Management Team
Philip C. Stapleton, Chairman
Jerry Markowitz, Senior Partner
Niel Armstrong, Director, Compliance Philip C. Stapleton, Chairman
In 1975, Mr. Stapleton joined the American Stock Exchange as Senior Inspection Representative where he audited member firms from both a financial and supervisory point of view. In this role Phil set the new standards for inspection and the training of inspectors. In 1977, Phil joined Morgan Stanley, where he coordinated the day-to-day operation of their Capital Markets division. Relocating to Chicago, Mr. Stapleton was responsible for the management of the IIS group, servicing high net worth individuals and small institutions in the Midwest Region. Later he joined Montgomery Securities in San Francisco as Director of Administration where he oversaw operations, development, and implementation of strategic business plans as well as developing and implementing their MIS function. In 1989, Mr. Stapleton became a founding partner of Conifer Securities (formerly Genesis Merchant Group). As President and Chief Operating Officer, Phil established a boutique multi-manager platform which supported myriad investment disciplines. Ten years later he teamed up with a core group of employees and investors to re-focus Conifer's mission to provide complete middle and back office support and corporate services to a select group of investment managers and institutional investors. Mr. Stapleton received a Bachelors in Business Administration from Pace University.
Jack McDonald, President and CEO
Mr. McDonald received his B.A. from Georgetown's School of Foreign Service in 1988 and his Juris Doctor from Georgetown Law Center in 1993. He is a member of Georgetown's Board of Governors and sits on several other Bay Area Boards. He recently had the honor of being chosen as one of the "20 Rising Stars of Hedge Funds" in 2008 by Institutional Investor.
Jerry Markowitz, Senior PartnerJerry Markowitz is Head of Conifer Securities' New York office. Prior to joining Conifer, Mr. Markowitz was Managing Director and Member of the Executive Committee at Montgomery Securities and was responsible for starting their private client, high yield, equity derivatives and prime brokerage divisions. Prior to joining Montgomery, Mr.Markowitz was a Managing Director of L.F. Rothschild's Institutional Equity Department. His previous experience also includes institutional trading at Prudential Bache Securities.
Mr. Markowitz serves on the Board of Directors and on the Audit Committee of Market Axess Inc., and on the Advisory Board of Thomas Weisel Partners Group, Inc. He holds degrees in Engineering at the University of Virginia and Accounting at New York University.
Dick Del Bello, Senior PartnerBased in Conifer's New York office, Mr. Del Bello will work closely with Jack McDonald, Chief Executive Officer to boost business development and guide strategic infrastructure initiatives.
Mr. Del Bello brings over 25 years of prime brokerage experinece to Conifer. He was most recently Head of Prime Brokerage for the Americas at UBS, responsible for Prime Brokerage, Swaps, and Securities Lending for the region, and also sat on the Equities Division Operating Committee (Americas). Mr. Del Bello joined UBS as part of the PaineWebber acquisition, where he initiated and ran their Prime Brokerage businesses. Prior to UBS, he began his career at the New York Stock Exchange and currently continues to serve as a member of the NYSE Hearing Board. Mr. Del Bello received his Bachelor's degree in Business Management from Georgetown University.
David Brady, Vice President, Execution Services
Returning to San Francisco in 1998 Dave joined Keck Securities on the Pacific Stock Exchange Options trading floor as a Floor Broker. Before joining Conifer in 1999, Dave worked for DRZ Derivatives LLC as both an Options Market Maker and a Risk Arbitrage Trader. Mr. Brady holds a BA from San Diego State University.
Mark Friesen, Vice President, Chief Financial Officer
Mark began his career with Ernst & Young in Canada where he earned his Chartered Accounting designation. He relocated to San Francisco to join Montgomery Securities and was responsible for the accounting and finance functions of the Prime Brokerage and Clearing Services groups. Prior to joining Conifer, Mark was the Director of Finance for an equity options market maker with traders on the floors of the Pacific Exchange and the Chicago Board Options Exchange. Mr. Friesen holds a Bachelor of Commerce degree with a major in Accounting from the University of Alberta in Edmonton, Canada.
