careers in finance panel 2021

Monday, April 5, 2021 Virtual - MS Teams 1:00pm - 5:00pm

Schedule of Events

Wall Street 101 1:00pm - 2:00pm

Wall Street 102 1:00pm - 2:00pm

Panel Discussion 2:00pm - 3:15pm

Formal Q&A 3:15pm - 3:45pm

Networking/Informal Q&A 3:45pm - 5:00pm panelist contact information

Daniel Dichter, CDFA Financial Advisor UBS Financial Services Inc. 1285 Avenue of the Americas New York, NY 10019 [email protected]

Bruce Hernandez Partner Spire Capital Partners One Tower Bridge 100 Front Street, Suite 1310 West Conshohocken, PA 19428 [email protected]

Nina Hughes CEO & Portfolio Manager Axiomada 120 St. James Avenue, 6th Floor Boston, MA 02116 [email protected]

Jeffrey Johnson Partner Morgan Lewis 1111 Pennsylvania Avenue NW Washington, DC 20004-2541 [email protected]

Jim Kearney, CFP President Quadrant Capital Management A subsidiary of Peapack-Gladstone Bank 100 Passaic Avenue, Suite 301 Fairfield, NJ 07004 [email protected] Wall Street 101 - An Introduction to Private Equity Investing

Presented by: Bruce Hernandez

Bruce Hernandez is a Founding Partner of Spire Capital. Founded in 2000, Spire Capital is a private equity firm focused on lead and control invest- ments in middle market companies within the technology enabled business services, media, education and communications sectors. Spire Capital leads buyout investments in its areas of expertise and believes its deep industry experience and network of relationships are invaluable in helping its port- folio companies to grow and create value. Spire Capital is investing out of its third fund and has managed over $900 million in private equity commit- ments since its founding. Since inception, Spire has invested in 26 platform companies and consummated over 90 add-on acquisitions. As a Founding Partner, Bruce is in a unique position to discuss how private equity firms source transactions, assess performance and ultimately exit investments. The last 20 years have witnessed an explosion in PE firms and no one is in a better position to opine on this growth than Bruce.

Wall Street 102 - Mergers & Acquisitions Case Studies

Presented by: James Flicker

For those with more advanced knowledge of the finance industry, Wall Street 102 will expose students to a variety of mergers and acquisition (“M&A”) case studies. This intensive session is for students that are more comfortable with the finance industry. Students in this session would benefit from having had some exposure to the financial services indus- try through internships, leadership experience in the Grossman School of Business or some other equivalent program. The M&A case studies will walk students through a series of real-life company events including: • A company under hostile attack from an • A company that has grown aggressively through acquisition • A company bought out by a private equity investor Each case study will raise a number of questions to be discussed by the students. Some of these questions include who won or lost, what was the return generated, why were certain strategic tactics used, and was the transaction successful. This session is designed to be interactive. Daniel Dichter, CDFA ‘95 Financial Advisor UBS Financial Services Inc.

Dan has been a Financial Advisor for over 15 years. His practice centers on overall comprehensive financial planning that typically includes investment portfolio design and management, risk management, asset allocation, retirement planning and generational wealth transfer.

Dan has earned the designation of Certified Divorce Financial Analyst™ (CDFA™) and often works with clients that are either navigating their way through a divorce or have recently finalized the process. As a CDFA™, he helps clients determine the - term and long-term financial impact of any proposed divorce settlement. Dan provides valuable information on financial issues that are related to the divorce, such as tax consequences, dividing pension plans, continued health care coverage, stock option elections and much more. He also often works directly with attorneys in helping the client make financial sense of proposals. Dan does not give legal advice but he provides lawyers with the tools they need to help prove their case.

In everyone’s life there are unexpected challenges and stressful transitions. Whether sudden or expected, making sure these events don’t derail your future is crucial. Dan’s strongest assets are the relationships he establishes with his clients and the exceptional client service he and his team provides. Creating custom financial solutions helps his clients make informed, confident decisions. Whether he is working with business owners, professionals, divorcees, or other high net worth individuals or families, all of Dan’s clients have one thing in common: the desire to pursue their goals and dreams and the confidence found in having an experienced professional helping them to make smart financial decisions.

Dan earned his B.S. in English Literature from the University of Vermont. He lives in Harrison, NY, where he is active in his community with his wife, Jennifer, and four beautiful children, Matthew, Chloe, Blake and Dylan. Bruce Hernandez, ‘82 Partner Spire Capital Partners

Bruce is a founding partner of Spire Capital, having been with the firm since its inception in 2000. Bruce plays an active role in both sourcing and overseeing portfolio company investments and also works closely with the firm’s Chief Financial Officer in fund administration.

