset Management is dedicated to producing consistent and highly-attractive returns for our investors.
We use a proprietary investment process that is systematic, proven and reliable.
Our principals and founding partners, Derek Webb, CFA and Ken McCord, CFA have combined financial services and investment management experience of over 38 years. Systematic, proven and reliable Webb Asset Management Canada, Inc. 920 - 26 Wellington St. E. Toronto, Ontario M5E 1S2 T: 416.933.5746 Toll Free: 866.514.6603 Fax: 416.601.2501 www.WAMfunds.com info@WAMfunds.com
Ken McCord, President & CEO
Ken began his career in the financial services industry in 1987 with the TD Bank. In 1992, Ken moved to TD Asset Management where he helped to grow the business from $1 billion in AUM to over $10 billion. In 1995, Ken joined GT Global in Toronto where he helped to grow the business from $300 million to over $20 billion as GT Global evolved into AIM Trimark and Invesco (Amvescap). Ken was SVP of Sales with AIM Trimark and President of Invesco Canada.
In 2003, Ken joined First Asset Management Inc. (now AMG Canada) as Senior Vice President of sales and marketing. Ken is now the President and CEO of Webb Asset Management. Ken received a Bachelor of Arts degree from Wilfrid Laurier University and a M asters of Business Administration from Queen’s University. Ken holds the Chartered Financial Analyst designation from the CFA Institute.
Whalehaven is a hedge fund focused on generating superior investment returns for its investors primarily by making special situation investments in public companies.
Whalehaven invests primarily in directly negotiated structured transactions in the following forms: convertible debt and preferreds, shelf offerings, and secondary issues. These normally include common stock, convertible notes, convertible preferred stock; all with long dated warrants. The investment strategy is based on a structured private placement purchase of securities at a discount to the stock price at which it trades in the market. Whalehaven's returns are based on locking in the discount spread in the short term and being positioned for significant upside potential by obtaining favorable warrant positions.
The fund managers align their interests with those of its investors as they are paid on the basis of absolute performance and maintain the highest standards of business integrity and administrative competence. They also have a large percentage of their own personal assets in the fund. The fund managers are well versed in risk management and compliance with securities rules and regulations.
Michael Finkelstein, President and CEO
Mr. Finkelstein, C.A. has over 20 years of experience investing in, advising and financing companies, and as a result he has developed significant expertise and relationships. Mr. Finkelstein was an investment adviser with Canaccord Capital Corporation, Canada’s largest independent investment dealer, and has rendered investment advisory services to institutions and high net worth individuals for the past 16 years. Mr. Finkelstein’s particular specialty for the past decade has been the management of private placements in U.S. and non-U.S. public companies. Prior to entering the investment field, Mr. Finkelstein was a tax specialist and manager with Arthur Andersen & Co. in both Toronto and Vancouver. As such Mr. Finkelstein is highly qualified in the analysis of complex financial transactions.
Mr. Finkelstein holds a Bachelor of Arts in Economics from McGill University and received his C.A. designation in 1980. Mr. Finkelstein is a member in good standing of the Institute of Canadian Chartered Accountants.
Mr. Finkelstein is an officer of the Investment Manager and is responsible primarily for evaluating and making investments on behalf of the US Limited Partnership, Offshore Fund, and Master Fund.