John Guaspari, Vice President, Trade Operations
Diana McDonough, Vice President, Professional Services
Diana also has an extensive background in the start-up phase of hedge funds and those in transition. In this role Diana consults with our clients and their counsel from the early formation stage through implementation, providing practical insight and assistance throughout this process. Diana is a founding partner of Conifer Securities and joined our predecessor firm in 1995. Prior to establishing her current role in Professional Services in 2006, Diana spent over a decade building our Fund Services department. Under her direction Fund Services grew from servicing a few internal hedge funds to offering a full complement of accounting and administration services to a wide variety of fund managers in divergent strategies.
Prior to joining Conifer, Diana served as Controller at an environmental services company, co-owned a retail business, and owned and operated an accounting services firm for sixteen years. Ms. McDonough has a BS in Accounting, and over thirty years of experience serving companies with her entrepreneurial expertise for small businesses.
Teri Petersen, Vice President, Facilities
Responsible for management and connectivity of the firm's critical technology vendors, Teri works closely with all departments to ensure the seamless transfer of data and information.
Ms. Petersen studied Business Administration at the University of Phoenix after attending the University of Wisconsin / La Crosse.
Niel Armstrong, Director, Compliance
Niel Armstrong, the Chief Compliance Officer for Conifer Securities, acts as the regulatory liaison for our investment adviser clients and has 20 years of professional experience in the securities industry. Prior to Conifer Securities, Niel worked for the NASD Department of Enforcement as a Special Investigator in Washington D.C. where he conducted regulatory examinations of member firms and associated individuals. Prior to the NASD, Mr. Armstrong worked for Wells Fargo Securities, LLC, an investment banking firm in San Francisco, where he was the Compliance Manager/Interim Director responsible for capital markets, corporate finance, research and institutional trading. Mr. Armstrong also worked for Fidelity Investments for ten years where his positions included mutual fund sales representative, fund accountant, brokerage representative, senior trader, and brokerage manager. Niel has a Bachelor's degree in Administrative Systems from Utah State University and has his series 63, 4, 7, 8, and 24 licenses.
Jamie Barker, Director, TradingJamie Barker is the Director of Trading in our New York office and joined Conifer Securities in 2008. Most recently to joining Conifer Jamie was a Partner and Head of New York Sales Trading for Think Equity Partners. Prior to that he was the COO of Equities at Wasserstein Perella. After the Wasserstein Perella merger with Dresdner Klienwort Jamie was responsible for distribution of US Equities to Europe for the combined Dresdner Klienwort Wasserstein. Prior to Wasserstein Jamie was Head of US Equity Trading for Deutsche Bank.
Mr. Barker received his B.B.A. from Iona College in 1978. He was a member of the Global Operating Committee at Deutsche Bank and a member of the New Stock Exchange Allocation Committee.
Elisabeth MacKnight, Director, Client Transition Services
As Director of Client Transition Services, Elisabeth heads up a team of key Conifer personnel that oversees the integration of new clients onto the Conifer service platform. Elisabeth joined Conifer in 2002 in the Fund Administration and Accounting department. Prior to Conifer, Elisabeth worked on the product development team from 2000 to 2001 at Scudder Weisel Capital, an asset management joint venture between Thomas Weisel Partners and Scudder Investments that focused on alternative investments. Elisabeth began her career in financial services in 2000 at WR Hambrecht + Co, an investment bank, where she worked closely with the private equity division to develop and administrate 40+ early-stage investment ventures. Ms. MacKnight graduated summa cum laude from Georgia State University with a Bachelor of Arts in English Literature and has completed postgraduate work at the University of Southern California. Elisabeth is on the West Coast Executive Committee of Hedge Funds Care and on the Steering Committee for the West Coast Chapter of 100 Women in Hedge Funds.