Prior to co-founding Spire, Bruce was the managing partner of Waller-Sutton Media Partners, a private equity firm focused primarily on the media and communications industries. Prior to Waller-Sutton, Bruce served in a number of operational roles. As Chief Financial Officer of Horizon Cellular, Bruce was responsible for all financial operations of this private equity backed wireless carrier and oversaw its sale for approximately $600 million. Bruce also served as Vice President-Finance of a middle market cable television and wireless telephone operator.

He received a Bachelor of Science degree in business administration from the University of Vermont and a Masters in business administration degree from New York University.

Bruce currently serves as Chairman of the Board of NetFortris. Bruce previously served as Chairman of the Board of Performance Assessment Network and Surgent Professional Education. He also served as Director of American Community Newspapers, Apex Site Management, Ariston Global, Certiport, Choice One Communications, Encoda Systems, Just Marketing International, Nassau Broadcasting Partners, Rainbow Child Care Centers, Sonitrol, and Orcom Solutions. Bruce believes that “life is too short for bad gear” be it cars, bicycles or skis. Nina Hughes, ‘87 CEO & Portfolio Manager Axiomada

Nina Hughes is CEO and Portfolio Manager of Axiomada, a low net, long/short fund investing across global technology sectors. Ms. Hughes has 20+ years of experience and is an engineer. Prior to Axiomada, Ms. Hughes co-managed a $600M long/short technology hedge funds at SAC/Point72 Asset Management. Between 2002 – 2004, Ms. Hughes co-managed the AXP Global Technology ($180 AUM) at Amex/Riversource. While at Amex/Riversource, Ms. Hughes also founded and managed the Boston Technology Opportunities (~$50AUM). In 2007, Ms. Hughes founded LightKeeper Investments, a long/short hedge fund (~$50M). Ms. Hughes holds a Bachelor of Science in electrical engineering from the University of Vermont, Master’s in biomedical engineering from Boston University and an MBA from the Olin School of Management at Babson College. Prior to obtaining her MBA, Ms. Hughes worked in the field for several years testing military-grade GPS and satellite communication systems and designing medical software. Jeffrey Johnson, ‘88 Partner Morgan Lewis

Jeffrey Johnson focuses his practice on structured finance and . He counsels large financial institutions, finance companies, government agencies, government-sponsored entities, and leading firms on numerous transactions, including asset-backed and mortgage- backed securities issuances, resecuritization of financial assets, net interest margin transactions, whole loan and asset sales, financing facilities, and related regulatory matters. Jeff additionally advises issuers and underwriters on various other structured transactions involving numerous asset types and receivables, including single-family and multifamily residential mortgage loans, commercial mortgage loans, and automobile and recreational vehicle loans and leases.

Jeff acts as underwriter or bond counsel on single-family, multifamily, and commercial loan transactions for the US Small Business Administration, the Government National Mortgage Association (Ginnie Mae), Fannie Mae, and Freddie Mac. Additionally, he advises on complex asset-backed and structured financing facilities, including warehousing and repurchase arrangements. He also works on initial public offerings, mergers and acquisitions, and debt and equity offerings for issuers and underwriting firms.

Jeff is recognized as a leading practitioner in securitization by Chambers USA and Chambers Global, and he is included in the International Who’s Who of Capital Markets Lawyers. He sits on the Steering Committee for the Structured Finance Industry Group’s RMBS 3.0 Project and is co-chair of the Representations, Warranties and Repurchase Enforcement work stream. Jim Kearney, CFP ‘92 President Quadrant Capital Management A subsidiary of Peapack-Gladstone Bank

Jim Kearney is a Managing Principal and the Head of Wealth Management at Peapack Private, the wealth division of Peapack-Gladstone Bank. He is a former co-founder of Quadrant Capital Management, acquired by Peapack- Gladstone Bank in 2017. He helps clients and their families reach their retirement and legacy goals by providing comprehensive personal financial planning advice. By combining a forward looking strategy, a focus on details, and an awareness of risks, he has been successfully advising clients for over twenty years. Jim works closely with clients’ other advisors while coordinating their plan, leaving valuable time for clients to focus on their careers, families and leisure activities.

Prior to founding Quadrant, Jim worked in private banking at JP Morgan, Merrill Lynch and State Street Bank & Trust Company.

Jim has a BA from the University of Vermont and is a CERTIFIED FINANCIAL PLANNER ™ professional and a Certified Trust and Financial Advisor. He is a past Chairman and President of the New Jersey chapter of the Financial Planning Association (FPA). He is also a member of the American Bankers Association/Institute for Certified Bankers.