Sandy Monticelli, Director, Consulting ServicesSandy Monticelli is the Director of the firm's Operations Review Team and is responsible for managing and performing external reviews of hedge fund back office operations. Prior to joining Conifer, Ms. Monticelli was Chief Operating Officer for SCM Advisors (formerly Seneca Capital Management), a San Francisco-based investment advisor. Before SCM, she was the Director of Finance at the San Francisco Newspaper Agency. Ms. Monticelli has also worked at Ernst & Young as a Senior Audit Manager.
Ms. Monticelli received a Bachelor of Science in Accounting from University of California, Berkley and is a Certified Public Accountant.
Daniel Osborne, Chief Operating OfficerDaniel Osborne is the Chief Operating Officer of Conifer Securities and joined the firm in 2008. Daniel brings over twelve years of financial services experience to Conifer Securities from the buy side, the sell side and financial services consulting. Most recently Daniel was a Senior Manager at the Accenture Capital Markets Group, where he was responsible for implementing strategic technology solutions for top tier clients within the financial industry. Prior to joining Accenture, Daniel was a Vice President and Head of the Business Consulting Group at RCM in San Francisco, (part of the Allianz Group). The Business Consulting Group acted as the conduit between business and technology providing solutions, services and strategy to Trading, Research, Portfolio Management, Compliance and Investment Operations. Prior to joining RCM, Daniel started his career in financial services with the Fidessa Corporation in London. There, he was responsible for the project management and implementation of the Fidessa range of solutions for Investment Banking firms in London, New York and San Francisco.
Mr. Osborne received his Bachelor of Science in Mathematics in 1995 from the University of Brighton in England. Mark Rizzo, Director, Management Information Systems
Mark Rizzo joined Conifer Securities in 1999 as a Senior Programmer/analyst. Mark's professional history involves work with pharmaceutical, legal, transportation, and retail firms in a variety of technology roles, with a focus on database application development. His staff is responsible for the development and support of custom software applications, processes, and integrations that facilitate daily trade operations for Conifer and its clients. Mr. Rizzo's formal education includes undergraduate work at Drexel University's College of Information Studies in Philadelphia, PA.
Howard Sackson, Chief Technology OfficerHoward Sackson is the Chief Technology Officer of Conifer Securities and joined the firm in 2008. Howard brings over 20 years of information technology experience from a wide range of industries and over 12 years of executive level management experience in financial services. Most recently Howard was a Senior Manager at Fisher Investments where he was responsible for Infrastructure engineering and operations. Prior to joining Fisher Investments Howard was Vice President at Thomas Weisel Partners responsible for IT Operations. Prior to joining Thomas Weisel Partners Howard was a Principal at Montgomery Securities managing various application development groups. Howard’s focus at Montgomery Securities was Corporate Finance and Correspondent Clearing. Prior to joining Montgomery Securities Howard started his career in financial services at Lehman Brothers. Howard was a Vice President at Lehman Brothers responsible for application development and branch support for the Public Finance division.
Mr. Sackson received his B.A. from Pace University in 1985 and MBA from University of Minnesota in 1988.
Dave Sandrew, Director, Business DevelopmentDavid Sandrew is the Director of Business Development in the New York office and is responsible for business development. Prior to joining Conifer, Mr. Sandrew was Director of Exchange Traded Funds Distribution at State Street Global Advisors, a Boston-based investment advisor. Before State Street, he was a Director at Barclays Capital in Boston responsible for selling prime brokerage services. Mr. Sandrew has also worked as Executive Director at UBS and as Vice President at Charles Schwab & Co.
Mr. Sandrew received a Bachelor of Arts in International Relations from Boston University and holds series 7, 8, 24 and 63 licenses.
Chuck Sellers, Director, Information Technology
Chuck Sellers joined Conifer Securities in 2001. As Director of Information Technology, Chuck heads up a team of network administrators and system engineers and is responsible for overseeing the firm's computer network infrastructure, server farms, and desktop PC's. His team provides technical support to all of Conifer's employees and clientele. Beginning his career in 1977 as a computer systems engineer in the United States Air Force, Mr. Sellers has been employed in IT for 30 consecutive years and his tenure includes employment with IBM and Microsoft. He holds industry recognized certifications from Microsoft and Cisco Systems. Mr. Sellers' formal education includes undergraduate studies in Computer Sciences at University of California, Riverside.
Shawn Young, Director, Fund ServicesShawn Young is Director of Fund Services at Conifer Securities. Prior to joining Conifer, Shawn spent 8 years with Kelmoore Investment Company where she was CFO of the Management Company and Treasurer/CFO of the Trust for their 40 Act Mutual Funds. She served on the Strategic Trust and Variable Trust Boards as well as the Board of the Management Company. Prior to joining Kelmoore, Shawn spent 14 years in Public Accounting performing traditional assurance services, merger and acquisition due diligence, systems auditing, consulting and tax work. Public Accounting experience included Big 4 and smaller firm environments. Shawn has served on several non-profit Boards as Treasurer.
Shawn graduated from University of California at Santa Barbara with a B.A. in Business/Economics in 1986 and earned her CPA Certification in 1990.
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Phil Stapleton has over 40 years of experience in the financial services industry. Phil's operational expertise, industry insights and dedication to client service have earned Phil an excellent reputation and loyal following among investment managers.
Jack McDonald is the President and Chief Executive Officer of Conifer Securities. Jack joined Conifer in 2005 as Executive Vice President responsible for business development. Prior to joining Conifer, Jack spent 5 years with UBS Investment Bank, where he was a Managing Director responsible for UBS's Institutional Equity business in the Western Region. Jack started his career in finance with Schroders in New York where he spent 7 years working as a Vice President of Institutional Equity Sales.
As Vice President of Execution Services, David Brady manages the day-to-day operations of the trading desk at Conifer Securities in San Francisco, which includes execution of global equity and complex options strategies. In 1987 Mr. Brady became a member of the Pacific Stock Exchange in San Francisco, joining L.W. Wilson and Company as a Specialist on both the equity and options trading floor. He later joined Merrill Lynch Specialist Inc. as an Equity and Options Specialist. In 1994 Dave relocated to Colorado to join Mitchum Jones and Templeton as an Options Floor Broker.
Mark Friesen joined Conifer Securities in 2002 and is responsible for overseeing the accounting, compensation, human resource, treasury and finance functions for Conifer and all of its related entities. His team also works with the Professional Services group in providing support for the corporate accounting services offered by Conifer.
John Guaspari joined Conifer Securities in 1989 as an Advent portfolio-system technical specialist, and has worked closely with Conifer's clients since that time. As Vice President of Operations, John oversees all Trade Operations staff and responsibilities and provides support and implementation of operational systems for investment managers, family offices, and high net worth individuals. John is a key member of our client transition team, helping ensure that our systems integration for on-boarding new managers runs smoothly and efficiently. Before joining the firm, Mr. Guaspari was Operations Manager at the investment advisory firm of D.S. Kennedy, where he had responsibility for all operational aspects of client accounts. Mr. Guaspari has a BA in Social Welfare from San Diego State University.
As Vice President of Professional Services, Diana McDonough serves as CFO for the management companies of our clients, specifically responsible for managing business cash flows, budgeting, financial reporting, payroll and taxes, benefits administration and insurance. Throughout her career Diana has specialized in understanding the risks and rewards unique to small business owners, and supporting them in achieving their business goals.
Teri Petersen joined Conifer in 1992 and is responsible for all Office Services and Facilities. Working directly with our clients, Ms. Petersen and her staff negotiate leases with building management, secure office space, oversee construction build-out and space planning, acquire services, systems, furniture and technology, and support the overall general working environment for each manager.
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