Jim resides in Essex Fells, New Jersey with his family, where he is also the chief of the Essex Fells Fire Department, an all-volunteer department serving the residents of Essex Fells and the neighboring communities. Jamie Flicker, CFA ‘87 Managing Director DCS Advisory

James Flicker joined DCS Advisory in January, 2018 and has followed the Paper & Forest Products industry exclusively since 1994. He ran the Forest Products investment banking practice at Greenhill & Co from 2008-2017 and at Citigroup from 2006 – 2008. Prior to Citi, he was at UBS in a similar capacity for over seven years. From 1988 – 1999, he worked as an equity research analyst at Lehman Brothers where he was an II-ranked analyst covering the Paper & Forest Products sector.

James holds a BA from the University of Vermont, an MBA from Fordham University, and has been a Chartered Financial Analyst and member of the New York Society of Security Analysts since 1995. He sits on the Board of Directors for the University of Vermont Grossman School of Business. He is married with three children and lives in Fairfield, CT. past panelist contact information

2019 2018

Jamie Flicker, CFA Greg Hunt Managing Director CFO & Treasurer DCS Advisory Apollo Investment Corp 605 Third Avenue, 11th Floor 9 West 57th Street New York, NY 10158 New York, NY 10019 [email protected] [email protected]

Patrick Halfmann, CFA Christopher Jaynes Associate, Investment Banking Division CEO eSecLending, LLC 1585 Broadway 175 Federal Street, 11th Floor New York, NY 10036 Boston, MA 02110 [email protected] [email protected]

Noelle Savarese Adam Lewis Co-Portfolio Manager, Co- Chief Partner & Managing Director Executive Officer & Securitized Credit DH Capital Investment 810 Seventh Avenue, Suite 2005 Matlin Patterson New York, NY 10019 520 Madison Avenue, 35th Floor [email protected] New York, NY 10022 [email protected] Sandy Sanders, CFA Senior Managing Director & Portfolio Jordan Saxe Manager Senior Managing Director, Manulife Asset Managment Americas – Corporate Client Group 197 Clarendon Street, 4th Floor NASDAQ Boston, MA 02116 One Liberty Plaza, 165 Broadway, 50th [email protected] Floor New York, NY [email protected] Trish Tweedley Senior Director, Development & Exempt Carrie Teffner Organizations Director & Chair of the Audit Committee KPMG GameStop Corp [email protected] Director [email protected] BFA Industries 7477 East Dry Creek Parkway Niwot, Colorado 80503 [email protected] past panelist contact information

2017 2016

Susan Brengle Corey Bronner, CFA Managing Director, Institutional Business Partner & Analyst Eaton Vance Champlain Investment [email protected] [email protected]

Rino Caruccio James Craige Vice President, Financial Planning & Head of Emerging Markets Analysis Stone Harbor Investment Partners, LP Amazon [email protected] [email protected]

Ben Merrill Jamie Flicker, CFA Head of ABS Banking Managing Director BAML DCS Advisory [email protected] [email protected]

Mark Najarian Alyssa Irving Asset management Portfolio Manager Goldman Sachs Wellington Management [email protected] [email protected]

Lauren Osborne Director of Product Control Annaly Capital Management [email protected]

2015 Robert Morier Director, Institutional Sales Manager Roger Begelman ClearBridge Investments Vice President, Compliance Counsel [email protected] Goldman Sachs [email protected] Richard Quad Senior Managing Director, Co-Head of Joanna Brody FIG Managing Director, Head of Short Term Griffin Financial Group Underwriting & FI Trading [email protected] Piper Jaffray [email protected] David Scenna Global Investing Eton Park Capital Management [email protected] past panelist contact information

2014 2013

Adam Ansaldi James M. Rourke Societe General Managing Director, Middle Markets M&A [email protected] BofA-ML [email protected] Christopher Calger Manging Director, Global Commodities Peter Salvatori - Marketing & Orientation Director JP Morgan Duff & Phelps [email protected] [email protected]

Giacomo Landi Kim Weiland Head of Americas Chief Financial Officer DNB Bank Allen & Company [email protected] [email protected]

David Strine Managing Director Impala Asset Management, LLC [email protected]

2012

Gina DiMento Brennan Smith Compliance Officer & Counsel High Yield, Distressed Sales Point 72 Asset Management Credit Suisse LLC [email protected] [email protected]

Stephen Penwell Richard Weintraub Managing Director, US Equity Research Securities Division Morgan Stanley Goldman Sachs [email protected] [email protected] uvm.edu/business